Subchapter C—Air Programs

SUBCHAPTER C—AIR PROGRAMS

PART 50—NATIONAL PRIMARY AND IN THE ATMOSPHERE (NON-DISPERSIVE IN- FRARED PHOTOMETRY) SECONDARY AMBIENT AIR APPENDIX D TO PART 50—REFERENCE MEAS- QUALITY STANDARDS UREMENT PRINCIPLE AND CALIBRATION PROCEDURE FOR THE MEASUREMENT OF Sec. OZONE IN THE ATMOSPHERE 50.1 Definitions. (CHEMILUMINESCENCE METHOD) 50.2 Scope. APPENDIX E TO PART 50 [RESERVED] 50.3 Reference conditions. APPENDIX F TO PART 50—MEASUREMENT PRIN- 50.4 National primary ambient air quality CIPLE AND CALIBRATION PROCEDURE FOR standards for sulfur oxides (sulfur diox- THE MEASUREMENT OF NITROGEN DIOXIDE ide). IN THE ATMOSPHERE (GAS PHASE 50.5 National secondary ambient air quality CHEMILUMINESCENCE) standard for sulfur oxides (sulfur diox- APPENDIX G TO PART 50—REFERENCE METHOD ide). FOR THE DETERMINATION OF LEAD IN 50.6 National primary and secondary ambi- TOTAL SUSPENDED PARTICULATE MATTER ent air quality standards for PM10. APPENDIX H TO PART 50—INTERPRETATION OF 50.7 National primary and secondary ambi- THE 1-HOUR PRIMARY AND SECONDARY NA- ent air quality standards for PM2.5. TIONAL AMBIENT AIR QUALITY STANDARDS 50.8 National primary ambient air quality FOR OZONE standards for carbon monoxide. APPENDIX I TO PART 50—INTERPRETATION OF 50.9 National 1-hour primary and secondary THE 8-HOUR PRIMARY AND SECONDARY NA- ambient air quality standards for ozone. TIONAL AMBIENT AIR QUALITY STANDARDS 50.10 National 8-hour primary and sec- FOR OZONE ondary ambient air quality standards for APPENDIX J TO PART 50—REFERENCE METHOD ozone. FOR THE DETERMINATION OF PARTICULATE 50.11 National primary and secondary ambi- MATTER AS PM10 IN THE ATMOSPHERE ent air quality standards for oxides of ni- APPENDIX K TO PART 50—INTERPRETATION OF trogen (with nitrogen dioxide as the indi- THE NATIONAL AMBIENT AIR QUALITY cator). STANDARDS FOR PARTICULATE MATTER 50.12 National primary and secondary ambi- APPENDIX L TO PART 50—REFERENCE METHOD ent air quality standards for lead. FOR THE DETERMINATION OF FINE PARTIC- 50.13 National primary and secondary ambi- ULATE MATTER AS PM2.5 IN THE ATMOS- ent air quality standards for PM2.5. PHERE 50.14 Treatment of air quality monitoring APPENDIX M TO PART 50 [RESERVED] data influenced by exceptional events. APPENDIX N TO PART 50—INTERPRETATION OF 50.15 National primary and secondary ambi- THE NATIONAL AMBIENT AIR QUALITY ent air quality standards for ozone. STANDARDS FOR PM2.5 50.16 National primary and secondary ambi- APPENDIX O TO PART 50—REFERENCE METHOD ent air quality standards for lead. FOR THE DETERMINATION OF COARSE PAR- 50.17 National primary ambient air quality TICULATE MATTER AS PM10–2.5 IN THE AT- standards for sulfur oxides (sulfur diox- MOSPHERE ide). APPENDIX P TO PART 50—INTERPRETATION OF 50.18 National primary ambient air quality THE PRIMARY AND SECONDARY NATIONAL standards for PM2.5. AMBIENT AIR QUALITY STANDARDS FOR 50.19 National primary and secondary ambi- OZONE ent air quality standards for ozone. APPENDIX Q TO PART 50—REFERENCE METHOD APPENDIX A–1 TO PART 50—REFERENCE MEAS- FOR THE DETERMINATION OF LEAD IN PAR- UREMENT PRINCIPLE AND CALIBRATION TICULATE MATTER AS PM10 COLLECTED PROCEDURE FOR THE MEASUREMENT OF FROM AMBIENT AIR SULFUR DIOXIDE IN THE ATMOSPHERE (UL- APPENDIX R TO PART 50—INTERPRETATION OF TRAVIOLET FLUORESCENCE METHOD) THE NATIONAL AMBIENT AIR QUALITY APPENDIX A–2 TO PART 50—REFERENCE METH- STANDARDS FOR LEAD OD FOR THE DETERMINATION OF SULFUR APPENDIX S TO PART 50—INTERPRETATION OF DIOXIDE IN THE ATMOSPHERE THE PRIMARY NATIONAL AMBIENT AIR (PARAROSANILINE METHOD) QUALITY STANDARDS FOR OXIDES OF NI- APPENDIX B TO PART 50—REFERENCE METHOD TROGEN (NITROGEN DIOXIDE) FOR THE DETERMINATION OF SUSPENDED APPENDIX T TO PART 50—INTERPRETATION OF PARTICULATE MATTER IN THE ATMOS- THE PRIMARY NATIONAL AMBIENT AIR PHERE (HIGH-VOLUME METHOD) QUALITY STANDARDS FOR OXIDES OF SUL- APPENDIX C TO PART 50—MEASUREMENT PRIN- FUR (SULFUR DIOXIDE) CIPLE AND CALIBRATION PROCEDURE FOR APPENDIX U TO PART 50—INTERPRETATION OF THE MEASUREMENT OF CARBON MONOXIDE THE PRIMARY AND SECONDARY NATIONAL

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AMBIENT AIR QUALITY STANDARDS FOR lable or preventable, is an event(s) OZONE caused by human activity that is un- AUTHORITY: 42 U.S.C. 7401, et seq. likely to recur at a particular location or a natural event(s), and is determined SOURCE: 36 FR 22384, Nov. 25, 1971, unless otherwise noted. by the Administrator in accordance with 40 CFR 50.14 to be an exceptional § 50.1 Definitions. event. It does not include air pollution (a) As used in this part, all terms not relating to source noncompliance. defined herein shall have the meaning Stagnation of air masses and meteoro- given them by the Act. logical inversions do not directly cause (b) Act means the Clean Air Act, as pollutant emissions and are not excep- amended (42 U.S.C. 1857–18571, as tional events. Meteorological events amended by Pub. L. 91–604). involving high temperatures or lack of (c) Agency means the Environmental precipitation (i.e., severe, extreme or Protection Agency. exceptional drought) also do not di- (d) Administrator means the Adminis- rectly cause pollutant emissions and trator of the Environmental Protection are not considered exceptional events. Agency. However, conditions involving high (e) Ambient air means that portion of temperatures or lack of precipitation the atmosphere, external to buildings, may promote occurrences of particular to which the general public has access. types of exceptional events, such as (f) Reference method means a method wildfires or high wind events, which do of sampling and analyzing the ambient directly cause emissions. air for an air pollutant that is specified (k) Natural event means an event and as a reference method in an appendix its resulting emissions, which may to this part, or a method that has been recur at the same location, in which designated as a reference method in ac- human activity plays little or no direct cordance with part 53 of this chapter; it causal role. For purposes of the defini- does not include a method for which a tion of a natural event, anthropogenic reference method designation has been sources that are reasonably controlled cancelled in accordance with § 53.11 or shall be considered to not play a direct § 53.16 of this chapter. role in causing emissions. (g) Equivalent method means a method (l) Exceedance with respect to a na- of sampling and analyzing the ambient tional ambient air quality standard air for an air pollutant that has been means one occurrence of a measured or designated as an equivalent method in modeled concentration that exceeds accordance with part 53 of this chapter; the specified concentration level of it does not include a method for which such standard for the averaging period an equivalent method designation has specified by the standard. been cancelled in accordance with (m) Prescribed fire is any fire inten- § 53.11 or § 53.16 of this chapter. tionally ignited by management ac- (h) Traceable means that a local tions in accordance with applicable standard has been compared and cer- laws, policies, and regulations to meet tified either directly or via not more specific land or resource management than one intermediate standard, to a objectives. primary standard such as a National (n) Wildfire is any fire started by an Bureau of Standards Standard Ref- unplanned ignition caused by light- erence Material (NBS SRM), or a ning; volcanoes; other acts of nature; USEPA/NBS-approved Certified Ref- unauthorized activity; or accidental, erence Material (CRM). human-caused actions, or a prescribed (i) Indian country is as defined in 18 fire that has developed into a wildfire. U.S.C. 1151. A wildfire that predominantly occurs (j) Exceptional event means an on wildland is a natural event. event(s) and its resulting emissions (o) Wildland means an area in which that affect air quality in such a way human activity and development are that there exists a clear causal rela- essentially non-existent, except for tionship between the specific event(s) roads, railroads, power lines, and simi- and the monitored exceedance(s) or lar transportation facilities. Struc- violation(s), is not reasonably control- tures, if any, are widely scattered.

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(p) High wind dust event is an event any portion thereof which are more that includes the high-speed wind and stringent than the national standards. the dust that the wind entrains and [36 FR 22384, Nov. 25, 1971, as amended at 63 transports to a monitoring site. FR 7274, Feb. 12, 1998] (q) High wind threshold is the minimum wind speed capable of causing § 50.3 Reference conditions. particulate matter emissions from nat- All measurements of air quality that ural undisturbed lands in the area af- are expressed as mass per unit volume fected by a high wind dust event. (e.g., micrograms per cubic meter) (r) Federal land manager means, con- other than for particulate matter sistent with the definition in 40 CFR (PM2.5) standards contained in §§ 50.7, 51.301, the Secretary of the department 50.13, and 50.18, and lead standards con- with authority over the Federal Class I tained in § 50.16 shall be corrected to a area (or the Secretary’s designee) or, reference temperature of 25 (deg) C and with respect to Roosevelt-Campobello a reference pressure of 760 millimeters International Park, the Chairman of of mercury (1,013.2 millibars). Measure- the Roosevelt-Campobello Inter- ments of PM2.5 for purposes of compari- national Park Commission. son to the standards contained in §§ 50.7, 50.13, and 50.18, and of lead for [36 FR 22384, Nov. 25, 1971, as amended at 41 purposes of comparison to the stand- FR 11253, Mar. 17, 1976; 48 FR 2529, Jan. 20, 1983; 63 FR 7274, Feb. 12, 1998; 72 FR 13580, ards contained in § 50.16 shall be re- Mar. 22, 2007; 81 FR 68276, Oct. 3, 2016] ported based on actual ambient air volume measured at the actual ambient § 50.2 Scope. temperature and pressure at the monitoring site during the measurement pe- (a) National primary and secondary riod. ambient air quality standards under section 109 of the Act are set forth in [78 FR 3277, Jan. 15, 2013] this part. (b) National primary ambient air § 50.4 National primary ambient air quality standards for sulfur oxides quality standards define levels of air (sulfur dioxide). quality which the Administrator judges are necessary, with an adequate (a) The level of the annual standard margin of safety, to protect the public is 0.030 parts per million (ppm), not to health. National secondary ambient air be exceeded in a calendar year. The an- quality standards define levels of air nual arithmetic mean shall be rounded to three decimal places (fractional quality which the Administrator parts equal to or greater than 0.0005 judges necessary to protect the public ppm shall be rounded up). welfare from any known or anticipated (b) The level of the 24-hour standard adverse effects of a pollutant. Such is 0.14 parts per million (ppm), not to standards are subject to revision, and be exceeded more than once per cal- additional primary and secondary endar year. The 24-hour averages shall standards may be promulgated as the be determined from successive non- Administrator deems necessary to pro- overlapping 24-hour blocks starting at tect the public health and welfare. midnight each calendar day and shall (c) The promulgation of national pri- be rounded to two decimal places (frac- mary and secondary ambient air qual- tional parts equal to or greater than ity standards shall not be considered in 0.005 ppm shall be rounded up). any manner to allow significant dete- (c) Sulfur oxides shall be measured in rioration of existing air quality in any the ambient air as sulfur dioxide by the portion of any State or Indian country. reference method described in appendix (d) The proposal, promulgation, or re- A to this part or by an equivalent vision of national primary and sec- method designated in accordance with ondary ambient air quality standards part 53 of this chapter. shall not prohibit any State or Indian (d) To demonstrate attainment, the country from establishing ambient air annual arithmetic mean and the sec- quality standards for that State or ond-highest 24-hour averages must be area under a tribal CAA program or based upon hourly data that are at

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least 75 percent complete in each cal- equal to or greater than 0.05 ppm shall endar quarter. A 24-hour block average be rounded up). shall be considered valid if at least 75 (b) Sulfur oxides shall be measured in percent of the hourly averages for the the ambient air as sulfur dioxide by the 24-hour period are available. In the reference method described in appendix event that only 18, 19, 20, 21, 22, or 23 A of this part or by an equivalent hourly averages are available, the 24- method designated in accordance with hour block average shall be computed part 53 of this chapter. as the sum of the available hourly (c) To demonstrate attainment, the averages using 18, 19, etc. as the divi- second-highest 3-hour average must be sor. If fewer than 18 hourly averages based upon hourly data that are at are available, but the 24-hour average least 75 percent complete in each cal- would exceed the level of the standard endar quarter. A 3-hour block average when zeros are substituted for the shall be considered valid only if all missing values, subject to the rounding three hourly averages for the 3-hour rule of paragraph (b) of this section, period are available. If only one or two then this shall be considered a valid 24- hourly averages are available, but the hour average. In this case, the 24-hour 3-hour average would exceed the level block average shall be computed as the of the standard when zeros are sub- sum of the available hourly averages stituted for the missing values, subject divided by 24. to the rounding rule of paragraph (a) of (e) The standards set forth in this this section, then this shall be consid- section will remain applicable to all ered a valid 3-hour average. In all areas notwithstanding the promulga- cases, the 3-hour block average shall be tion of SO2 national ambient air qual- computed as the sum of the hourly ity standards (NAAQS) in § 50.17. The averages divided by 3. SO2 NAAQS set forth in this section [61 FR 25580, May 22, 1996] will no longer apply to an area one year after the effective date of the des- § 50.6 National primary and secondary ignation of that area, pursuant to sec- ambient air quality standards for tion 107 of the Clean Air Act, for the PM 10. SO2 NAAQS set forth in § 50.17; except (a) The level of the national primary that for areas designated nonattain- and secondary 24-hour ambient air ment for the SO2 NAAQS set forth in quality standards for particulate mat- this section as of the effective date of ter is 150 micrograms per cubic meter § 50.17, and areas not meeting the re- (μg/m3), 24-hour average concentration. quirements of a SIP call with respect The standards are attained when the to requirements for the SO2 NAAQS set expected number of days per calendar forth in this section, the SO2 NAAQS year with a 24-hour average concentra- set forth in this section will apply tion above 150 μg/m3, as determined in until that area submits, pursuant to accordance with appendix K to this section 191 of the Clean Air Act, and part, is equal to or less than one. EPA approves, an implementation plan (b) [Reserved] providing for attainment of the SO2 (c) For the purpose of determining NAAQS set forth in § 50.17. attainment of the primary and secondary standards, particulate matter [61 FR 25579, May 22, 1996, as amended at 75 FR 35592, June 22, 2010] shall be measured in the ambient air as PM10 (particles with an aerodynamic § 50.5 National secondary ambient air diameter less than or equal to a nomi- quality standard for sulfur oxides nal 10 micrometers) by: (sulfur dioxide). (1) A reference method based on ap- (a) The level of the 3-hour standard is pendix J and designated in accordance 0.5 parts per million (ppm), not to be with part 53 of this chapter, or exceeded more than once per calendar (2) An equivalent method designated year. The 3-hour averages shall be de- in accordance with part 53 of this chap- termined from successive nonoverlap- ter. ping 3-hour blocks starting at midnight [52 FR 24663, July 1, 1987, as amended at 62 each calendar day and shall be rounded FR 38711, July 18, 1997; 65 FR 80779, Dec. 22, to 1 decimal place (fractional parts 2000; 71 FR 61224, Oct. 17, 2006]

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§ 50.7 National primary and secondary (c) An 8-hour average shall be consid- ambient air quality standards for ered valid if at least 75 percent of the PM2.5. hourly average for the 8-hour period (a) The national primary and sec- are available. In the event that only ondary ambient air quality standards six (or seven) hourly averages are for particulate matter are 15.0 available, the 8-hour average shall be micrograms per cubic meter (μg/m3) an- computed on the basis of the hours nual arithmetic mean concentration, available using six (or seven) as the di- and 65 μg/m3 24-hour average concentra- visor. tion measured in the ambient air as (d) When summarizing data for comparision with the standards, aver- PM2.5 (particles with an aerodynamic diameter less than or equal to a nomi- ages shall be stated to one decimal nal 2.5 micrometers) by either: place. Comparison of the data with the (1) A reference method based on ap- levels of the standards in parts per mil- pendix L of this part and designated in lion shall be made in terms of integers accordance with part 53 of this chapter; with fractional parts of 0.5 or greater or rounding up. (2) An equivalent method designated [50 FR 37501, Sept. 13, 1985] in accordance with part 53 of this chapter. § 50.9 National 1-hour primary and (b) The annual primary and sec- secondary ambient air quality ondary PM2.5 standards are met when standards for ozone. the annual arithmetic mean concentra- (a) The level of the national 1-hour tion, as determined in accordance with primary and secondary ambient air appendix N of this part, is less than or quality standards for ozone measured equal to 15.0 micrograms per cubic by a reference method based on appen- meter. dix D to this part and designated in ac- (c) The 24-hour primary and sec- cordance with part 53 of this chapter, is ondary PM2.5 standards are met when 0.12 parts per million (235 μg/m3). The the 98th percentile 24-hour concentra- standard is attained when the expected tion, as determined in accordance with number of days per calendar year with appendix N of this part, is less than or maximum hourly average concentra- equal to 65 micrograms per cubic tions above 0.12 parts per million (235 meter. μg/m3) is equal to or less than 1, as de- [62 FR 38711, July 18, 1997, as amended at 69 termined by appendix H to this part. FR 45595, July 30, 2004] (b) The 1-hour standards set forth in this section will remain applicable to § 50.8 National primary ambient air all areas notwithstanding the promul- quality standards for carbon mon- gation of 8-hour ozone standards under oxide. § 50.10. The 1-hour NAAQS set forth in (a) The national primary ambient air paragraph (a) of this section will no quality standards for carbon monoxide longer apply to an area one year after are: the effective date of the designation of (1) 9 parts per million (10 milligrams that area for the 8-hour ozone NAAQS per cubic meter) for an 8-hour average pursuant to section 107 of the Clean Air concentration not to be exceeded more Act. Area designations and classifica- than once per year and tions with respect to the 1-hour stand- (2) 35 parts per million (40 milligrams ards are codified in 40 CFR part 81. per cubic meter) for a 1-hour average [62 FR 38894, July 18, 1997, as amended at 65 concentration not to be exceeded more FR 45200, July 20, 2000; 68 FR 38163, June 26, than once per year. 2003, 69 FR 23996, Apr. 30, 2004; 77 FR 28441, (b) The levels of carbon monoxide in May 14, 2012] the ambient air shall be measured by: (1) A reference method based on ap- § 50.10 National 8-hour primary and pendix C and designated in accordance secondary ambient air quality with part 53 of this chapter, or standards for ozone. (2) An equivalent method designated (a) The level of the national 8-hour in accordance with part 53 of this chap- primary and secondary ambient air ter. quality standards for ozone, measured

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by a reference method based on appen- meter), annual arithmetic mean con- dix D to this part and designated in ac- centration. cordance with part 53 of this chapter, is (d) The levels of the standards shall 0.08 parts per million (ppm), daily max- be measured by: imum 8-hour average. (1) A reference method based on ap- (b) The 8-hour primary and secondary pendix F to this part; or ozone ambient air quality standards (2) By a Federal equivalent method are met at an ambient air quality mon- (FEM) designated in accordance with itoring site when the average of the an- part 53 of this chapter. nual fourth-highest daily maximum 8- (e) The annual primary standard is hour average ozone concentration is met when the annual average con- less than or equal to 0.08 ppm, as deter- centration in a calendar year is less mined in accordance with appendix I to than or equal to 53 ppb, as determined this part. in accordance with appendix S of this (c) Until the effective date of the part for the annual standard. final Implementation of the 2008 Na- (f) The 1-hour primary standard is tional Ambient Air Quality Standards met when the three-year average of the for Ozone: State Implementation Plan annual 98th percentile of the daily Requirements Rule (final SIP Require- maximum 1-hour average concentra- ments Rule) to be codified at 40 CFR tion is less than or equal to 100 ppb, as 51.1100 et seq., the 1997 ozone NAAQS set determined in accordance with appen- forth in this section will continue in ef- dix S of this part for the 1-hour stand- fect, notwithstanding the promulga- ard. tion of the 2008 ozone NAAQS under (g) The secondary standard is at- § 50.15. The 1997 ozone NAAQS set forth tained when the annual arithmetic in this section will no longer apply mean concentration in a calendar year upon the effective date of the final SIP is less than or equal to 0.053 ppm, Requirements Rule. For purposes of rounded to three decimal places (frac- the anti-backsliding requirements of tional parts equal to or greater than § 51.1105, § 51.165 and Appendix S to part 0.0005 ppm must be rounded up). To 51, the area designations and classifica- demonstrate attainment, an annual tions with respect to the revoked 1997 mean must be based upon hourly data ozone NAAQS are codified in 40 CFR that are at least 75 percent complete or part 81. upon data derived from manual methods that are at least 75 percent com- [62 FR 38894, July 18, 1997, as amended at 77 plete for the scheduled sampling days FR 30170, May 21, 2012; 80 FR 12312, Mar. 6, in each calendar quarter. 2015] [75 FR 6531, Feb. 9, 2010] § 50.11 National primary and secondary ambient air quality stand- § 50.12 National primary and sec- ards for oxides of nitrogen (with ni- ondary ambient air quality stand- trogen dioxide as the indicator). ards for lead. (a) The level of the national primary (a) National primary and secondary annual ambient air quality standard ambient air quality standards for lead for oxides of nitrogen is 53 parts per and its compounds, measured as ele- billion (ppb, which is 1 part in mental lead by a reference method 1,000,000,000), annual average con- based on appendix G to this part, or by centration, measured in the ambient an equivalent method, are: 1.5 air as nitrogen dioxide. micrograms per cubic meter, maximum (b) The level of the national primary arithmetic mean averaged over a cal- 1-hour ambient air quality standard for endar quarter. oxides of nitrogen is 100 ppb, 1-hour av- (b) The standards set forth in this erage concentration, measured in the section will remain applicable to all ambient air as nitrogen dioxide. areas notwithstanding the promulga- (c) The level of the national section of lead national ambient air qual- ondary ambient air quality standard ity standards (NAAQS) in § 50.16. The for nitrogen dioxide is 0.053 parts per lead NAAQS set forth in this section million (100 micrograms per cubic will no longer apply to an area one

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year after the effective date of the des- promulgation of the 2012 primary an- ignation of that area, pursuant to sec- nual PM2.5 NAAQS under § 50.18. The tion 107 of the Clean Air Act, for the 1997 primary annual PM2.5 NAAQS set lead NAAQS set forth in § 50.16; except forth in this section will no longer that for areas designated nonattain- apply upon the effective date of the ment for the lead NAAQS set forth in final Fine Particulate Matter National this section as of the effective date of Ambient Air Quality Standards: State § 50.16, the lead NAAQS set forth in this Implementation Plan Requirements section will apply until that area sub- rule; except that for areas designated mits, pursuant to section 191 of the nonattainment for the 1997 annual Clean Air Act, and EPA approves, an PM2.5 NAAQS set forth in this section implementation plan providing for at- as of the effective date of the final Fine tainment and/or maintenance of the Particulate Matter National Ambient lead NAAQS set forth in § 50.16. Air Quality Standards: State Imple- (Secs. 109, 301(a) Clean Air Act as amended mentation Plan Requirements rule, the (42 U.S.C. 7409, 7601(a))) requirements applicable to the 1997 pri- [43 FR 46258, Oct. 5, 1978, as amended at 73 FR mary annual PM2.5 NAAQS set forth in 67051, Nov. 12, 2008] this section will apply until the effective date of an area’s redesignation to § 50.13 National primary and sec- attainment for the 1997 annual PM2.5 ondary ambient air quality stand- NAAQS pursuant to the requirements ards for PM2.5. of section 107 of the Clean Air Act. The (a) The national primary and sec- 1997 secondary annual PM2.5 NAAQS ondary ambient air quality standards and the 1997 24-hour PM2.5 NAAQS shall for particulate matter are 15.0 remain in effect. The area designations micrograms per cubic meter (μg/m3) an- and classifications with respect to the nual arithmetic mean concentration, 1997 annual and 24-hour PM2.5 NAAQS and 35 μg/m3 24-hour average concentra- remain codified in 40 CFR part 81 in tion measured in the ambient air as order to provide information on where PM (particles with an aerodynamic 2.5 the 1997 primary annual PM2.5 NAAQS diameter less than or equal to a nomi- has been revoked and to facilitate the nal 2.5 micrometers) by either: implementation of the 1997 secondary (1) A reference method based on ap- annual PM2.5 NAAQS and the 1997 24- pendix L of this part and designated in hour PM2.5 NAAQS. accordance with part 53 of this chapter; or [71 FR 61224, Oct. 17, 2006, as amended at 81 (2) An equivalent method designated FR 58149, Aug. 24, 2016] in accordance with part 53 of this chapter. § 50.14 Treatment of air quality monitoring data influenced by excep- (b) The annual primary and sectional events. ondary PM2.5 standards are met when the annual arithmetic mean concentra- (a) Requirements—(1) Scope. (i) This tion, as determined in accordance with section applies to the treatment of appendix N of this part, is less than or data showing exceedances or violations equal to 15.0 μg/m3. of any national ambient air quality (c) The 24-hour primary and sec- standard for purposes of the following types of regulatory determinations by ondary PM2.5 standards are met when the 98th percentile 24-hour concentra- the Administrator: tion, as determined in accordance with (A) An action to designate an area, appendix N of this part, is less than or pursuant to Clean Air Act section equal to 35 μg/m3. 107(d)(1), or redesignate an area, pursu- (d) Until the effective date of the ant to Clean Air Act section 107(d)(3), final Fine Particulate Matter National for a particular national ambient air Ambient Air Quality Standards: State quality standard; Implementation Plan Requirements (B) The assignment or re-assignment rule to be codified at 40 CFR 51.1000 of a classification category to a non- through 51.1016, the 1997 annual PM2.5 attainment area where such classifica- NAAQS set forth in this section will tion is based on a comparison of pollut- continue in effect, notwithstanding the ant design values, calculated according

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to the specific data handling proce- ments applying to the federal land dures in 40 CFR part 50 for each na- manager or other federal agency. tional ambient air quality standard, to (C) Provided all provisions in this the level of the relevant national ambi- section are met, the Administrator ent air quality standard; shall allow a State to submit dem- (C) A determination regarding wheth- onstrations for any regulatory monitor er a nonattainment area has attained within its jurisdictional bounds, in- the level of the appropriate national cluding those operated by federal land ambient air quality standard by its managers, other federal agencies and specified deadline; delegated local agencies. (D) A determination that an area has (D) Where multiple agencies within a data for the specific NAAQS, which state submit demonstrations for events qualify the area for an attainment date that meet the requirements of the Ex- extension under the CAA provisions for ceptional Events Rule, a State sub- the applicable pollutant; mittal shall have primacy for any regu- (E) A determination under Clean Air latory monitor within its jurisdictional Act section 110(k)(5), if based on an bounds. area violating a national ambient air (2) A demonstration to justify data quality standard, that the state imple- exclusion may include any reliable and mentation plan is inadequate under the accurate data, but must specifically address the elements in paragraphs requirements of Clean Air Act section (c)(3)(iv) and (v) of this section. 110; and (b) Determinations by the Adminis- (F) Other actions on a case-by-case trator—(1) Generally. The Administrator basis as determined by the Adminis- shall exclude data from use in deter- trator. minations of exceedances and viola- (ii) A State, federal land manager or tions identified in paragraph (a)(1)(i) of other federal agency may request the this section where a State dem- Administrator to exclude data showing onstrates to the Administrator’s satis- exceedances or violations of any na- faction that an exceptional event tional ambient air quality standard caused a specific air pollution con- that are directly due to an exceptional centration at a particular air quality event from use in determinations iden- monitoring location and otherwise sat- tified in paragraph (a)(1)(i) of this sec- isfies the requirements of this section. tion by demonstrating to the Adminis- (2) Fireworks displays. The Adminis- trator’s satisfaction that such event trator shall exclude data from use in caused a specific air pollution con- determinations of exceedances and vio- centration at a particular air quality lations where a State demonstrates to monitoring location. the Administrator’s satisfaction that (A) For a federal land manager or emissions from fireworks displays other federal agency to be eligible to caused a specific air pollution con- initiate such a request for data exclu- centration in excess of one or more na- sion, the federal land manager or other tional ambient air quality standards at federal agency must: a particular air quality monitoring lo- (1) Either operate a regulatory mon- cation and otherwise satisfies the re- itor that has been affected by an excep- quirements of this section. Such data tional event or manage land on which will be treated in the same manner as an exceptional event occurred that in- exceptional events under this rule, pro- fluenced a monitored concentration at vided a State demonstrates that such a regulatory monitor; and use of fireworks is significantly inte- (2) Initiate such a request only after gral to traditional national, ethnic, or the State in which the affected mon- other cultural events including, but itor is located concurs with the federal not limited to, July Fourth celebra- land manager’s or other federal agen- tions that satisfy the requirements of cy’s submittal. this section. (B) With regard to such a request, all (3) Prescribed fires. (i) The Adminis- provisions in this section that are ex- trator shall exclude data from use in pressed as requirements applying to a determinations of exceedances and vio- State shall, except as noted, be require- lations, where a State demonstrates to

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the Administrator’s satisfaction that manage air quality impacts during the emissions from prescribed fires caused conduct of prescribed fires on wildland. a specific air pollution concentration Such discussions must include out- in excess of one or more national ambi- reach and education regarding general ent air quality standards at a par- expectations for the selection and ap- ticular air quality monitoring location plication of appropriate basic smoke and otherwise satisfies the require- management practices and goals for ments of this section. advancing strategies and increasing (ii) In addressing the requirements adoption and communication of the set forth in paragraph (c)(3)(iv)(D) of benefits of appropriate basic smoke this section regarding the not reason- management practices; ably controllable or preventable cri- (2) The State, federal land managers terion: and burn managers shall have an ini- (A) With respect to the requirement tial implementation period, defined as that a prescribed fire be not reasonably being 2 years from September 30, 2016, controllable, the State must either cer- to implement the collaboration and tify to the Administrator that it has outreach effort identified in paragraph adopted and is implementing a smoke (b)(3)(ii)(B)(1) of this section; and management program or the State (3) Except as provided in paragraph must demonstrate that the burn man- (b)(3)(ii)(B)(2) of this section, the Ad- ager employed appropriate basic smoke ministrator shall not place a concur- management practices identified in rence flag in the appropriate field for Table 1 to § 50.14. Where a burn man- the data record in the AQS database, as ager employs appropriate basic smoke specified in paragraph (c)(2)(ii) of this management practices, the State may section, if the data are associated with rely on a statement or other docu- a prescribed fire on wildland unless the mentation provided by the burn man- requirements of paragraph ager that he or she employed those (b)(3)(ii)(B)(1) of this section have been practices. If an exceedance or violation met and associated documentation ac- of a NAAQS occurs when a prescribed companies any applicable exceptional fire is employing an appropriate basic events demonstration. The Adminis- smoke management practices approach, the State and the burn man- trator may nonconcur or defer action ager must undertake a review of the on such a demonstration. subject fire, including a review of the (C) With respect to the requirement basic smoke management practices ap- that a prescribed fire be not reasonably plied during the subject fire to ensure preventable, the State may rely upon the protection of air quality and public and reference a multi-year land or re- health and progress towards restoring source management plan for a wildland and/or maintaining a sustainable and area with a stated objective to estab- resilient wildland ecosystem. If the lish, restore and/or maintain a sustain- prescribed fire becomes the subject of able and resilient wildland ecosystem an exceptional events demonstration, and/or to preserve endangered or documentation of the post-burn review threatened species through a program must accompany the demonstration. of prescribed fire provided that the Ad- (B) If the State anticipates satisfying ministrator determines that there is no the requirements of paragraph compelling evidence to the contrary in (c)(3)(iv)(D) of this section by employ- the record and the use of prescribed ing the appropriate basic smoke man- fire in the area has not exceeded the agement practices identified in Table 1 frequency indicated in that plan. to § 50.14, then: (iii) Provided the Administrator de- (1) The State, federal land managers, termines that there is no compelling and other entities as appropriate, must evidence to the contrary in the record, periodically collaborate with burn in addressing the requirements set managers operating within the juris- forth in paragraph (c)(3)(iv)(E) of this diction of the State to discuss and doc- section regarding the human activity ument the process by which air agen- unlikely to recur at a particular loca- cies and land managers will work to- tion criterion for demonstrations in- gether to protect public health and volving prescribed fires on wildland,

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the State must describe the actual fre- tained in a multi-year land or resource quency with which a burn was con- management plan with a stated objec- ducted, but may rely upon and ref- tive to establish, restore and/or main- erence an assessment of the natural tain a sustainable and resilient fire return interval or the prescribed wildland ecosystem and/or to preserve fire frequency needed to establish, re- endangered or threatened species store and/or maintain a sustainable through a program of prescribed fire. and resilient wildland ecosystem con-

TABLE 1 TO § 50.14—SUMMARY OF BASIC SMOKE MANAGEMENT PRACTICES, BENEFIT ACHIEVED WITH THE BSMP, AND WHEN IT IS APPLIEDa

When the BSMP is ap- Basic Smoke Management Practice b Benefit achieved with the BSMP plied—before/during/after the burn

Evaluate Smoke Dispersion Condi- Minimize smoke impacts ...... Before, During, After. tions. Monitor Effects on Air Quality ...... Be aware of where the smoke is going and degree it im- Before, During, After. pacts air quality. Record-Keeping/Maintain a Burn/ Retain information about the weather, burn and smoke. If Before, During, After. Smoke Journal. air quality problems occur, documentation helps analyze and address air regulatory issues.. Communication—Public Notification .. Notify neighbors and those potentially impacted by smoke, Before, During. especially sensitive receptors. Consider Emission Reduction Tech- Reducing emissions through mechanisms such as reduc- Before, During, After. niques. ing fuel loading can reduce downwind impacts. Share the Airshed—Coordination of Coordinate multiple burns in the area to manage exposure Before, During, After. Area Burning. of the public to smoke. a The EPA believes that elements of these BSMP could also be practical and beneficial to apply to wildfires for areas likely to experience recurring wildfires. b The listing of BSMP in this table is not intended to be all-inclusive. Not all BSMP are appropriate for all burns. Goals for applicability should retain flexibility to allow for onsite variation and site-specific conditions that can be variable on the day of the burn. Burn managers can consider other appropriate BSMP as they become available due to technological advancement or programmatic refinement.

(4) Wildfires. The Administrator shall national ambient air quality standards exclude data from use in determina- at a particular air quality monitoring tions of exceedances and violations location and otherwise satisfies the re- where a State demonstrates to the Ad- quirements of this section provided ministrator’s satisfaction that emis- that such emissions are from high wind sions from wildfires caused a specific dust events. air pollution concentration in excess of (ii) The Administrator will consider one or more national ambient air qual- high wind dust events to be natural ity standard at a particular air quality events in cases where windblown dust monitoring location and otherwise satis entirely from natural undisturbed isfies the requirements of this section. lands in the area or where all anthro- Provided the Administrator determines pogenic sources are reasonably con- that there is no compelling evidence to trolled as determined in accordance the contrary in the record, the Admin- with paragraph (b)(8) of this section. istrator will determine every wildfire (iii) The Administrator will accept a occurring predominantly on wildland to have met the requirements identi- high wind threshold of a sustained fied in paragraph (c)(3)(iv)(D) of this wind of 25 mph for areas in the States section regarding the not reasonably of Arizona, California, Colorado, Kan- controllable or preventable criterion. sas, Nebraska, Nevada, New Mexico, (5) High wind dust events. (i) The Ad- North Dakota, Oklahoma, South Da- ministrator shall exclude data from use kota, Texas, Utah, and Wyoming pro- in determinations of exceedances and vided this value is not contradicted by violations, where a State demonstrates evidence in the record at the time the to the Administrator’s satisfaction State submits a demonstration. In lieu that emissions from a high wind dust of this threshold, States can identify event caused a specific air pollution concentration in excess of one or more

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and use an Administrator-approved al- (7) Determinations with respect to event ternate area-specific high wind thresh- aggregation, multiple national ambient air old that is more representative of local quality standards for the same pollutant, or regional conditions, if appropriate. and exclusion of 24-hour values for partic- (iv) In addressing the requirements ulate matter. set forth in paragraph (c)(3)(iv)(D) of (i) Where a State demonstrates to the this section regarding the not reason- Administrator’s satisfaction that for ably preventable criterion, the State national ambient air quality standards shall not be required to provide a case- with averaging or cumulative periods specific justification for a high wind less than or equal to 24 hours the ag- dust event. gregate effect of events occurring on (v) With respect to the not reason- the same day has caused an exceedance ably controllable criterion of para- or violation, the Administrator shall graph (c)(3)(iv)(D) of this section, dust determine such collective data to sat- controls on an anthropogenic source isfy the requirements in paragraph shall be considered reasonable in any (c)(3)(iv)(B) of this section regarding case in which the controls render the the clear causal relationship criterion. anthropogenic source as resistant to Where a State demonstrates to the Ad- high winds as natural undisturbed ministrator’s satisfaction that for na- lands in the area affected by the high tional ambient air quality standards wind dust event. The Administrator with averaging or cumulative periods may determine lesser controls reason- longer than 24 hours the aggregate ef- able on a case-by-case basis. fect of events occurring on different (vi) For large-scale and high-energy days has caused an exceedance or viola- high wind dust events, the Adminis- tion, the Administrator shall deter- trator will generally consider a dem- mine such collective data to satisfy the onstration documenting the nature and requirements in paragraph (c)(3)(iv)(B) extent of the event to be sufficient of this section regarding the clear with respect to the not reasonably con- causal relationship criterion. trollable criterion of paragraph (ii) The Administrator shall accept as (c)(3)(iv)(D) of this section provided the part of a demonstration for the clear State provides evidence showing that causal relationship in paragraph the event satisfies the following: (c)(3)(iv)(B) of this section with respect (A) The event is associated with a to a 24-hour NAAQS, a State’s compari- dust storm and is the focus of a Dust son of a 24-hour concentration of any Storm Warning. national ambient air quality standard (B) The event has sustained winds pollutant to the level of a national am- that are greater than or equal to 40 bient air quality standard for the same miles per hour. pollutant with a longer averaging pe- (C) The event has reduced visibility riod. The Administrator shall also ac- equal to or less than 0.5 miles. cept as part of a demonstration for the (6) Stratospheric Intrusions. Where a clear causal relationship in paragraph State demonstrates to the Administra- (c)(3)(iv)(B) of this section with respect tor’s satisfaction that emissions from to a NAAQS with a longer averaging stratospheric intrusions caused a spe- period, a State’s comparison of a 24- cific air pollution concentration in ex- hour concentration of any national am- cess of one or more national ambient bient air quality standard pollutant to air quality standard at a particular air the level of the national ambient air quality monitoring location and other- quality standard for the same pollut- wise satisfies the requirements of this ant with a longer averaging period, section, the Administrator will deter- without the State having to dem- mine stratospheric intrusions to have onstrate that the event caused the an- met the requirements identified in nual average concentration of the pol- paragraph (c)(3)(iv)(D) of this section lutant to exceed the level of the regarding the not reasonably control- NAAQS with the longer averaging pe- lable or preventable criterion and shall riod. exclude data from use in determina- (iii) Where a State operates a contin- tions of exceedances and violations. uous analyzer that has been designated

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as a Federal Equivalent Method mon- Air Act for the state implementation itor as defined in 40 CFR 50.1(g) that plan, tribal implementation plan, or complies with the monitoring require- federal implementation plan to be rea- ments of 40 CFR part 58, Appendix C, sonable controls with respect to all an- and the State believes that collected thropogenic sources that have or may data have been influenced by an event, have contributed to the monitored ex- in following the process outlined in ceedance or violation. paragraph (c)(2) of this section, the (vi) Where a State, tribal or federal State shall create an initial event de- air agency is obligated to revise its scription and flag the associated event- state implementation plan, tribal im- influenced data that have been sub- plementation plan, or federal imple- mitted to the AQS database for the af- mentation plan, the deference to en- fected monitor. Where a State dem- forceable control measures identified onstrates to the Administrator’s satis- in paragraph (b)(8)(v) of this section faction that such data satisfy the re- shall remain only until the due date of quirements in paragraph (c)(3)(iv)(B) of the required state implementation this section regarding the clear causal plan, tribal implementation plan, or relationship criterion and otherwise federal implementation plan revisions. satisfy the requirements of this sec- However, where an air agency is obli- tion, the Administrator shall agree to gated to revise the enforceable control exclude all data within the affected measures identified in paragraph calendar day(s). (b)(8)(v) of this section in its imple- (8) Determinations with respect to the mentation plan as a result of an action not reasonably controllable or preventable pursuant to Clean Air Act section criterion. (i) The not reasonably con- 110(k)(5), the deference, if any, to those trollable or preventable criterion has enforceable control measures shall be two prongs that the State must dem- determined on a case-by-case basis. onstrate: prevention and control. (vii) The Administrator shall not re- (ii) The Administrator shall deter- quire a State to provide case-specific mine that an event is not reasonably justification to support the not reason- preventable if the State shows that ably controllable or preventable cri- reasonable measures to prevent the terion for emissions-generating activ- event were applied at the time of the ity that occurs outside of the State’s event. jurisdictional boundaries within which (iii) The Administrator shall deter- the concentration at issue was mon- mine that an event is not reasonably itored. In the case of a tribe treated as controllable if the State shows that a state under 40 CFR 49.2 with respect reasonable measures to control the im- to exceptional events requirements, pact of the event on air quality were the tribe’s jurisdictional boundaries for applied at the time of the event. purposes of requiring or directly imple- (iv) The Administrator shall assess menting emission controls apply. In the reasonableness of available con- the case of a federal land manager or trols for anthropogenic sources based other federal agency submitting a dem- on information available as of the date onstration under the requirements of of the event. this section, the jurisdictional bound- (v) Except where a State, tribal or aries that apply are those of the State federal air agency is obligated to revise or the tribe depending on which has ju- its state implementation plan, tribal risdiction over the area where the implementation plan, or federal imple- event has occurred. mentation plan, the Administrator (viii) In addition to the provisions shall consider enforceable control that apply to specific event types iden- measures implemented in accordance tified in paragraphs (b)(3)(ii) and with a state implementation plan, trib- (b)(5)(i) through (iii) of this section in al implementation plan, or federal im- addressing the requirements set forth plementation plan, approved by the in paragraph (c)(3)(iv)(D) of this sec- EPA within 5 years of the date of the tion regarding the not reasonably con- event, that address the event-related trollable or preventable criterion, the pollutant and all sources necessary to State must include the following com- fulfill the requirements of the Clean ponents:

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(A) Identification of the natural and an event occurs or is reasonably antici- anthropogenic sources of emissions pated to occur which may result in the causing and contributing to the mon- exceedance of an applicable air quality itored exceedance or violation, includ- standard. ing the contribution from local (ii) [Reserved] sources. (2) Initial notification of potential ex- (B) Identification of the relevant ceptional event. (i) A State shall notify state implementation plan, tribal im- the Administrator of its intent to re- plementation plan, or federal imple- quest exclusion of one or more meas- mentation plan or other enforceable ured exceedances of an applicable na- control measures in place for the tional ambient air quality standard as sources identified in paragraph being due to an exceptional event by (b)(8)(vii)(A) of this section and the im- creating an initial event description plementation status of these controls. and flagging the associated data that (C) Evidence of effective implementa- have been submitted to the AQS data- tion and enforcement of the measures base and by engaging in the Initial No- identified in paragraph (b)(8)(vii)(B) of tification of Potential Exceptional this section. Event process as follows: (D) The provisions in this paragraph (A) The State and the appropriate shall not apply if the provisions in EPA Regional office shall engage in paragraph (b)(4), (b)(5)(vi), or (b)(6) of regular communications to identify this section apply. those data that have been potentially (9) Mitigation plans. (i) Except as pro- influenced by an exceptional event, to vided for in paragraph (b)(9)(ii) of this determine whether the identified data section, where a State is subject to the may affect a regulatory determination requirements of 40 CFR 51.930(b), the and to discuss whether the State Administrator shall not place a concur- should develop and submit an excep- rence flag in the appropriate field for tional events demonstration according the data record in the AQS database, as to the requirements in this section; specified in paragraph (c)(2)(ii) of this (B) For data that may affect an an- section, if the data are of the type and ticipated regulatory determination or pollutant that are the focus of the where circumstances otherwise compel mitigation plan until the State fulfills the Administrator to prioritize the re- its obligations under the requirements sulting demonstration, the Adminis- of 40 CFR 51.930(b). The Administrator trator shall respond to a State’s Initial may nonconcur or defer action on such Notification of Potential Exceptional a demonstration. Event with a due date for demonstra- (ii) The prohibition on placing a con- tion submittal that considers the na- currence flag in the appropriate field ture of the event and the anticipated for the data record in the AQS data- timing of the associated regulatory de- base by the Administrator stated in cision; paragraph (b)(9(i) of this section does (C) The Administrator may waive the not apply to data that are included in Initial Notification of Potential Excep- an exceptional events demonstration tional Event process on a case-by-case that is: basis. (A) submitted in accordance with (ii) The data shall not be excluded paragraph (c)(3) of this section that is from determinations with respect to also of the type and pollutant that is exceedances or violations of the na- the focus of the mitigation plan, and tional ambient air quality standards (B) submitted within the 2-year pe- unless and until, following the State’s riod allowed for mitigation plan devel- submittal of its demonstration pursu- opment as specified in 40 CFR ant to paragraph (c)(3) of this section 51.930(b)(3). and the Administrator’s review, the (c) Schedules and procedures—(1) Pub- Administrator notifies the State of its lic notification. (i) In accordance with concurrence by placing a concurrence the mitigation requirement at 40 CFR flag in the appropriate field for the 51.930(a)(1), all States and, where appli- data record in the AQS database. cable, their political subdivisions must (iii) [Reserved] notify the public promptly whenever (iv) [Reserved]

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(v) [Reserved] may influence the initial designation (vi) Table 2 to § 50.14 identifies the of areas for any new or revised national submission process for data that will or ambient air quality standard.

TABLE 2 TO § 50.14—SCHEDULE FOR INITIAL NOTIFICATION AND DEMONSTRATION SUBMISSION FOR DATA INFLUENCED BY EXCEPTIONAL EVENTS FOR USE IN INITIAL AREA DESIGNATIONS

Exceptional events/Regulatory action Condition Exceptional events deadline schedule d

(A) Initial Notification deadline for data years If state and tribal initial designa- then the Initial Notification deadline will be 1, 2 and 3.a. tion recommendations for a the July 1 prior to the recommendation new/revised national ambient deadline. air quality standard are due August through January, (B) Initial Notification deadline for data years If state and tribal recommenda- then the Initial Notification deadline will be 1, 2 and 3.a. tions for a new/revised national the January 1 prior to the recommenda- ambient air quality standard tion deadline. are due February through July, (C) Exceptional events demonstration sub- None ...... no later than the later of November 29, 2016 mittal deadline for data years 1, 2 and 3 a. or the date that state and tribal recommendations are due to the Adminis- trator. (D) Initial Notification and exceptional events None ...... by the last day of the month that is 1 year demonstration submittal deadline for data and 7 months after promulgation of a year 4 b and, where applicable, data year new/revised national ambient air quality 5.c. standard, unless either paragraph (E) or paragraph (F) applies. (E) Initial Notification and exceptional events If the Administrator follows a 3- the deadline is 2 years and 7 months after demonstration submittal deadline for data year designation schedule. promulgation of a new/revised national year 4 b and, where applicable, data year ambient air quality standard. 5.c. (F) Initial Notification and exceptional events If the Administrator notifies the the deadline is 5 months prior to the date demonstration submittal deadline for data state/tribe that it intends to specified for final designations decisions year 4 b and, where applicable, data year complete the initial area des- in such Administrator notification. 5.c. ignations process according to a schedule between 2 and 3 years,. a Where data years 1, 2, and 3 are those years expected to be considered in state and tribal recommendations. b Where data year 4 is the additional year of data that the Administrator may consider when making final area designations for a new/revised national ambient air quality standard under the standard designations schedule. c Where data year 5 is the additional year of data that the Administrator may consider when making final area designations for a new/revised national ambient air quality standard under an extended designations schedule. d The date by which air agencies must certify their ambient air quality monitoring data in AQS is annually on May 1 of the year following the year of data collection as specified in 40 CFR 58.15(a)(2). In some cases, however, air agencies may choose to certify a prior year’s data in advance of May 1 of the following year, particularly if the Administrator has indicated intent to promulgate final designations in the first 8 months of the calendar year. Exceptional events demonstration deadlines for ‘‘early certified’’ data will follow the deadlines for ‘‘year 4’’ and ‘‘year 5’’ data.

(3) Submission of demonstrations. (i) led to the exceedance or violation at Except as provided under paragraph the affected monitor(s); (c)(2)(vi) of this section, a State that (B) A demonstration that the event has flagged data as being due to an ex- affected air quality in such a way that ceptional event and is requesting ex- there exists a clear causal relationship clusion of the affected measurement between the specific event and the data shall, after notice and oppor- monitored exceedance or violation; tunity for public comment, submit a (C) Analyses comparing the claimed demonstration to justify data exclu- event-influenced concentration(s) to sion to the Administrator according to concentrations at the same monitoring the schedule established under para- site at other times to support the re- graph (c)(2)(i)(B). quirement at paragraph (c)(3)(iv)(B) of (ii) [Reserved] this section. The Administrator shall (iii) [Reserved] not require a State to prove a specific (iv) The demonstration to justify percentile point in the distribution of data exclusion must include: data; (A) A narrative conceptual model that describes the event(s) causing the (D) A demonstration that the event exceedance or violation and a discus- was both not reasonably controllable sion of how emissions from the event(s) and not reasonably preventable; and

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(E) A demonstration that the event to this part and designated in accord- was a human activity that is unlikely ance with part 53 of this chapter or an to recur at a particular location or was equivalent method designated in ac- a natural event. cordance with part 53 of this chapter. (v) With the submission of the dem- (b) The 8-hour primary and secondary onstration containing the elements in O3 ambient air quality standards are paragraph (c)(3)(iv) of this section, the met at an ambient air quality moni- State must: toring site when the 3-year average of (A) Document that the State fol- the annual fourth-highest daily max- lowed the public comment process and imum 8-hour average O3 concentration that the comment period was open for is less than or equal to 0.075 ppm, as de- a minimum of 30 days, which could be termined in accordance with appendix concurrent with the beginning of the P to this part. Administrator’s initial review period of [73 FR 16511, Mar. 27, 2008] the associated demonstration provided the State can meet all requirements in § 50.16 National primary and sec- this paragraph; ondary ambient air quality stand- (B) Submit the public comments it ards for lead. received along with its demonstration (a) The national primary and sec- to the Administrator; and ondary ambient air quality standards (C) Address in the submission to the for lead (Pb) and its compounds are 0.15 Administrator those comments dis- micrograms per cubic meter, arith- puting or contradicting factual evi- metic mean concentration over a 3- dence provided in the demonstration. month period, measured in the ambient (vi) Where the State has submitted a air as Pb either by: demonstration according to the re- (1) A reference method based on ap- quirements of this section after Sep- pendix G of this part and designated in tember 30, 2016 and the Administrator accordance with part 53 of this chapter has reviewed such demonstration and or; requested additional evidence to sup- (2) An equivalent method designated port one of the elements in paragraph in accordance with part 53 of this chap- (c)(3)(iv) of this section, the State shall ter. have 12 months from the date of the (b) The national primary and sec- Administrator’s request to submit such ondary ambient air quality standards evidence. At the conclusion of this for Pb are met when the maximum time, if the State has not submitted arithmetic 3-month mean concentra- the requested additional evidence, the tion for a 3-year period, as determined Administrator will notify the State in in accordance with appendix R of this writing that it considers the dem- part, is less than or equal to 0.15 onstration to be inactive and will not micrograms per cubic meter. pursue additional review of the demonstration. After a 12-month period of [73 FR 67052, Nov. 12, 2008] inactivity by the State, if a State de- § 50.17 National primary ambient air sires to pursue the inactive demonstra- quality standards for sulfur oxides tion, it must reinitiate its request to (sulfur dioxide). exclude associated data by following (a) The level of the national primary the process beginning with paragraph 1-hour annual ambient air quality (c)(2)(i) of this section. standard for oxides of sulfur is 75 parts [81 FR 68277, Oct. 3, 2016] per billion (ppb, which is 1 part in 1,000,000,000), measured in the ambient § 50.15 National primary and sec- air as sulfur dioxide (SO2). ondary ambient air quality stand- (b) The 1-hour primary standard is ards for ozone. met at an ambient air quality moni- (a) The level of the national 8-hour toring site when the three-year average primary and secondary ambient air of the annual (99th percentile) of the quality standards for ozone (O3) is 0.075 daily maximum 1-hour average con- parts per million (ppm), daily max- centrations is less than or equal to 75 imum 8-hour average, measured by a ppb, as determined in accordance with reference method based on appendix D appendix T of this part.

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(c) The level of the standard shall be accordance with appendix U to this measured by a reference method based part. on appendix A or A–1 of this part, or by (c) The level of the national sec- a Federal Equivalent Method (FEM) ondary ambient air quality standard designated in accordance with part 53 for O3 is 0.070 ppm, daily maximum 8- of this chapter. hour average, measured by a reference [75 FR 35592, June 22, 2010] method based on appendix D to this part and designated in accordance with § 50.18 National primary ambient air part 53 of this chapter or an equivalent quality standards for PM2.5. method designated in accordance with (a) The national primary ambient air part 53 of this chapter. (d) The 8-hour secondary O ambient quality standards for PM2.5 are 12.0 3 micrograms per cubic meter (μg/m3) an- air quality standard is met at an ambi- nual arithmetic mean concentration ent air quality monitoring site when and 35 μg/m3 24-hour average concentra- the 3-year average of the annual tion measured in the ambient air as fourth-highest daily maximum 8-hour PM2.5 (particles with an aerodynamic average O3 concentration is less than diameter less than or equal to a nomi- or equal to 0.070 ppm, as determined in nal 2.5 micrometers) by either: accordance with appendix U to this (1) A reference method based on ap- part. pendix L to this part and designated in [80 FR 65452, Oct. 26, 2015] accordance with part 53 of this chapter; or APPENDIX A–1 TO PART 50—REFERENCE (2) An equivalent method designated MEASUREMENT PRINCIPLE AND CALI- in accordance with part 53 of this chap- BRATION PROCEDURE FOR THE MEAS- ter. UREMENT OF SULFUR DIOXIDE IN THE (b) The primary annual PM2.5 stand- ATMOSPHERE (ULTRAVIOLET FLUO- ard is met when the annual arithmetic RESCENCE METHOD) mean concentration, as determined in accordance with appendix N of this 1.0 APPLICABILITY μ 3 part, is less than or equal to 12.0 g/m . 1.1 This ultraviolet fluorescence (UVF) (c) The primary 24-hour PM2.5 stand- method provides a measurement of the con- ard is met when the 98th percentile 24- centration of sulfur dioxide (SO2) in ambient hour concentration, as determined in air for determining compliance with the na- accordance with appendix N of this tional primary and secondary ambient air part, is less than or equal to 35 μg/m3. quality standards for sulfur oxides (sulfur dioxide) as specified in § 50.4, § 50.5, and § 50.17 [78 FR 3277, Jan. 15, 2013] of this chapter. The method is applicable to the measurement of ambient SO2 concentra- § 50.19 National primary and sections using continuous (real-time) sampling. ondary ambient air quality stand- Additional quality assurance procedures and ards for ozone. guidance are provided in part 58, appendix A, (a) The level of the national 8-hour of this chapter and in Reference 3. primary ambient air quality standard 2.0 PRINCIPLE for ozone (O3) is 0.070 parts per million (ppm), daily maximum 8-hour average, 2.1 This reference method is based on auto- measured by a reference method based mated measurement of the intensity of the characteristic fluorescence released by SO2 on appendix D to this part and des- in an ambient air sample contained in a ignated in accordance with part 53 of measurement cell of an analyzer when the this chapter or an equivalent method air sample is irradiated by ultraviolet (UV) designated in accordance with part 53 light passed through the cell. The fluores- of this chapter. cent light released by the SO2 is also in the ultraviolet region, but at longer wavelengths (b) The 8-hour primary O3 ambient air quality standard is met at an ambi- than the excitation light. Typically, opti- ent air quality monitoring site when mum instrumental measurement of SO2 concentrations is obtained with an excitation the 3-year average of the annual wavelength in a band between approximately fourth-highest daily maximum 8-hour 190 to 230 nm, and measurement of the SO2 average O3 concentration is less than fluorescence in a broad band around 320 nm, or equal to 0.070 ppm, as determined in but these wavelengths are not necessarily

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constraints of this reference method. Gen- 4.0 CALIBRATION PROCEDURE erally, the measurement system (analyzer) Atmospheres containing accurately known also requires means to reduce the effects of concentrations of sulfur dioxide are prepared aromatic hydrocarbon species, and possibly using a compressed gas transfer standard di- other compounds, in the air sample to con- luted with accurately metered clean air flow trol measurement interferences from these rates. compounds, which may be present in the am- 4.1 Apparatus: Figure 2 shows a typical ge- bient air. References 1 and 2 describe UVF neric system suitable for diluting a SO2 gas method. cylinder concentration standard with clean 2.2 The measurement system is calibrated air through a mixing chamber to produce the by referencing the instrumental fluorescence desired calibration concentration standards. measurements to SO2 standard concentra- A valve may be used to conveniently divert tions traceable to a National Institute of the SO2 from the sampling manifold to pro- Standards and Technology (NIST) primary vide clean zero air at the output manifold for zero adjustment. The system may be made standard for SO2 (see Calibration Procedure below). up using common laboratory components, or 2.3 An analyzer implementing this meas- it may be a commercially manufactured sys- urement principle is shown schematically in tem. In either case, the principle components are as follows: Figure 1. Designs should include a measure- 4.1.1 SO standard gas flow control and ment cell, a UV light source of appropriate 2 measurement devices (or a combined device) wavelength, a UV detector system with ap- capable of regulating and maintaining the propriate wave length sensitivity, a pump standard gas flow rate constant to within ±2 and flow control system for sampling the percent and measuring the gas flow rate ac- ambient air and moving it into the measure- curate to within ±2, properly calibrated to a ment cell, sample air conditioning compo- NIST-traceable standard. nents as necessary to minimize measurement 4.1.2 Dilution air flow control and measure- interferences, suitable control and measurement devices (or a combined device) capable ment processing capability, and other appa- of regulating and maintaining the air flow ratus as may be necessary. The analyzer rate constant to within ±2 percent and meas- must be designed to provide accurate, re- uring the air flow rate accurate to within ±2, peatable, and continuous measurements of properly calibrated to a NIST-traceable SO2 concentrations in ambient air, with standard. measurement performance as specified in 4.1.3 Mixing chamber, of an inert material Subpart B of Part 53 of this chapter. such as glass and of proper design to provide 2.4 Sampling considerations: The use of a thorough mixing of pollutant gas and diluent particle filter on the sample inlet line of a air streams. UVF SO2 analyzer is required to prevent in- 4.1.4 Sampling manifold, constructed of terference, malfunction, or damage due to glass, polytetrafluoroethylene (PTFE Tef- particles in the sampled air. lon TM), or other suitably inert material and of sufficient diameter to insure a minimum 3.0 INTERFERENCES pressure drop at the analyzer connection, with a vent designed to insure a minimum 3.1 The effects of the principal potential over-pressure (relative to ambient air pres- interferences may need to be mitigated to sure) at the analyzer connection and to pre- meet the interference equivalent require- vent ambient air from entering the manifold. ments of part 53 of this chapter. Aromatic 4.1.5 Standard gas pressure regulator, of hydrocarbons such as xylene and naph- clean stainless steel with a stainless steel di- thalene can fluoresce and act as strong posi- aphragm, suitable for use with a high pres- tive interferences. These gases can be re- sure SO2 gas cylinder. moved by using a permeation type scrubber (hydrocarbon ‘‘kicker’’). Nitrogen oxide (NO) 4.1.6 Reagents in high concentrations can also fluoresce and 4.1.6.1 SO gas concentration transfer cause positive interference. Optical filtering 2 standard having a certified SO2 concentra- can be employed to improve the rejection of tion of not less than 10 ppm, in N2, traceable interference from high NO. Ozone can absorb to a NIST Standard Reference Material UV light given off by the SO2 molecule and (SRM). cause a measurement offset. This effect can 4.1.6.2 Clean zero air, free of contaminants be reduced by minimizing the measurement that could cause a detectable response or a path length between the area where SO2 fluo- change in sensitivity of the analyzer. Since rescence occurs and the photomultiplier tube ultraviolet fluorescence analyzers may be detector (e.g., <5 cm). A hydrocarbon scrub- sensitive to aromatic hydrocarbons and O2- ber, optical filter and appropriate distancing to-N2 ratios, it is important that the clean of the measurement path length may be re- zero air contains less than 0.1 ppm aromatic quired method components to reduce inter- hydrocarbons and O2 and N2 percentages ap- ference. proximately the same as in ambient air. A

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procedure for generating zero air is given in 4.2.2 Purge the SO2 standard gas lines and reference 1. pressure regulator to remove any residual air. 4.2 Procedure 4.2.3 Ensure that there are no leaks in the system and that the flow measuring devices 4.2.1 Obtain a suitable calibration appa- are properly and accurately calibrated under ratus, such as the one shown schematically the conditions of use against a reliable vol- in Figure 1, and verify that all materials in ume or flow rate standard such as a soap- contact with the pollutant are of glass, Tef- bubble meter or a wet-test meter traceable lon TM, or other suitably inert material and to a NIST standard. All volumetric flow completely clean. rates should be corrected to the same reference temperature and pressure by using the formula below:

298. 15P FF= m cm ()+ 760Tm 273. 15

Where: sponse is obtained, then make the proper

Fc = corrected flow rate (L/min at 25 °C and zero adjustment. 760 mm Hg), 4.2.5 Adjust the airflow to provide an SO2 Fm = measured flow rate, (at temperature, Tm concentration of approximately 80 percent of and pressure, Pm), the upper measurement range limit of the Pm = measured pressure in mm Hg, (abso- SO2 instrument and verify that the total air lute), and flow of the calibration system exceeds the Tm = measured temperature in degrees Cel- demand of all analyzers sampling from the sius. output manifold (with the excess vented).

4.2.4 Allow the SO2 analyzer under calibra- 4.2.6 Calculate the actual SO2 calibration tion to sample zero air until a stable re- concentration standard as:

F = p []SO2 C Ft

Where: or X-axis). Compute the linear regression slope and intercept and plot the regression C = the concentration of the SO2 gas standard line to verify that no point deviates from Fp = the flow rate of SO2 gas standard this line by more than 2 percent of the max- Ft = the total air flow rate of pollutant and imum concentration tested. diluent gases NOTE: Additional information on calibration and pollutant standards is provided in 4.2.7 When the analyzer response has sta- Section 12 of Reference 3. bilized, adjust the SO2 span control to obtain the desired response equivalent to the cal- 5.0 FREQUENCY OF CALIBRATION culated standard concentration. If substantial adjustment of the span control is need- The frequency of calibration, as well as the ed, it may be necessary to re-check the zero number of points necessary to establish the and span adjustments by repeating steps 4.2.4 calibration curve and the frequency of other through 4.2.7 until no further adjustments performance checking will vary by analyzer; are needed. however, the minimum frequency, accept- 4.2.8 Adjust the flow rate(s) to provide sev- ance criteria, and subsequent actions are eral other SO2 calibration concentrations specified in Reference 3, Appendix D: Meas- over the analyzer’s measurement range. At urement Quality Objectives and Validation least five different concentrations evenly Template for SO (page 9 of 30). The user’s spaced throughout the analyzer’s range are 2 quality control program should provide suggested. guidelines for initial establishment of these 4.2.9 Plot the analyzer response (vertical or variables and for subsequent alteration as Y-axis) versus SO2 concentration (horizontal 22

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operational experience is accumulated. Man- Based on a Fluorescence Method’’, Jour- ufacturers of analyzers should include in nal of the Air Control Pollution Association, their instruction/operation manuals infor- vol. 23, p. 514–516 (1973). mation and guidance as to these variables 2. F. P. Schwarz, H. Okabe, and J. K. Whit- and on other matters of operation, calibra- taker, ‘‘Fluorescence Detection of Sulfur tion, routine maintenance, and quality con- Dioxide in Air at the Parts per Billion trol. Level,’’ Analytical Chemistry, vol. 46, pp. 1024–1028 (1974). 6.0 REFERENCES FOR SO METHOD 2 3. QA Handbook for Air Pollution Measurement 1. H. Okabe, P. L. Splitstone, and J. J. Ball, Systems—Volume II. Ambient Air Quality ‘‘Ambient and Source SO2 Detector Monitoring Programs. U.S.

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[75 FR 35593, June 22, 2010] TCM solution to form a stable monochlorosulfonatomercurate(3) complex. APPENDIX A–2 TO PART 50—REFERENCE Once formed, this complex resists air oxida- METHOD FOR THE DETERMINATION OF tion(4, 5) and is stable in the presence of SULFUR DIOXIDE IN THE ATMOS- strong oxidants such as ozone and oxides of PHERE (PARAROSANILINE METHOD) nitrogen. During subsequent analysis, the complex is reacted with acid-bleached 1.0 Applicability. pararosaniline dye and formaldehyde to form 1.1 This method provides a measurement of an intensely colored pararosaniline methyl the concentration of sulfur dioxide (SO2) in sulfonic acid. ambient air for determining compliance with (6) The optical density of this species is de- the primary and secondary national ambient termined spectrophotometrically at 548 nm air quality standards for sulfur oxides (sulfur and is directly related to the amount of SO2 dioxide) as specified in § 50.4 and § 50.5 of this collected. The total volume of air sampled, chapter. The method is applicable to the corrected to EPA reference conditions (25 °C, measurement of ambient SO2 concentrations 760 mm Hg [101 kPa]), is determined from the using sampling periods ranging from 30 min- measured flow rate and the sampling time. utes to 24 hours. Additional quality assur- The concentration of SO in the ambient air ance procedures and guidance are provided in 2 is computed and expressed in micrograms per part 58, appendixes A and B, of this chapter μ 3 and in references 1 and 2. standard cubic meter ( g/std m ). 2.0 Principle. 3.0 Range. 2.1 A measured volume of air is bubbled 3.1 The lower limit of detection of SO2 in 10 μ through a solution of 0.04 M potassium mL of TCM is 0.75 g (based on collaborative tetrachloromercurate (TCM). The SO2 present in the air stream reacts with the

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test results).(7) This represents a concentra- 6.0 Stability. 3 tion of 25 μg SO2/m (0.01 ppm) in an air sam- 6.1 By sampling in a controlled tempera- ple of 30 standard liters (short-term sam- ture environment of 15° ±10 °C, greater than 3 pling) and a concentration of 13 μg SO2/m 98.9 percent of the SO2–TCM complex is re- (0.005 ppm) in an air sample of 288 standard tained at the completion of sampling. (15) If liters (long-term sampling). Concentrations kept at 5 °C following the completion of sam- 3 less than 25 μg SO2/m can be measured by pling, the collected sample has been found to sampling larger volumes of ambient air; be stable for up to 30 days. (10) The presence however, the collection efficiency falls off of EDTA enhances the stability of SO2 in the rapidly at low concentrations.(8, 9) Beer’s TCM solution and the rate of decay is inde- law is adhered to up to 34 μg of SO2 in 25 mL pendent of the concentration of SO2. (16) of final solution. This upper limit of the 7.0 Apparatus. analysis range represents a concentration of 7.1 Sampling. 3 7.1.1 Sample probe: A sample probe meeting 1,130 μg SO2/m (0.43 ppm) in an air sample of 30 standard liters and a concentration of 590 the requirements of section 7 of 40 CFR part ® 3 58, appendix E (Teflon or glass with resi- μg SO2/m (0.23 ppm) in an air sample of 288 standard liters. Higher concentrations can be dence time less than 20 sec.) is used to trans- measured by collecting a smaller volume of port ambient air to the sampling train loca- air, by increasing the volume of absorbing tion. The end of the probe should be designed solution, or by diluting a suitable portion of or oriented to preclude the sampling of pre- the collected sample with absorbing solution cipitation, large particles, etc. A suitable ® prior to analysis. probe can be constructed from Teflon tub- 4.0 Interferences. ing connected to an inverted funnel. 4.1 The effects of the principal potential 7.1.2 Absorber—short-term sampling: An all interferences have been minimized or elimi- glass midget impinger having a solution ca- ± nated in the following manner: Nitrogen ox- pacity of 30 mL and a stem clearance of 4 1 ides by the addition of sulfamic acid,(10, 11) mm from the bottom of the vessel is used for sampling periods of 30 minutes and 1 hour (or heavy metals by the addition of ethylene- any period considerably less than 24 hours). diamine tetracetic acid disodium salt Such an impinger is shown in Figure 1. These (EDTA) and phosphoric acid,(10, 12) and impingers are commercially available from ozone by time delay.(10) Up to 60 μg Fe (III), distributors such as Ace Glass, Incorporated. 22 μg V (V), 10 μg Cu (II), 10 μg Mn (II), and 7.1.3 Absorber—24-hour sampling: A poly- 10 μg Cr (III) in 10 mL absorbing reagent can propylene tube 32 mm in diameter and 164 be tolerated in the procedure.(10) No signifi- mm long (available from Bel Art Products, cant interference has been encountered with Pequammock, NJ) is used as the absorber. μ .( ) 2.3 g NH3 13 The cap of the absorber must be a poly- 5.0 Precision and Accuracy. propylene cap with two ports (rubber stop- 5.1 The precision of the analysis is 4.6 per- pers are unacceptable because the absorbing cent (at the 95 percent confidence level) reagent can react with the stopper to yield based on the analysis of standard sulfite erroneously high SO2 concentrations). A samples.(10) glass impinger stem, 6 mm in diameter and 5.2 Collaborative test results (14) based on 158 mm long, is inserted into one port of the the analysis of synthetic test atmospheres absorber cap. The tip of the stem is tapered (SO2 in scrubbed air) using the 24-hour sam- to a small diameter orifice (0.4 ±0.1 mm) such pling procedure and the sulfite-TCM calibra- that a No. 79 jeweler’s drill bit will pass tion procedure show that: through the opening but a No. 78 drill bit • The replication error varies linearly with will not. Clearance from the bottom of the concentration from ±2.5 μg/m3 at con- absorber to the tip of the stem must be 6 ±2 centrations of 100 μg/m3 to ±7 μg/m3 at con- mm. Glass stems can be fabricated by any centrations of 400 μg/m3. reputable glass blower or can be obtained • The day-to-day variability within an indi- from a scientific supply firm. Upon receipt, vidual laboratory (repeatability) varies the orifice test should be performed to verify linearly with concentration from ±18.1 μg/ the orifice size. The 50 mL volume level m3 at levels of 100 μg/m3 to ±50.9 μg/m3 at should be permanently marked on the ab- levels of 400 μg/m3. sorber. The assembled absorber is shown in • The day-to-day variability between two or Figure 2. more laboratories (reproducibility) varies 7.1.4 Moisture trap: A moisture trap con- linearly with concentration from ±36.9 μg/ structed of a glass trap as shown in Figure 1 m3 at levels of 100 μg/m3 to ±103.5 μ g/m3 at or a polypropylene tube as shown in Figure levels of 400 μg/m3. 2 is placed between the absorber tube and • The method has a concentration-dependent flow control device to prevent entrained liq- bias, which becomes significant at the 95 uid from reaching the flow control device. percent confidence level at the high con- The tube is packed with indicating silica gel centration level. Observed values tend to as shown in Figure 2. Glass wool may be sub- be lower than the expected SO2 concentra- stituted for silica gel when collecting short- tion level. term samples (1 hour or less) as shown in

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Figure 1, or for long term (24 hour) samples during use. Heat-shrink material as shown in if flow changes are not routinely encoun- Figure 2 can be used to retain the cap seals tered. if there is any chance of the caps coming 7.1.5 Cap seals: The absorber and moisture loose during sampling, shipment, or storage. trap caps must seal securely to prevent leaks

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7.1.6 Flow control device: A calibrated ro- meter is also recommended to determine the tameter and needle valve combination capa- duration of the sampling period. ble of maintaining and measuring air flow to 7.2 Shipping. within ±2 percent is suitable for short-term 7.2.1 Shipping container: A shipping con- sampling but may not be used for long-term tainer that can maintain a temperature of 5° sampling. A critical orifice can be used for ±5 °C is used for transporting the sample regulating flow rate for both long-term and from the collection site to the analytical short-term sampling. A 22-gauge hypodermic laboratory. Ice coolers or refrigerated ship- needle 25 mm long may be used as a critical ping containers have been found to be satis- orifice to yield a flow rate of approximately factory. The use of eutectic cold packs in- 1 L/min for a 30-minute sampling period. stead of ice will give a more stable tempera- When sampling for 1 hour, a 23-gauge hypo- ture control. Such equipment is available dermic needle 16 mm in length will provide a from Cole-Parmer Company, 7425 North Oak flow rate of approximately 0.5 L/min. Flow Park Avenue, Chicago, IL 60648. control for a 24-hour sample may be provided 7.3 Analysis. by a 27-gauge hypodermic needle critical orifice that is 9.5 mm in length. The flow rate 7.3.1 Spectrophotometer: A spectrophotom- should be in the range of 0.18 to 0.22 L/min. eter suitable for measurement of 7.1.7 Flow measurement device: Device cali- absorbances at 548 nm with an effective spec- brated as specified in 9.4.1 and used to meas- tral bandwidth of less than 15 nm is required ure sample flow rate at the monitoring site. for analysis. If the spectrophotometer reads 7.1.8 Membrane particle filter: A membrane out in transmittance, convert to absorbance filter of 0.8 to 2 μm porosity is used to pro- as follows: tect the flow controller from particles dur- = ing long-term sampling. This item is op- ATlog10 (11 / ) ( ) tional for short-term sampling. where: 7.1.9 Vacuum pump: A vacuum pump equipped with a vacuum gauge and capable A = absorbance, and of maintaining at least 70 kPa (0.7 atm) vac- T = transmittance (0<≥T<1). uum differential across the flow control de- A standard wavelength filter traceable to vice at the specified flow rate is required for the National Bureau of Standards is used to sampling. verify the wavelength calibration according 7.1.10 Temperature control device: The tem- to the procedure enclosed with the filter. perature of the absorbing solution during The wavelength calibration must be verified ° ± ° sampling must be maintained at 15 10 C. upon initial receipt of the instrument and As soon as possible following sampling and after each 160 hours of normal use or every 6 until analysis, the temperature of the col- months, whichever occurs first. lected sample must be maintained at 5° ±5 °C. 7.3.2 Spectrophotometer cells: A set of 1-cm Where an extended period of time may elapse path length cells suitable for use in the visi- before the collected sample can be moved to ble region is used during analysis. If the cells the lower storage temperature, a collection are unmatched, a matching correction factor temperature near the lower limit of the 15 must be determined according to Section ±10 °C range should be used to minimize 10.1. losses during this period. Thermoelectric coolers specifically designed for this tem- 7.3.3 Temperature control device: The color perature control are available commercially development step during analysis must be and normally operate in the range of 5° to 15 conducted in an environment that is in the ° ° ± ° °C. Small refrigerators can be modified to range of 20 to 30 C and controlled to 1 C. provide the required temperature control; Both calibration and sample analysis must however, inlet lines must be insulated from be performed under identical conditions ° the lower temperatures to prevent condensa- (within 1 C). Adequate temperature control tion when sampling under humid conditions. may be obtained by means of constant tem- A small heating pad may be necessary when perature baths, water baths with manual sampling at low temperatures (<7 °C) to pre- temperature control, or temperature con- vent the absorbing solution from freez- trolled rooms. ing.(17) 7.3.4 Glassware: Class A volumetric glass- 7.1.11 Sampling train container: The absorb- ware of various capacities is required for pre- ing solution must be shielded from light dur- paring and standardizing reagents and standing and after sampling. Most commercially ards and for dispensing solutions during available sampler trains are enclosed in a analysis. These included pipets, volumetric light-proof box. flasks, and burets. 7.1.12 Timer: A timer is recommended to 7.3.5 TCM waste receptacle: A glass waste reinitiate and to stop sampling for the 24-hour ceptacle is required for the storage of spent period. The timer is not a required piece of TCM solution. This vessel should be equipment; however, without the timer a stoppered and stored in a hood at all times. technician would be required to start and 8.0 Reagents. stop the sampling manually. An elapsed time 8.1 Sampling.

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8.1.1 Distilled water: Purity of distilled 8.2.7 Potassium iodate solution: Accurately water must be verified by the following pro- weigh to the nearest 0.1 mg, 1.5 g (record cedure:(18) weight) of primary standard grade potassium • Place 0.20 mL of potassium permanganate iodate that has been previously dried at 180 solution (0.316 g/L), 500 mL of distilled °C for at least 3 hours and cooled in a water, and 1mL of concentrated sulfuric dessicator. Dissolve, then dilute to volume in acid in a chemically resistant glass bottle, a 500-mL volumetric flask with distilled stopper the bottle, and allow to stand. water. • If the permanganate color (pink) does not 8.2.8 Stock sodium thiosulfate solution (0.1 N): disappear completely after a period of 1 Prepare a stock solution by dissolving 25 g hour at room temperature, the water is sodium thiosulfate (Na2 S2 O3 ÷ 5H2 O) in 1,000 suitable for use. mL freshly boiled, cooled, distilled water and • If the permanganate color does disappear, adding 0.1 g sodium carbonate to the solu- the water can be purified by redistilling tion. Allow the solution to stand at least 1 with one crystal each of barium hydroxide day before standardizing. To standardize, ac- and potassium permanganate in an all curately pipet 50 mL of potassium iodate so- glass still. lution (Section 8.2.7) into a 500-mL iodine 8.1.2 Absorbing reagent (0.04 M potassium flask and add 2.0 g of potassium iodide and 10 tetrachloromercurate [TCM]): Dissolve 10.86 mL of 1 N HCl. Stopper the flask and allow g mercuric chloride, 0.066 g EDTA, and 6.0 g to stand for 5 minutes. Titrate the solution potassium chloride in distilled water and di- with stock sodium thiosulfate solution (Sec- lute to volume with distilled water in a 1,000- tion 8.2.8) to a pale yellow color. Add 5 mL of mL volumetric flask. (Caution: Mercuric starch solution (Section 8.2.5) and titrate chloride is highly poisonous. If spilled on until the blue color just disappears. Cal- skin, flush with water immediately.) The pH culate the normality (Ns) of the stock so- of this reagent should be between 3.0 and 5.0 dium thiosulfate solution as follows: (10) Check the pH of the absorbing solution by using pH indicating paper or a pH meter. =×W If the pH of the solution is not between 3.0 NS 280.() 2 and 5.0, dispose of the solution according to M one of the disposal techniques described in where: Section 13.0. The absorbing reagent is nor- M = volume of thiosulfate required in mL, mally stable for 6 months. If a precipitate and forms, dispose of the reagent according to W = weight of potassium iodate in g (re- one of the procedures described in Section corded weight in Section 8.2.7). 13.0. 8.2 Analysis. 103 ().()conversionof g to mg× 0 1 fraction iodate used 280. = 8.2.1 Sulfamic acid (0.6%): Dissolve 0.6 g sul- 35.( 67 equivalent weight of potassium iodate ) famic acid in 100 mL distilled water. Perpare 8.2.9 Working sodium thiosulfate titrant (0.01 fresh daily. N): Accurately pipet 100 mL of stock sodium 8.2.2 Formaldehyde (0.2%): Dilute 5 mL thiosulfate solution (Section 8.2.8) into a formaldehyde solution (36 to 38 percent) to 1,000-mL volumetric flask and dilute to vol- 1,000 mL with distilled water. Prepare fresh ume with freshly boiled, cooled, distilled daily. water. Calculate the normality of the work- 8.2.3 Stock iodine solution (0.1 N): Place 12.7 ing sodium thiosulfate titrant (NT) as fol- g resublimed iodine in a 250-mL beaker and lows: add 40 g potassium iodide and 25 mL water. Stir until dissolved, transfer to a 1,000 mL NN=×0.() 100 3 volumetric flask and dilute to volume with TS distilled water. 8.2.10 Standardized sulfite solution for the 8.2.4 Iodine solution (0.01 N): Prepare ap- preparation of working sulfite-TCM solution: proximately 0.01 N iodine solution by dilut- Dissolve 0.30 g sodium metabisulfite (Na2 S2 ing 50 mL of stock iodine solution (Section O5) or 0.40 g sodium sulfite (Na2 SO3) in 500 8.2.3) to 500 mL with distilled water. mL of recently boiled, cooled, distilled 8.2.5 Starch indicator solution: Triturate 0.4 water. (Sulfite solution is unstable; it is g soluble starch and 0.002 g mercuric iodide therefore important to use water of the high- (preservative) with enough distilled water to est purity to minimize this instability.) This form a paste. Add the paste slowly to 200 mL solution contains the equivalent of 320 to 400 of boiling distilled water and continue boil- μg SO2/mL. The actual concentration of the ing until clear. Cool and transfer the solu- solution is determined by adding excess io- tion to a glass stopperd bottle. dine and back-titrating with standard so- 8.2.6 1 N hydrochloric acid: Slowly and while dium thiosulfate solution. To back-titrate, stirring, add 86 mL of concentrated hydro- pipet 50 mL of the 0.01 N iodine solution chloric acid to 500 mL of distilled water. (Section 8.2.4) into each of two 500-mL iodine Allow to cool and dilute to 1,000 mL with dis- flasks (A and B). To flask A (blank) add 25 tilled water. mL distilled water, and to flask B (sample)

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pipet 25 mL sulfite solution. Stopper the tinue the titration until the blue color just flasks and allow to stand for 5 minutes. Pre- disappears. pare the working sulfite-TCM solution (Sec- 8.2.11 Working sulfite-TCM solution: Accu- tion 8.2.11) immediately prior to adding the rately pipet 5 mL of the standard sulfite so- iodine solution to the flasks. Using a buret lution (Section 8.2.10) into a 250-mL volu- containing standardized 0.01 N thiosulfate metric flask and dilute to volume with 0.04 titrant (Section 8.2.9), titrate the solution in M TCM. Calculate the concentration of sul- each flask to a pale yellow color. Then add 5 fur dioxide in the working solution as fol- mL starch solution (Section 8.2.5) and con- lows:

()(,)ABN− ()32 000 C()μ gSO/ mL = T × 002.() 4 TCM/ SO22 25

where: percent potassium iodide (KI) solution in a A = volume of thiosulfate titrant required 50-mL separatory funnel and shake thor- for the blank, mL; oughly. If a yellow color appears in the alco- B = volume of thiosulfate titrant required hol phase, redistill the 1-butanol from silver for the sample, mL; oxide and collect the middle fraction or pur- NT = normality of the thiosulfate titrant, chase a new supply of 1-butanol. from equation (3); 2. Weigh 100 mg of pararosaniline hydro- 32,000 = milliequivalent weight of SO2, μg; chloride dye (PRA) in a small beaker. Add 50 25 = volume of standard sulfite solution, mL; mL of the equilibrated acid (drain in acid and from the bottom of the separatory funnel in 0.02 = dilution factor. 1.) to the beaker and let stand for several This solution is stable for 30 days if kept at minutes. Discard the remaining acid phase in 5 °C. (16) If not kept at 5 °C, prepare fresh the separatory funnel. daily. 3. To a 125-mL separatory funnel, add 50 8.2.12 Purified pararosaniline (PRA) stock so- mL of the equilibrated 1-butanol (draw the 1- lution (0.2% nominal): butanol from the top of the separatory fun- 8.2.12.1 Dye specifications— nel in 1.). Transfer the acid solution (from 2.) • The dye must have a maximum absorbance containing the dye to the funnel and shake at a wavelength of 540 nm when assayed in carefully to extract. The violet impurity will a buffered solution of 0.1 M sodium ace- transfer to the organic phase. tate-acetic acid; 4. Transfer the lower aqueous phase into • The absorbance of the reagent blank, another separatory funnel, add 20 mL of which is temperature sensitive (0.015 ab- equilibrated 1-butanol, and extract again. sorbance unit/ °C), must not exceed 0.170 at 5. Repeat the extraction procedure with 22 °C with a 1-cm optical path length when three more 10-mL portions of equilibrated 1- the blank is prepared according to the butanol. specified procedure; 6. After the final extraction, filter the acid • The calibration curve (Section 10.0) must phase through a cotton plug into a 50-mL have a slope equal to 0.030 ±0.002 absorb- volumetric flask and bring to volume with 1 ance unit/μg SO2 with a 1-cm optical path N HCl. This stock reagent will be a yellowish length when the dye is pure and the sulfite red. solution is properly standardized. 7. To check the purity of the PRA, perform 8.2.12.2 Preparation of stock PRA solution—A the assay and adjustment of concentration specially purified (99 to 100 percent pure) so- (Section 8.2.12.4) and prepare a reagent blank lution of pararosaniline, which meets the (Section 11.2); the absorbance of this reagent above specifications, is commercially avail- blank at 540 nm should be less than 0.170 at able in the required 0.20 percent concentra- 22 °C. If the absorbance is greater than 0.170 tion (Harleco Co.). Alternatively, the dye under these conditions, further extractions may be purified, a stock solution prepared, should be performed. and then assayed according to the procedure 8.2.12.4 PRA assay procedure—The con- as described below.(10) centration of pararosaniline hydrochloride 8.2.12.3 Purification procedure for PRA— (PRA) need be assayed only once after purifi- 1. Place 100 mL each of 1-butanol and 1 N cation. It is also recommended that commer- HCl in a large separatory funnel (250-mL) cial solutions of pararosaniline be assayed and allow to equilibrate. Note: Certain when first purchased. The assay procedure is batches of 1-butanol contain oxidants that as follows:(10) create an SO2 demand. Before using, check 1. Prepare 1 M acetate-acetic acid buffer by placing 20 mL of 1-butanol and 5 mL of 20 stock solution with a pH of 4.79 by dissolving

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13.61 g of sodium acetate trihydrate in dis- justed so that linearity is maintained be- tilled water in a 100-mL volumetric flask. tween absorbance and concentration over the Add 5.70 mL of glacial acetic acid and dilute dynamic range. Absorbing reagent volumes to volume with distilled water. less than 10 mL are not recommended. The 2. Pipet 1 mL of the stock PRA solution ob- collection efficiency is above 98 percent for tained from the purification process or from the conditions described; however, the effi- a commercial source into a 100-mL volu- ciency may be substantially lower when metric flask and dilute to volume with dis- sampling concentrations below 25 μgSO2/ tilled water. m3.(8,9) 3. Transfer a 5–mL aliquot of the diluted 9.2 30-Minute and 1-Hour Sampling. Place 10 PRA solution from 2. into a 50–mL volu- mL of TCM absorbing reagent in a midget metric flask. Add 5mL of 1 M acetate-acetic impinger and seal the impinger with a thin acid buffer solution from 1. and dilute the film of silicon stopcock grease (around the mixture to volume with distilled water. Let the mixture stand for 1 hour. ground glass joint). Insert the sealed im- 4. Measure the absorbance of the above so- pinger into the sampling train as shown in lution at 540 nm with a spectrophotometer Figure 1, making sure that all connections against a distilled water reference. Compute between the various components are leak the percentage of nominal concentration of tight. Greaseless ball joint fittings, heat ® ® PRA by shrinkable Teflon tubing, or Teflon tube fittings may be used to attain leakfree con- AK× ditions for portions of the sampling train %()PRA = 5 that come into contact with air containing W SO2. Shield the absorbing reagent from di- where: rect sunlight by covering the impinger with aluminum foil or by enclosing the sampling A = measured absorbance of the final mix- train in a light-proof box. Determine the ture (absorbance units); flow rate according to Section 9.4.2. Collect W = weight in grams of the PRA dye used in the sample at 1 ±0.10 L/min for 30-minute the assay to prepare 50 mL of stock solu- sampling or 0.500 ±0.05 L/min for 1-hour sam- tion (for example, 0.100 g of dye was used pling. Record the exact sampling time in to prepare 50 mL of solution in the puri- minutes, as the sample volume will later be fication procedure; when obtained from determined using the sampling flow rate and commercial sources, use the stated concentration to compute W; for 98% PRA, the sampling time. Record the atmospheric W = .098 g.); and pressure and temperature. K = 21.3 for spectrophotometers having a 9.3 24-Hour Sampling. Place 50 mL of TCM spectral bandwidth of less than 15 nm absorbing solution in a large absorber, close and a path length of 1 cm. the cap, and, if needed, apply the heat shrink material as shown in Figure 3. Verify that 8.2.13 Pararosaniline reagent: To a 250–mL volumetric flask, add 20 mL of stock PRA so- the reagent level is at the 50 mL mark on the lution. Add an additional 0.2 mL of stock so- absorber. Insert the sealed absorber into the lution for each percentage that the stock as- sampling train as shown in Figure 2. At this says below 100 percent. Then add 25 mL of 3 time verify that the absorber temperature is ± ° M phosphoric acid and dilute to volume with controlled to 15 10 C. During sampling, the distilled water. The reagent is stable for at absorber temperature must be controlled to least 9 months. Store away from heat and prevent decomposition of the collected com- light. plex. From the onset of sampling until anal- 9.0 Sampling Procedure. ysis, the absorbing solution must be pro- 9.1 General Considerations. Procedures are tected from direct sunlight. Determine the described for short-term sampling (30-minute flow rate according to Section 9.4.2. Collect and 1-hour) and for long-term sampling (24- the sample for 24 hours from midnight to hour). Different combinations of absorbing midnight at a flow rate of 0.200 ±0.020 L/min. reagent volume, sampling rate, and sampling A start/stop timer is helpful for initiating time can be selected to meet special needs. and stopping sampling and an elapsed time For combinations other than those specifi- meter will be useful for determining the cally described, the conditions must be ad- sampling time.

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9.4 Flow Measurement. For 24-hour samples, the standard flow rate 9.4.1 Calibration: Flow measuring devices is determined at the time the absorber is used for the on-site flow measurements replaced in the sampling train and again when quired in 9.4.2 must be calibrated against a the absorber is removed from the train for reliable flow or volume standard such as an shipment to the analytical laboratory with a NBS traceable bubble flowmeter or cali- calibrated flow measuring device connected brated wet test meter. Rotameters or crit- to the inlet of the sampling train. The flow ical orifices used in the sampling train may rate determination must be made with all be calibrated, if desired, as a quality control components of the sampling system in oper- check, but such calibration shall not replace ation (e.g., the absorber temperature con- the on-site flow measurements required by troller and any sample box heaters must also 9.4.2. In-line rotameters, if they are to be be operating). Equation 6 may be used to de- calibrated, should be calibrated in situ, with termine the standard flow rate when a cali- the appropriate volume of solution in the ab- brated positive displacement meter is used sorber. as the flow measuring device. Other types of 9.4.2 Determination of flow rate at sampling calibrated flow measuring devices may also site: For short-term samples, the standard be used to determine the flow rate at the flow rate is determined at the sampling site sampling site provided that the user applies at the initiation and completion of sample any appropriate corrections to devices for collection with a calibrated flow measuring which output is dependent on temperature or device connected to the inlet of the absorber. pressure.

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−− PRHPbHO()1 29816.. QQ=× 2 × ()6 std act + PTstd() meter 27316..

where: wet volume standards only, i.e., bubble flowmeter or wet test meter; for dry Qstd = flow rate at standard conditions, std L/ min (25 °C and 760 mm Hg); standards, i.e., dry test meter, PH2O = 0); P = standard barometric pressure, in the Qact = flow rate at monitoring site conditions, std L/min; same units as Pb (760 mm Hg or 101 kPa); and Pb = barometric pressure at monitoring site conditions, mm Hg or kPa; Tmeter = temperature of the air in the flow or RH = fractional relative humidity of the air volume standard, °C (e.g., bubble flow- being measured; meter).

PH2O = vapor pressure of water at the tem- If a barometer is not available, the fol- perature of the air in the flow or volume lowing equation may be used to determine standard, in the same units as Pb, (for the barometric pressure:

=− =− Pbb760.() 076 H mm Hg , or P 101 .() 01 H kPa () 7

where: ture is above 10 °C. Store the sample at 5° ±5 ° H = sampling site elevation above sea level C until it is analyzed. in meters. 10.0 Analytical Calibration. 10.1 Spectrophotometer Cell Matching. If un- If the initial flow rate (Qi) differs from the matched spectrophotometer cells are used, flow rate of the critical orifice or the flow an absorbance correction factor must be de- rate indicated by the flowmeter in the sam- termined as follows: pling train (Qc) by more than 5 percent as de- 1. Fill all cells with distilled water and des- termined by equation (8), check for leaks and ignate the one that has the lowest absorb- redetermine Qi. ance at 548 nm as the reference. (This reference cell should be marked as such and QQ− = ic× continually used for this purpose throughout %() Diff 100 8 all future analyses.) Q c 2. Zero the spectrophotometer with the ref- Invalidate the sample if the difference be- erence cell. 3. Determine the absorbance of the remain- tween the initial (Qi) and final (Qf) flow rates is more than 5 percent as determined by ing cells (Ac) in relation to the reference cell equation (9): and record these values for future use. Mark all cells in a manner that adequately identi- QQ− fies the correction. %() Diff = if×100 9 The corrected absorbance during future analyses using each cell is determining as Qf follows: 9.5 Sample Storage and Shipment. Remove =− the impinger or absorber from the sampling AAobs A c ()10 train and stopper immediately. Verify that where: the temperature of the absorber is not above 25 °C. Mark the level of the solution with a A = corrected absorbance, temporary (e.g., grease pencil) mark. If the Aobs = uncorrected absorbance, and sample will not be analyzed within 12 hours Ac = cell correction. of sampling, it must be stored at 5° ±5 °C 10.2 Static Calibration Procedure (Option 1). until analysis. Analysis must occur within 30 Prepare a dilute working sulfite-TCM solu- days. If the sample is transported or shipped tion by diluting 10 mL of the working sul- for a period exceeding 12 hours, it is rec- fite-TCM solution (Section 8.2.11) to 100 mL ommended that thermal coolers using with TCM absorbing reagent. Following the eutectic ice packs, refrigerated shipping con- table below, accurately pipet the indicated tainers, etc., be used for periods up to 48 volumes of the sulfite-TCM solutions into a hours. (17) Measure the temperature of the series of 25-mL volumetric flasks. Add TCM absorber solution when the shipment is re- absorbing reagent as indicated to bring the ceived. Invalidate the sample if the tempera- volume in each flask to 10 mL.

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timer that has been set for 30 minutes. Bring Volume μ of sulfite- Volume Total g all flasks to volume with recently boiled and Sulfite-TCM solution of TCM, SO2 TCM so- cooled distilled water and mix thoroughly. lution mL (approx.* The color must be developed (during the 30- Working ...... 4.0 6.0 28.8 minute period) in a temperature environ- Working ...... 3.0 7.0 21.6 ment in the range of 20° to 30 °C, which is Working ...... 2.0 8.0 14.4 controlled to ±1 °C. For increased precision, Dilute working ...... 10.0 0.0 7.2 a constant temperature bath is rec- Dilute working...... 5.0 5.0 3.6 ommended during the color development 0.0 10.0 0.0 step. After 30 minutes, determine the cor- *Based on working sulfite-TCM solution concentration of 7.2 rected absorbance of each standard at 548 nm μ μ g SO2/mL; the actual total g SO2 must be calculated using against a distilled water reference (Section equation 11 below. 10.1). Denote this absorbance as (A). Distilled To each volumetric flask, add 1 mL 0.6% water is used in the reference cell rather sulfamic acid (Section 8.2.1), accurately than the reagant blank because of the tem- pipet 2 mL 0.2% formaldehyde solution (Sec- perature sensitivity of the reagent blank. tion 8.2.2), then add 5 mL pararosaniline so- Calculate the total micrograms SO2 in each lution (Section 8.2.13). Start a laboratory solution:

μ =×× gSO 2 VTCM// SO22 C TCM SO D ()11

where: a low flow of dry carrier gas to a mixing chamber where it is diluted with SO -free air VTCM/SO2 = volume of sulfite-TCM solution 2 used, mL; to the desired concentration and supplied to CTCM/SO2 = concentration of sulfur dioxide in a vented manifold. A typical system is shown the working sulfite-TCM, μg SO2/mL schematically in Figure 4 and this system (from equation 4); and and other similar systems have been de- D = dilution factor (D = 1 for the working scribed in detail by O’Keeffe and Ortman; (19) sulfite-TCM solution; D = 0.1 for the di- Scaringelli, Frey, and Saltzman, (20) and luted working sulfite-TCM solution). Scaringelli, O’Keeffe, Rosenberg, and Bell. A calibration equation is determined using (21) Permeation devices may be prepared or the method of linear least squares (Section purchased and in both cases must be trace- 12.1). The total micrograms SO2 contained in able either to a National Bureau of Stand- each solution is the x variable, and the cor- ards (NBS) Standard Reference Material rected absorbance (eq. 10) associated with (SRM 1625, SRM 1626, SRM 1627) or to an each solution is the y variable. For the cali- NBS/EPA-approved commercially available bration to be valid, the slope must be in the Certified Reference Material (CRM). CRM’s range of 0.030 ±0.002 absorbance unit/μg SO2, are described in Reference 22, and a list of the intercept as determined by the least CRM sources is available from the address squares method must be equal to or less than shown for Reference 22. A recommended pro- 0.170 absorbance unit when the color is devel- tocol for certifying a permeation device to ° oped at 22 C (add 0.015 to this 0.170 specifica- an NBS SRM or CRM is given in Section 2.0.7 ° ° tion for each C above 22 C) and the correla- of Reference 2. Device permeation rates of 0.2 tion coefficient must be greater than 0.998. If to 0.4 μg/min, inert gas flows of about 50 mL/ these criteria are not met, it may be the re- min, and dilution air flow rates from 1.1 to 15 sult of an impure dye and/or an improperly L/min conveniently yield standard standardized sulfite-TCM solution. A calibra- atmospheres in the range of 25 to 600 μg SO / tion factor (B ) is determined by calculating 2 s 3 the reciprocal of the slope and is subse- m (0.010 to 0.230 ppm). quently used for calculating the sample con- 10.3.1 Calibration Option 2A (30-minute and centration (Section 12.3). 1-hour samples): Generate a series of six 10.3 Dynamic Calibration Procedures (Option standard atmospheres of SO2 (e.g., 0, 50, 100, 2). Atmospheres containing accurately 200, 350, 500, 750 μg/m3) by adjusting the dilu- known concentrations of sulfur dioxide are tion flow rates appropriately. The concentra- prepared using permeation devices. In the tion of SO2 in each atmosphere is calculated systems for generating these atmospheres, as follows: the permeation device emits gaseous SO2 at 3 a known, low, constant rate, provided the P ×10 = r temperature of the device is held constant Ca ()12 (±0.1 °C) and the device has been accurately QQ+ calibrated at the temperature of use. The d p SO2 permeating from the device is carried by where: 34

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Ca = concentration of SO2 at standard condi- Qd = flow rate of dilution air, std L/min; and 3 tions, μg/m ; Qp = flow rate of carrier gas across perme- Pr = permeation rate, μg/min; ation device, std L/min.

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Be sure that the total flow rate of the VC× standard exceeds the flow demand of the t = b s ()14 − sample train, with the excess flow vented at ××3 atmospheric pressure. Sample each atmos- CQas10 phere using similar apparatus as shown in where: Figure 1 and under the same conditions as t = sampling time, min; field sampling (i.e., use same absorbing rea- Vb = volume of absorbing solution used for gent volume and sample same volume of air sampling (50 mL); at an equivalent flow rate). Due to the Cs = desired concentration of SO2 in the ab- length of the sampling periods required, this sorbing solution, μg/mL; method is not recommended for 24-hour sam- Ca = concentration of the standard atmos- pling. At the completion of sampling, quan- phere calculated according to equation titatively transfer the contents of each im- 12, μg/m3; and pinger to one of a series of 25-mL volumetric Qs = sampling flow rate, std L/min. flasks (if 10 mL of absorbing solution was At the completion of sampling, bring the used) using small amounts of distilled water absorber solutions to original volume with for rinse (<5mL). If >10 mL of absorbing solu- distilled water. Pipet a 10-mL portion from tion was used, bring the absorber solution in each absorber into one of a series of 25-mL each impinger to orginal volume with dis- volumetric flasks. If the color development

tilled H2 O and pipet 10-mL portions from steps are not to be started within 12 hours of each impinger into a series of 25-mL volu- sampling, store the solutions at 5° ±5 °C. Add metric flasks. If the color development steps the remaining reagents for color develop- are not to be started within 12 hours of sam- ment in the same manner as in Section 10.2 pling, store the solutions at 5° ±5 °C. Cal- for static solutions. Calculate the total μg SO2 in each standard as follows: culate the total micrograms SO2 in each solution as follows: − ××××3 CQtVas a10 −3 μgSO = ()15 CQtV××××10 2 μ = as a gSO2 ()13 V V b b where: where: Va = volume of absorbing solution used for Ca = concentration of SO2 in the standard at- color development (10 mL). mosphere, μg/m3; All other parameters are defined in equation

Os = sampling flow rate, std L/min; 14. t = sampling time, min; Calculate a calibration equation and a

Va = volume of absorbing solution used for calibration factor (Bt) according to Section color development (10 mL); and 10.2 adhering to all the specified criteria. 11.0 Sample Preparation and Analysis. Vb = volume of absorbing solution used for sampling, mL. 11.1 Sample Preparation. Remove the samples from the shipping container. If the ship- Add the remaining reagents for color de- ment period exceeded 12 hours from the com- velopment in the same manner as in Section pletion of sampling, verify that the tempera- 10.2 for static solutions. Calculate a calibra- ture is below 10 °C. Also, compare the solution equation and a calibration factor (Bg) tion level to the temporary level mark on according to Section 10.2, adhering to all the the absorber. If either the temperature is specified criteria. above 10 °C or there was significant loss 10.3.2 Calibration Option 2B (24-hour sam- (more than 10 mL) of the sample during ship- ples): Generate a standard atmosphere con- ping, make an appropriate notation in the 3 taining approximately 1,050 μg SO2/m and record and invalidate the sample. Prepare calculate the exact concentration according the samples for analysis as follows: to equation 12. Set up a series of six absorb- 1. For 30-minute or 1-hour samples: Quan- ers according to Figure 2 and connect to a titatively transfer the entire 10 mL amount common manifold for sampling the standard of absorbing solution to a 25-mL volumetric atmosphere. Be sure that the total flow rate flask and rinse with a small amount (<5 mL) of the standard exceeds the flow demand at of distilled water. the sample manifold, with the excess flow 2. For 24-hour samples: If the volume of the sample is less than the original 50-mL vol- vented at atmospheric pressure. The absorb- ume (permanent mark on the absorber), ad- ers are then allowed to sample the atmos- just the volume back to the original volume phere for varying time periods to yield solu- with distilled water to compensate for water tions containing 0, 0.2, 0.6, 1.0, 1.4, 1.8, and 2.2 lost to evaporation during sampling. If the μ g SO2/mL solution. The sampling times re- final volume is greater than the original vol- quired to attain these solution concentra- ume, the volume must be measured using a tions are calculated as follows: graduated cylinder. To analyze, pipet 10 mL

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of the solution into a 25-mL volumetric is used to calculate a calibration equation in flask. the form of: 11.2 Sample Analysis. For each set of determinations, prepare a reagent blank by add- ymxb=+ ()16 ing 10 mL TCM absorbing solution to a 25- mL volumetric flask, and two control stand- where: ards containing approximately 5 and 15 μg y = corrected absorbance, μ SO2, respectively. The control standards are m = slope, absorbance unit/ g SO2, prepared according to Section 10.2 or 10.3. x = micrograms of SO2, The analysis is carried out as follows: b = y intercept (absorbance units). 1. Allow the sample to stand 20 minutes The slope (m), intercept (b), and correla- after the completion of sampling to allow tion coefficient (r) are calculated as follows: any ozone to decompose (if applicable). 2. To each 25-mL volumetric flask con- ∑−∑∑ = nxy()() x y taining reagent blank, sample, or control m 22 ()17 standard, add 1 mL of 0.6% sulfamic acid nx∑−∑() x (Section 8.2.1) and allow to react for 10 min. 3. Accurately pipet 2 mL of 0.2% formalde- ∑−ymx ∑ b = ()18 hyde solution (Section 8.2.2) and then 5 mL n of pararosaniline solution (Section 8.2.13) into each flask. Start a laboratory timer set mxyxyn(/)∑−∑∑ at 30 minutes. r = ()19 22 4. Bring each flask to volume with recently ∑−∑yyn()/ boiled and cooled distilled water and mix thoroughly. where n is the number of calibration points. 5. During the 30 minutes, the solutions A data form (Figure 5) is supplied for eas- must be in a temperature controlled environ- ily organizing calibration data when the ment in the range of 20° to 30 °C maintained slope, intercept, and correlation coefficient to ±1 °C. This temperature must also be with- are calculated by hand. in 1 °C of that used during calibration. 12.2 Total Sample Volume. Determine the 6. After 30 minutes and before 60 minutes, sampling volume at standard conditions as determine the corrected absorbances (equa- follows: tion 10) of each solution at 548 nm using 1-cm QQ+ optical path length cells against a distilled V = if× t ()20 water reference (Section 10.1). (Distilled water std is used as a reference instead of the reagent 2 blank because of the sensitivity of the reagent where: blank to temperature.) Vstd = sampling volume in std L, 7. Do not allow the colored solution to Qi = standard flow rate determined at the stand in the cells because a film may be de- initiation of sampling in std L/min, posited. Clean the cells with isopropyl alco- Qf = standard flow rate determined at the hol after use. completion of sampling is std L/min, and 8. The reagent blank must be within 0.03 t = total sampling time, min. absorbance units of the intercept of the calibration equation determined in Section 10. 12.3 Sulfur Dioxide Concentration. Calculate 11.3 Absorbance range. If the absorbance of and report the concentration of each sample the sample solution ranges between 1.0 and as follows: 2.0, the sample can be diluted 1:1 with a por- 3 tion of the reagent blank and the absorbance ()()()AA− B 10 V μ 3 = ox × b redetermined within 5 minutes. Solutions g SO2 / m ()21 with higher absorbances can be diluted up to Vstd Va sixfold with the reagent blank in order to obtain scale readings of less than 1.0 absorb- where: ance unit. However, it is recommended that A = corrected absorbance of the sample solu- a smaller portion (<10 mL) of the original tion, from equation (10); sample be reanalyzed (if possible) if the sam- Ao = corrected absorbance of the reagent ple requires a dilution greater than 1:1. blank, using equation (10); 11.4 Reagent disposal. All reagents con- BX = calibration factor equal to Bs, Bg, or Bt taining mercury compounds must be stored depending on the calibration procedure and disposed of using one of the procedures used, the reciprocal of the slope of the contained in Section 13. Until disposal, the calibration equation; discarded solutions can be stored in closed Va = volume of absorber solution analyzed, glass containers and should be left in a fume mL; hood. Vb = total volume of solution in absorber (see 12.0 Calculations. 11.1–2), mL; and 12.1 Calibration Slope, Intercept, and Correla- Vstd = standard air volume sampled, std L tion Coefficient. The method of least squares (from Section 12.2).

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DATA FORM 5. After 24 hours, allow the solution to [For hand calculations] stand without stirring to allow the mercury amalgam (solid black material) to settle to the bottom of the waste receptacle. Calibra- Absor- tion point Micro- 6. Upon settling, decant and discard the su- grams So2 bance units no. pernatant liquid. 7. Quantitatively transfer the solid mate- (x) (y) x2 xy y2 1 ...... rial to a container and allow to dry. 2 ...... 8. The solid material can be sent to a mer- 3 ...... cury reclaiming plant. It must not be dis- 4 ...... carded. 5 ...... 13.3 Method Using Aluminum Foil Strips. 6 ...... 1. Place the waste solution in an uncapped vessel in a hood. S x=lll S y=lll S x2=lll Sxylll 2. For each liter of waste solution, add ap- Sy2lll proximately 10 g of aluminum foil strips. If n=lll (number of pairs of coordinates.) all the aluminum is consumed and no gas is llllllllllllllllllllllll evolved, add an additional 10 g of foil. Repeat until the foil is no longer consumed and FIGURE 5. Data form for hand calculations. allow the gas to evolve for 24 hours. 12.4 Control Standards. Calculate the ana- 3. Decant the supernatant liquid and dis- lyzed micrograms of SO2 in each control card. standard as follows: 4. Transfer the elemental mercury that has settled to the bottom of the vessel to a stor- =− × age container. CAABqox() ()22 5. The mercury can be sent to a mercury where: reclaiming plant. It must not be discarded.

Cq = analyzed μg SO2 in each control stand- 14.0 References for SO2 Method. ard, 1. Quality Assurance Handbook for Air Pol- A = corrected absorbance of the control lution Measurement Systems, Volume I, standard, and Principles. EPA–600/9–76–005, U.S. Environ- Ao = corrected absorbance of the reagent mental Protection Agency, Research Tri- blank. angle Park, NC 27711, 1976. 2. Quality Assurance Handbook for Air Pol- The difference between the true and ana- lution Measurement Systems, Volume II, lyzed values of the control standards must Ambient Air Specific Methods. EPA–600/4–77– not be greater than 1 μg. If the difference is 027a, U.S. Environmental Protection Agency, greater than 1 μg, the source of the discrep- Research Triangle Park, NC 27711, 1977. ancy must be identified and corrected. 3. Dasqupta, P. K., and K. B. DeCesare. Sta- 12.5 Conversion of μg/m3 to ppm (v/v). If de- bility of Sulfur Dioxide in Formaldehyde and sired, the concentration of sulfur dioxide at Its Anomalous Behavior in reference conditions can be converted to ppm Tetrachloromercurate (II). Submitted for SO (v/v) as follows: 2 publication in Atmospheric Environment, 1982. 4. West, P. W., and G. C. Gaeke. Fixation of μgSO −4 ppm SO =××2 382.() 10 23 Sulfur Dioxide as Disulfitomercurate (II) and 2 3 m Subsequent Colorimetric Estimation. Anal. Chem., 28:1816, 1956. 13.0 The TCM absorbing solution and any 5. Ephraim, F. Inorganic Chemistry. P. C. reagents containing mercury compounds L. Thorne and E. R. Roberts, Eds., 5th Edi- must be treated and disposed of by one of the tion, Interscience, 1948, p. 562. methods discussed below. Both methods re- 6. Lyles, G. R., F. B. Dowling, and V. J. move greater than 99.99 percent of the mer- Blanchard. Quantitative Determination of cury. Formaldehyde in the Parts Per Hundred Mil- 13.1 Disposal of Mercury-Containing Solu- lion Concentration Level. J. Air. Poll. Cont. tions. Assoc., Vol. 15(106), 1965. 13.2 Method for Forming an Amalgam. 7. McKee, H. C., R. E. Childers, and O. 1. Place the waste solution in an uncapped Saenz, Jr. Collaborative Study of Reference vessel in a hood. Method for Determination of Sulfur Dioxide 2. For each liter of waste solution, add ap- in the Atmosphere (Pararosaniline Method). proximately 10 g of sodium carbonate until EPA-APTD-0903, U.S. Environmental Protec- neutralization has occurred (NaOH may have tion Agency, Research Triangle Park, NC to be used). 27711, September 1971. 3. Following neutralization, add 10 g of 8. Urone, P., J. B. Evans, and C. M. Noyes. granular zinc or magnesium. Tracer Techniques in Sulfur—Air Pollution 4. Stir the solution in a hood for 24 hours. Studies Apparatus and Studies of Sulfur Di- Caution must be exercised as hydrogen gas is oxide Colorimetric and Conductometric evolved by this treatment process. Methods. Anal. Chem., 37: 1104, 1965.

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9. Bostrom, C. E. The Absorption of Sulfur (MD–77), Research Triangle Park, NC 27711, Dioxide at Low Concentrations (pphm) Stud- January 1981. ied by an Isotopic Tracer Method. Intern. J. [47 FR 54899, Dec. 6, 1982; 48 FR 17355, Apr. 22, Air Water Poll., 9:333, 1965. 1983. Redesignated at 75 FR 35595, June 22, 10. Scaringelli, F. P., B. E. Saltzman, and 2010] S. A. Frey. Spectrophotometric Determina- tion of Atmospheric Sulfur Dioxide. Anal. APPENDIX B TO PART 50—REFERENCE Chem., 39: 1709, 1967. METHOD FOR THE DETERMINATION OF 11. Pate, J. B., B. E. Ammons, G. A. Swan- SUSPENDED PARTICULATE MATTER IN son, and J. P. Lodge, Jr. Nitrite Interference THE ATMOSPHERE (HIGH-VOLUME in Spectrophotometric Determination of At- mospheric Sulfur Dioxide. Anal. Chem., METHOD) 37:942, 1965. 1.0 Applicability. 12. Zurlo, N., and A. M. Griffini. Measure- 1.1 This method provides a measurement of ment of the Sulfur Dioxide Content of the the mass concentration of total suspended Air in the Presence of Oxides of Nitrogen and particulate matter (TSP) in ambient air for Heavy Metals. Medicina Lavoro, 53:330, 1962. determining compliance with the primary 13. Rehme, K. A., and F. P. Scaringelli. Ef- and secondary national ambient air quality fect of Ammonia on the Spectrophotometric standards for particulate matter as specified Determination of Atmospheric Concentra- in § 50.6 and § 50.7 of this chapter. The meas- tions of Sulfur Dioxide. Anal. Chem., 47:2474, urement process is nondestructive, and the 1975. size of the sample collected is usually ade- 14. McCoy, R. A., D. E. Camann, and H. C. quate for subsequent chemical analysis. McKee. Collaborative Study of Reference Quality assurance procedures and guidance Method for Determination of Sulfur Dioxide are provided in part 58, appendixes A and B, in the Atmosphere (Pararosaniline Method) of this chapter and in References 1 and 2. (24-Hour Sampling). EPA–650/4–74–027, U.S. 2.0 Principle. Environmental Protection Agency, Research 2.1 An air sampler, properly located at the Triangle Park, NC 27711, December 1973. measurement site, draws a measured quan- 15. Fuerst, R. G. Improved Temperature tity of ambient air into a covered housing Stability of Sulfur Dioxide Samples Col- and through a filter during a 24-hr (nominal) lected by the Federal Reference Method. sampling period. The sampler flow rate and EPA–600/4–78–018, U.S. Environmental Pro- the geometry of the shelter favor the collec- tection Agency, Research Triangle Park, NC tion of particles up to 25–50 μm (aerodynamic 27711, April 1978. diameter), depending on wind speed and di- 16. Scaringelli, F. P., L. Elfers, D. Norris, rection.(3) The filters used are specified to and S. Hochheiser. Enhanced Stability of have a minimum collection efficiency of 99 μ Sulfur Dioxide in Solution. Anal. Chem., percent for 0.3 m (DOP) particles (see Sec- 42:1818, 1970. tion 7.1.4). 2.2 The filter is weighed (after moisture 17. Martin, B. E. Sulfur Dioxide Bubbler equilibration) before and after use to deter- Temperature Study. EPA–600/4–77–040, U.S. mine the net weight (mass) gain. The total Environmental Protection Agency, Research volume of air sampled, corrected to EPA Triangle Park, NC 27711, August 1977. standard conditions (25 °C, 760 mm Hg [101 18. American Society for Testing and Mate- kPa]), is determined from the measured flow rials. ASTM Standards, Water; Atmospheric rate and the sampling time. The concentra- Analysis. Part 23. Philadelphia, PA, October tion of total suspended particulate matter in 1968, p. 226. the ambient air is computed as the mass of 19. O’Keeffe, A. E., and G. C. Ortman. Pri- collected particles divided by the volume of mary Standards for Trace Gas Analysis. air sampled, corrected to standard condi- Anal. Chem., 38:760, 1966. tions, and is expressed in micrograms per 20. Scaringelli, F. P., S. A. Frey, and B. E. standard cubic meter (μg/std m3). For sam- Saltzman. Evaluation of Teflon Permeation ples collected at temperatures and pressures Tubes for Use with Sulfur Dioxide. Amer. significantly different than standard condi- Ind. Hygiene Assoc. J., 28:260, 1967. tions, these corrected concentrations may 21. Scaringelli, F. P., A. E. O’Keeffe, E. differ substantially from actual concentra- Rosenberg, and J. P. Bell, Preparation of tions (micrograms per actual cubic meter), Known Concentrations of Gases and Vapors particularly at high elevations. The actual With Permeation Devices Calibrated Gravi- particulate matter concentration can be cal- metrically. Anal. Chem., 42:871, 1970. culated from the corrected concentration 22. A Procedure for Establishing using the actual temperature and pressure Traceability of Gas Mixtures to Certain Na- during the sampling period. tional Bureau of Standards Standard Ref- 3.0 Range. erence Materials. EPA–600/7–81–010, U.S. En- 3.1 The approximate concentration range vironmental Protection Agency, Environ- of the method is 2 to 750 μg/std m3. The upper mental Monitoring Systems Laboratory limit is determined by the point at which the

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sampler can no longer maintain the specified air flow during the sampling period,* (2) flow rate due to the increased pressure drop using a calibrated, continuous flow rate re- of the loaded filter. This point is affected by cording device to record the actual flow rate particle size distribution, moisture content during the samping period and integrating of the collected particles, and variability the flow rate over the period, or (3) any other from filter to filter, among other things. The means that will accurately measure the lower limit is determined by the sensitivity total air volume sampled during the sam- of the balance (see Section 7.10) and by in- pling period. Use of a continuous flow re- herent sources of error (see Section 6). corder is recommended, particularly if the 3.2 At wind speeds between 1.3 and 4.5 m/sec sampler is not equipped with a constant flow (3 and 10 mph), the high-volume air sampler controller. has been found to collect particles up to 25 to 6.3 Loss of volatiles. Volatile particles col- 50 μm, depending on wind speed and direc- lected on the filter may be lost during subse- tion.(3) For the filter specified in Section 7.1, quent sampling or during shipment and/or there is effectively no lower limit on the par- storage of the filter prior to the ticle size collected. postsampling weighing.(5) Although such 4.0 Precision. losses are largely unavoidable, the filter 4.1 Based upon collaborative testing, the should be reweighed as soon after sampling relative standard deviation (coefficient of as practical. variation) for single analyst precision (re- 6.4 Artifact particulate matter. Artifact par- peatability) of the method is 3.0 percent. The ticulate matter can be formed on the surface corresponding value for interlaboratory pre- of alkaline glass fiber filters by oxidation of cision (reproducibility) is 3.7 percent.(4) acid gases in the sample air, resulting in a 5.0 Accuracy. higher than true TSP determination.(6 7) 5.1 The absolute accuracy of the method is This effect usually occurs early in the sam- undefined because of the complex nature of ple period and is a function of the filter pH atmospheric particulate matter and the dif- and the presence of acid gases. It is generally ficulty in determining the ‘‘true’’ particulate believed to account for only a small percent- matter concentration. This method provides age of the filter weight gain, but the effect a measure of particulate matter concentra- may become more significant where rel- tion suitable for the purpose specified under atively small particulate weights are col- Section 1.0, Applicability. lected. 6.0 Inherent Sources of Error. 6.5 Humidity. Glass fiber filters are com- paratively insensitive to changes in relative 6.1 Airflow variation. The weight of mate- humidity, but collected particulate matter rial collected on the filter represents the (in- can be hygroscopic.(8) The moisture condi- tegrated) sum of the product of the instanta- tioning procedure minimizes but may not neous flow rate times the instantaneous par- completely eliminate error due to moisture. ticle concentration. Therefore, dividing this 6.6 Filter handling. Careful handling of the weight by the average flow rate over the filter between the presampling and sampling period yields the true particulate postsampling weighings is necessary to avoid matter concentration only when the flow errors due to loss of fibers or particles from rate is constant over the period. The error the filter. A filter paper cartridge or cassette resulting from a nonconstant flow rate de- used to protect the filter can minimize han- pends on the magnitude of the instantaneous dling errors. (See Reference 2, Section 2). changes in the flow rate and in the particu- 6.7 Nonsampled particulate matter. Particu- late matter concentration. Normally, such late matter may be deposited on the filter by errors are not large, but they can be greatly wind during periods when the sampler is in- reduced by equipping the sampler with an operative. (9) It is recommended that errors automatic flow controlling mechanism that from this source be minimized by an auto- maintains constant flow during the sampling matic mechanical device that keeps the fil- period. Use of a contant flow controller is ter covered during nonsampling periods, or recommended.* by timely installation and retrieval of filters 6.2 Air volume measurement. If the flow rate to minimize the nonsampling periods prior changes substantially or nonuniformly dur- to and following operation. ing the sampling period, appreciable error in 6.8 Timing errors. Samplers are normally the estimated air volume may result from controlled by clock timers set to start and using the average of the presampling and stop the sampler at midnight. Errors in the postsampling flow rates. Greater air volume nominal 1,440-min sampling period may re- measurement accuracy may be achieved by sult from a power interruption during the (1) equipping the sampler with a flow con- sampling period or from a discrepancy be- trolling mechanism that maintains constant tween the start or stop time recorded on the filter information record and the actual *At elevated altitudes, the effectiveness of start or stop time of the sampler. Such dis- automatic flow controllers may be reduced crepancies may be caused by (1) poor resolu- because of a reduction in the maximum sam- tion of the timer set-points, (2) timer error pler flow. due to power interruption, (3) missetting of

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the timer, or (4) timer malfunction. In gen- d. (†) Manually adjust the flow rate to ac- eral, digital electronic timers have much commodate variations in filter pressure drop better set-point resolution than mechanical and site line voltage and altitude. The ad- timers, but require a battery backup system justment may be accomplished by an auto- to maintain continuity of operation after a matic flow controller or by a manual flow power interruption. A continuous flow re- adjustment device. Any manual adjustment corder or elapsed time meter provides an in- device must be designed with positive dication of the sampler run-time, as well as detents or other means to avoid uninten- indication of any power interruption during tional changes in the setting. the sampling period and is therefore rec- 7.2.2 Minimum sample flow rate, heavily load- ommended. ed filter: 1.1 m3/min (39 ft3/min).‡ 6.9 Recirculation of sampler exhaust. Under 7.2.3 Maximum sample flow rate, clean filter: stagnant wind conditions, sampler exhaust 1.7 m3/min (60 ft3/min).‡ air can be resampled. This effect does not ap- 7.2.4 Blower Motor: The motor must be ca- pear to affect the TSP measurement sub- pable of continuous operation for 24-hr peri- stantially, but may result in increased car- ods. bon and copper in the collected sample. (10) 7.3 Sampler shelter. This problem can be reduced by ducting the 7.3.1 The sampler shelter shall: exhaust air well away, preferably downwind, a. Maintain the filter in a horizontal posi- from the sampler. tion at least 1 m above the sampler sup- 7.0 Apparatus. porting surface so that sample air is drawn (See References 1 and 2 for quality assur- downward through the filter. ance information.) b. Be rectangular in shape with a gabled roof, similar to the design shown in Figure 1. NOTE: Samplers purchased prior to the ef- c. Cover and protect the filter and sampler fective date of this amendment are not sub- from precipitation and other weather. ject to specifications preceded by (†). d. Discharge exhaust air at least 40 cm 7.1 Filter. (Filters supplied by the Environ- from the sample air inlet. mental Protection Agency can be assumed to e. Be designed to minimize the collection meet the following criteria. Additional speci- of dust from the supporting surface by incor- fications are required if the sample is to be porating a baffle between the exhaust outlet analyzed chemically.) and the supporting surface. 7.1.1 Size: 20.3 ±0.2 × 25.4 ±0.2 cm (nominal 8 7.3.2 The sampler cover or roof shall over- × 10 in). hang the sampler housing somewhat, as 7.1.2 Nominal exposed area: 406.5 cm2 (63 in2). shown in Figure 1, and shall be mounted so 7.1.3. Material: Glass fiber or other rel- as to form an air inlet gap between the cover atively inert, nonhygroscopic material. (8) and the sampler housing walls. † This sample 7.1.4 Collection efficiency: 99 percent min- air inlet should be approximately uniform on imum as measured by the DOP test (ASTM– all sides of the sampler. † The area of the 2986) for particles of 0.3 μm diameter. sample air inlet must be sized to provide an 7.1.5 Recommended pressure drop range: 42–54 effective particle capture air velocity of be- mm Hg (5.6–7.2 kPa) at a flow rate of 1.5 std tween 20 and 35 cm/sec at the recommended m3/min through the nominal exposed area. operational flow rate. The capture velocity is the sample air flow rate divided by the 7.1.6 pH: 6 to 10. (11) inlet area measured in a horizontal plane at 7.1.7 Integrity: 2.4 mg maximum weight the lower edge of the cover. † Ideally, the loss. (11) inlet area and operational flow rate should 7.1.8 Pinholes: None. be selected to obtain a capture air velocity 7.1.9 Tear strength: 500 g minimum for 20 of 25 ±2 cm/sec. mm wide strip cut from filter in weakest di- 7.4 Flow rate measurement devices. mension. (See ASTM Test D828–60). 7.4.1 The sampler shall incorporate a flow 7.1.10 Brittleness: No cracks or material sep- rate measurement device capable of indi- arations after single lengthwise crease. cating the total sampler flow rate. Two com- 7.2 Sampler. The air sampler shall provide mon types of flow indicators covered in the means for drawing the air sample, via recalibration procedure are (1) an electronic duced pressure, through the filter at a uni- mass flowmeter and (2) an orifice or orifices form face velocity. 7.2.1 The sampler shall have suitable means (†) See note at beginning of Section 7 of to: this appendix. a. Hold and seal the filter to the sampler ‡ These specifications are in actual air vol- housing. ume units; to convert to EPA standard air b. Allow the filter to be changed conven- volume units, multiply the specifications by iently. (Pb/Pstd)(298/T) where Pb and T are the baro- c. Preclude leaks that would cause error in metric pressure in mm Hg (or kPa) and the the measurement of the air volume passing temperature in K at the sampler, and Pstd is through the filter. 760 mm Hg (or 101 kPa).

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located in the sample air stream together without disassembly of the unit. Use of a with a suitable pressure indicator such as a conventional, orifice-type transfer standard manometer, or aneroid pressure gauge. A is assumed in the calibration procedure (Sec- pressure recorder may be used with an ori- tion 9). However, the use of other types of fice to provide a continuous record of the transfer standards meeting the above speci- flow. Other types of flow indicators (includ- fications, such as the one shown in Figure 2c, ing rotameters) having comparable precision may be approved; see the note following Sec- and accuracy are also acceptable. tion 9.1. 7.4.2 † The flow rate measurement device 7.9 Filter conditioning environment must be capable of being calibrated and read 7.9.1 Controlled temperature: between 15° and in units corresponding to a flow rate which 30 °C with less than ±3 °C variation during is readable to the nearest 0.02 std m3/min equilibration period. over the range 1.0 to 1.8 std m3/min. 7.9.2 Controlled humidity: Less than 50 per- 7.5 Thermometer, to indicate the approxi- cent relative humidity, constant within ±5 mate air temperature at the flow rate meas- percent. urement orifice, when temperature correc- 7.10 Analytical balance. tions are used. 7.10.1 Sensitivity: 0.1 mg. 7.5.1 Range: ¥40° to + 50 °C (223–323 K). 7.10.2 Weighing chamber designed to accept 7.5.2 Resolution: 2 °C (2 K). an unfolded 20.3 × 25.4 cm (8 × 10 in) filter. 7.6 Barometer, to indicate barometric pres- 7.11 Area light source, similar to X-ray film sure at the flow rate measurement orifice, viewer, to backlight filters for visual inspec- when pressure corrections are used. tion. 7.6.1 Range: 500 to 800 mm Hg (66–106 kPa). 7.12 Numbering device, capable of printing 7.6.2 Resolution: ±5 mm Hg (0.67 kPa). identification numbers on the filters before 7.7 Timing/control device. they are placed in the filter conditioning en- 7.7.1 The timing device must be capable of vironment, if not numbered by the supplier. starting and stopping the sampler to obtain 8.0 Procedure. an elapsed run-time of 24 hr ±1 hr (1,440 ±60 (See References 1 and 2 for quality assur- min). ance information.) 7.7.2 Accuracy of time setting: ±30 min, or 8.1 Number each filter, if not already num- better. (See Section 6.8). bered, near its edge with a unique identifica- 7.8 Flow rate transfer standard, traceable to tion number. a primary standard. (See Section 9.2.) 8.2 Backlight each filter and inspect for 7.8.1 Approximate range: 1.0 to 1.8 m3/min. pinholes, particles, and other imperfections; 7.8.2 Resolution: 0.02 m3/min. filters with visible imperfections must not 7.8.3 Reproducibility: ±2 percent (2 times co- be used. efficient of variation) over normal ranges of 8.3 Equilibrate each filter in the condi- ambient temperature and pressure for the tioning environment for at least 24-hr. stated flow rate range. (See Reference 2, Sec- 8.4 Following equilibration, weigh each fil- tion 2.) ter to the nearest milligram and record this 3 7.8.4 Maximum pressure drop at 1.7 std m / tare weight (Wi) with the filter identification min; 50 cm H2 O (5 kPa). number. 7.8.5 The flow rate transfer standard must 8.5 Do not bend or fold the filter before col- connect without leaks to the inlet of the lection of the sample. sampler and measure the flow rate of the 8.6 Open the shelter and install a num- total air sample. bered, preweighed filter in the sampler, fol- 7.8.6 The flow rate transfer standard must lowing the sampler manufacturer’s instruc- include a means to vary the sampler flow tions. During inclement weather, pre- rate over the range of 1.0 to 1.8 m3/min (35– cautions must be taken while changing fil- 64 ft3/min) by introducing various levels of ters to prevent damage to the clean filter flow resistance between the sampler and the and loss of sample from or damage to the ex- transfer standard inlet. posed filter. Filter cassettes that can be 7.8.7 The conventional type of flow transfer loaded and unloaded in the laboratory may standard consists of: An orifice unit with be used to minimize this problem (See Sec- adapter that connects to the inlet of the tion 6.6). sampler, a manometer or other device to 8.7 Close the shelter and run the sampler measure orifice pressure drop, a means to for at least 5 min to establish run-tempera- vary the flow through the sampler unit, a ture conditions. thermometer to measure the ambient tem- 8.8 Record the flow indicator reading and, 3 perature, and a barometer to measure ambi- if needed, the barometric pressure (P 3) and 3 ent pressure. Two such devices are shown in the ambient temperature (T 3) see NOTE fol- Figures 2a and 2b. Figure 2a shows multiple lowing step 8.12). Stop the sampler. Deter- fixed resistance plates, which necessitate mine the sampler flow rate (see Section 10.1); disassembly of the unit each time the flow if it is outside the acceptable range (1.1 to 1.7 resistance is changed. A preferable design, il- m3/min [39–60 ft3/min]), use a different filter, lustrated in Figure 2b, has a variable flow re- or adjust the sampler flow rate. Warning: striction that can be adjusted externally Substantial flow adjustments may affect the

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calibration of the orifice-type flow indica- 9.1 Calibration of the high volume sam- tors and may necessitate recalibration. pler’s flow indicating or control device is 8.9 Record the sampler identification infor- necessary to establish traceability of the mation (filter number, site location or iden- field measurement to a primary standard via tification number, sample date, and starting a flow rate transfer standard. Figure 3a illus- time). trates the certification of the flow rate 8.10 Set the timer to start and stop the transfer standard and Figure 3b illustrates sampler such that the sampler runs 24-hrs, its use in calibrating a sampler flow indi- from midnight to midnight (local time). cator. Determination of the corrected flow 8.11 As soon as practical following the sam- rate from the sampler flow indicator, illus- pling period, run the sampler for at least 5 trated in Figure 3c, is addressed in Section min to again establish run-temperature con- 10.1 ditions. NOTE: The following calibration procedure 8.12 Record the flow indicator reading and, applies to a conventional orifice-type flow if needed, the barometric pressure (P3 ) and 3 transfer standard and an orifice-type flow in- the ambient temperature (T3 ). 3 dicator in the sampler (the most common NOTE: No onsite pressure or temperature types). For samplers using a pressure re- measurements are necessary if the sampler corder having a square-root scale, 3 other ac- flow indicator does not require pressure or ceptable calibration procedures are provided temperature corrections (e.g., a mass flow- in Reference 12. Other types of transfer meter) or if average barometric pressure and standards may be used if the manufacturer seasonal average temperature for the site are or user provides an appropriately modified incorporated into the sampler calibration calibration procedure that has been approved (see step 9.3.9). For individual pressure and by EPA under Section 2.8 of appendix C to temperature corrections, the ambient pres- part 58 of this chapter. sure and temperature can be obtained by on- site measurements or from a nearby weather 9.2 Certification of the flow rate transfer station. Barometric pressure readings ob- standard. tained from airports must be station pres- 9.2.1 Equipment required: Positive displace- sure, not corrected to sea level, and may ment standard volume meter traceable to need to be corrected for differences in ele- the National Bureau of Standards (such as a vation between the sampler site and the air- Roots meter or equivalent), stop-watch, ma- port. For samplers having flow recorders but nometer, thermometer, and barometer. not constant flow controllers, the average 9.2.2 Connect the flow rate transfer stand- temperature and pressure at the site during ard to the inlet of the standard volume the sampling period should be estimated from meter. Connect the manometer to measure weather bureau or other available data. the pressure at the inlet of the standard vol- 8.13 Stop the sampler and carefully remove ume meter. Connect the orifice manometer the filter, following the sampler manufactur- to the pressure tap on the transfer standard. er’s instructions. Touch only the outer edges Connect a high-volume air pump (such as a of the filter. See the precautions in step 8.6. high-volume sampler blower) to the outlet 8.14 Fold the filter in half lengthwise so side of the standard volume meter. See Fig- that only surfaces with collected particulate ure 3a. matter are in contact and place it in the fil- 9.2.3 Check for leaks by temporarily clamp- ter holder (glassine envelope or manila folding both manometer lines (to avoid fluid er). loss) and blocking the orifice with a large-di- 8.15 Record the ending time or elapsed time ameter rubber stopper, wide cellophane tape, on the filter information record, either from or other suitable means. Start the high-vol- the stop set-point time, from an elapsed time ume air pump and note any change in the indicator, or from a continuous flow record. standard volume meter reading. The reading The sample period must be 1,440 ±60 min. for should remain constant. If the reading a valid sample. changes, locate any leaks by listening for a 8.16 Record on the filter information record whistling sound and/or retightening all con- any other factors, such as meteorological nections, making sure that all gaskets are conditions, construction activity, fires or properly installed. dust storms, etc., that might be pertinent to 9.2.4 After satisfactorily completing the the measurement. If the sample is known to leak check as described above, unclamp both be defective, void it at this time. manometer lines and zero both manometers. 8.17 Equilibrate the exposed filter in the 9.2.5 Achieve the appropriate flow rate conditioning environment for at least 24-hrs. through the system, either by means of the 8.18 Immediately after equilibration, re- variable flow resistance in the transfer weigh the filter to the nearest milligram and standard or by varying the voltage to the air record the gross weight with the filter iden- pump. (Use of resistance plates as shown in tification number. See Section 10 for TSP Figure 1a is discouraged because the above concentration calculations. leak check must be repeated each time a new 9.0 Calibration. resistance plate is installed.) At least five

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3 different but constant flow rates, evenly dis- Record Qstd to the nearest 0.01 std m /min tributed, with at least three in the specified in column 6 of Figure 4. flow rate interval (1.1 to 1.7 m3/min [39–60 ft3/ 9.2.15 Repeat steps 9.2.9 through 9.2.14 for min]), are required. at least four additional constant flow rates, 9.2.6 Measure and record the certification evenly spaced over the approximate range of data on a form similar to the one illustrated 1.0 to 1.8 std m3/min (35–64 ft3/min). in Figure 4 according to the following steps. 9.2.16 For each flow, compute 9.2.7 Observe the barometric pressure and √DDH (P1/Pstd)(298/T1) record as P1 (item 8 in Figure 4). 9.2.8 Read the ambient temperature in the (column 7a of Figure 4) and plot these value vicinity of the standard volume meter and against Qstd as shown in Figure 3a. Be sure to record it as T1 (item 9 in Figure 4). use consistent units (mm Hg or kPa) for bar- 9.2.9 Start the blower motor, adjust the ometric pressure. Draw the orifice transfer flow, and allow the system to run for at least standard certification curve or calculate the 1 min for a constant motor speed to be at- linear least squares slope (m) and intercept tained. (b) of the certification curve: 9.2.10 Observe the standard volume meter √DDH (P1/Pstd)(298/T1) reading and simultaneously start a stop- = mQstd + b. See Figures 3 and 4. A certifi- watch. Record the initial meter reading (Vi) in column 1 of Figure 4. cation graph should be readable to 0.02 std 3 9.2.11 Maintain this constant flow rate m /min. until at least 3 m3 of air have passed through 9.2.17 Recalibrate the transfer standard an- the standard volume meter. Record the nually or as required by applicable quality standard volume meter inlet pressure ma- control procedures. (See Reference 2.) nometer reading as DP (column 5 in Figure 9.3 Calibration of sampler flow indicator. 4), and the orifice manometer reading as DH NOTE: For samplers equipped with a flow (column 7 in Figure 4). Be sure to indicate controlling device, the flow controller must the correct units of measurement. be disabled to allow flow changes during 9.2.12 After at least 3 m3 of air have passed calibration of the sampler’s flow indicator, through the system, observe the standard or the alternate calibration of the flow con- volume meter reading while simultaneously troller given in 9.4 may be used. For sam- stopping the stopwatch. Record the final plers using an orifice-type flow indicator meter reading (Vf) in column 2 and the downstream of the motor, do not vary the elapsed time (t) in column 3 of Figure 4. flow rate by adjusting the voltage or power 9.2.13 Calculate the volume measured by supplied to the sampler. the standard volume meter at meter condi- 9.3.1 A form similar to the one illustrated tions of temperature and pressures as Vm = in Figure 5 should be used to record the cali- ¥ Vf Vi. Record in column 4 of Figure 4. bration data. 9.2.14 Correct this volume to standard vol- 9.3.2 Connect the transfer standard to the ume (std m3) as follows: inlet of the sampler. Connect the orifice manometer to the orifice pressure tap, as illus- PP− Δ T VV= 1 std trated in Figure 3b. Make sure there are no std m leaks between the orifice unit and the sam- Pstd T1 pler. where: 9.3.3 Operate the sampler for at least 5 V = standard volume, std m3; minutes to establish thermal equilibrium std prior to the calibration. Vm = actual volume measured by the standard volume meter; 9.3.4 Measure and record the ambient temperature, T , and the barometric pressure, P1 = barometric pressure during calibration, 2 mm Hg or kPa; P2, during calibration. DP = differential pressure at inlet to volume 9.3.5 Adjust the variable resistance or, if meter, mm Hg or kPa; applicable, insert the appropriate resistance Pstd = 760 mm Hg or 101 kPa; plate (or no plate) to achieve the desired Tstd = 298 K; flow rate. T1 = ambient temperature during calibra- 9.3.6 Let the sampler run for at least 2 min tion, K. to re-establish the run-temperature condi- Calculate the standard flow rate (std m3/min) tions. Read and record the pressure drop as follows: across the orifice (DH) and the sampler flow rate indication (I) in the appropriate col- V umns of Figure 5. Q = std std 9.3.7 Calculate √DDH(P2/Pstd)(298/T2) and de- t termine the flow rate at standard conditions where: (Qstd) either graphically from the certifi- 3 Qstd = standard volumetric flow rate, std m / cation curve or by calculating Qstd from the min least square slope and intercept of the trans- t = elapsed time, minutes. fer standard’s transposed certification curve:

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Qstd = 1/m √DH(P2/Pstd)(298/T2)¥b. Record the bration curves should be readable to 0.02 std 3 value of Qstd on Figure 5. m /min. 9.3.8 Repeat steps 9.3.5, 9.3.6, and 9.3.7 for 9.3.11 For a sampler equipped with a flow several additional flow rates distributed over controller, the flow controlling mechanism a range that includes 1.1 to 1.7 std m3/min. should be re-enabled and set to a flow near 9.3.9 Determine the calibration curve by the lower flow limit to allow maximum con- plotting values of the appropriate expression trol range. The sample flow rate should be involving I, selected from table 1, against verified at this time with a clean filter installed. Then add two or more filters to the Qstd. The choice of expression from table 1 depends on the flow rate measurement device sampler to see if the flow controller main- used (see Section 7.4.1) and also on whether tains a constant flow; this is particularly im- the calibration curve is to incorporate geo- portant at high altitudes where the range of the flow controller may be reduced. graphic average barometric pressure (P ) and a 9.4 Alternate calibration of flow-controlled seasonal average temperature (T ) for the a samplers. A flow-controlled sampler may be site to approximate actual pressure and tem- calibrated solely at its controlled flow rate, perature. Where P and T can be determined a a provided that previous operating history of for a site for a seasonal period such that the the sampler demonstrates that the flow rate actual barometric pressure and temperature is stable and reliable. In this case, the flow ± at the site do not vary by more than 60 mm indicator may remain uncalibrated but ± ° Hg (8 kPa) from Pa or 15 C from Ta, respec- should be used to indicate any relative tively, then using Pa and Ta avoids the need change between initial and final flows, and for subsequent pressure and temperature cal- the sampler should be recalibrated more culation when the sampler is used. The geo- often to minimize potential loss of samples graphic average barometric pressure (Pa) because of controller malfunction. may be estimated from an altitude-pressure 9.4.1 Set the flow controller for a flow near table or by making an (approximate) ele- the lower limit of the flow range to allow vation correction of ¥26 mm Hg (¥3.46 kPa) maximum control range. for each 305 m (1,000 ft) above sea level (760 9.4.2 Install a clean filter in the sampler mm Hg or 101 kPa). The seasonal average and carry out steps 9.3.2, 9.3.3, 9.3.4, 9.3.6, and temperature (Ta) may be estimated from 9.3.7. weather station or other records. Be sure to 9.4.3 Following calibration, add one or two use consistent units (mm Hg or kPa) for bar- additional clean filters to the sampler, re- ometric pressure. connect the transfer standard, and operate 9.3.10 Draw the sampler calibration curve the sampler to verify that the controller or calculate the linear least squares slope maintains the same calibrated flow rate; this (m), intercept (b), and correlation coefficient is particularly important at high altitudes of the calibration curve: [Expression from where the flow control range may be re- table 1]= mQstd + b. See Figures 3 and 5. Cali- duced.

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10.0 Calculations of TSP Concentration. the sampler calibration curve, either graphi- 10.1 Determine the average sampler flow cally or from the transposed regression equa- rate during the sampling period according to tion:

either 10.1.1 or 10.1.2 below. Qstd = 10.1.1 For a sampler without a continuous 1/m ([Appropriate expression from table flow recorder, determine the appropriate ex- 2]¥b)

pression to be used from table 2 cor- Similarly, determine Qstd from the final flow responding to the one from table 1 used in reading, and calculate the average flow Qstd step 9.3.9. Using this appropriate expression, as one-half the sum of the initial and final determine Qstd for the initial flow rate from flow rates. 46

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10.1.2 For a sampler with a continuous flow 027a, U.S. Environmental Protection Agency, recorder, determine the average flow rate de- Research Triangle Park, NC 27711, 1977. vice reading, I, for the period. Determine the 3. Wedding, J. B., A. R. McFarland, and J. appropriate expression from table 2 cor- E. Cernak. Large Particle Collection Charac- responding to the one from table 1 used in teristics of Ambient Aerosol Samplers. Envi- step 9.3.9. Then using this expression and the ron. Sci. Technol. 11:387–390, 1977. average flow rate reading, determine Qstd 4. McKee, H. C., et al. Collaborative Test- from the sampler calibration curve, either ing of Methods to Measure Air Pollutants, I. graphically or from the transposed regres- The High-Volume Method for Suspended Par- sion equation: ticulate Matter. J. Air Poll. Cont. Assoc., 22 Qstd = (342), 1972. 1/m ([Appropriate expression from table 5. Clement, R. E., and F. W. Karasek. Sam- 2]¥b) ple Composition Changes in Sampling and If the trace shows substantial flow change Analysis of Organic Compounds in Aerosols. during the sampling period, greater accuracy The Intern. J. Environ. Anal. Chem., 7:109, may be achieved by dividing the sampling 1979. period into intervals and calculating an av- 6. Lee, R. E., Jr., and J. Wagman. A Sam- erage reading before determining Q . std pling Anomaly in the Determination of At- 10.2 Calculate the total air volume sampled mospheric Sulfuric Concentration. Am. Ind. as: Hygiene Assoc. J., 27:266, 1966. ¥ × V Qstd t 7. Appel, B. R., et al. Interference Effects where: in Sampling Particulate Nitrate in Ambient V = total air volume sampled, in standard Air. Atmospheric Environment, 13:319, 1979. volume units, std m3/; 8. Tierney, G. P., and W. D. Conner. Hygro- 3 Qstd = average standard flow rate, std m /min; scopic Effects on Weight Determinations of t = sampling time, min. Particulates Collected on Glass-Fiber Fil- 10.3 Calculate and report the particulate ters. Am. Ind. Hygiene Assoc. J., 28:363, 1967. matter concentration as: 9. Chahal, H. S., and D. J. Romano. High- Volume Sampling Effect of Windborne Par- 6 ()10WW−× ticulate Matter Deposited During Idle Peri- = fi TSP ods. J. Air Poll. Cont. Assoc., Vol. 26 (885), V 1976. where: 10. Patterson, R. K. Aerosol Contamination TSP = mass concentration of total suspended from High-Volume Sampler Exhaust. J. Air particulate matter, μg/std m3; Poll. Cont. Assoc., Vol. 30 (169), 1980. Wi = initial weight of clean filter, g; 11. EPA Test Procedures for Determining Wf = final weight of exposed filter, g; pH and Integrity of High-Volume Air Filters. V = air volume sampled, converted to stand- QAD/M–80.01. Available from the Methods ard conditions, std m3, Standardization Branch, Quality Assurance 106 = conversion of g to μg. Division, Environmental Monitoring Sys- 10.4 If desired, the actual particulate mat- tems Laboratory (MD–77), U.S. Environ- ter concentration (see Section 2.2) can be mental Protection Agency, Research Tri- calculated as follows: angle Park, NC 27711, 1980. (TSP)a = TSP (P3/Pstd)(298/T3) 12. Smith, F., P. S. Wohlschlegel, R. S. C. where: Rogers, and D. J. Mulligan. Investigation of Flow Rate Calibration Procedures Associ- (TSP)a = actual concentration at field conditions, μg/m3; ated with the High-Volume Method for De- TSP = concentration at standard conditions, termination of Suspended Particulates. μg/std m3; EPA–600/4–78–047, U.S. Environmental Pro- P3 = average barometric pressure during tection Agency, Research Triangle Park, NC, sampling period, mm Hg; June 1978. Pstd = 760 mn Hg (or 101 kPa); T3 = average ambient temperature during sampling period, K. 11.0 References. 1. Quality Assurance Handbook for Air Pol- lution Measurement Systems, Volume I, Principles. EPA–600/9–76–005, U.S. Environ- mental Protection Agency, Research Tri- angle Park, NC 27711, 1976. 2. Quality Assurance Handbook for Air Pol- lution Measurement Systems, Volume II, Ambient Air Specific Methods. EPA–600/4–77–

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[47 FR 54912, Dec. 6, 1982; 48 FR 17355, Apr. 22, 1983]

APPENDIX C TO PART 50—MEASUREMENT ent air for determining compliance with the PRINCIPLE AND CALIBRATION PROCE- primary and secondary National Ambient DURE FOR THE MEASUREMENT OF Air Quality Standards (NAAQS) for CO as specified in § 50.8 of this chapter. The method CARBON MONOXIDE IN THE ATMOS- is applicable to continuous sampling and PHERE (NON-DISPERSIVE INFRARED measurement of ambient CO concentrations PHOTOMETRY) suitable for determining 1-hour or longer average measurements. The method may also 1.0 APPLICABILITY provide measurements of shorter averaging 1.1 This non-dispersive infrared photom- times, subject to specific analyzer perform- etry (NDIR) Federal Reference Method ance limitations. Additional CO monitoring (FRM) provides measurements of the con- quality assurance procedures and guidance centration of carbon monoxide (CO) in ambi-

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are provided in part 58, appendix A, of this phere. Various instrumental techniques can chapter and in reference 1 of this appendix C. be used to effectively minimize these interferences. 2.0 MEASUREMENT PRINCIPLE 4.0 CALIBRATION PROCEDURES 2.1 Measurements of CO in ambient air are based on automated measurement of the ab- 4.1 Principle. Either of two methods may be sorption of infrared radiation by CO in an selected for dynamic multipoint calibration ambient air sample drawn into an analyzer of FRM CO analyzers, using test gases of ac- employing non-wavelength-dispersive, infra- curately known CO concentrations obtained red photometry (NDIR method). Infrared en- from one or more compressed gas cylinders ergy from a source in the photometer is certified as CO transfer standards: passed through a cell containing the air sam- 4.1.1 Dilution method: A single certified ple to be analyzed, and the quantitative ab- standard cylinder of CO is quantitatively di- sorption of energy by CO in the sample cell luted as necessary with zero air to obtain the is measured by a suitable detector. The pho- various calibration concentration standards tometer is sensitized specifically to CO by needed. employing CO gas in a filter cell in the opti- 4.1.2 Multiple-cylinder method: Multiple, in- cal path, which, when compared to a dif- dividually certified standard cylinders of CO ferential optical path without a CO filter are used for each of the various calibration cell, limits the measured absorption to one concentration standards needed. or more of the characteristic wavelengths at 4.1.3 Additional information on calibration which CO strongly absorbs. However, to meet may be found in Section 12 of reference 1. measurement performance requirements, 4.2 Apparatus. The major components and various optical filters, reference cells, rotat- typical configurations of the calibration sys- ing gas filter cells, dual-beam configura- tems for the two calibration methods are tions, moisture traps, or other means may shown in Figures 1 and 2. Either system may also be used to further enhance sensitivity be made up using common laboratory com- and stability of the photometer and to mini- ponents, or it may be a commercially manu- mize potential measurement interference factured system. In either case, the principal from water vapor, carbon dioxide (CO2), or components are as follows: other species. Also, various schemes may be 4.2.1 CO standard gas flow control and used to provide a suitable zero reference for measurement devices (or a combined device) the photometer, and optional automatic capable of regulating and maintaining the compensation may be provided for the actual standard gas flow rate constant to within ±2 pressure and temperature of the air sample percent and measuring the gas flow rate ac- in the measurement cell. The measured in- curate to within ±2 percent, properly cali- frared absorption, converted to a digital brated to a NIST-traceable standard. reading or an electrical output signal, indi- 4.2.2 For the dilution method (Figure 1), di- cates the measured CO concentration. lution air flow control and measurement de- 2.2 The measurement system is calibrated vices (or a combined device) capable of regu- by referencing the analyzer’s CO measure- lating and maintaining the air flow rate con- ments to CO concentration standards trace- stant to within ±2 percent and measuring the able to a National Institute of Standards and air flow rate accurate to within ±2 percent, Technology (NIST) primary standard for CO, properly calibrated to a NIST-traceable as described in the associated calibration standard. procedure specified in section 4 of this ref- 4.2.3 Standard gas pressure regulator(s) for erence method. the standard CO cylinder(s), suitable for use 2.3 An analyzer implementing this meas- with a high-pressure CO gas cylinder and urement principle will be considered a ref- having a non-reactive diaphragm and inter- erence method only if it has been designated nal parts and a suitable delivery pressure. as a reference method in accordance with 4.2.4 Mixing chamber for the dilution meth- part 53 of this chapter. od of an inert material and of proper design 2.4 Sampling considerations. The use of a to provide thorough mixing of CO standard particle filter in the sample inlet line of a gas and diluent air streams. CO FRM analyzer is optional and left to the 4.2.5 Output sampling manifold, con- discretion of the user unless such a filter is structed of an inert material and of suffi- specified or recommended by the analyzer cient diameter to ensure an insignificant manufacturer in the analyzer’s associated pressure drop at the analyzer connection. operation or instruction manual. The system must have a vent designed to ensure nearly atmospheric pressure at the ana- 3.0 INTERFERENCES lyzer connection port and to prevent ambi- 3.1 The NDIR measurement principle is po- ent air from entering the manifold. tentially susceptible to interference from 4.3 Reagents water vapor and CO2, which have some infrared absorption at wavelengths in common 4.3.1 CO gas concentration transfer stand- with CO and normally exist in the atmos- ard(s) of CO in air, containing an appropriate

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concentration of CO suitable for the selected the one shown schematically in Figure 1. operating range of the analyzer under cali- Generally, all calibration gases including bration and traceable to a NIST standard zero air must be introduced into the sample reference material (SRM). If the CO analyzer inlet of the analyzer. However, if the ana- has significant sensitivity to CO2, the CO lyzer has special, approved zero and span in- standard(s) should also contain 350 to 400 lets and automatic valves to specifically ppm CO2 to replicate the typical CO2 con- allow introduction of calibration standards centration in ambient air. However, if the at near atmospheric pressure, such inlets zero air dilution ratio used for the dilution may be used for calibration in lieu of the method is not less than 100:1 and the zero air sample inlet. For specific operating instruc- contains ambient levels of CO2, then the CO tions, refer to the manufacturer’s manual. standard may be contained in nitrogen and 4.4.2 Ensure that there are no leaks in the need not contain CO2. calibration system and that all flowmeters 4.3.2 For the dilution method, clean zero are properly and accurately calibrated, air, free of contaminants that could cause a under the conditions of use, if appropriate, detectable response on or a change in sensi- against a reliable volume or flow rate stand- tivity of the CO analyzer. The zero air should ard such as a soap-bubble meter or wet-test contain <0.1 ppm CO. meter traceable to a NIST standard. All volumetric flow rates should be corrected to the 4.4 Procedure Using the Dilution Method same temperature and pressure such as 298.15 4.4.1 Assemble or obtain a suitable dy- K (25 °C) and 760 mm Hg (101 kPa), using a namic dilution calibration system such as correction formula such as the following:

Where: 4.4.4 Connect the inlet of the CO analyzer to the output-sampling manifold of the cali- Fc = corrected flow rate (L/min at 25 °C and 760 mm Hg), bration system. 4.4.5 Adjust the calibration system to de- F = measured flow rate (at temperature T m m liver zero air to the output manifold. The and pressure P ), m total air flow must exceed the total demand Pm = measured pressure in mm Hg (absolute), of the analyzer(s) connected to the output and manifold to ensure that no ambient air is Tm = measured temperature in degrees Cel- pulled into the manifold vent. Allow the ana- sius. lyzer to sample zero air until a stable re- 4.4.3 Select the operating range of the CO sponse is obtained. After the response has analyzer to be calibrated. Connect the meas- stabilized, adjust the analyzer zero reading. urement signal output of the analyzer to an 4.4.6 Adjust the zero air flow rate and the appropriate readout instrument to allow the CO gas flow rate from the standard CO cyl- analyzer’s measurement output to be con- inder to provide a diluted CO concentration of approximately 80 percent of the measure- tinuously monitored during the calibration. ment upper range limit (URL) of the oper- Where possible, this readout instrument ating range of the analyzer. The total air should be the same one used to record rou- flow rate must exceed the total demand of tine monitoring data, or, at least, an instru- the analyzer(s) connected to the output ment that is as closely representative of that manifold to ensure that no ambient air is system as feasible. pulled into the manifold vent. The exact CO concentration is calculated from:

Where: [CO]STD = concentration of the undiluted CO standard (ppm), [CO]OUT = diluted CO concentration at the output manifold (ppm),

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FCO = flow rate of the CO standard (L/min), 4.5.2 The flowmeter need not be accurately and calibrated, provided the flow in the output FD = flow rate of the dilution air (L/min). manifold can be verified to exceed the ana- Sample this CO concentration until a stable lyzer’s flow demand. response is obtained. Adjust the analyzer 4.5.3 The various CO calibration concentra- span control to obtain the desired analyzer tions required in Steps 4.4.5, 4.4.6, and 4.4.7 response reading equivalent to the cal- are obtained without dilution by selecting culated standard concentration. If substan- zero air or the appropriate certified standard tial adjustment of the analyzer span control cylinder. is required, it may be necessary to recheck 4.6 Frequency of Calibration. The frequency the zero and span adjustments by repeating of calibration, as well as the number of steps 4.4.5 and 4.4.6. Record the CO con- points necessary to establish the calibration centration and the analyzer’s final response. 4.4.7 Generate several additional con- curve and the frequency of other perform- centrations (at least three evenly spaced ance checking, will vary by analyzer. How- points across the remaining scale are sug- ever, the minimum frequency, acceptance criteria, and subsequent actions are specified gested to verify linearity) by decreasing FCO in reference 1, appendix D, ‘‘Measurement or increasing FD. Be sure the total flow exceeds the analyzer’s total flow demand. For Quality Objectives and Validation Template each concentration generated, calculate the for CO’’ (page 5 of 30). The user’s quality con- exact CO concentration using equation (2). trol program should provide guidelines for Record the concentration and the analyzer’s initial establishment of these variables and stable response for each concentration. Plot for subsequent alteration as operational ex- the analyzer responses (vertical or y-axis) perience is accumulated. Manufacturers of versus the corresponding CO concentrations CO analyzers should include in their instruc- (horizontal or x-axis). Calculate the linear tion/operation manuals information and regression slope and intercept of the calibra- guidance as to these variables and on other tion curve and verify that no point deviates matters of operation, calibration, routine from this line by more than 2 percent of the maintenance, and quality control. highest concentration tested. 4.5 Procedure Using the Multiple-Cylinder 5.0 REFERENCE Method. Use the procedure for the dilution method with the following changes: 1. QA Handbook for Air Pollution Measure- 4.5.1 Use a multi-cylinder, dynamic cali- ment Systems—Volume II. Ambient Air Quality bration system such as the typical one Monitoring Program. U.S. EPA. EPA–454/B–08– shown in Figure 2. 003 (2008).

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[76 FR 54323, Aug. 31, 2011]

APPENDIX D TO PART 50—REFERENCE 2.2 The measurement system is calibrated MEASUREMENT PRINCIPLE AND CALI- by referencing the instrumental BRATION PROCEDURE FOR THE MEAS- chemiluminescence measurements to certified O3 standard concentrations generated UREMENT OF OZONE IN THE ATMOS- in a dynamic flow system and assayed by PHERE (CHEMILUMINESCENCE METH- photometry to be traceable to a National In- OD) stitute of Standards and Technology (NIST) standard reference photometer for O3 (see 1.0 Applicability. Section 4, Calibration Procedure, below). 1.1 This chemiluminescence method pro- 2.3 An analyzer implementing this meas- vides reference measurements of the con- urement principle is shown schematically in centration of ozone (O3) in ambient air for Figure 1. Designs implementing this meas- determining compliance with the national urement principle must include: an appro- primary and secondary ambient air quality priately designed mixing and measurement standards for O3 as specified in 40 CFR part cell; a suitable quantitative photometric 50. This automated method is applicable to measurement system with adequate sensi- the measurement of ambient O concentra- 3 tivity and wavelength specificity for O3; a tions using continuous (real-time) sampling pump, flow control, and sample conditioning and analysis. Additional quality assurance system for sampling the ambient air and procedures and guidance are provided in 40 moving it into and through the measurement CFR part 58, appendix A, and in Reference 14. cell; a sample air dryer as necessary to meet 2.0 Measurement Principle. the water vapor interference limit require- 2.1 This reference method is based on con- ment specified in subpart B of part 53 of this tinuous automated measurement of the in- chapter; a means to supply, meter, and mix tensity of the characteristic a constant, flowing stream of either C2H4 or chemiluminescence released by the gas phase NO gas of fixed concentration with the sam- reaction of O3 in sampled air with either ple air flow in the measurement cell; suit- ethylene (C2H4) or nitric oxide (NO) gas. An able electronic control and measurement ambient air sample stream and a specific processing capability; and other associated flowing concentration of either C2H4 (ET–CL apparatus as may be necessary. The analyzer method) or NO (NO–CL method) are mixed in must be designed and constructed to provide a measurement cell, where the resulting accurate, repeatable, and continuous meas- chemiluminescence is quantitatively measurements of O3 concentrations in ambient ured by a sensitive photo-detector. Ref- air, with measurement performance that erences 8–11 describe the chemiluminescence meets the requirements specified in subpart measurement principle. B of part 53 of this chapter.

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2.4 An analyzer implementing this meas- buildup of airborne particulate matter is urement principle and calibration procedure minimized by filter replacement and clean- will be considered a federal reference method ing of the other inlet components. (FRM) only if it has been designated as a ref- 4.0 Calibration Procedure. erence method in accordance with part 53 of 4.1 Principle. The calibration procedure is this chapter. based on the photometric assay of O3 con- 2.5 Sampling considerations. The use of a centrations in a dynamic flow system. The particle filter on the sample inlet line of a concentration of O in an absorption cell is chemiluminescence O FRM analyzer is re- 3 3 determined from a measurement of the quired to prevent buildup of particulate mat- amount of 254 nm light absorbed by the sam- ter in the measurement cell and inlet compo- ple. This determination requires knowledge nents. This filter must be changed weekly (or at least often as specified in the manufac- of (1) the absorption coefficient (a) of O3 at turer’s operation/instruction manual), and 254 nm, (2) the optical path length (l) the sample inlet system used with the ana- through the sample, (3) the transmittance of the sample at a nominal wavelength of 254 lyzer must be kept clean, to avoid loss of O3 nm, and (4) the temperature (T) and pressure in the O3 sample air prior to the concentration measurement. (P) of the sample. The transmittance is de- 3.0 Interferences. fined as the ratio I/I0, where I is the intensity 3.1 Except as described in 3.2 below, the of light which passes through the cell and is chemiluminescence measurement system is sensed by the detector when the cell con- inherently free of significant interferences tains an O3 sample, and I0 is the intensity of from other pollutant substances that may be light which passes through the cell and is present in ambient air. sensed by the detector when the cell con- 3.2 A small sensitivity to variations in the tains zero air. It is assumed that all condi- humidity of the sample air is minimized by tions of the system, except for the contents a sample air dryer. Potential loss of O3 in the of the absorption cell, are identical during inlet air filter and in the air sample handling measurement of I and I0. The quantities de- components of the analyzer and associated fined above are related by the Beer-Lambert exterior air sampling components due to absorption law,

Where: A stable O3 generator is used to produce O3 concentrations over the required calibration a = absorption coefficient of O3 at 254 nm = 308 ±4 atm¥1 cm¥1 at 0 °C and 760 concentration range. Each O3 concentration is determined from the measurement of the torr, 1234567 transmittance (I/I ) of the sample at 254 nm c = O concentration in atmospheres, and 0 3 with a photometer of path length l and cal- l = optical path length in cm. culated from the equation,

The calculated O3 concentrations must be lyzers, either directly or by means of a corrected for O3 losses, which may occur in transfer standard certified by this procedure. the photometer, and for the temperature and Transfer standards must meet the require- pressure of the sample. ments and specifications set forth in Ref- 4.2 Applicability. This procedure is applica- erence 12. ble to the calibration of ambient air O3 ana- 57

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4.3 Apparatus. A complete UV calibration must have a vent designed to insure atmos- system consists of an O3 generator, an out- pheric pressure in the manifold and to pre- put port or manifold, a photometer, an ap- vent ambient air from entering the manifold. propriate source of zero air, and other com- 4.3.5 Two-way valve. A manual or auto- ponents as necessary. The configuration matic two-way valve, or other means is used must provide a stable O3 concentration at to switch the photometer flow between zero the system output and allow the photometer air and the O concentration. to accurately assay the output concentra- 3 4.3.6 Temperature indicator. A device to indi- tion to the precision specified for the pho- cate temperature must be used that is accu- tometer (4.3.1). Figure 2 shows a commonly rate to ±1 °C. used configuration and serves to illustrate the calibration procedure, which follows. 4.3.7 Barometer or pressure indicator. A de- Other configurations may require appro- vice to indicate barometric pressure must be priate variations in the procedural steps. All used that is accurate to ±2 torr. connections between components in the cali- 4.4 Reagents. bration system downstream of the O3 gener- 4.4.1 Zero air. The zero air must be free of ator must be of glass, Teflon, or other rel- contaminants which would cause a detect- atively inert materials. Additional informa- able response from the O3 analyzer, and it tion regarding the assembly of a UV photo- must be free of NO, C2H4, and other species metric calibration apparatus is given in Ref- which react with O3. A procedure for gener- erence 13. For certification of transfer stand- ating suitable zero air is given in Reference ards which provide their own source of O3, 13. As shown in Figure 2, the zero air sup- the transfer standard may replace the O 3 plied to the photometer cell for the I0 ref- generator and possibly other components erence measurement must be derived from shown in Figure 2; see Reference 12 for guid- the same source as the zero air used for gen- ance. eration of the O3 concentration to be assayed 4.3.1 UV photometer. The photometer con- (I measurement). When using the photometer sists of a low-pressure mercury discharge to certify a transfer standard having its own lamp, (optional) collimation optics, an ab- source of O , see Reference 12 for guidance on sorption cell, a detector, and signal-proc- 3 meeting this requirement. essing electronics, as illustrated in Figure 2. It must be capable of measuring the trans- 4.5 Procedure. 4.5.1 General operation. The calibration pho- mittance, I/I0, at a wavelength of 254 nm with sufficient precision such that the standard tometer must be dedicated exclusively to use deviation of the concentration measure- as a calibration standard. It must always be ments does not exceed the greater of 0.005 used with clean, filtered calibration gases, ppm or 3% of the concentration. Because the and never used for ambient air sampling. A low-pressure mercury lamp radiates at sev- number of advantages are realized by locat- eral wavelengths, the photometer must ining the calibration photometer in a clean corporate suitable means to assure that no laboratory where it can be stationary, pro- O3 is generated in the cell by the lamp, and tected from the physical shock of transpor- that at least 99.5% of the radiation sensed by tation, operated by a responsible analyst, the detector is 254 nm radiation. (This can be and used as a common standard for all field readily achieved by prudent selection of op- calibrations via transfer standards. tical filter and detector response character- 4.5.2 Preparation. Proper operation of the istics.) The length of the light path through photometer is of critical importance to the the absorption cell must be known with an accuracy of this procedure. Upon initial op- accuracy of at least 99.5%. In addition, the eration of the photometer, the following cell and associated plumbing must be de- steps must be carried out with all quan- signed to minimize loss of O3 from contact titative results or indications recorded in a with cell walls and gas handling components. chronological record, either in tabular form See Reference 13 for additional information. or plotted on a graphical chart. As the per- 4.3.2 Air flow controllers. Air flow control- formance and stability record of the photom- lers are devices capable of regulating air eter is established, the frequency of these flows as necessary to meet the output sta- steps may be reduced to be consistent with bility and photometer precision require- the documented stability of the photometer ments. 4.3.3 Ozone generator. The ozone generator and the guidance provided in Reference 12. used must be capable of generating stable 4.5.2.1 Instruction manual. Carry out all set up and adjustment procedures or checks as levels of O3 over the required concentration range. described in the operation or instruction 4.3.4 Output manifold. The output manifold manual associated with the photometer. must be constructed of glass, Teflon, or 4.5.2.2 System check. Check the photometer other relatively inert material, and should system for integrity, leaks, cleanliness, be of sufficient diameter to insure a neg- proper flow rates, etc. Service or replace fil- ligible pressure drop at the photometer con- ters and zero air scrubbers or other nection and other output ports. The system consumable materials, as necessary.

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4.5.2.3 Linearity. Verify that the photom- for the instrument, then accurately dilute eter manufacturer has adequately estab- that concentration with zero air and re- lished that the linearity error of the photom- assay it. Repeat at several different dilution eter is less than 3%, or test the linearity by ratios. Compare the assay of the original dilution as follows: Generate and assay an O3 concentration with the assay of the diluted concentration near the upper range limit of concentration divided by the dilution ratio, the system or appropriate calibration scale as follows

Where: versely related to the time required for E = linearity error, percent flushing, since the photometer drift error increases with time. A1 = assay of the original concentration A2 = assay of the diluted concentration 4.5.3.3 Ensure that the flow rate into the R = dilution ratio = flow of original con- output manifold is at least 1 liter/min great- centration divided by the total flow er than the total flow rate required by the photometer and any other flow demand con- The linearity error must be less than 5%. nected to the manifold. Since the accuracy of the measured flow- 4.5.3.4 Ensure that the flow rate of zero air, rates will affect the linearity error as meas- Fz, is at least 1 liter/min greater than the ured this way, the test is not necessarily flow rate required by the photometer. conclusive. Additional information on verifying linearity is contained in Reference 4.5.3.5 With zero air flowing in the output 13. manifold, actuate the two-way valve to allow 4.5.2.4 Inter-comparison. The photometer the photometer to sample first the manifold must be inter-compared annually, either di- zero air, then Fz. The two photometer read- rectly or via transfer standards, with a NIST ings must be equal (I = I0). standard reference photometer (SRP) or cali- NOTE: In some commercially available bration photometers used by other agencies photometers, the operation of the two-way or laboratories. valve and various other operations in section 4.5.3 may be carried out automatically by 4.5.2.5 Ozone losses. Some portion of the O3 may be lost upon contact with the photom- the photometer. eter cell walls and gas handling components. 4.5.3.6 Adjust the O3 generator to produce The magnitude of this loss must be deter- an O3 concentration as needed. mined and used to correct the calculated O3 4.5.3.7 Actuate the two-way valve to allow concentration. This loss must not exceed 5%. the photometer to sample zero air until the Some guidelines for quantitatively deter- absorption cell is thoroughly flushed and mining this loss are discussed in Reference record the stable measured value of Io. 13. 4.5.3.8 Actuate the two-way valve to allow 4.5.3 Assay of O3 concentrations. The oper- the photometer to sample the O3 concentra- ator must carry out the following steps to tion until the absorption cell is thoroughly properly assay O3 concentrations. flushed and record the stable measured value 4.5.3.1 Allow the photometer system to of I. warm up and stabilize. 4.5.3.9 Record the temperature and pressure 4.5.3.2 Verify that the flow rate through of the sample in the photometer absorption the photometer absorption cell, F, allows the cell. (See Reference 13 for guidance.) cell to be flushed in a reasonably short pe- 4.5.3.10 Calculate the O3 concentration riod of time (2 liter/min is a typical flow). from equation 4. An average of several deter- The precision of the measurements is in- minations will provide better precision.

Where: T = sample temperature, K P = sample pressure, torr [O3]OUT = O3 concentration, ppm a = absorption coefficient of O3 at 254 nm = L = correction factor for O3 losses from 308 atm¥1 cm¥1 at 0 °C and 760 torr 4.5.2.5 = (1¥fraction of O3 lost). l = optical path length, cm

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NOTE: Some commercial photometers may centration standard until a stable response automatically evaluate all or part of equa- is obtained. tion 4. It is the operator’s responsibility to 4.5.5.4 Adjust the O3 analyzer’s span control verify that all of the information required to obtain the desired response equivalent to for equation 4 is obtained, either automati- the calculated standard concentration. cally by the photometer or manually. For Record the O3 concentration and the cor- ‘‘automatic’’ photometers which evaluate responding analyzer response. If substantial the first term of equation 4 based on a linear adjustment of the span control is necessary, approximation, a manual correction may be recheck the zero and span adjustments by re- required, particularly at higher O3 levels. peating steps 4.5.5.2 to 4.5.5.4. See the photometer instruction manual and 4.5.5.5 Generate additional O3 concentra- Reference 13 for guidance. tion standards (a minimum of 5 are rec- 4.5.3.11 Obtain additional O3 concentration ommended) over the calibration scale of the standards as necessary by repeating steps O3 analyzer by adjusting the O3 source or by 4.5.3.6 to 4.5.3.10 or by Option 1. Option 1. For each O3 concentration stand- 4.5.4 Certification of transfer standards. A ard, record the O3 concentration and the cor- transfer standard is certified by relating the responding analyzer response. output of the transfer standard to one or 4.5.5.6 Plot the O3 analyzer responses more O3 calibration standards as determined (vertical or Y-axis) versus the corresponding according to section 4.5.3. The exact proce- O3 standard concentrations (horizontal or X- dure varies depending on the nature and de- axis). Compute the linear regression slope sign of the transfer standard. Consult Ref- and intercept and plot the regression line to erence 12 for guidance. verify that no point deviates from this line 4.5.5 Calibration of ozone analyzers. Ozone by more than 2 percent of the maximum con- analyzers must be calibrated as follows, centration tested. using O3 standards obtained directly accord- 4.5.5.7 Option 1: The various O3 concentra- ing to section 4.5.3 or by means of a certified tions required in steps 4.5.3.11 and 4.5.5.5 may transfer standard. be obtained by dilution of the O3 concentra- 4.5.5.1 Allow sufficient time for the O3 ana- tion generated in steps 4.5.3.6 and 4.5.5.3. lyzer and the photometer or transfer stand- With this option, accurate flow measure- ard to warm-up and stabilize. ments are required. The dynamic calibration 4.5.5.2 Allow the O3 analyzer to sample zero system may be modified as shown in Figure air until a stable response is obtained and 3 to allow for dilution air to be metered in then adjust the O3 analyzer’s zero control. downstream of the O3 generator. A mixing Offsetting the analyzer’s zero adjustment to chamber between the O3 generator and the +5% of scale is recommended to facilitate ob- output manifold is also required. The flow serving negative zero drift (if any). Record rate through the O3 generator (Fo) and the the stable zero air response as ‘‘Z’’. dilution air flow rate (FD) are measured with 4.5.5.3 Generate an O3 concentration stand- a flow or volume standard that is traceable ard of approximately 80% of the desired to a NIST flow or volume calibration stand- upper range limit (URL) of the O3 analyzer. ard. Each O3 concentration generated by di- Allow the O3 analyzer to sample this O3 con- lution is calculated from:

Where: Measurement Quality Objectives and Valida- tion Templates. The user’s quality control [O3]′OUT = diluted O3 concentration, ppm program shall provide guidelines for initial FO = flow rate through the O3 generator, liter/min establishment of these variables and for sub- FD = diluent air flow rate, liter/min sequent alteration as operational experience NOTE: Additional information on calibra- is accumulated. Manufacturers of analyzers tion and pollutant standards is provided in should include in their instruction/operation Section 12 of Reference 14. manuals information and guidance as to 5.0 Frequency of Calibration. these variables and on other matters of oper- 5.1 The frequency of calibration, as well as ation, calibration, routine maintenance, and the number of points necessary to establish quality control. the calibration curve, and the frequency of 6.0 References. other performance checking will vary by an- 1. E.C.Y. Inn and Y. Tanaka, ‘‘Absorption co- alyzer; however, the minimum frequency, ac- efficient of Ozone in the Ultraviolet and ceptance criteria, and subsequent actions are Visible Regions’’, J. Opt. Soc. Am., 43, 870 specified in Appendix D of Reference 14: (1953).

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2. A. G. Hearn, ‘‘Absorption of Ozone in the 10. Ridley, B.A.; Grahek, F.E.; Walega, J.G. Ultraviolet and Visible Regions of the ‘‘A small, high-sensitivity, medium-re- Spectrum’’, Proc. Phys. Soc. (London), sponse ozone detector suitable for meas- 78, 932 (1961). urements from light aircraft.’’ J. Atmos. 3. W. B. DeMore and O. Raper, ‘‘Hartley Band Oceanic Technol., 9 (2), 142–148(1992). Extinction Coefficients of Ozone in the 11. Boylan, P., Helmig, D., and Park, J.H. Gas Phase and in Liquid Nitrogen, Car- ‘‘Characterization and mitigation of bon Monoxide, and Argon’’, J. Phys. water vapor effects in the measurement Chem., 68, 412 (1964). 4. M. Griggs, ‘‘Absorption Coefficients of of ozone by chemiluminescence with ni- Ozone in the Ultraviolet and Visible Re- tric oxide.’’ Atmos. Meas. Tech. 7, 1231– gions’’, J. Chem. Phys., 49, 857 (1968). 1244 (2014). 5. K. H. Becker, U. Schurath, and H. Seitz, 12. Transfer Standards for Calibration of Am- ‘‘Ozone Olefin Reactions in the Gas bient Air Monitoring Analyzers for Phase. 1. Rate Constants and Activation Ozone, EPA publication number EPA–454/ Energies’’, Int’l Jour. of Chem. Kinetics, B–13–004, October 2013. EPA, Office of Air VI, 725 (1974). Quality Planning and Standards, Re- 6. M. A. A. Clyne and J. A. Coxom, ‘‘Kinetic search Triangle Park, NC 27711. [Avail- Studies of Oxy-halogen Radical Sys- able at www.epa.gov/ttnamti1/files/ambient/ tems’’, Proc. Roy. Soc., A303, 207 (1968). qaqc/OzoneTransferStandardGuidance.pdf.] 7. J. W. Simons, R. J. Paur, H. A. Webster, 13. Technical Assistance Document for the and E. J. Bair, ‘‘Ozone Ultraviolet Pho- Calibration of Ambient Ozone Monitors, tolysis. VI. The Ultraviolet Spectrum’’, EPA publication number EPA–600/4–79– J. Chem. Phys., 59, 1203 (1973). 8. Ollison, W.M.; Crow, W.; Spicer, C.W. 057, September, 1979. [Available at ‘‘Field testing of new-technology ambi- www.epa.gov/ttnamti1/files/ambient/criteria/ ent air ozone monitors.’’ J. Air Waste 4–79–057.pdf.] Manage. Assoc., 63 (7), 855–863 (2013). 14. QA Handbook for Air Pollution Measure- 9. Parrish, D.D.; Fehsenfeld, F.C. ‘‘Methods ment Systems—Volume II. Ambient Air for gas-phase measurements of ozone, Quality Monitoring Program. EPA–454/B– ozone precursors and aerosol precur- 13–003, May 2013. [Available at http:// sors.’’ Atmos. Environ., 34 (12–14), 1921– www.epa.gov/ttnamti1/files/ambient/pm25/qa/ 1957(2000). QA-Handbook-Vol-II.pdf.]

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[80 FR 65453, Oct. 26, 2015] converted. This latter NO measurement is subtracted from the former measurement APPENDIX E TO PART 50 [RESERVED] (NO + NO2) to yield the final NO2 measurement. The NO and NO + NO2 measurements APPENDIX F TO PART 50—MEASUREMENT may be made concurrently with dual sys- PRINCIPLE AND CALIBRATION PROCE- tems, or cyclically with the same system DURE FOR THE MEASUREMENT OF NI- provided the cycle time does not exceed 1 TROGEN DIOXIDE IN THE ATMOSPHERE minute. (GAS PHASE CHEMILUMINESCENCE) 2. Sampling considerations. 2.1 Chemiluminescence NO/NOX/NO2 ana- PRINCIPLE AND APPLICABILITY lyzers will respond to other nitrogen con- 1. Atmospheric concentrations of nitrogen taining compounds, such as peroxyacetyl nitrate (PAN), which might be reduced to NO dioxide (NO2) are measured indirectly by photometrically measuring the light inten- in the thermal converter. (7) Atmospheric sity, at wavelengths greater than 600 nano- concentrations of these potential inter- meters, resulting from the ferences are generally low relative to NO2 chemiluminescent reaction of nitric oxide and valid NO2 measurements may be ob- (NO) with ozone (O3). (1,2,3) NO2 is first quan- tained. In certain geographical areas, where titatively reduced to NO(4,5,6) by means of a the concentration of these potential inter- converter. NO, which commonly exists in ferences is known or suspected to be high ambient air together with NO2, passes relative to NO2, the use of an equivalent through the converter unchanged causing a method for the measurement of NO2 is rec- resultant total NOX concentration equal to ommended. NO + NO2. A sample of the input air is also 2.2 The use of integrating flasks on the measured without having passed through the sample inlet line of chemiluminescence NO/

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NOX/NO2 analyzers is optional and left to 1.2.3 Air flowmeters. Calibrated flowmeters couraged. The sample residence time be- capable of measuring and monitoring air tween the sampling point and the analyzer flowrates with an accuracy of ±2% of the should be kept to a minimum to avoid erro- measured flowrate. neous NO2 measurements resulting from the 1.2.4 NO flowmeter. A calibrated flowmeter reaction of ambient levels of NO and O3 in capable of measuring and monitoring NO the sampling system. flowrates with an accuracy of ±2% of the 2.3 The use of particulate filters on the measured flowrate. (Rotameters have been sample inlet line of chemiluminescence NO/ reported to operate unreliably when meas- NOX/NO2 analyzers is optional and left to the uring low NO flows and are not rec- discretion of the user or the manufacturer. ommended.) Use of the filter should depend on the ana- 1.2.5 Pressure regulator for standard NO cyl- lyzer’s susceptibility to interference, mal- inder. This regulator must have a nonreac- function, or damage due to particulates. tive diaphragm and internal parts and a suit- Users are cautioned that particulate matter able delivery pressure. concentrated on a filter may cause erroneous 1.2.6 Ozone generator. The generator must NO2 measurements and therefore filters be capable of generating sufficient and stable should be changed frequently. levels of O for reaction with NO to generate 3. An analyzer based on this principle will 3 NO2 concentrations in the range required. be considered a reference method only if it Ozone generators of the electric discharge has been designated as a reference method in type may produce NO and NO2 and are not accordance with part 53 of this chapter. recommended. CALIBRATION 1.2.7 Valve. A valve may be used as shown in Figure 1 to divert the NO flow when zero 1. Alternative A—Gas phase titration (GPT) air is required at the manifold. The valve of an NO standard with O3. should be constructed of glass, Teflon ®, or Major equipment required: Stable O3 gener- other nonreactive material. ator. Chemiluminescence NO/NOX/NO2 ana- 1.2.8 Reaction chamber. A chamber, con- lyzer with strip chart recorder(s). NO constructed of glass, Teflon ®, or other nonreac- centration standard. tive material, for the quantitative reaction 1.1 Principle. This calibration technique is of O3 with excess NO. The chamber should be based upon the rapid gas phase reaction be- of sufficient volume (VRC) such that the resi- tween NO and O to produce stoichiometric 3 dence time (tR) meets the requirements spec- quantities of NO in accordance with the fol- 2 ified in 1.4. For practical reasons, tR should lowing equation: (8) be less than 2 minutes. +→ + 1.2.9 Mixing chamber. A chamber con- NO O322 NO O ()1 structed of glass, Teflon ®, or other nonreac- The quantitative nature of this reaction is tive material and designed to provide thor- such that when the NO concentration is ough mixing of reaction products and diluent known, the concentration of NO2 can be de- air. The residence time is not critical when termined. Ozone is added to excess NO in a the dynamic parameter specification given dynamic calibration system, and the NO in 1.4 is met. channel of the chemiluminescence NO/NOX/ 1.2.10 Output manifold. The output manifold ® NO2 analyzer is used as an indicator of should be constructed of glass, Teflon , or changes in NO concentration. Upon the addi- other non-reactive material and should be of tion of O3, the decrease in NO concentration sufficient diameter to insure an insignificant observed on the calibrated NO channel is pressure drop at the analyzer connection. equivalent to the concentration of NO2 pro- The system must have a vent designed to induced. The amount of NO2 generated may be sure atmospheric pressure at the manifold varied by adding variable amounts of O3 from and to prevent ambient air from entering the a stable uncalibrated O3 generator. (9) manifold. 1.2 Apparatus. Figure 1, a schematic of a 1.3 Reagents. typical GPT apparatus, shows the suggested 1.3.1 NO concentration standard. Gas cyl- configuration of the components listed inder standard containing 50 to 100 ppm NO below. All connections between components in N2 with less than 1 ppm NO2. This stand- in the calibration system downstream from ard must be traceable to a National Bureau ® the O3 generator should be of glass, Teflon , of Standards (NBS) NO in N2 Standard Ref- or other non-reactive material. erence Material (SRM 1683 or SRM 1684), an 1.2.1 Air flow controllers. Devices capable of NBS NO2 Standard Reference Material (SRM maintaining constant air flows within ±2% of 1629), or an NBS/EPA-approved commercially the required flowrate. available Certified Reference Material 1.2.2 NO flow controller. A device capable of (CRM). CRM’s are described in Reference 14, maintaining constant NO flows within ±2% and a list of CRM sources is available from of the required flowrate. Component parts in the address shown for Reference 14. A rec- contact with the NO should be of a non-reac- ommended protocol for certifying NO gas tive material. cylinders against either an NO SRM or CRM

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is given in section 2.0.7 of Reference 15. Ref- erence 13 gives procedures for certifying an

NO gas cylinder against an NBS NO2 SRM and for determining the amount of NO2 impurity in an NO cylinder. 1.3.2 Zero air. Air, free of contaminants (f) Compute t as which will cause a detectable response on the R NO/NOX/NO2 analyzer or which might react V with either NO, O , or NO in the gas phase = RC 3 2 tR (7) titration. A procedure for generating zero air + FFONO is given in reference 13. Verify that t <2 minutes. If not, select a re- 1.4 Dynamic parameter specification. R action chamber with a smaller V . 1.4.1 The O generator air flowrate (F ) and RC 3 0 (g) Compute the diluent air flowrate as NO flowrate (FNO) (see Figure 1) must be adjusted such that the following relationship FFFF= holds: DTO''NO ()8 where: Pt=×[NO] 2.75 ppm-minutes (2) 3 RRCR FD = diluent air flowrate, scm /min (h) If F turns out to be impractical for the ⎛ ⎞ O FNO desired system, select a reaction chamber []NO= [] NO ⎜ ⎟ ()3 having a different V and recompute F and RC STD ⎝ + ⎠ RC O FFONO FD. NOTE: A dynamic parameter lower than V 2.75 ppm-minutes may be used if it can be de- t = RC < 2 minutes (4) R + termined empirically that quantitative reac- FFO NO tion of O3 with NO occurs. A procedure for where: making this determination as well as a more detailed discussion of the above require- PR = dynamic parameter specification, deter- ments and other related considerations is mined empirically, to insure complete given in reference 13. reaction of the available O , ppm-minute 3 1.5 Procedure. [NO]RC = NO concentration in the reaction chamber, ppm 1.5.1 Assemble a dynamic calibration sys- ATH> tem such as the one shown in Figure 1. = residence time of the reactant gases in R 1.5.2 Insure that all flowmeters are cali- the reaction chamber, minute brated under the conditions of use against a [NO] = concentration of the undiluted NO STD reliable standard such as a soap-bubble standard, ppm meter or wet-test meter. All volumetric 3 FNO = NO flowrate, scm /min flowrates should be corrected to 25 °C and 760 3 FO = O3 generator air flowrate, scm /min mm Hg. A discussion on the calibration of 3 VRC = volume of the reaction chamber, scm flowmeters is given in reference 13. 1.4.2 The flow conditions to be used in the 1.5.3 Precautions must be taken to remove GPT system are determined by the following O2 and other contaminants from the NO pres- procedure: sure regulator and delivery system prior to

(a) Determine FT, the total flow required at the start of calibration to avoid any conver- the output manifold (FT = analyzer demand sion of the standard NO to NO2. Failure to do plus 10 to 50% excess). so can cause significant errors in calibration. This problem may be minimized by (1) care- (b) Establish [NO]OUT as the highest NO concentration (ppm) which will be required fully evacuating the regulator, when possible, after the regulator has been connected at the output manifold. [NO]OUT should be approximately equivalent to 90% of the to the cylinder and before opening the cyl- upper range limit (URL) of the NO con- inder valve; (2) thoroughly flushing the regu- 2 lator and delivery system with NO after centration range to be covered. opening the cylinder valve; (3) not removing (c) Determine F as NO the regulator from the cylinder between cali- [NO] × F brations unless absolutely necessary. Fur- F = OUT T ()5 ther discussion of these procedures is given NO []NO in reference 13. STD 1.5.4 Select the operating range of the NO/ (d) Select a convenient or available reac- NOX/NO2 analyzer to be calibrated. In order tion chamber volume. Initially, a trial VRC to obtain maximum precision and accuracy may be selected to be in the range of ap- for NO2 calibration, all three channels of the proximately 200 to 500 scm3. analyzer should be set to the same range. If (e) Compute FO as operation of the NO and NOX channels on 66

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higher ranges is desired, subsequent re- URL = nominal upper range limit of the NO calibration of the NO and NOX channels on channel, ppm the higher ranges is recommended. NOTE: Some analyzers may have separate NOTE: Some analyzer designs may require span controls for NO, NOX, and NO2. Other identical ranges for NO, NOX, and NO2 during analyzers may have separate span controls operation of the analyzer. only for NO and NOX, while still others may 1.5.5 Connect the recorder output cable(s) have only one span control common to all three channels. When only one span control of the NO/NOX/NO2 analyzer to the input terminals of the strip chart recorder(s). All ad- is available, the span adjustment is made on justments to the analyzer should be per- the NO channel of the analyzer. formed based on the appropriate strip chart If substantial adjustment of the NO span readings. References to analyzer responses in control is necessary, it may be necessary to the procedures given below refer to recorder recheck the zero and span adjustments by re- responses. peating steps 1.5.7 and 1.5.8.1. Record the NO 1.5.6 Determine the GPT flow conditions concentration and the analyzer’s NO re- required to meet the dynamic parameter sponse. specification as indicated in 1.4. 1.5.8.2 Adjustment of NOX span control. When 1.5.7 Adjust the diluent air and O3 gener- adjusting the analyzer’s NOX span control, ator air flows to obtain the flows determined the presence of any NO2 impurity in the in section 1.4.2. The total air flow must ex- standard NO cylinder must be taken into ac- ceed the total demand of the analyzer(s) con- count. Procedures for determining the nected to the output manifold to insure that amount of NO2 impurity in the standard NO no ambient air is pulled into the manifold cylinder are given in reference 13. The exact vent. Allow the analyzer to sample zero air NOX concentration is calculated from: until stable NO, NOX, and NO2 responses are obtained. After the responses have stabilized, FNONO×+()[] [ ] adjust the analyzer zero control(s). = NO STD2 IMP []NOX OUT ()11 NOTE: Some analyzers may have separate ++ FFFNO O D zero controls for NO, NOX, and NO2. Other analyzers may have separate zero controls where: only for NO and NOX, while still others may [NOX]OUT = diluted NOX concentration at the have only one zero control common to all output manifold, ppm three channels. [NO2]IMP = concentration of NO2 impurity in Offsetting the analyzer zero adjustments the standard NO cylinder, ppm to + 5 percent of scale is recommended to fa- Adjust the NOX span control to obtain a re- cilitate observing negative zero drift. Record corder response as indicated below: the stable zero air responses as ZNO, ZNOX, recorder response (% scale) = and ZNO2. 1.5.8 Preparation of NO and NOX calibration ⎛ []NO ⎞ curves. ⎜ X OUT × ⎟ + ⎜ 100⎟ Z NO () 12 1.5.8.1 Adjustment of NO span control. Adjust ⎝ ⎠ X the NO flow from the standard NO cylinder URL to generate an NO concentration of approxi- NOTE: If the analyzer has only one span mately 80 percent of the upper range limit control, the span adjustment is made on the (URL) of the NO range. This exact NO con- NO channel and no further adjustment is centration is calculated from: made here for NOX. × If substantial adjustment of the NOX span FNO[] control is necessary, it may be necessary to []NO = NO STD ()9 OUT recheck the zero and span adjustments by re- ++ FFFNO O D peating steps 1.5.7 and 1.5.8.2. Record the NOX where: concentration and the analyzer’s NOX response. [NO]OUT = diluted NO concentration at the 1.5.8.3 Generate several additional con- output manifold, ppm centrations (at least five evenly spaced Sample this NO concentration until the NO points across the remaining scale are sug- and NOX responses have stabilized. Adjust gested to verify linearity) by decreasing FNO the NO span control to obtain a recorder re- or increasing FD. For each concentration sponse as indicated below: generated, calculate the exact NO and NOX recorder response (percent scale) = concentrations using equations (9) and (11) respectively. Record the analyzer’s NO and NO responses for each concentration. Plot ⎛ []NO ⎞ X ⎜ OUT ×100⎟ + Z () 10 the analyzer responses versus the respective ⎜ ⎟ NO calculated NO and NO concentrations and ⎝ URL ⎠ X draw or calculate the NO and NOX calibra- where: tion curves. For subsequent calibrations

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where linearity can be assumed, these curves centration as [NO]orig. Using the NOX calibra- may be checked with a two-point calibration tion curve obtained in section 1.5.8, measure consisting of a zero air point and NO and and record the NOX concentration as NOX concentrations of approximately 80% of [NOX]orig. the URL. 1.5.9.2 Adjust the O3 generator to generate 1.5.9 Preparation of NO2 calibration curve. sufficient O3 to produce a decrease in the NO 1.5.9.1 Assuming the NO2 zero has been concentration equivalent to approximately properly adjusted while sampling zero air in 80% of the URL of the NO2 range. The de- step 1.5.7, adjust FO and FD as determined in crease must not exceed 90% of the NO con- section 1.4.2. Adjust FNO to generate an NO centration determined in step 1.5.9.1. After concentration near 90% of the URL of the NO the analyzer responses have stabilized, range. Sample this NO concentration until record the resultant NO and NOX concentra- the NO and NOX responses have stabilized. tions as [NO]rem and [NOX]rem. Using the NO calibration curve obtained in 1.5.9.3 Calculate the resulting NO2 con- section 1.5.8, measure and record the NO concentration from:

F ×[NO ] [NO ]=−+ [] NO [] NO NO 2 IMP ()13 2 OUT orig rem ++ FFFNO O D

where: recheck the zero and span adjustments by repeating steps 1.5.7 and 1.5.9.3. Record the NO [NO2]OUT = diluted NO2 concentration at the 2 output manifold, ppm concentration and the corresponding ana- [NO]orig = original NO concentration, prior to lyzer NO2 and NOX responses. addition of O3, ppm 1.5.9.4 Maintaining the same FNO, FO, and [NO]rem = NO concentration remaining after FD as in section 1.5.9.1, adjust the ozone gen- addition of O3, ppm erator to obtain several other concentrations

Adjust the NO2 span control to obtain a re- of NO2 over the NO2 range (at least five even- corder response as indicated below: ly spaced points across the remaining scale recorder response (% scale) = are suggested). Calculate each NO2 concentration using equation (13) and record the ⎛ []NO ⎞ corresponding analyzer NO2 and NOX re- ⎜ 2 OUT × ⎟ + ⎜ 100⎟ Z NO () 14 sponses. Plot the analyzer’s NO2 responses ⎝ ⎠ 2 URL versus the corresponding calculated NO2 con- NOTE: If the analyzer has only one or two centrations and draw or calculate the NO2 span controls, the span adjustments are calibration curve. made on the NO channel or NO and NOX 1.5.10 Determination of converter efficiency.

channels and no further adjustment is made 1.5.10.1 For each NO2 concentration gen- here for NO . 2 erated during the preparation of the NO2 If substantial adjustment of the NO2 span calibration curve (see section 1.5.9) calculate control is necessary, it may be necessary to the concentration of NO2 converted from:

[]NO= [][][] NO''() NO NO ()15 22CONV OUT X orig X rem

where: ficiency curve. The slope of the curve times 100 is the average converter efficiency, E [NO2]CONV = concentration of NO2 converted, C ppm The average converter efficiency must be [NOX]orig = original NOX concentration prior greater than 96%; if it is less than 96%, re- to addition of O3, ppm place or service the converter. [NOX]rem = NOX concentration remaining 2. Alternative B—NO2 permeation device. after addition of O3, ppm Major equipment required: NOTE: Supplemental information on cali- Stable O3 generator. bration and other procedures in this method Chemiluminescence NO/NOX/NO2 analyzer are given in reference 13. with strip chart recorder(s).

Plot [NO2]CONV (y-axis) versus [NO2]OUT (x- NO concentration standard. axis) and draw or calculate the converter ef- NO2 concentration standard.

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2.1 Principle. Atmospheres containing accu- tive material and designed to provide thor- rately known concentrations of nitrogen di- ough mixing of pollutant gas streams and oxide are generated by means of a perme- diluent air. ation device. (10) The permeation device 2.2.11 Output manifold. The output manifold ® emits NO2 at a known constant rate provided should be constructed of glass, Teflon , or the temperature of the device is held con- other non-reactive material and should be of stant (±0.1 °C) and the device has been accu- sufficient diameter to insure an insignificant rately calibrated at the temperature of use. pressure drop at the analyzer connection. The NO2 emitted from the device is diluted The system must have a vent designed to in- with zero air to produce NO2 concentrations sure atmospheric pressure at the manifold suitable for calibration of the NO2 channel of and to prevent ambient air from entering the the NO/NOX/NO2 analyzer. An NO concentra- manifold. tion standard is used for calibration of the 2.3 Reagents. NO and NOX channels of the analyzer. 2.3.1 Calibration standards. Calibration 2.2 Apparatus. A typical system suitable for standards are required for both NO and NO2. generating the required NO and NO2 con- The reference standard for the calibration centrations is shown in Figure 2. All connec- may be either an NO or NO standard, and tions between components downstream from 2 must be traceable to a National Bureau of the permeation device should be of glass, Standards (NBS) NO in N Standard Ref- Teflon ®, or other non-reactive material. 2 erence Material (SRM 1683 or SRM 1684), and 2.2.1 Air flow controllers. Devices capable of NBS NO Standard Reference Material (SRM maintaining constant air flows within ±2% of 2 1629), or an NBS/EPA-approved commercially the required flowrate. available Certified Reference Material 2.2.2 NO flow controller. A device capable of (CRM). CRM’s are described in Reference 14, maintaining constant NO flows within ±2% of the required flowrate. Component parts in and a list of CRM sources is available from contact with the NO must be of a non-reac- the address shown for Reference 14. Ref- tive material. erence 15 gives recommended procedures for 2.2.3 Air flowmeters. Calibrated flowmeters certifying an NO gas cylinder against an NO capable of measuring and monitoring air SRM or CRM and for certifying an NO2 per- flowrates with an accuracy of ±2% of the meation device against an NO2 SRM. Ref- measured flowrate. erence 13 contains procedures for certifying 2.2.4 NO flowmeter. A calibrated flowmeter an NO gas cylinder against an NO2 SRM and capable of measuring and monitoring NO for certifying an NO2 permeation device flowrates with an accuracy of ±2% of the against an NO SRM or CRM. A procedure for measured flowrate. (Rotameters have been determining the amount of NO2 impurity in reported to operate unreliably when meas- an NO cylinder is also contained in Ref- uring low NO flows and are not rec- erence 13. The NO or NO2 standard selected ommended.) as the reference standard must be used to 2.2.5 Pressure regulator for standard NO cyl- certify the other standard to ensure consist- inder. This regulator must have a non-reac- ency between the two standards. tive diaphragm and internal parts and a suit- 2.3.1.1 NO2 Concentration standard. A perme- able delivery pressure. ation device suitable for generating NO2 con- 2.2.6 Drier. Scrubber to remove moisture centrations at the required flow-rates over from the permeation device air system. The the required concentration range. If the permeation device is used as the reference use of the drier is optional with NO2 permeation devices not sensitive to moisture. standard, it must be traceable to an SRM or (Refer to the supplier’s instructions for use CRM as specified in 2.3.1. If an NO cylinder is of the permeation device.) used as the reference standard, the NO2 per- 2.2.7 Constant temperature chamber. Cham- meation device must be certified against the ber capable of housing the NO2 permeation NO standard according to the procedure device and maintaining its temperature to given in Reference 13. The use of the perme- within ±0.1 °C. ation device should be in strict accordance 2.2.8 Temperature measuring device. Device with the instructions supplied with the de- capable of measuring and monitoring the vice. Additional information regarding the temperature of the NO2 permeation device use of permeation devices is given by with an accuracy of ±0.05 °C. Scaringelli et al. (11) and Rook et al. (12). 2.2.9 Valves. A valve may be used as shown 2.3.1.2 NO Concentration standard. Gas cyl- in Figure 2 to divert the NO2 from the perme- inder containing 50 to 100 ppm NO in N2 with ation device when zero air or NO is required less than 1 ppm NO2. If this cylinder is used at the manifold. A second valve may be used as the reference standard, the cylinder must to divert the NO flow when zero air or NO2 is be traceable to an SRM or CRM as specified required at the manifold. in 2.3.1. If an NO2 permeation device is used The valves should be constructed of glass, as the reference standard, the NO cylinder ® Teflon , or other nonreactive material. must be certified against the NO2 standard 2.2.10 Mixing chamber. A chamber con- according to the procedure given in Ref- structed of glass, Teflon ®, or other nonreac- erence 13. The cylinder should be recertified

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on a regular basis as determined by the local 2.4.6 Connect the recorder output cable(s) quality control program. of the NO/NOX/NO2 analyzer to the input ter- 2.3.3 Zero air. Air, free of contaminants minals of the strip chart recorder(s). All ad- which might react with NO or NO2 or cause justments to the analyzer should be per- a detectable response on the NO/NOX/NO2 an- formed based on the appropriate strip chart alyzer. When using permeation devices that readings. References to analyzer responses in are sensitive to moisture, the zero air pass- the procedures given below refer to recorder ing across the permeation device must be dry responses. to avoid surface reactions on the device. 2.4.7 Switch the valve to vent the flow from (Refer to the supplier’s instructions for use the permeation device and adjust the diluent of the permeation device.) A procedure for air flowrate, FD, to provide zero air at the generating zero air is given in reference 13. output manifold. The total air flow must ex- 2.4 Procedure. ceed the total demand of the analyzer(s) con- 2.4.1 Assemble the calibration apparatus nected to the output manifold to insure that such as the typical one shown in Figure 2. no ambient air is pulled into the manifold 2.4.2 Insure that all flowmeters are cali- vent. Allow the analyzer to sample zero air brated under the conditions of use against a until stable NO, NOX, and NO2 responses are reliable standard such as a soap bubble obtained. After the responses have stabilized, meter or wet-test meter. All volumetric adjust the analyzer zero control(s). flowrates should be corrected to 25 °C and 760 NOTE: Some analyzers may have separate mm Hg. A discussion on the calibration of zero controls for NO, NOX, and NO2. Other flowmeters is given in reference 13. analyzers may have separate zero controls 2.4.3 Install the permeation device in the only for NO and NOX, while still others may constant temperature chamber. Provide a have only one zero common control to all 3 small fixed air flow (200–400 scm /min) across three channels. the device. The permeation device should always have a continuous air flow across it to Offsetting the analyzer zero adjustments to + 5% of scale is recommended to facilitate prevent large buildup of NO2 in the system and a consequent restabilization period. observing negative zero drift. Record the sta- Record the flowrate as FP. Allow the device ble zero air responses as ZNO, ZNOX, and ZNO2. to stabilize at the calibration temperature 2.4.8 Preparation of NO and NOX calibration for at least 24 hours. The temperature must curves. be adjusted and controlled to within ±0.1 °C 2.4.8.1 Adjustment of NO span control. Adjust or less of the calibration temperature as the NO flow from the standard NO cylinder monitored with the temperature measuring to generate an NO concentration of approxi- device. mately 80% of the upper range limit (URL) of 2.4.4 Precautions must be taken to remove the NO range. The exact NO concentration is O2 and other contaminants from the NO pres- calculated from: sure regulator and delivery system prior to FNO× [] the start of calibration to avoid any conver- = NO STD sion of the standard NO to NO . Failure to do []NO OUT ()16 2 + so can cause significant errors in calibration. FFNO D This problem may be minimized by where: (1) Carefully evacuating the regulator, when possible, after the regulator has been [NO]OUT = diluted NO concentration at the connected to the cylinder and before opening output manifold, ppm 3 the cylinder valve; FNO = NO flowrate, scm /min (2) Thoroughly flushing the regulator and [NO]STD = concentration of the undiluted NO delivery system with NO after opening the standard, ppm 3 cylinder valve; FD = diluent air flowrate, scm /min (3) Not removing the regulator from the Sample this NO concentration until the NO cylinder between calibrations unless abso- and NO responses have stabilized. Adjust lutely necessary. Further discussion of these X the NO span control to obtain a recorder re- procedures is given in reference 13. sponse as indicated below: 2.4.5 Select the operating range of the NO/ recorder response (% scale) = NOX NO2 analyzer to be calibrated. In order to obtain maximum precision and accuracy ⎛ ⎞ for NO2 calibration, all three channels of the []NO =×⎜ OUT ⎟ + analyzer should be set to the same range. If ⎜ 100⎟ Z NO () 17 operation of the NO and NOX channels on ⎝ URL ⎠ higher ranges is desired, subsequent recalibration of the NO and NOX channels on ⎛ ⎞ the higher ranges is recommended. []NOX = ⎜ OUT ×100⎟ + Z () 19 NOTE: Some analyzer designs may require ⎝ URL ⎠ NOX identical ranges for NO, NOX, and NO2 during operation of the analyzer. where:

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URL = nominal upper range limit of the NO may be checked with a two-point calibration channel, ppm consisting of a zero point and NO and NOX NOTE: Some analyzers may have separate concentrations of approximately 80 percent of the URL. span controls for NO, NOX, and NO2. Other analyzers may have separate span controls 2.4.9 Preparation of NO2 calibration curve. 2.4.9.1 Remove the NO flow. Assuming the only for NO and NOX, while still others may have only one span control common to all NO2 zero has been properly adjusted while three channels. When only one span control sampling zero air in step 2.4.7, switch the is available, the span adjustment is made on valve to provide NO2 at the output manifold. the NO channel of the analyzer. 2.4.9.2 Adjust FD to generate an NO2 concentration of approximately 80 percent of the If substantial adjustment of the NO span URL of the NO range. The total air flow control is necessary, it may be necessary to 2 must exceed the demand of the analyzer(s) recheck the zero and span adjustments by re- under calibration. The actual concentration peating steps 2.4.7 and 2.4.8.1. Record the NO of NO is calculated from: concentration and the analyzer’s NO re- 2 sponse. RK× 2.4.8.2 Adjustment of NOX span control. When = []NO2 OUT ()20 adjusting the analyzer’s NOX span control, FF+ the presence of any NO2 impurity in the PD standard NO cylinder must be taken into ac- where: count. Procedures for determining the [NO2]OUT = diluted NO2 concentration at the amount of NO2 impurity in the standard NO output manifold, ppm cylinder are given in reference 13. The exact R = permeation rate, μg/min NO concentration is calculated from: X K = 0.532 μl NO2/μg NO2 (at 25 °C and 760 mm Hg) ×+() FNONONO[] STD [2 ] IMP Fp = air flowrate across permeation device, = 3 []NO X OUT ()18 scm /min + F = diluent air flowrate, scm3/min FFNO D D where: Sample this NO2 concentration until the NOX and NO2 responses have stabilized. Adjust [NOX]OUT = diluted NOX cencentration at the the NO2 span control to obtain a recorder re- output manifold, ppm sponse as indicated below: [NO2]IMP = concentration of NO2 impurity in the standard NO cylinder, ppm recorder response (% scale) Adjust the NOX span control to obtain a con- ⎛ ⎞ venient recorder response as indicated below: []NO =×⎜ 2 OUT 100⎟ + Z () 21 recorder response (% scale) ⎜ ⎟ NO2 ⎝ URL ⎠ ⎛ []NO ⎞ NOTE: If the analyzer has only one or two =×⎜ X OUT 100⎟ + Z () 19 span controls, the span adjustments are ⎜ ⎟ NOX ⎝ URL ⎠ made on the NO channel or NO and NOX channels and no further adjustment is made NOTE: If the analyzer has only one span here for NO2. control, the span adjustment is made on the If substantial adjustment of the NO2 span NO channel and no further adjustment is control is necessary it may be necessary to . made here for NOX recheck the zero and span adjustments by re- If substantial adjustment of the NO span X peating steps 2.4.7 and 2.4.9.2. Record the NO2 control is necessary, it may be necessary to concentration and the analyzer’s NO2 re- recheck the zero and span adjustments by response. Using the NOX calibration curve ob- peating steps 2.4.7 and 2.4.8.2. Record the NOX tained in step 2.4.8, measure and record the concentration and the analyzer’s NOX re- NOX concentration as [NOX]M. sponse. 2.4.9.3 Adjust FD to obtain several other 2.4.8.3 Generate several additional con- concentrations of NO2 over the NO2 range (at centrations (at least five evenly spaced least five evenly spaced points across the re- points across the remaining scale are sug- maining scale are suggested). Calculate each gested to verify linearity) by decreasing FNO NO2 concentration using equation (20) and or increasing FD. For each concentration record the corresponding analyzer NO2 and generated, calculate the exact NO and NOX NOX responses. Plot the analyzer’s NO2 re- concentrations using equations (16) and (18) sponses versus the corresponding calculated respectively. Record the analyzer’s NO and NO2 concentrations and draw or calculate NOX responses for each concentration. Plot the NO2 calibration curve. the analyzer responses versus the respective 2.4.10 Determination of converter efficiency. calculated NO and NOX concentrations and 2.4.10.1 Plot [NOX]M (y-axis) versus [NO2]OUT draw or calculate the NO and NOX calibra- (x-axis) and draw or calculate the converter tion curves. For subsequent calibrations efficiency curve. The slope of the curve where linearity can be assumed, these curves times 100 is the average converter efficiency,

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EC. The average converter efficiency must be cial Chemiluminescent NO-NO2 Analyzers to greater than 96 percent; if it is less than 96 Other Nitrogen-Containing Compounds,’’ En- percent, replace or service the converter. viron. Sci. Technol., 8, 1118 (1974). NOTE: Supplemental information on cali- 8. K. A. Rehme, B. E. Martin, and J. A. bration and other procedures in this method Hodgeson, Tentative Method for the Calibra- are given in reference 13. tion of Nitric Oxide, Nitrogen Dioxide, and 3. Frequency of calibration. The frequency of Ozone Analyzers by Gas Phase Titration,’’ calibration, as well as the number of points EPA-R2-73-246, March 1974. necessary to establish the calibration curve 9. J. A. Hodgeson, R. K. Stevens, and B. E. and the frequency of other performance Martin, ‘‘A Stable Ozone Source Applicable checks, will vary from one analyzer to an- as a Secondary Standard for Calibration of other. The user’s quality control program Atmospheric Monitors,’’ ISA Transactions, should provide guidelines for initial estab- 11, 161 (1972). lishment of these variables and for subse- 10. A. E. O’Keeffe and G. C. Ortman, ‘‘Pri- quent alteration as operational experience is mary Standards for Trace Gas Analysis,’’ accumulated. Manufacturers of analyzers Anal. Chem., 38, 760 (1966). should include in their instruction/operation manuals information and guidance as to 11. F. P. Scaringelli, A. E. O’Keeffe, E. these variables and on other matters of oper- Rosenberg, and J. P. Bell, ‘‘Preparation of ation, calibration, and quality control. Known Concentrations of Gases and Vapors with Permeation Devices Calibrated Gravi- REFERENCES metrically,’’ Anal. Chem., 42, 871 (1970). 1. A. Fontijn, A. J. Sabadell, and R. J. 12. H. L. Rook, E. E. Hughes, R. S. Fuerst, Ronco, ‘‘Homogeneous Chemiluminescent and J. H. Margeson, ‘‘Operation Characteris- Measurement of Nitric Oxide with Ozone,’’ tics of NO2 Permeation Devices,’’ Presented Anal. Chem., 42, 575 (1970). at 167th National ACS Meeting, Los Angeles, 2. D. H. Stedman, E. E. Daby, F. Stuhl, and CA, April 1974. H. Niki, ‘‘Analysis of Ozone and Nitric Oxide 13. E. C. Ellis, ‘‘Technical Assistance Docu- by a Chemiluminiscent Method in Labora- ment for the Chemiluminescence Measure- tory and Atmospheric Studies of Photo- ment of Nitrogen Dioxide,’’ EPA-E600/4-75-003 chemical Smog,’’ J. Air Poll. Control Assoc., (Available in draft form from the United 22, 260 (1972). States Environmental Protection Agency, 3. B. E. Martin, J. A. Hodgeson, and R. K. Department E (MD–76), Environmental Moni- Stevens, ‘‘Detection of Nitric Oxide toring and Support Laboratory, Research Chemiluminescence at Atmospheric Pres- Triangle Park, NC 27711). sure,’’ Presented at 164th National ACS 14. A Procedure for Establishing Meeting, New York City, August 1972. Traceability of Gas Mixtures to Certain Na- 4. J. A. Hodgeson, K. A. Rehme, B. E. Mar- tional Bureau of Standards Standard Ref- tin, and R. K. Stevens, ‘‘Measurements for erence Materials. EPA–600/7–81–010, Joint Atmospheric Oxides of Nitrogen and Ammo- publication by NBS and EPA. Available from nia by Chemiluminescence,’’ Presented at the U.S. Environmental Protection Agency, 1972 APCA Meeting, Miami, FL, June 1972. Environmental Monitoring Systems Labora- 5. R. K. Stevens and J. A. Hodgeson, ‘‘Ap- plications of Chemiluminescence Reactions tory (MD–77), Research Triangle Park, NC to the Measurement of Air Pollutants,’’ 27711, May 1981. Anal. Chem., 45, 443A (1973). 15. Quality Assurance Handbook for Air Pol- 6. L. P. Breitenbach and M. Shelef, ‘‘De- lution Measurement Systems, Volume II, Ambi- velopment of a Method for the Analysis of ent Air Specific Methods. The U.S. Environ- NO2 and NH3 by NO-Measuring Instruments,’’ mental Protection Agency, Environmental J. Air Poll. Control Assoc., 23, 128 (1973). Monitoring Systems Laboratory, Research 7. A. M. Winer, J. W. Peters, J. P. Smith, Triangle Park, NC 27711. Publication No. and J. N. Pitts, Jr., ‘‘Response of Commer- EAP–600/4–77–027a.

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[41 FR 52688, Dec. 1, 1976, as amended at 48 FR 2529, Jan. 20, 1983]

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APPENDIX G TO PART 50—REFERENCE glass fiber, quartz, or PTFE ambient air fil- METHOD FOR THE DETERMINATION OF ters with subsequent measurement of Pb by LEAD IN TOTAL SUSPENDED PARTICU- ICP–MS. Estimates of the Method Detection Limit (MDL) or sensitivity of the method are LATE MATTER provided in Tables 1, 3 and 5 and determined 1.0 Scope and Applicability using Pb-spiked filters or filter strips analyzed in accordance with the guidance pro- Based on review of the air quality criteria vided in 40 CFR 136, Appendix B—Determina- and national ambient air quality standard tion and procedures for the Determination of (NAAQS) for lead (Pb) completed in 2008, the the Method Detection Limit—Revision 1.1. EPA made revisions to the primary and sec- The analytical range of the method is 0.00024 ondary NAAQS for Pb to protect public μg/m3 to 0.60 μg/m3, and based on the low and health and welfare. The EPA revised the high calibration curve standards and a nomi- μ 3 μ 3 level from 1.5 g/m to 0.15 g/m while re- nal filter sample volume of 2000 m3. taining the current indicator of Pb in total 2.2 This method includes two extraction suspended particulate matter (Pb-TSP). methods. In the first method, a solution of Pb-TSP is collected for 24 hours on a TSP HNO and HCl is added to the filters or filter filter as described in Appendix B of part 50, 3 strips in plastic digestion tubes and the the Reference Method for the Determination tubes are placed in a heated ultrasonic bath of Suspended Particulate Matter in the At- for one hour to facilitate the extraction of mosphere (High-Volume Method). This meth- Pb. Following ultrasonication, the samples od is for the analysis of Pb from TSP filters are brought to a final volume of 40 mL (50 by Inductively Coupled Plasma Mass Spec- mL for PTFE filters), vortex mixed or shak- trometry (ICP–MS) using a heated ultrasonic en vigorously, and centrifuged prior to bath with nitric acid (HNO3) and hydrochloric acid (HCl) or a heated block (hot aliquots being taken for ICP–MS analysis. In the second method, a solution of dilute HNO3 block) digester with HNO3 for filter extraction. is added to the filter strips in plastic diges- This method is based on the EPA’s Office tion tubes and the tubes placed into the hot of Solid Waste (SW–846) Method 6020A—In- block digester. The filter strip is completely ductively Coupled Plasma Mass Spectrom- covered by the solution. The tubes are cov- etry (U.S. EPA, 2007). Wording in certain sec- ered with polypropylene watch glasses and tions of this method is paraphrased or taken refluxed. After reflux, the samples are di- directly from Method 6020A. luted to a final volume of 50 mL with reagent 1.1 ICP–MS is applicable for the sub-μg/mL water and mixed before analysis. (ppb) determination of Pb in a wide variety 2.3 Calibration standards and check stand- of matrices. Results reported for monitoring ards are prepared to matrix match the acid or compliance purposes are calculated in μg/ composition of the samples. ICP–MS analysis m3 at local conditions (LC). This procedure is then performed. With this method, the describes a method for the acid extraction of samples are first aspirated and the aerosol Pb in particulate matter collected on glass thus created is transported by a flow of fiber, quartz, or PTFE filters and measure- argon gas into the plasma torch. The ions ∂ ment of the extracted Pb using ICP–MS. produced (e.g., Pb 1) in the plasma are ex- 1.2 Due to variations in the isotopic abun- tracted via a differentially-pumped vacuum dance of Pb, the value for total Pb must be interface and are separated on the basis of based on the sum of the signal intensities for their mass-to-charge ratio. The ions are isotopic masses, 206, 207, and 208. Most in- quantified by a channel electron multiplier strument software packages are able to sum or a Faraday detector and the signal col- the primary isotope signal intensities auto- lected is processed by the instrument’s soft- matically. ware. Interferences must be assessed and cor- 1.3 ICP–MS requires the use of an internal rected for, if present. standard. 115In (Indium), 165Ho (Holmium), and 209Bi (Bismuth) are recommended inter- 3.0 Definitions nal standards for the determination of Pb. Pb—Elemental or ionic lead 1.4 Use of this method is restricted to use HNO3—Nitric acid by, or under supervision of, properly trained HCl—Hydrochloric acid and experienced laboratory personnel. Re- ICP–MS—Inductively Coupled Plasma Mass quirements include training and experience Spectrometer in inorganic sample preparation, including MDL—Method detection limit acid extraction, and also knowledge in the RSD—Relative standard deviation recognition and in the correction of spectral, RPD—Relative percent difference chemical and physical interference in ICP– CB—Calibration Blank MS. CAL—Calibration Standard ICB—Initial calibration blank 2.0 Summary of Method CCB—Continuing calibration blank 2.1 This method describes the acid extrac- ICV—Initial calibration verification tion of Pb in particulate matter collected on CCV—Continuing calibration verification

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LLCV—Lower Level Calibration tion will reduce the effects of high levels of Verification, serves as the lower level ICV dissolved salts, but calibration standards and lower level CCV must be prepared in the extraction medium RB—Reagent blank and diluted accordingly. RBS—Reagent blank spike 4.5 Memory interferences are related to MSDS—Material Safety Data Sheet sample transport and result when there is NIST—National Institute of Standards and carryover from one sample to the next. Sam- Technology ple carryover can result from sample deposi- D.I. water—Deionized water tion on the sample and skimmer cones and SRM—NIST Standard Reference Material from incomplete rinsing of the sample solu- CRM—Certified Reference Material tion from the plasma torch and the spray EPA—Environmental Protection Agency chamber between samples. These memory ef- v/v—Volume to volume ratio fects are dependent upon both the analyte being measured and sample matrix and can 4.0 Interferences be minimized through the use of suitable 4.1 Reagents, glassware, plasticware, and rinse times. other sample processing hardware may yield artifacts and/or interferences to sample anal- 5.0 Health and Safety Cautions ysis. If reagent blanks, filter blanks, or qual- 5.1 The toxicity or carcinogenicity of re- ity control blanks yield results above the de- agents used in this method has not been tection limit, the source of contamination fully established. Each chemical should be must be identified. All containers and re- regarded as a potential health hazard and ex- agents used in the processing of the samples posure to these compounds should be as low must be checked for contamination prior to as reasonably achievable. Each laboratory is sample extraction and analysis. Reagents responsible for maintaining a current file of shall be diluted to match the final con- OSHA regulations regarding the safe han- centration of the extracts and analyzed for dling of the chemicals specified in this meth- Pb. Labware shall be rinsed with dilute acid od. A reference file of material safety data solution and the solution analyzed. Once a sheets (MSDSs) should be available to all reagent or labware article (such as extrac- personnel involved in the chemical analysis. tion tubes) from a manufacturer has been Specifically, concentrated HNO3 presents successfully screened, additional screening is various hazards and is moderately toxic and not required unless contamination is sus- extremely irritating to skin and mucus pected. membranes. Use this reagent in a fume hood 4.2 Isobaric elemental interferences in ICP– whenever possible and if eye or skin contact MS are caused by isotopes of different ele- occurs, flush with large volumes of water. ments forming atomic ions with the same Always wear safety glasses or a shield for nominal mass-to-charge ratio (m/z) as the eye protection, protective clothing, and ob- species of interest. There are no species serve proper mixing when working with found in ambient air that will result in iso- these reagents. baric interference with the three Pb isotopes 5.2 Concentrated HNO3 and HCl are mod- (206, 207, and 208) being measured. erately toxic and extremely irritating to the Polyatomic interferences occur when two or skin. Use these reagents in a fume hood, and more elements combine to form an ion with if eye and skin contact occurs, flush with the same mass-to-charge ratio as the isotope large volumes of water. Always wear safety being measured. Pb is not subject to inter- glasses or a shield for eye protection when ference from common polyatomic ions and working with these reagents. The component no correction is required. of this procedure requiring the greatest care 4.3 The distribution of Pb isotopes is not is HNO3. HNO3 is a strong, corrosive, oxi- constant. The analysis of total Pb should be dizing agent that requires protection of the based on the summation of signal intensities eyes, skin, and clothing. Items to be worn for the isotopic masses 206, 207, and 208. In during use of this reagent include: most cases, the instrument software can per- 1. Safety goggles (or safety glasses with form the summation automatically. side shields), 4.4 Physical interferences are associated 2. Acid resistant rubber gloves, and with the sample nebulization and transport 3. A protective garment such as a labora- processes as well as with ion-transmission ef- tory apron. HNO3 spilled on clothing will deficiencies. Dissolved solids can deposit on stroy the fabric; contact with the skin un- the nebulizer tip of a pneumatic nebulizer derneath will result in a burn. and on the interface skimmers of the ICP– It is also essential that an eye wash foun- MS. Nebulization and transport processes tain or eye wash bottle be available during can be affected if a matrix component causes performance of this method. An eye wash a change in surface tension or viscosity. bottle has a spout that covers the eye. If acid Changes in matrix composition can cause or any other corrosive gets into the eye, the significant signal suppression or enhance- water in this bottle is squirted onto the eye ment. These interferences are compensated to wash out the harmful material. Eye wash- for by use of internal standards. Sample dilu- ing should be performed with large amounts

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of water immediately after exposure. Med- gester capable of maintaining a temperature ical help should be sought immediately after of 95 °C, or equivalent. washing. If either acid, but especially HNO3, 6.4 Materials and Supplies is spilled onto the skin, wash immediately • Argon gas supply, 99.99 percent purity or with large amounts of water. Medical atten- better. National Welders Microbulk, or tion is not required unless the burn appears equivalent. to be significant. Even after washing and • Plastic digestion tubes with threaded drying, HNO3 may leave the skin slightly caps for extraction and storage, SCP Science brown in color; this will heal and fade with DigiTUBE® Item No. 010–500–063, or equiva- time. lent. 5.3 Pb salts and Pb solutions are toxic. • Disposable polypropylene ribbed watch Great care must be taken to ensure that glasses (for heated block extraction), SCP samples and standards are handled properly; Science Item No. 010–500–081, or equivalent. wash hands thoroughly after handling. • Pipette, Rainin EDP2, 100 μL, ±1 percent 5.4 Care must be taken when using the ul- accuracy, ≤1 percent RSD (precision), with trasonic bath and hot block digester as they disposable tips, or equivalent. are capable of causing mild burns. Users • Pipette, Rainin EDP2, 1000 μL, ±1 percent should refer to the safety guidance provided accuracy, ≤1 percent RSD (precision), with by the manufacturer of their specific equip- disposable tips, or equivalent. ment. • Pipette, Rainin EDP2, 1–10 mL, ±1 per- 5.5 Analytical plasma sources emit radio cent accuracy, ≤1 percent RSD (precision), frequency radiation in addition to intense with disposable tips, or equivalent. ultra violet (UV) radiation. Suitable pre- • Pipette, Thermo Lab Systems, 5 mL, ±1 cautions should be taken to protect per- percent accuracy, ≤1 percent RSD (preci- sonnel from such hazards. The inductively sion), with disposable tips, or equivalent. coupled plasma should only be viewed with • Plastic tweezer, VWR Catalog No. 89026– proper eye protection from UV emissions. 420, or equivalent. • Laboratory marker. 6.0 Equipment • Ceramic knife, Kyocera LK–25, and non- 6.1 Thermo Scientific X-Series ICP–MS or metal ruler or other suitable cutting tools equivalent. The system must be capable of for making straight cuts for accurately providing resolution better or equal to 1.0 measured strips. atomic mass unit (amu) at 10 percent peak • Blank labels or labeling tape, VWR Cata- height. The system must have a mass range log No. 36425–045, or equivalent. from at least 7 to 240 amu that allows for the • Graduated cylinder, 1 L, VWR 89000–260, application of the internal standard tech- or equivalent. nique. For the measurement of Pb, an instru- • Volumetric flask, Class A, 1 L, VWR ment with a collision or reaction cell is not Catalog No. 89025–778, or equivalent. required. • Millipore Element deionized water system, or equivalent, capable of generating 6.2 Ultrasonic Extraction Equipment water with a resistivity of ≥17.9 MW-cm). 6.2.1 Heated ultrasonic bath capable of • Disposable syringes, 10-mL, with 0.45 mi- maintaining a temperature of 80 °C; VWR cron filters (must be Pb-free). Model 750HT, 240W, or equivalent. Ultrasonic • Plastic or PTFE wash bottles. bath must meet the following performance • Glassware, Class A—volumetric flasks, criteria: pipettes, and graduated cylinders. 1. Cut a strip of aluminum foil almost the • Glass fiber, quartz, or PTFE filters from width of the tank and double the depth. the same filter manufacturer and lot used for 2. Turn the ultrasonic bath on and lower sample collection for use in the determina- the foil into the bath vertically until almost tion of the MDL and for laboratory blanks. touching the bottom of the tank and hold for 7.0 Reagents and Standards 10 seconds. 3. Remove the foil from the tank and ob- 7.1 Reagent—or trace metals-grade chemi- serve the distribution of perforations and cals must be used in all tests. Unless other- small pin prick holes. The indentations wise indicated, it is intended that all re- should be fine and evenly distributed. The agents conform to the specifications of the even distribution of indentations indicates Committee on Analytical Reagents of the the ultrasonic bath is acceptable for use. American Chemical Society, where such 6.2.2 Laboratory centrifuge, Beckman GS– specifications are available. 6, or equivalent. 7.2 Concentrated nitric acid, 67–70 percent, 6.2.3 Vortex mixer, VWR Signature Digital SCP Science Catalog No. 250–037–177, or Vortex Mixer, VWR Catalog No. 14005–824, or equivalent. equivalent. 7.3 Concentrated hydrochloric acid (for the 6.3 Hot block extraction equipment ultrasonic extraction method), 33–36 percent, 6.3.1 Hot block digester, SCP Science SCP Science Catalog No. 250–037–175, or DigiPrep Model MS, No. 010–500–205 block di- equivalent.

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7.4 Deionized water—All references to de- traction process to assess possible contami- ionized water in the method refer to deion- nation; and (3) the rinse blank is run be- ized water with a resistivity ≥17.9 MW-cm. tween samples to clean the sample introduc- 7.5 Standard stock solutions may be com- tion system. If RBs or laboratory blanks mercially purchased for each element or as a yield results above the detection limit, the multi-element mix. Internal standards may source of contamination must be identified. be purchased as a mixed multi-element solu- Screening of labware and reagents is ad- tion. The manufacturer’s expiration date and dressed in Section 4.1. storage conditions must be adhered to. 7.7.1 The calibration blank is prepared in 7.5.1 Lead standard, 1000 μg/mL, NIST the same acid matrix as the calibration traceable, commercially available with cer- standards and samples and contains all in- tificate of analysis. High Purity Standards ternal standards used in the analysis. Catalog No. 100028–1, or equivalent. 7.7.2 The RB contains all reagents used in 7.5.2 Indium (In) standard, 1000 μg/mL, the extraction and is carried through the ex- NIST traceable, commercially available with traction procedure at the same time as the certificate of analysis. High Purity Stand- samples. ards Catalog No. 100024–1, or equivalent. 7.7.3 The rinse blank is a solution of 1 to 2 μ 7.5.3 Bismuth (Bi) standard, 1000 g/mL, percent HNO3 (v/v) in reagent grade water. A NIST traceable, commercially available with sufficient volume should be prepared to flush certificate of analysis. High Purity Stand- the system between all standards and sam- ards Catalog No. 100006–1, or equivalent. ples analyzed. 7.5.4 Holmium (Ho) standard, 1000 μg/mL, 7.7.4 The EPA currently provides glass NIST traceable, commercially available with fiber, quartz, and PTFE filters to air moni- certificate of analysis. High Purity Stand- toring agencies as requested annually. As ards Catalog No. 100023–1, or equivalent. part of the procurement process, these filters 7.5.5 Second source lead standard, 1000 μg/ are tested for acceptance by the EPA. The mL, NIST traceable, commercially available current acceptance criteria for glass fiber with certificate of analysis. Must be from a and quartz filters is 15 μg per filter or 0.0075 different vendor or lot than the standard de- μg/m3 using a nominal sample volume of 2000 scribed in 7.5.1. Inorganic Ventures Catalog m3 and 4.8 ng/cm2 or 0.0024 μg/m3 for PTFE No. CGPB–1, or equivalent. filters using a nominal sample volume of 24 7.5.6 Standard Reference Materials, NIST m3. Acceptance test results for filters ob- SRM 2583, 2586, 2587 or 1648, or equivalent.5 tained by the EPA are typically well below Note: The In, Bi, and Ho internal standards the criterion specified and also below the re- may also be purchased as 10 μg/mL stand- cently revised Pb method performance detec- ards. Calibration standards are prepared by tion limit of 0.0075 μg/m3; therefore, blank diluting stock standards to the appropriate subtraction should not be performed. levels in the same acid concentrations as in 7.7.5 If filters are not provided by the EPA the final sample volume. The typical range for sample collection and analysis, filter lot μ for calibration standards is 0.001 to 2.00 g/ blanks should be analyzed for Pb content. mL. At a minimum, the curve must contain For large filter lots (≤500 filters), randomly a blank and five Pb containing calibration select 20 to 30 filters from the lot and ana- standards. The calibration standards are lyze the filter or filter strips for Pb. For stored at ambient laboratory temperature. smaller filter lots, a lesser number of filters Calibration standards must be prepared can be analyzed. Glass, quartz and PTFE fil- weekly and verified against a freshly pre- ters must not have levels of Pb above the cri- pared ICV using a NIST-traceable source dif- teria specified in section 7.7.4 and, therefore, ferent from the calibration standards. blank correction should not be performed. If 7.6 Internal standards may be added to the acceptance testing shows levels of Pb above test solution or by on-line addition. The the criteria in Section 7.7.4, corrective ac- nominal concentration for an internal stand- tion must be taken to reduce the levels be- μ ard is 0.010 g/mL (10 ppb). Bismuth (Bi) or fore proceeding. holmium (Ho) are the preferred internal 7.8 The Initial Calibration Verification standards for Pb, but indium (In) may be (ICV), Lower Level Calibration Verification used in the event the sample contains Bi and (LLCV), and Continuing Calibration high recoveries are observed. Verification (CCV) solutions are prepared 7.7 Three laboratory blank solutions are from a different Pb source than the calibra- required for analysis: (1) The calibration tion curve standards and at a concentration blank is used in the construction of the cali- that is either at or below the midpoint on bration curve and as a periodic check of sys- the calibration curve, but within the calibra- tem cleanliness (ICB and CCB); (2) the rea- tion range. Both are prepared in the same gent blank (RB) is carried through the ex- acid matrix as the calibration standards. Note that the same solution may be used for 5 Certificates of Analysis for these SRMs both the ICV and CCV. The ICV/CCV and can be found at: http://www.nist.gov/srm/ LLCV solutions must be prepared fresh index.cfm. daily.

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7.9 Tuning Solution. Prepare a tuning solu- 8.4 Any samples that exceed the highest tion according to the instrument manufac- calibration standard must be diluted and turer’s recommendations. This solution will rerun so that the concentration falls within be used to verify the mass calibration and the curve. The minimum dilution will be 1 to resolution of the instrument. 5 with matrix matched acid solution. 8.5 The internal standard response must be 8.0 Quality Control (QC) monitored during the analysis. If the internal standard response falls below 70 percent 8.1 Standard QC practices shall be em- or rises above 120 percent of expected due to ployed to assess the validity of the data gen- possible matrix effects, the sample must be erated, including: MDL, RB, duplicate sam- diluted and reanalyzed. The minimum dilu- ples, spiked samples, serial dilutions, ICV, tion will be 1 to 5 with matrix matched acid CCV, LLCV, ICB, CCB, and SRMs/CRMs. solution. If the first dilution does not correct 8.2 MDLs must be calculated in accordance the problem, additional dilutions must be with 40 CFR part 136, Appendix B. RBs with run until the internal standard falls within low-level standard spikes are used to esti- the specified range. mate the MDL. The low-level standard spike 8.6 For every batch of samples prepared, is added to at least 7 individual filter strips there must be one duplicate and one spike and then carried through the entire extrac- sample prepared. The spike added is to be at tion procedure. This will result in at least 7 a level that falls within the calibration individual samples to be used for the MDL. curve, normally the midpoint of the curve. The recommended range for spiking the The initial plus duplicate sample must yield strips is 1 to 5 times the estimated MDL. a relative percent difference ≤20 percent. The 8.3 For each batch of samples, one RB and spike must be within ±20 percent of the ex- one reagent blank spike (RBS) that is spiked pected value. at the same level as the sample spike (see 8.7 For each batch of samples, one extract Section 8.6) must be prepared and carried must be diluted five-fold and analyzed. The throughout the entire process. The results of corrected dilution result must be within ±10 the RB must be below 0.001 μg/mL. The re- percent of the undiluted result. The sample covery for the RBS must be within ±20 per- chosen for the serial dilution shall have a cent of the expected value. If the RB yields concentration at or above 10X the lowest a result above 0.001 μg/mL, the source of con- standard in the curve to ensure the diluted tamination must be identified and the ex- value falls within the curve. If the serial di- traction and analysis repeated. Reagents and lution fails, chemical or physical inter- labware must be suspected as sources of conference should be suspected. tamination. Screening of reagents and 8.8 ICB, ICV, LLCV, CCB and CCV samples labware is addressed in Section 4.1. are to be run as shown in the following table.

Sample Frequency Performance specification

ICB ...... Prior to first sample ...... Less than 0.001 μg/mL. ICV ...... Prior to first sample ...... Within 90 to 110 percent of the expected value. LLCV ...... Daily, before first sample and after last sample ..... ±10 percent of the expected value. CCB ...... After every 10 extracted samples ...... Less than 0.001 μg/mL. CCV ...... After every 10 extracted samples ...... Within 90–110 percent of the expected value.

If any of these QC samples fails to meet must be terminated, the problem corrected, specifications, the source of the unaccept- the instrument recalibrated, and the anal- able performance must be determined, the ysis repeated. problem corrected, and any samples not 8.11 Pipettes used for volumetric transfer bracketed by passing QC samples must be re- must have the calibration checked at least analyzed. once every 6 months and pass ±1 percent ac- 8.9 For each batch of samples, one certified curacy and ≤1 percent RSD (precision) based reference material (CRM) must be combined on five replicate readings. The pipettes must with a blank filter strip and carried through the entire extraction procedure. The result be checked weekly for accuracy with a single ± must be within ±10 percent of the expected replicate. Any pipette that does not meet 1 value. percent accuracy on the weekly check must 8.10 For each run, a LLCV must be ana- be removed from service, repaired, and pass a lyzed. The LLCV must be prepared at a con- full calibration check before use. centration not more than three times the 8.12 Samples with physical deformities are lowest calibration standard and at a con- not quantitatively analyzable. The analyst centration not used in the calibration curve. should visually check filters prior to pro- The LLCV is used to assess performance at ceeding with preparation for holes, tears, or the low end of the curve. If the LLCV fails non-uniform deposit which would prevent (±10 percent of the expected value) the run

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representative sampling. Document any de- LLCV, CCV, CCB. Extracts are any field formities and qualify the data with flags ap- sample or QC samples that have been carried propriately. Care must be taken to protect through the extraction process. The CCV so- filters from contamination. Filters must be lution is prepared from a different source kept covered prior to sample preparation. than the calibration standards and may be 9.0 ICP MS Calibration the same as the ICV solution. The LLCV Follow the instrument manufacturer’s in- must be within ±10 percent of expected value. structions for the routine maintenance, The CCV value must be within ±10 percent of cleaning, and ignition procedures for the spe- expected for the run to continue. The CCB cific ICP–MS instrument being used. must be less than 0.001 μg/mL. If either the 9.1 Ignite the plasma and wait for at least CCV, LLCV, or CCB fails, the run must be one half hour for the instrument to warm up terminated, the problem identified and cor- before beginning any pre-analysis steps. rected, and the analysis re-started from the 9.2 For the Thermo X-Series with Xt last passing CCV/LLCV/CCB set. cones, aspirate a 10 ng/mL tuning solution 9.7 A LLCV, CCV, and CCB set must be containing In, Bi, and Ce (Cerium). Monitor run at the end of the analysis. The LLCV the intensities of In, Bi, Ce, and CeO (Cerium must be within ±30 percent of expected value. oxide) and adjust the instrument settings to If either the CCV, LLCV, or CCB fails, the achieve the highest In and Bi counts while run must be terminated, the problem identi- minimizing the CeO/Ce oxide ratio. For other fied and corrected, and the analysis re-start- instruments, follow the manufacturer’s rec- ed from the last passing CCV/LLCV/CCB set. ommended practice. Tune to meet the instrument manufacturer’s specifications. 10.0 Heated Ultrasonic Filter Strip After tuning, place the sample aspiration Extraction probe into a 2 percent HNO3 rinse solution All plasticware (e.g., Nalgene) and glass- for at least 5 minutes to flush the system. ware used in the extraction procedures is 9.3 Aspirate a 5 ng/mL solution con- soaked in 1 percent HNO3 (v/v) for at least 24 taining Co, In, and Bi to perform a daily in- hours and rinsed with reagent water prior to strument stability check. Run 10 replicates use. All mechanical pipettes used must be of the solution. The percent RSD for the rep- calibrated to ±1 percent accuracy and ≤1 per- licates must be less than 3 percent at all cent RSD at a minimum of once every 6 masses. If the percent RSD is greater than 3 months. percent, the sample introduction system, 10.1 Sample Preparation—Heated Ultra- pump tubing, and tune should be examined, sonic Bath and the analysis repeated. Place the sample 10.1.1 Extraction solution (1.03M HNO3 + aspiration probe into a 2 percent HNO3 rinse 2.23M HCl). Prepare by adding 500 mL of de- solution for at least 5 minutes to flush the ionized water to a 1000 mL flask, adding 64.4 system. mL of concentrated HNO3 and 182 mL of con- 9.4 Load the calibration standards in the centrated HCl, shaking to mix, allowing so- autosampler and analyze using the same lution to cool, diluting to volume with rea- method parameters that will be used to ana- gent water, and inverting several times to lyze samples. The curve must include one mix. Extraction solution must be prepared at blank and at least 5 Pb-containing calibra- least weekly. tion standards. The correlation coefficient 10.1.2 Use a ceramic knife and non-metal must be at least 0.998 for the curve to be ac- ruler, or other cutting device that will not ± cepted. The lowest standard must recover 15 contaminate the filter with Pb. Cut a 3⁄4 inch percent of the expected value and the re- × 8 inch strip from the glass fiber or quartz maining standards must recover ±10 percent filter by cutting a strip from the edge of the of the expected value to be accepted. filter where it has been folded along the 10 9.5 Immediately after the calibration inch side at least 1 inch from the right or curve is completed, analyze an ICV and an left side to avoid the un-sampled area cov- ICB. The ICV must be prepared from a dif- ered by the filter holder. The filters must be ferent source of Pb than the calibration carefully handled to avoid dislodging depos- standards. The ICV must recover 90–110 per- its. cent of the expected value for the run to con- 10.1.3 Using plastic tweezers, roll the fil- tinue. The ICB must be less than 0.001 μg/mL. ter strip up in a coil and place the rolled If either the ICV or the ICB fails, the run strip in the bottom of a labeled 50 mL ex- must be terminated, the problem identified traction tube. In a fume hood, add 15.00 ±0.15 and corrected, and the analysis re-started. mL of the extraction solution (see Section 9.6 A LLCV, CCV and a CCB must be run 10.1.1) using a calibrated mechanical pipette. after the ICV and ICB. A CCV and CCB must Ensure that the extraction solution com- be run at a frequency of not less than every pletely covers the filter strip. 10 extracted samples. A typical analytical 10.1.4 Loosely cap the 50 mL extraction run sequence would be: Calibration blank, tube and place it upright in a plastic rack. Calibration standards, ICV, ICB, LLCV, CCV, When all samples have been prepared, place CCB, Extracts 1–10, CCV, CCB, Extracts 11– the racks in an uncovered heated ultrasonic 20, CCV, CCB, Extracts 21–30, CCV, CCB, water bath that has been preheated to 80 ±5

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°C and ensure that the water level in the ul- sample to a final volume of 50.0 ±0.4 mL. trasonic is above the level of the extraction Tightly cap the tubes, and vortex mix or solution in the tubes but well below the level shake vigorously. Allow samples to stand for of the extraction tube caps to avoid contami- one hour to allow complete diffusion of the nation. Start the ultrasonic bath and allow extracted Pb. The sample is now ready for the unit to run for 1 hour ±5 minutes at 80 ±5 analysis. °C. Note: Although PTFE filters have only 10.1.5 Remove the rack(s) from the ultra- been extracted using the ultrasonic extrac- sonic bath and allow the racks to cool. tion procedure in the development of this ± 10.1.6 Add 25.00 0.25 mL of D.I. water with FRM, PTFE filters are inert and have very a calibrated mechanical pipette to bring the low Pb content. No issues are expected with ± sample to a final volume of 40.0 0.4 mL. the extraction of PTFE filters using the Tightly cap the tubes, and vortex mix or heated block digestion method. However, shake vigorously. Place the extraction tubes prior to using PTFE filters in the heated in an appropriate holder and centrifuge for 20 block extraction method, extraction method minutes at 2500 revolutions per minute performance test using CRMs must be done (RPM). to confirm performance (see Section 8.9). CAUTION—Make sure that the centrifuge holder has a flat bottom to support the flat 11.0 Hot Block Filter Strip Extraction bottomed extraction tubes. 10.1.7 Pour an aliquot of the solution into All plasticware (e.g., Nalgene) and glass- an autosampler vial for ICP–MS analysis to ware used in the extraction procedures is avoid the potential for contamination. Do soaked in 1 percent HNO3 for at least 24 not pipette an aliquot of solution into the hours and rinsed with reagent water prior to autosampler vial. use. All mechanical pipettes used must be 10.1.8 Decant the extract to a clean tube, calibrated to ±1 percent accuracy and ≤1 per- cap tightly, and store the sample extract at cent RSD at a minimum of once every 6 ambient laboratory temperature. Extracts months. may be stored for up to 6 months from the 11.1 Sample Preparation—Hot Block Di- date of extraction. gestion 10.2 47 mm PTFE Filter Extraction— 11.1.1 Extraction solution (1:19, v/v HNO ). Heated Ultrasonic Bath 3 Prepare by adding 500 mL of D.I. water to a 10.2.1 Extraction solution (1.03M HNO + 3 1000 mL flask, adding 50 mL of concentrated 2.23M HCl). Prepare by adding 500 mL of D.I. water to a 1000mL flask, adding 64.4 mL of HNO3, shaking to mix, allowing solution to cool, diluting to volume with reagent water, concentrated HNO3 and 182 mL of concentrated HCl, shaking to mix, allowing so- and inverting several times to mix. The ex- lution to cool, diluting to volume with rea- traction solution must be prepared at least gent water, and inverting several times to weekly. mix. Extraction solution must be prepared at 11.1.2 Use a ceramic knife and non-metal least weekly. ruler, or other cutting device that will not 10.2.2 Using plastic tweezers, bend the contaminate the filter with Pb. Cut a 1-inch PTFE filter into a U-shape and insert the fil- × 8-inch strip from the glass fiber or quartz ter into a labeled 50 mL extraction tube with filter. Cut a strip from the edge of the filter the particle loaded side facing the center of where it has been folded along the 10-inch the tube. Gently push the filter to the bot- side at least 1 inch from the right or left side tom of the extraction tube. In a fume hood, to avoid the un-sampled area covered by the add 25.00 ±0.15 mL of the extraction solution filter holder. The filters must be carefully (see Section 10.2.1) using a calibrated me- handled to avoid dislodging particle deposits. chanical pipette. Ensure that the extraction 11.1.3 Using plastic tweezers, roll the fil- solution completely covers the filter. ter strip up in a coil and place the rolled 10.2.3 Loosely cap the 50 mL extraction strip in the bottom of a labeled 50 mL ex- tube and place it upright in a plastic rack. traction tube. In a fume hood, add 20.0 ±0.15 When all samples have been prepared, place mL of the extraction solution (see Section the racks in an uncovered heated ultrasonic 11.1.1) using a calibrated mechanical pipette. water bath that has been preheated to 80 ±5 Ensure that the extraction solution com- °C and ensure that the water level in the ul- pletely covers the filter strip. trasonic is above the level of the extraction 11.1.4 Place the extraction tube in the solution in the tubes, but well below the heated block digester and cover with a dis- level of the extraction tube caps to avoid posable polyethylene ribbed watch glass. contamination. Start the ultrasonic bath Heat at 95 ±5 °C for 1 hour and ensure that and allow the unit to run for 1 hour ±5 min- the sample does not evaporate to dryness. utes at 80 ±5 °C. For proper heating, adjust the temperature 10.2.4 Remove the rack(s) from the ultra- control of the hot block such that an uncov- sonic bath and allow the racks to cool. ered vessel containing 50 mL of water placed 10.2.5 Add 25.00 ±0.25 mL of D.I. water with in the center of the hot block can be main- a calibrated mechanical pipette to bring the tained at a temperature approximately, but

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no higher than 85C. Once the vessel is cov- Where: ered with a ribbed watch glass, the tempera- C = Concentration, μg Pb/m3 ture of the water will increase to approxi- μg Pb/mL = Lead concentration in solution ° mately 95 C. Vf = Total extraction solution volume 11.1.5 Remove the rack(s) from the heated A = Area correction; 3⁄4″ × 8″ strip = 5.25 in2 block digester and allow the samples to cool. analyzed, A = 12.0 or 1″ × 8″ strip = 7 in2 11.1.6 Bring the samples to a final volume analyzed, A = 9.0 of 50 mL with D.I. water. Tightly cap the D = dilution factor (if required) tubes, and vortex mix or shake vigorously for at least 5 seconds. Set aside (with the fil- Vs = Actual volume of air sampled ter strip in the tube) for at least 30 minutes The calculation assumes the use of a × to allow the HNO3 trapped in the filter to dif- standard 8-inch 10-inch TSP filter which fuse into the extraction solution. has a sampled area of 9-inch × 7-inch (63.0 in2) 11.1.7 Shake thoroughly (with the filter due to the 1⁄2-inch filter holder border around strip in the digestion tube) and let settle for the outer edge. The 3⁄4-inch × 8-inch strip has at least one hour. The sample is now ready a sampled area of 3⁄4-inch × 7-inch (5.25 in2). for analysis. The 1-inch × 8-inch strip has a sampled area of 1-inch × 7-inch (7.0 in2). If filter lot blanks 12.0 Measurement Procedure are provided for analysis, refer to Section 12.1 Follow the instrument manufactur- 7.7.5 of this method for guidance on testing. er’s startup procedures for the ICP–MS. 14.0 Method Performance 12.2 Set instrument parameters to the appropriate operating conditions as presented Information in this section is an example in the instrument manufacturer’s operating of typical performance results achieved by manual and allow the instrument to warm this method. Actual performance must be up for at least 30 minutes. demonstrated by each individual laboratory 12.3 Calibrate the instrument per Section and instrument. 9.0 of this method. 14.1 Performance data have been collected 12.4 Verify the instrument is suitable for to estimate MDLs for this method. MDLs analysis as defined in Sections 9.2 and 9.3. were determined in accordance with 40 CFR 12.5 As directed in Section 8.0 of this 136, Appendix B. MDLs were estimated for method, analyze an ICV and ICB imme- glass fiber, quartz, and PTFE filters using diately after the calibration curve followed seven reagent/filter blank solutions spiked by a LLCV, then CCV and CCB. The accept- with low level Pb at three times the esti- ance requirements for these parameters are mated MDL of 0.001 μg/mL. Tables 1, 3, and 5 presented in Section 8.8. shows the MDLs estimated using both the ul- 12.6 Analyze a CCV and a CCB after every trasonic and hot block extraction methods 10 extracted samples. for glass fiber and quartz filters and the ul- 12.7 Analyze a LLCV, CCV and CCB at the trasonic method for PTFE filters. The MDLs end of the analysis. are well below the EPA requirement of five 12.8 A typical sample run will include percent of the current Pb NAAQS or 0.0075 field samples, field sample duplicates, spiked μg/m3. These MDLs are provided to dem- field sample extracts, serially diluted sam- onstrate the adequacy of the method’s per- ples, the set of QC samples listed in Section formance for Pb in TSP. Each laboratory 8.8 above, and one or more CRMs or SRMs. using this method should determine MDLs in 12.9 Any samples that exceed the highest their laboratory and verify them annually. It standard in the calibration curve must be di- is recommended that laboratories also per- luted and reanalyzed so that the diluted conform the optional iterative procedure in 40 centration falls within the calibration curve. CFR 136, Appendix B to verify the reason- 13.0 Results ableness of the estimated MDL and subse- 13.1 The filter results must be initially re- quent MDL determinations. ported in μg/mL as analyzed. Any additional 14.2 Extraction method recovery tests dilutions must be accounted for. The inter- with glass fiber and quartz filter strips, and nal standard recoveries must be included in PTFE filters spiked with NIST SRMs were the result calculation; this is done by the performed using the ultrasonic/HNO3 and HCl ICP–MS software for most commercially- filter extraction methods and measurement available instruments. Final results should of the dissolved Pb with ICP–MS. Tables 2, 4, be reported in μg Pb/m3 to three significant and 6 show recoveries obtained with these figures as follows: SRM. The recoveries for all SRMs were ≥90 C = ((μg Pb/mL * Vf * A)* D))/Vs percent at the 95 percent confidence level.

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TABLE 1—METHOD DETECTION LIMITS DETERMINED BY ANALYSIS OF REAGENT/GLASS FIBER FILTER BLANKS SPIKED WITH LOW-LEVEL PB SOLUTION

Ultrasonic Hotblock extraction extraction method method

μg/m3 μg/m3

n = 1 ...... 0.0000702 0.000533 n = 2 ...... 0.0000715 0.000482 n = 3 ...... 0.0000611 0.000509 n = 4 ...... 0.0000587 0.000427 n = 5 ...... 0.0000608 0.000449 n = 6 ...... 0.0000607 0.000539 n = 7 ...... 0.0000616 0.000481 Average ...... 0.0000635 0.000489 Standard Deviation ...... 0.0000051 0.000042 MDL** ...... 0.0000161 0.000131 * Assumes 2000 m3 of air sampled. ** MDL is 3.143 times the standard deviation of the results for seven sample replicates analyzed.

TABLE 2—RECOVERIES OF LEAD FROM NIST SRMS SPIKED ONTO GLASS FIBER FILTERS

Recovery, ICP–MS, (percent) Extraction method NIST 1547 NIST 2583 NIST 2582 plant NIST 2709 soil dust paint

Ultrasonic Bath ...... 100 ±4 98 ±1 103 ±8 101 ±0 Block Digestion ...... 92 ±7 98 ±3 103 ±4 94 ±4

TABLE 3—METHOD DETECTION LIMITS DETERMINED BY ANALYSIS OF REAGENT/QUARTZ FILTER BLANKS SPIKED WITH LOW-LEVEL PB SOLUTION

Ultrasonic Hotblock extraction extraction method method

μg/m3* μg/m3*

n = 1 ...... 0.000533 0.000274 n = 2 ...... 0.000552 0.000271 n = 3 ...... 0.000534 0.000281 n = 4 ...... 0.000684 0.000269 n = 5 ...... 0.000532 0.000278 n = 6 ...... 0.000532 0.000272 n = 7 ...... 0.000552 0.000261 Average ...... 0.000560 0.000272 Standard Deviation ...... 0.000055 0.000007 MDL** ...... 0.000174 0.000021 * Assumes 2000 m3 of air sampled. ** MDL is 3.143 times the standard deviation of the results for seven sample replicates analyzed.

TABLE 4—RECOVERIES OF LEAD FROM NIST SRMS SPIKED ONTO QUARTZ FIBER FILTERS

Recovery, ICP–MS, (percent) Extraction method NIST 1547 NIST 2583 NIST 2582 plant NIST 2709 soil dust paint

Ultrasonic Bath ...... 101 ±6 95 ±1 91 ±5 93 ±1 Block Digestion ...... 106 ±3 104 ±3 92 ±6 95 ±2

TABLE 5—METHOD DETECTION LIMITS DETERMINED BY ANALYSIS OF REAGENT/PTFE FILTER BLANKS SPIKED WITH LOW-LEVEL PB SOLUTION

Ultrasonic extraction method

μg/m3*

n = 1 ...... 0.001775 n = 2 ...... 0.001812

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TABLE 5—METHOD DETECTION LIMITS DETERMINED BY ANALYSIS OF REAGENT/PTFE FILTER BLANKS SPIKED WITH LOW-LEVEL PB SOLUTION—Continued

Ultrasonic extraction method

μg/m3*

n = 3 ...... 0.001773 n = 4 ...... 0.001792 n = 5 ...... 0.001712 n = 6 ...... 0.001767 n = 7 ...... 0.001778 Average ...... 0.001773 Standard Deviation ...... 0.000031 MDL** ...... 0.000097 * Assumes 24 m3 of air sampled. ** MDL is 3.143 times the standard deviation of the results for seven sample replicates analyzed.

TABLE 6—RECOVERIES OF LEAD FROM NIST SRMS SPIKED ONTO PTFE FILTERS

Recovery, ICP–MS, (percent) Extraction method NIST 1547 NIST 2583 NIST 2582 plant NIST 2709 soil dust paint

Ultrasonic Bath ...... 104 ±5 93 ±1 108 ±11 96 ±3

15.0 Pollution Prevention 16.2 Waste HNO3, HCl, and solutions containing these reagents and/or Pb must be 15.1 Pollution prevention encompasses placed in labeled bottles and delivered to a any technique that reduces or eliminates the commercial firm that specializes in removal quantity and/or toxicity of waste at the of hazardous waste. point of generation. Numerous opportunities for pollution prevention exist in laboratory 17.0 References operations. Whenever feasible, laboratory personnel should use pollution prevention FACDQ (2007). Report of the Federal Advi- techniques to address their waste genera- sory Committee on Detection and Quan- tion. The sources of pollution generated with titation Approaches and Uses in Clean this procedure are waste acid extracts and Water Act Programs, submitted to the Pb-containing solutions. U.S. EPA December 2007. Available: 15.2 For information about pollution pre- http://water.epa.gov/scitech/methods/cwa/ vention that may be applicable to labora- det/upload/final-report-200712.pdf. tories and research institutions, consult Less Rice J (2013). Results from the Development is Better: Laboratory Chemical Management of a New Federal Reference Method for Waste Reduction, available from the (FRM) for Lead in Total Suspended Par- American Chemical Society’s Department of ticulate (TSP) Matter. Docket # EPA– Government Relations and Science Policy, HQ–OAR–2012–0210. 1155 16th St. NW., Washington, DC 20036, U.S. EPA (2007). Method 6020A—Inductively www.acs.org. Coupled Plasma Mass Spectrometry. U.S. Environmental Protection Agency. Revi- 16.0 Waste Management sion 1, February 2007. Available: http:// 16.1 Laboratory waste management prac- www.epa.gov/osw/hazard/testmethods/sw846/ tices must be conducted consistent with all pdfs/6020a.pdf. applicable rules and regulations. Labora- U.S. EPA (2011). A Laboratory Study of Pro- tories are urged to protect air, water, and cedures Evaluated by the Federal Advi- land by minimizing all releases from hood sory Committee on Detection and Quan- and bench operations, complying with the titation Approaches and Uses in Clean letter and spirit of any sewer and discharge Water Act Programs. December 2011. permits and regulations, and by complying Available: http://water.epa.gov/scitech/ with all solid and hazardous waste regula- methods/cwa/det/upload/ tion. For further information on waste man- faclreportl2009.pdf. agement, consult The Waste Management Manual for Laboratory Personnel available [78 FR 40004, July 3, 2013] from the American Chemical Society listed in Section 15.2 of this method.

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APPENDIX H TO PART 50—INTERPRETA- ticular calendar year. The purpose of these TION OF THE 1-HOUR PRIMARY AND computations is to determine if the expected SECONDARY NATIONAL AMBIENT AIR number of exceedances per year is less than or equal to 1. Thus, if a site has two or more QUALITY STANDARDS FOR OZONE observed exceedances each year, the stand- 1. GENERAL ard is not met and it is not necessary to use the procedures of this section to account for This appendix explains how to determine incomplete sampling. when the expected number of days per cal- The term ‘‘missing value’’ is used here in endar year with maximum hourly average the general sense to describe all days that do concentrations above 0.12 ppm (235 μg/m3) is not have an associated ozone measurement. equal to or less than 1. An expanded discus- In some cases, a measurement might actu- sion of these procedures and associated ex- ally have been missed but in other cases no amples are contained in the ‘‘Guideline for measurement may have been scheduled for Interpretation of Ozone Air Quality Stand- that day. A daily maximum ozone value is ards.’’ For purposes of clarity in the fol- defined to be the highest hourly ozone value lowing discussion, it is convenient to use the recorded for the day. This daily maximum term ‘‘exceedance’’ to describe a daily max- value is considered to be valid if 75 percent of imum hourly average ozone measurement the hours from 9:01 a.m. to 9:00 p.m. (LST) that is greater than the level of the stand- were measured or if the highest hour is ard. Therefore, the phrase ‘‘expected number greater than the level of the standard. of days with maximum hourly average ozone In some areas, the seasonal pattern of concentrations above the level of the stand- ozone is so pronounced that entire months ard’’ may be simply stated as the ‘‘expected need not be sampled because it is extremely number of exceedances.’’ unlikely that the standard would be exceed- The basic principle in making this deter- ed. Any such waiver of the ozone monitoring mination is relatively straightforward. Most requirement would be handled under provi- of the complications that arise in deter- sions of 40 CFR, part 58. Some allowance mining the expected number of annual should also be made for days for which valid exceedances relate to accounting for incom- daily maximum hourly values were not ob- plete sampling. In general, the average num- tained but which would quite likely have ber of exceedances per calendar year must be been below the standard. Such an allowance less than or equal to 1. In its simplest form, introduces a complication in that it becomes the number of exceedances at a monitoring necessary to define under what conditions a site would be recorded for each calendar year missing value may be assumed to have been and then averaged over the past 3 calendar less than the level of the standard. The fol- years to determine if this average is less lowing criterion may be used for ozone: than or equal to 1. A missing daily maximum ozone value 2. INTERPRETATION OF EXPECTED may be assumed to be less than the level of EXCEEDANCES the standard if the valid daily maxima on both the preceding day and the following day The ozone standard states that the ex- do not exceed 75 percent of the level of the pected number of exceedances per year must standard. be less than or equal to 1. The statistical Let z denote the number of missing daily term ‘‘expected number’’ is basically an maximum values that may be assumed to be arithmetic average. The following example less than the standard. Then the following explains what it would mean for an area to formula shall be used to estimate the ex- be in compliance with this type of standard. pected number of exceedances for the year: Suppose a monitoring station records a valid daily maximum hourly average ozone value for every day of the year during the past 3 years. At the end of each year, the number of (*Indicates multiplication.) days with maximum hourly concentrations where: above 0.12 ppm is determined and this number is averaged with the results of previous e = the estimated number of exceedances for years. As long as this average remains ‘‘less the year, than or equal to 1,’’ the area is in compli- N = the number of required monitoring days ance. in the year, n = the number of valid daily maxima, 3. ESTIMATING THE NUMBER OF EXCEEDANCES v = the number of daily values above the FOR A YEAR level of the standard, and In general, a valid daily maximum hourly z = the number of days assumed to be less average value may not be available for each than the standard level. day of the year, and it will be necessary to This estimated number of exceedances account for these missing values when esti- shall be rounded to one decimal place (frac- mating the number of exceedances for a par- tional parts equal to 0.05 round up).

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It should be noted that N will be the total of the hours available using 6 (or 7) as the di- number of days in the year unless the appro- visor. (8-hour periods with three or more priate Regional Administrator has granted a missing hours shall not be ignored if, after waiver under the provisions of 40 CFR part substituting one-half the minimum detect- 58. able limit for the missing hourly concentra- The above equation may be interpreted in- tions, the 8-hour average concentration is tuitively in the following manner. The esti- greater than the level of the standard.) The mated number of exceedances is equal to the computed 8-hour average ozone concentra- observed number of exceedances (v) plus an tions shall be reported to three decimal increment that accounts for incomplete sam- places (the insignificant digits to the right of pling. There were (N-n) missing values for the third decimal place are truncated, con- the year but a certain number of these, sistent with the data handling procedures for namely z, were assumed to be less than the the reported data.) standard. Therefore, (N-n-z) missing values 2.1.2 Daily maximum 8-hour average con- are considered to include possible centrations. (a) There are 24 possible running exceedances. The fraction of measured val- 8-hour average ozone concentrations for each ues that are above the level of the standard calendar day during the ozone monitoring is v/n. It is assumed that this same fraction season. (Ozone monitoring seasons vary by applies to the (N-n-z) missing values and geographic location as designated in part 58, that (v/n)*(N-n-z) of these values would also appendix D to this chapter.) The daily max- have exceeded the level of the standard. imum 8-hour concentration for a given calendar day is the highest of the 24 possible 8- [44 FR 8220, Feb. 8, 1979, as amended at 62 FR hour average concentrations computed for 38895, July 18, 1997] that day. This process is repeated, yielding a daily maximum 8-hour average ozone con- APPENDIX I TO PART 50—INTERPRETA- centration for each calendar day with ambi- TION OF THE 8-HOUR PRIMARY AND ent ozone monitoring data. Because the 8- SECONDARY NATIONAL AMBIENT AIR hour averages are recorded in the start hour, QUALITY STANDARDS FOR OZONE the daily maximum 8-hour concentrations from two consecutive days may have some 1. General. hourly concentrations in common. Gen- This appendix explains the data handling erally, overlapping daily maximum 8-hour conventions and computations necessary for averages are not likely, except in those non- determining whether the national 8-hour pri- urban monitoring locations with less pro- mary and secondary ambient air quality nounced diurnal variation in hourly con- standards for ozone specified in § 50.10 are centrations. met at an ambient ozone air quality moni- (b) An ozone monitoring day shall be toring site. Ozone is measured in the ambi- counted as a valid day if valid 8-hour aver- ent air by a reference method based on ap- ages are available for at least 75% of possible pendix D of this part. Data reporting, data hours in the day (i.e., at least 18 of the 24 handling, and computation procedures to be averages). In the event that less than 75% of used in making comparisons between re- the 8-hour averages are available, a day shall ported ozone concentrations and the level of also be counted as a valid day if the daily the ozone standard are specified in the fol- maximum 8-hour average concentration for lowing sections. Whether to exclude, retain, that day is greater than the level of the am- or make adjustments to the data affected by bient standard. stratospheric ozone intrusion or other nat- 2.2 Primary and Secondary Standard-related ural events is subject to the approval of the Summary Statistic. The standard-related sum- appropriate Regional Administrator. mary statistic is the annual fourth-highest 2. Primary and Secondary Ambient Air Qual- daily maximum 8-hour ozone concentration, ity Standards for Ozone. expressed in parts per million, averaged over 2.1 Data Reporting and Handling Conven- three years. The 3-year average shall be com- tions. puted using the three most recent, consecu- 2.1.1 Computing 8-hour averages. Hourly av- tive calendar years of monitoring data meet- erage concentrations shall be reported in ing the data completeness requirements de- parts per million (ppm) to the third decimal scribed in this appendix. The computed 3- place, with additional digits to the right year average of the annual fourth-highest being truncated. Running 8-hour averages daily maximum 8-hour average ozone con- shall be computed from the hourly ozone centrations shall be expressed to three dec- concentration data for each hour of the year imal places (the remaining digits to the and the result shall be stored in the first, or right are truncated.) start, hour of the 8-hour period. An 8-hour 2.3 Comparisons with the Primary and Sec- average shall be considered valid if at least ondary Ozone Standards. (a) The primary and 75% of the hourly averages for the 8-hour pe- secondary ozone ambient air quality stand- riod are available. In the event that only 6 ards are met at an ambient air quality moni- (or 7) hourly averages are available, the 8- toring site when the 3-year average of the hour average shall be computed on the basis annual fourth-highest daily maximum 8-hour

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average ozone concentration is less than or of the standard are counted for the purpose equal to 0.08 ppm. The number of significant of meeting the data completeness require- figures in the level of the standard dictates ment, subject to the approval of the appro- the rounding convention for comparing the priate Regional Administrator. computed 3-year average annual fourth-high- (c) Years with concentrations greater than est daily maximum 8-hour average ozone the level of the standard shall not be ignored concentration with the level of the standard. on the ground that they have less than com- The third decimal place of the computed plete data. Thus, in computing the 3-year av- value is rounded, with values equal to or erage fourth maximum concentration, cal- greater than 5 rounding up. Thus, a com- endar years with less than 75% data computed 3-year average ozone concentration of pleteness shall be included in the computa- 0.085 ppm is the smallest value that is great- tion if the average annual fourth maximum er than 0.08 ppm. 8-hour concentration is greater than the (b) This comparison shall be based on three level of the standard. consecutive, complete calendar years of air quality monitoring data. This requirement is (d) Comparisons with the primary and sec- met for the three year period at a moni- ondary ozone standards are demonstrated by toring site if daily maximum 8-hour average examples 1 and 2 in paragraphs (d)(1) and (d) concentrations are available for at least 90%, (2) respectively as follows: on average, of the days during the designated (1) As shown in example 1, the primary and ozone monitoring season, with a minimum secondary standards are met at this moni- data completeness in any one year of at least toring site because the 3-year average of the 75% of the designated sampling days. When annual fourth-highest daily maximum 8-hour computing whether the minimum data com- average ozone concentrations (i.e., 0.084 ppm) pleteness requirements have been met, mete- is less than or equal to 0.08 ppm. The data orological or ambient data may be sufficient completeness requirement is also met be- to demonstrate that meteorological condi- cause the average percent of days with valid tions on missing days were not conducive to ambient monitoring data is greater than concentrations above the level of the stand- 90%, and no single year has less than 75% ard. Missing days assumed less than the level data completeness.

EXAMPLE 1. AMBIENT MONITORING SITE ATTAINING THE PRIMARY AND SECONDARY OZONE STANDARDS

1st Highest 2nd Highest 3rd Highest 4th Highest 5th Highest Percent Daily Max Daily Max Daily Max Daily Max Daily Max Year Valid Days 8-hour 8-hour 8-hour 8-hour 8-hour Conc. (ppm) Conc. (ppm) Conc. (ppm) Conc. (ppm) Conc. (ppm)

1993 ...... 100% 0.092 0.091 0.090 0.088 0.085

1994 ...... 96% 0.090 0.089 0.086 0.084 0.080

1995 ...... 98% 0.087 0.085 0.083 0.080 0.075

Average ...... 98%

(2) As shown in example 2, the primary and concentration data for 1994 is used in these secondary standards are not met at this computations, even though the data capture monitoring site because the 3-year average is less than 75%, because the average fourth- of the fourth-highest daily maximum 8-hour highest daily maximum 8-hour average con- average ozone concentrations (i.e., 0.093 ppm) centration is greater than 0.08 ppm. is greater than 0.08 ppm. Note that the ozone

EXAMPLE 2. AMBIENT MONITORING SITE FAILING TO MEET THE PRIMARY AND SECONDARY OZONE STANDARDS

1993 ...... 96% 0.105 0.103 0.103 0.102 0.102

1994 ...... 74% 0.090 0.085 0.082 0.080 0.078

1995 ...... 98% 0.103 0.101 0.101 0.097 0.095

Average ...... 89%

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3. Design Values for Primary and Secondary times differ substantially from actual con- Ambient Air Quality Standards for Ozone. The centrations (in micrograms per actual cubic air quality design value at a monitoring site meter), particularly at high elevations. Al- is defined as that concentration that when though not required, the actual PM10 con- reduced to the level of the standard ensures centration can be calculated from the cor- that the site meets the standard. For a con- rected concentration, using the average am- centration-based standard, the air quality bient temperature and barometric pressure design value is simply the standard-related during the sampling period. test statistic. Thus, for the primary and sec- 2.3 A method based on this principle will be ondary ozone standards, the 3-year average considered a reference method only if (a) the annual fourth-highest daily maximum 8-hour associated sampler meets the requirements average ozone concentration is also the air specified in this appendix and the require- quality design value for the site. ments in part 53 of this chapter, and (b) the [62 FR 38895, July 18, 1997] method has been designated as a reference method in accordance with part 53 of this APPENDIX J TO PART 50—REFERENCE chapter. METHOD FOR THE DETERMINATION OF 3.0 Range. PARTICULATE MATTER AS PM10 IN 3.1 The lower limit of the mass concentra- THE ATMOSPHERE tion range is determined by the repeatability of filter tare weights, assuming the nominal 1.0 Applicability. air sample volume for the sampler. For sam- 1.1 This method provides for the measure- plers having an automatic filter-changing ment of the mass concentration of particu- mechanism, there may be no upper limit. late matter with an aerodynamic diameter less than or equal to a nominal 10 microm- For samplers that do not have an automatic filter-changing mechanism, the upper limit eters (PM1O) in ambient air over a 24-hour period for purposes of determining attain- is determined by the filter mass loading be- ment and maintenance of the primary and yond which the sampler no longer maintains secondary national ambient air quality the operating flow rate within specified lim- standards for particulate matter specified in its due to increased pressure drop across the § 50.6 of this chapter. The measurement proc- loaded filter. This upper limit cannot be specified precisely because it is a complex ess is nondestructive, and the PM10 sample can be subjected to subsequent physical or function of the ambient particle size dis- chemical analyses. Quality assurance proce- tribution and type, humidity, filter type, and dures and guidance are provided in part 58, perhaps other factors. Nevertheless, all sam- appendices A and B, of this chapter and in plers should be capable of measuring 24-hour References 1 and 2. PM10 mass concentrations of at least 300 μg/ 2.0 Principle. std m3 while maintaining the operating flow 2.1 An air sampler draws ambient air at a rate within the specified limits. constant flow rate into a specially shaped 4.0 Precision. inlet where the suspended particulate matter 4.1 The precision of PM10 samplers must be is inertially separated into one or more size 3 5 μg/m for PM10 concentrations below 80 μg/ fractions within the PM size range. Each 3 10 m and 7 percent for PM10 concentrations size fraction in the PM1O size range is then above 80 μg/m3, as required by part 53 of this collected on a separate filter over the speci- chapter, which prescribes a test procedure fied sampling period. The particle size dis- that determines the variation in the PM10 crimination characteristics (sampling effec- concentration measurements of identical tiveness and 50 percent cutpoint) of the sam- samplers under typical sampling conditions. pler inlet are prescribed as performance Continual assessment of precision via collo- specifications in part 53 of this chapter. cated samplers is required by part 58 of this 2.2 Each filter is weighed (after moisture chapter for PM samplers used in certain equilibration) before and after use to deter- 10 monitoring networks. mine the net weight (mass) gain due to col- 5.0 Accuracy. lected PM10. The total volume of air sampled, corrected to EPA reference conditions 5.1 Because the size of the particles making (25 C, 101.3 kPa), is determined from the up ambient particulate matter varies over a measured flow rate and the sampling time. wide range and the concentration of particles varies with particle size, it is difficult The mass concentration of PM10 in the ambient air is computed as the total mass of col- to define the absolute accuracy of PM10 sam- lected particles in the PM10 size range di- plers. Part 53 of this chapter provides a spec- vided by the volume of air sampled, and is ification for the sampling effectiveness of expressed in micrograms per standard cubic PM10 samplers. This specification requires 3 meter (μg/std m ). For PM10 samples col- that the expected mass concentration cal- lected at temperatures and pressures signifi- culated for a candidate PM10 sampler, when cantly different from EPA reference condi- sampling a specified particle size distributions, these corrected concentrations some- tion, be within ±10 percent of that calculated

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for an ideal sampler whose sampling effec- particle distribution in the atmosphere dur- tiveness is explicitly specified. Also, the paring the sampling period. The use of a flow ticle size for 50 percent sampling effective- control device (section 7.1.3) is required to ness is required to be 10 ±0.5 micrometers. minimize this error. Other specifications related to accuracy 6.6 Air Volume Determination. Errors in the apply to flow measurement and calibration, air volume determination may result from filter media, analytical (weighing) proce- errors in the flow rate and/or sampling time dures, and artifact. The flow rate accuracy of measurements. The flow control device PM10 samplers used in certain monitoring serves to minimize errors in the flow rate de- networks is required by part 58 of this chap- termination, and an elapsed time meter (sec- ter to be assessed periodically via flow rate tion 7.1.5) is required to minimize the error audits. in the sampling time measurement. 6.0 Potential Sources of Error. 7.0 Apparatus. 6.1 Volatile Particles. Volatile particles col- 7.1 PM Sampler. lected on filters are often lost during ship- 10 ment and/or storage of the filters prior to 7.1.1 The sampler shall be designed to: the post-sampling weighing 3. Although ship- a. Draw the air sample into the sampler ment or storage of loaded filters is some- inlet and through the particle collection fil- times unavoidable, filters should be re- ter at a uniform face velocity. weighed as soon as practical to minimize b. Hold and seal the filter in a horizontal these losses. position so that sample air is drawn down- 6.2 Artifacts. Positive errors in PM10 con- ward through the filter. centration measurements may result from c. Allow the filter to be installed and re- retention of gaseous species on filters. 45 moved conveniently. Such errors include the retention of sulfur d. Protect the filter and sampler from pre- dioxide and nitric acid. Retention of sulfur cipitation and prevent insects and other de- dioxide on filters, followed by oxidation to bris from being sampled. sulfate, is referred to as artifact sulfate for- e. Minimize air leaks that would cause mation, a phenomenon which increases with error in the measurement of the air volume increasing filter alkalinity. 6 Little or no ar- passing through the filter. tifact sulfate formation should occur using f. Discharge exhaust air at a sufficient dis- filters that meet the alkalinity specification tance from the sampler inlet to minimize the in section 7.2.4. Artifact nitrate formation, sampling of exhaust air. resulting primarily from retention of nitric g. Minimize the collection of dust from the acid, occurs to varying degrees on many fil- supporting surface. ter types, including glass fiber, cellulose ester, and many quartz fiber filters. 578910 7.1.2 The sampler shall have a sample air Loss of true atmospheric particulate nitrate inlet system that, when operated within a during or following sampling may also occur specified flow rate range, provides particle due to dissociation or chemical reaction. size discrimination characteristics meeting This phenomenon has been observed on Tef- all of the applicable performance specifica- lon ® filters 8 and inferred for quartz fiber fil- tions prescribed in part 53 of this chapter. ters. 11 12 The magnitude of nitrate artifact The sampler inlet shall show no significant wind direction dependence. The latter re- errors in PM10 mass concentration measurements will vary with location and ambient quirement can generally be satisfied by an temperature; however, for most sampling lo- inlet shape that is circularly symmetrical cations, these errors are expected to be about a vertical axis. small. 7.1.3 The sampler shall have a flow control 6.3 Humidity. The effects of ambient humid- device capable of maintaining the sampler’s ity on the sample are unavoidable. The filter operating flow rate within the flow rate lim- equilibration procedure in section 9.0 is de- its specified for the sampler inlet over nor- signed to minimize the effects of moisture on mal variations in line voltage and filter pres- the filter medium. sure drop. 6.4 Filter Handling. Careful handling of fil- 7.1.4 The sampler shall provide a means to ters between presampling and postsampling measure the total flow rate during the sam- weighings is necessary to avoid errors due to pling period. A continuous flow recorder is damaged filters or loss of collected particles recommended but not required. The flow from the filters. Use of a filter cartridge or measurement device shall be accurate to ±2 cassette may reduce the magnitude of these percent. errors. Filters must also meet the integrity 7.1.5 A timing/control device capable of specification in section 7.2.3. starting and stopping the sampler shall be 6.5 Flow Rate Variation. Variations in the used to obtain a sample collection period of sampler’s operating flow rate may alter the 24 ±1 hr (1,440 ±60 min). An elapsed time particle size discrimination characteristics meter, accurate to within ±15 minutes, shall of the sampler inlet. The magnitude of this be used to measure sampling time. This error will depend on the sensitivity of the meter is optional for samplers with contin- inlet to variations in flow rate and on the uous flow recorders if the sampling time

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measurement obtained by means of the re- 7.4.1 Temperature range: 15 to 30 C. corder meets the ±15 minute accuracy speci- 7.4.2 Temperature control: ±3 C. fication. 7.4.3 Humidity range: 20% to 45% RH. 7.1.6 The sampler shall have an associated 7.4.4 Humidity control: ±5% RH. operation or instruction manual as required 7.5 Analytical Balance. The analytical bal- by part 53 of this chapter which includes de- ance must be suitable for weighing the type tailed instructions on the calibration, oper- and size of filters required by the sampler. ation, and maintenance of the sampler. The range and sensitivity required will de- 7.2 Filters. pend on the filter tare weights and mass 7.2.1 Filter Medium. No commercially avail- loadings. Typically, an analytical balance able filter medium is ideal in all respects for with a sensitivity of 0.1 mg is required for all samplers. The user’s goals in sampling de- high volume samplers (flow rates >0.5 m3/ termine the relative importance of various min). Lower volume samplers (flow rates <0.5 filter characteristics (e.g., cost, ease of han- m3/min) will require a more sensitive bal- dling, physical and chemical characteristics, ance. etc.) and, consequently, determine the 8.0 Calibration. choice among acceptable filters. Further- 8.1 General Requirements. more, certain types of filters may not be 8.1.1 Calibration of the sampler’s flow suitable for use with some samplers, particu- measurement device is required to establish larly under heavy loading conditions (high traceability of subsequent flow measure- mass concentrations), because of high or ments to a primary standard. A flow rate rapid increase in the filter flow resistance transfer standard calibrated against a pri- that would exceed the capability of the sam- mary flow or volume standard shall be used pler’s flow control device. However, samplers to calibrate or verify the accuracy of the equipped with automatic filter-changing sampler’s flow measurement device. mechanisms may allow use of these types of 8.1.2 Particle size discrimination by iner- filters. The specifications given below are tial separation requires that specific air ve- minimum requirements to ensure accept- locities be maintained in the sampler’s air ability of the filter medium for measurement inlet system. Therefore, the flow rate of PM10 mass concentrations. Other filter through the sampler’s inlet must be main- evaluation criteria should be considered to tained throughout the sampling period with- meet individual sampling and analysis objec- in the design flow rate range specified by the tives. manufacturer. Design flow rates are speci- 7.2.2 Collection Efficiency. ≥99 percent, as fied as actual volumetric flow rates, meas- measured by the DOP test (ASTM–2986) with ured at existing conditions of temperature 0.3 μm particles at the sampler’s operating and pressure (Qa). In contrast, mass con- face velocity. centrations of PM10 are computed using flow 7.2.3 Integrity. ±5 μg/m3 (assuming sampler’s rates corrected to EPA reference conditions nominal 24-hour air sample volume). Integ- of temperature and pressure (Qstd). rity is measured as the PM10 concentration 8.2 Flow Rate Calibration Procedure. equivalent corresponding to the average dif- 8.2.1 PM10 samplers employ various types ference between the initial and the final of flow control and flow measurement de- weights of a random sample of test filters vices. The specific procedure used for flow that are weighed and handled under actual rate calibration or verification will vary de- or simulated sampling conditions, but have pending on the type of flow controller and no air sample passed through them (i.e., fil- flow indicator employed. Calibration in ter blanks). As a minimum, the test proce- terms of actual volumetric flow rates (Qa) is dure must include initial equilibration and generally recommended, but other measures weighing, installation on an inoperative of flow rate (e.g., Qstd) may be used provided sampler, removal from the sampler, and final the requirements of section 8.1 are met. The equilibration and weighing. general procedure given here is based on ac- 7.2.4 Alkalinity. <25 microequivalents/gram tual volumetric flow units (Qa) and serves to of filter, as measured by the procedure given illustrate the steps involved in the calibra- in Reference 13 following at least two tion of a PM10 sampler. Consult the sampler months storage in a clean environment (free manufacturer’s instruction manual and Ref- from contamination by acidic gases) at room erence 2 for specific guidance on calibration. temperature and humidity. Reference 14 provides additional information 7.3 Flow Rate Transfer Standard. The flow on the use of the commonly used measures of rate transfer standard must be suitable for flow rate and their interrelationships. the sampler’s operating flow rate and must 8.2.2 Calibrate the flow rate transfer stand- be calibrated against a primary flow or vol- ard against a primary flow or volume stand- ume standard that is traceable to the Na- ard traceable to NBS. Establish a calibration tional Bureau of Standards (NBS). The flow relationship (e.g., an equation or family of rate transfer standard must be capable of curves) such that traceability to the primary measuring the sampler’s operating flow rate standard is accurate to within 2 percent over with an accuracy of ±2 percent. the expected range of ambient conditions 7.4 Filter Conditioning Environment. (i.e., temperatures and pressures) under

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which the transfer standard will be used. Re- tions provided in the sampler manufacturer’s calibrate the transfer standard periodically. instruction manual. NOTE.—No onsite tem- 8.2.3 Following the sampler manufacturer’s perature or pressure measurements are nec- instruction manual, remove the sampler essary if the sampler’s flow indicator does inlet and connect the flow rate transfer not require temperature or pressure correc- standard to the sampler such that the trans- tions or if seasonal average temperature and fer standard accurately measures the sam- average barometric pressure for the sampler’s flow rate. Make sure there are no leaks pling site are incorporated into the sampler between the transfer standard and the sam- calibration (see step 8.2.4). If individual or pler. daily temperature and pressure corrections 8.2.4 Choose a minimum of three flow rates are required, ambient temperature and baro- (actual m3/min), spaced over the acceptable metric pressure can be obtained by on-site flow rate range specified for the inlet (see measurements or from a nearby weather sta- 7.1.2) that can be obtained by suitable adjust- tion. Barometric pressure readings obtained ment of the sampler flow rate. In accordance from airports must be station pressure, not with the sampler manufacturer’s instruction corrected to sea level, and may need to be manual, obtain or verify the calibration re- corrected for differences in elevation be- lationship between the flow rate (actual m3/ tween the sampling site and the airport. min) as indicated by the transfer standard 9.7 If the flow rate is outside the accept- and the sampler’s flow indicator response. able range specified by the manufacturer, Record the ambient temperature and baro- check for leaks, and if necessary, adjust the metric pressure. Temperature and pressure flow rate to the specified setpoint. Stop the corrections to subsequent flow indicator sampler. readings may be required for certain types of 9.8 Set the timer to start and stop the sam- flow measurement devices. When such cor- pler at appropriate times. Set the elapsed rections are necessary, correction on an indi- time meter to zero or record the initial vidual or daily basis is preferable. However, meter reading. seasonal average temperature and average 9.9 Record the sample information (site lo- barometric pressure for the sampling site cation or identification number, sample may be incorporated into the sampler cali- date, filter identification number, and sam- bration to avoid daily corrections. Consult pler model and serial number). the sampler manufacturer’s instruction man- 9.10 Sample for 24 ±1 hours. ual and Reference 2 for additional guidance. 8.2.5 Following calibration, verify that the 9.11 Determine and record the average flow ¯ 3 sampler is operating at its design flow rate rate (Qa) in actual m /min for the sampling (actual m3/min) with a clean filter in place. period in accordance with the instructions 8.2.6 Replace the sampler inlet. provided in the sampler manufacturer’s in- 9.0 Procedure. struction manual. Record the elapsed time 9.1 The sampler shall be operated in ac- meter final reading and, if needed, the aver- cordance with the specific guidance provided age ambient temperature and barometric in the sampler manufacturer’s instruction pressure for the sampling period (see note manual and in Reference 2. The general pro- following step 9.6). cedure given here assumes that the sampler’s 9.12 Carefully remove the filter from the flow rate calibration is based on flow rates sampler, following the sampler manufacturer’s instruction manual. Touch only the at ambient conditions (Qa) and serves to illustrate the steps involved in the operation outer edges of the filter. 9.13 Place the filter in a protective holder of a PM10 sampler. 9.2 Inspect each filter for pinholes, par- or container (e.g., petri dish, glassine enve- ticles, and other imperfections. Establish a lope, or manila folder). filter information record and assign an iden- 9.14 Record any factors such as meteoro- tification number to each filter. logical conditions, construction activity, 9.3 Equilibrate each filter in the condi- fires or dust storms, etc., that might be per- tioning environment (see 7.4) for at least 24 tinent to the measurement on the filter in- hours. formation record. 9.4 Following equilibration, weigh each fil- 9.15 Transport the exposed sample filter to ter and record the presampling weight with the filter conditioning environment as soon the filter identification number. as possible for equilibration and subsequent 9.5 Install a preweighed filter in the sam- weighing. pler following the instructions provided in 9.16 Equilibrate the exposed filter in the the sampler manufacturer’s instruction man- conditioning environment for at least 24 ual. hours under the same temperature and hu- 9.6 Turn on the sampler and allow it to es- midity conditions used for presampling filter tablish run-temperature conditions. Record equilibration (see 9.3). the flow indicator reading and, if needed, the 9.17 Immediately after equilibration, re- ambient temperature and barometric pres- weigh the filter and record the postsampling sure. Determine the sampler flow rate (ac- weight with the filter identification number. tual m3/min) in accordance with the instruc- 10.0 Sampler Maintenance.

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10.1 The PM10 sampler shall be maintained Analysis of Organic Compounds in Aerosols. in strict accordance with the maintenance Int. J. Environ. Analyt. Chem., 7:109, 1979. procedures specified in the sampler manufac- 4. Lee, R.E., Jr., and J. Wagman. A Sam- turer’s instruction manual. pling Anomaly in the Determination of At- 11.0 Calculations. mospheric Sulfate Concentration. Amer. Ind. 11.1 Calculate the average flow rate over Hyg. Assoc. J., 27:266, 1966. the sampling period corrected to EPA ref- 5. Appel, B.R., S.M. Wall, Y. Tokiwa, and ¯ erence conditions as Qstd. When the sampler’s M. Haik. Interference Effects in Sampling flow indicator is calibrated in actual volu- Particulate Nitrate in Ambient Air. Atmos. ¯ metric units (Qa), Qstd is calculated as: Environ., 13:319, 1979. 6. Coutant, R.W. Effect of Environmental Q¯ = Q¯ × (P /T )(T /P ) std a av av std std Variables on Collection of Atmospheric Sul- where fate. Environ. Sci. Technol., 11:873, 1977. ¯ Qstd = average flow rate at EPA reference 7. Spicer, C.W., and P. Schumacher. Inter- conditions, std m3/min; ference in Sampling Atmospheric Particu- ¯ Qa = average flow rate at ambient conditions, late Nitrate. Atmos. Environ., 11:873, 1977. m3/min; 8. Appel, B.R., Y. Tokiwa, and M. Haik. Pav = average barometric pressure during the Sampling of Nitrates in Ambient Air. Atmos. sampling period or average barometric Environ., 15:283, 1981. pressure for the sampling site, kPa (or 9. Spicer, C.W., and P.M. Schumacher. Par- mm Hg); ticulate Nitrate: Laboratory and Field Stud- ies of Major Sampling Interferences. Atmos. Tav = average ambient temperature during the sampling period or seasonal average Environ., 13:543, 1979. ambient temperature for the sampling 10. Appel, B.R. Letter to Larry Purdue, site, K; U.S. EPA, Environmental Monitoring and T = standard temperature, defined as 298 K; Support Laboratory. March 18, 1982, Docket std No. A–82–37, II-I-1. Pstd = standard pressure, defined as 101.3 kPa (or 760 mm Hg). 11. Pierson, W.R., W.W. Brachaczek, T.J. Korniski, T.J. Truex, and J.W. Butler. Arti- 11.2 Calculate the total volume of air sam- fact Formation of Sulfate, Nitrate, and Hy- pled as: drogen Ion on Backup Filters: Allegheny ¯ Vstd = Qstd × t Mountain Experiment. J. Air Pollut. Control where Assoc., 30:30, 1980. 12. Dunwoody, C.L. Rapid Nitrate Loss V = total air sampled in standard volume std From PM Filters. J. Air Pollut. Control units, std m3; 10 Assoc., 36:817, 1986. t = sampling time, min. 13. Harrell, R.M. Measuring the Alkalinity 11.3 Calculate the PM10 concentration as: of Hi-Vol Air Filters. EMSL/RTP-SOP-QAD- 6 PM10 = (Wf¥Wi) × 10 /Vstd 534, October 1985. Available from the U.S. En- where vironmental Protection Agency, EMSL/QAD, Research Triangle Park, NC 27711. μ PM10 = mass concentration of PM10, g/std 14. Smith, F., P.S. Wohlschlegel, R.S.C. m3; Rogers, and D.J. Mulligan. Investigation of Wf, Wi = final and initial weights of filter col- Flow Rate Calibration Procedures Associ- lecting PM1O particles, g; ated With the High Volume Method for De- 106 = conversion of g to μg. termination of Suspended Particulates. NOTE: If more than one size fraction in the EPA–600/4–78–047, U.S. Environmental Pro- PM10 size range is collected by the sampler, tection Agency, Research Triangle Park, NC the sum of the net weight gain by each col- 27711, 1978. lection filter [ (W ¥W )] is used to calculate S f i [52 FR 24664, July 1, 1987; 52 FR 29467, Aug. 7, the PM mass concentration. 10 1987] 12.0 References. 1. Quality Assurance Handbook for Air Pol- APPENDIX K TO PART 50—INTERPRETA- lution Measurement Systems, Volume I, Principles. EPA–600/9–76–005, March 1976. TION OF THE NATIONAL AMBIENT AIR Available from CERI, ORD Publications, QUALITY STANDARDS FOR PARTICU- U.S. Environmental Protection Agency, 26 LATE MATTER West St. Clair Street, Cincinnati, OH 45268. 1.0 General 2. Quality Assurance Handbook for Air Pol- lution Measurement Systems, Volume II, (a) This appendix explains the computa- Ambient Air Specific Methods. EPA–600/4–77– tions necessary for analyzing particulate 027a, May 1977. Available from CERI, ORD matter data to determine attainment of the Publications, U.S. Environmental Protection 24-hour standards specified in 40 CFR 50.6. Agency, 26 West St. Clair Street, Cincinnati, For the primary and secondary standards, OH 45268. particulate matter is measured in the ambi- 3. Clement, R.E., and F.W. Karasek. Sam- ent air as PM10 (particles with an aero- ple Composition Changes in Sampling and dynamic diameter less than or equal to a

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nominal 10 micrometers) by a reference 2.2 Reserved method based on appendix J of this part and designated in accordance with part 53 of this 2.3 Data Requirements chapter, or by an equivalent method des- (a) 40 CFR 58.12 specifies the required min- ignated in accordance with part 53 of this imum frequency of sampling for PM10. For chapter. The required frequency of measure- the purposes of making comparisons with ments is specified in part 58 of this chapter. the particulate matter standards, all data (b) The terms used in this appendix are de- produced by State and Local Air Monitoring fined as follows: Stations (SLAMS) and other sites submitted Average refers to the arithmetic mean of to EPA in accordance with the part 58 re- the estimated number of exceedances per quirements must be used, and a minimum of year, as per Section 3.1. 75 percent of the scheduled PM10 samples per Daily value for PM10 refers to the 24-hour quarter are required. average concentration of PM10 calculated or (b) To demonstrate attainment of the 24- measured from midnight to midnight (local hour standards at a monitoring site, the time). monitor must provide sufficient data to per- Exceedance means a daily value that is form the required calculations of sections 3.0 above the level of the 24-hour standard after and 4.0 of this appendix. The amount of data rounding to the nearest 10 μg/m3 (i.e., values required varies with the sampling frequency, ending in 5 or greater are to be rounded up). data capture rate and the number of years of Expected annual value is the number ap- record. In all cases, 3 years of representative proached when the annual values from an in- monitoring data that meet the 75 percent creasing number of years are averaged, in criterion of the previous paragraph should be the absence of long-term trends in emissions utilized, if available, and would suffice. More or meteorological conditions. than 3 years may be considered, if all addi- Year refers to a calendar year. tional representative years of data meeting (c) Although the discussion in this appen- the 75 percent criterion are utilized. Data dix focuses on monitored data, the same not meeting these criteria may also suffice principles apply to modeling data, subject to to show attainment; however, such exceptions will have to be approved by the appro- EPA modeling guidelines. priate Regional Administrator in accordance 2.0 Attainment Determinations with EPA guidance. (c) There are less stringent data require- 2.1 24-Hour Primary and Secondary Standards ments for showing that a monitor has failed an attainment test and thus has recorded a (a) Under 40 CFR 50.6(a) the 24-hour pri- violation of the particulate matter stand- mary and secondary standards are attained ards. Although it is generally necessary to when the expected number of exceedances meet the minimum 75 percent data capture per year at each monitoring site is less than requirement per quarter to use the computa- or equal to one. In the simplest case, the tional equations described in section 3.0 of number of expected exceedances at a site is this appendix, this criterion does not apply determined by recording the number of when less data is sufficient to unambig- exceedances in each calendar year and then uously establish nonattainment. The fol- averaging them over the past 3 calendar lowing examples illustrate how nonattain- years. Situations in which 3 years of data are ment can be demonstrated when a site fails not available and possible adjustments for to meet the completeness criteria. Non- unusual events or trends are discussed in attainment of the 24-hour primary standards sections 2.3 and 2.4 of this appendix. Further, can be established by the observed annual when data for a year are incomplete, it is number of exceedances (e.g., four observed necessary to compute an estimated number exceedances in a single year), or by the esti- of exceedances for that year by adjusting the mated number of exceedances derived from observed number of exceedances. This proce- the observed number of exceedances and the dure, performed by calendar quarter, is de- required number of scheduled samples (e.g., scribed in section 3.0 of this appendix. The two observed exceedances with every other expected number of exceedances is then esti- day sampling). In both cases, expected an- mated by averaging the individual annual es- nual values must exceed the levels allowed timates for the past 3 years. by the standards. (b) The comparison with the allowable ex- 2.4 Adjustment for Exceptional Events and pected exceedance rate of one per year is Trends made in terms of a number rounded to the nearest tenth (fractional values equal to or (a) An exceptional event is an uncontrol- greater than 0.05 are to be rounded up; e.g., lable event caused by natural sources of par- an exceedance rate of 1.05 would be rounded ticulate matter or an event that is not ex- to 1.1, which is the lowest rate for nonattain- pected to recur at a given location. Inclusion ment). of such a value in the computation of

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exceedances or averages could result in inappropriate estimates of their respective ex- Equation 1 pected annual values. To reduce the effect of ⎛ N ⎞ unusual events, more than 3 years of rep- =×⎜ q ⎟ resentative data may be used. Alternatively, evqq⎜ ⎟ other techniques, such as the use of statis- ⎝ nq ⎠ tical models or the use of historical data Where: could be considered so that the event may be eq = the estimated number of exceedances for discounted or weighted according to the calendar quarter q; likelihood that it will recur. The use of such vq = the observed number of exceedances for techniques is subject to the approval of the calendar quarter q; appropriate Regional Administrator in ac- Nq = the number of days in calendar quarter cordance with EPA guidance. q; (b) In cases where long-term trends in nq = the number of days in calendar quarter emissions and air quality are evident, math- q with PM10 data; and ematical techniques should be applied to ac- q = the index for calendar quarter, q = 1, 2, count for the trends to ensure that the ex- 3 or 4. pected annual values are not inappropriately (b) The estimated number of exceedances biased by unrepresentative data. In the sim- for a calendar quarter must be rounded to plest case, if 3 years of data are available the nearest hundredth (fractional values under stable emission conditions, this data equal to or greater than 0.005 must be round- should be used. In the event of a trend or ed up). shift in emission patterns, either the most (c) The estimated number of exceedances recent representative year(s) could be used for the year, e, is the sum of the estimates or statistical techniques or models could be for each calendar quarter. used in conjunction with previous years of data to adjust for trends. The use of less Equation 2 than 3 years of data, and any adjustments 4 are subject to the approval of the appro- ee= ∑ priate Regional Administrator in accordance q q=1 with EPA guidance. (d) The estimated number of exceedances 3.0 Computational Equations for the 24-Hour for a single year must be rounded to one dec- Standards imal place (fractional values equal to or greater than 0.05 are to be rounded up). The 3.1 Estimating Exceedances for a Year expected number of exceedances is then estimated by averaging the individual annual es- (a) If PM sampling is scheduled less fre- 10 timates for the most recent 3 or more rep- quently than every day, or if some scheduled resentative years of data. The expected num- samples are missed, a PM value will not be 10 ber of exceedances must be rounded to one available for each day of the year. To ac- decimal place (fractional values equal to or count for the possible effect of incomplete greater than 0.05 are to be rounded up). data, an adjustment must be made to the (e) The adjustment for incomplete data data collected at each monitoring location will not be necessary for monitoring or mod- to estimate the number of exceedances in a eling data which constitutes a complete calendar year. In this adjustment, the as- record, i.e., 365 days per year. sumption is made that the fraction of miss- (f) To reduce the potential for overesti- ing values that would have exceeded the mating the number of expected exceedances, standard level is identical to the fraction of the correction for missing data will not be measured values above this level. This com- required for a calendar quarter in which the putation is to be made for all sites that are first observed exceedance has occurred if: scheduled to monitor throughout the entire (1) There was only one exceedance in the year and meet the minimum data require- calendar quarter; ments of section 2.3 of this appendix. Be- (2) Everyday sampling is subsequently ini- cause of possible seasonal imbalance, this tiated and maintained for 4 calendar quar- adjustment shall be applied on a quarterly ters in accordance with 40 CFR 58.12; and (3) Data capture of 75 percent is achieved basis. The estimate of the expected number during the required period of everyday sam- of exceedances for the quarter is equal to the pling. In addition, if the first exceedance is observed number of exceedances plus an in- observed in a calendar quarter in which the crement associated with the missing data. monitor is already sampling every day, no The following equation must be used for adjustment for missing data will be made to these computations: the first exceedance if a 75 percent data capture rate was achieved in the quarter in which it was observed.

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Example 1 a. During a particular calendar quarter, 39 Equation 3 out of a possible 92 samples were recorded, ⎛ N ⎞ mq ⎛ v ⎞ with one observed exceedance of the 24-hour = ⎜ q ⎟ × ⎜ j ⎟ standard. Using Equation 1, the estimated eq ⎜ ⎟ ∑ ⎜ ⎟ number of exceedances for the quarter is: ⎝ mq ⎠ jl= ⎝ k j ⎠

eq = 1 × 92/39 = 2.359 or 2.36. Where:

b. If the estimated exceedances for the eq = the estimated number of exceedances for other 3 calendar quarters in the year were the quarter; 2.30, 0.0 and 0.0, then, using Equation 2, the Nq = the number of days in the quarter; estimated number of exceedances for the mq = the number of strata with samples dur- year is 2.36 + 2.30 + 0.0 + 0.0 which equals 4.66 ing the quarter;

or 4.7. If no exceedances were observed for vj = the number of observed exceedances in the 2 previous years, then the expected num- stratum j; and 1 ber of exceedances is estimated by: ( ⁄3) × (4.7 kj = the number of actual samples in stratum + 0 + 0) = 1.57 or 1.6. Since 1.6 exceeds the al- j. lowable number of expected exceedances, (c) Note that if only one sample value is re- this monitoring site would fail the attain- corded in each stratum, then Equation 3 re- ment test. duces to Equation 1.

Example 2 Example 3 In this example, everyday sampling was A monitoring site samples according to a initiated following the first observed exceed- systematic sampling schedule of one sample ance as required by 40 CFR 58.12. Accord- every 6 days, for a total of 15 scheduled sam- ingly, the first observed exceedance would ples in a quarter out of a total of 92 possible not be adjusted for incomplete sampling. samples. During one 6-day period, potential During the next three quarters, 1.2 episode levels of PM10 were suspected, so 5 exceedances were estimated. In this case, the additional samples were taken. One of the estimated exceedances for the year would be regular scheduled samples was missed, so a 1.0 + 1.2 + 0.0 + 0.0 which equals 2.2. If, as be- total of 19 samples in 14 sampling strata fore, no exceedances were observed for the were measured. The one 6-day sampling stra- two previous years, then the estimated tum with 6 samples recorded 2 exceedances. exceedances for the 3-year period would then The remainder of the quarter with one sam- be (1⁄3) × (2.2 + 0.0 + 0.0) = 0.7, and the moni- ple per stratum recorded zero exceedances. toring site would not fail the attainment Using Equation 3, the estimated number of test. exceedances for the quarter is: Eq = (92/14) × (2/6 + 0 + . . . + 0) = 2.19. 3.2 Adjustments for Non-Scheduled Sampling Days [71 FR 61224, Oct. 17, 2006]

(a) If a systematic sampling schedule is APPENDIX L TO PART 50—REFERENCE used and sampling is performed on days in METHOD FOR THE DETERMINATION OF addition to the days specified by the system- FINE PARTICULATE MATTER AS PM atic sampling schedule, e.g., during episodes 2.5 IN THE ATMOSPHERE of high pollution, then an adjustment must be made in the equation for the estimation 1.0 Applicability. of exceedances. Such an adjustment is need- 1.1 This method provides for the measure- ed to eliminate the bias in the estimate of ment of the mass concentration of fine par- the quarterly and annual number of ticulate matter having an aerodynamic di- exceedances that would occur if the chance ameter less than or equal to a nominal 2.5 of an exceedance is different for scheduled micrometers (PM2.5) in ambient air over a 24- than for non-scheduled days, as would be the hour period for purposes of determining case with episode sampling. whether the primary and secondary national (b) The required adjustment treats the sys- ambient air quality standards for fine partic- tematic sampling schedule as a stratified ulate matter specified in § 50.7 and § 50.13 of sampling plan. If the period from one sched- this part are met. The measurement process uled sample until the day preceding the next is considered to be nondestructive, and the scheduled sample is defined as a sampling PM2.5 sample obtained can be subjected to stratum, then there is one stratum for each subsequent physical or chemical analyses. scheduled sampling day. An average number Quality assessment procedures are provided of observed exceedances is computed for each in part 58, appendix A of this chapter, and of these sampling strata. With nonscheduled quality assurance guidance are provided in sampling days, the estimated number of references 1, 2, and 3 in section 13.0 of this exceedances is defined as: appendix.

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1.2 This method will be considered a ref- m3 while maintaining the operating flow rate erence method for purposes of part 58 of this within the specified limits. chapter only if: 3.3 Sample period. The required sample pe- (a) The associated sampler meets the re- riod for PM2.5 concentration measurements quirements specified in this appendix and by this method shall be 1,380 to 1500 minutes the applicable requirements in part 53 of this (23 to 25 hours). However, when a sample pe- chapter, and riod is less than 1,380 minutes, the measured (b) The method and associated sampler concentration (as determined by the col- have been designated as a reference method lected PM2.5 mass divided by the actual sam- in accordance with part 53 of this chapter. pled air volume), multiplied by the actual 1.3 PM samplers that meet nearly all 2.5 number of minutes in the sample period and specifications set forth in this method but divided by 1,440, may be used as if it were a have minor deviations and/or modifications of the reference method sampler will be des- valid concentration measurement for the ignated as ‘‘Class I’’ equivalent methods for specific purpose of determining a violation of the NAAQS. This value assumes that the PM2.5 in accordance with part 53 of this chapter. PM2.5 concentration is zero for the remaining 2.0 Principle. portion of the sample period and therefore 2.1 An electrically powered air sampler represents the minimum concentration that draws ambient air at a constant volumetric could have been measured for the full 24-hour flow rate into a specially shaped inlet and sample period. Accordingly, if the value thus through an inertial particle size separator calculated is high enough to be an exceed- (impactor) where the suspended particulate ance, such an exceedance would be a valid matter in the PM2.5 size range is separated exceedance for the sample period. When refor collection on a polytetrafluoroethylene ported to AIRS, this data value should re- (PTFE) filter over the specified sampling pe- ceive a special code to identify it as not to be riod. The air sampler and other aspects of commingled with normal concentration this reference method are specified either ex- measurements or used for other purposes. plicitly in this appendix or generally with 4.0 Accuracy. reference to other applicable regulations or 4.1 Because the size and volatility of the quality assurance guidance. particles making up ambient particulate 2.2 Each filter is weighed (after moisture matter vary over a wide range and the mass and temperature conditioning) before and concentration of particles varies with par- after sample collection to determine the net ticle size, it is difficult to define the accu- gain due to collected PM2.5. The total volume racy of PM measurements in an absolute of air sampled is determined by the sampler 2.5 sense. The accuracy of PM2.5 measurements from the measured flow rate at actual ambi- is therefore defined in a relative sense, ref- ent temperature and pressure and the sam- erenced to measurements provided by this pling time. The mass concentration of PM2.5 reference method. Accordingly, accuracy in the ambient air is computed as the total shall be defined as the degree of agreement size mass of collected particles in the PM2.5 between a subject field PM sampler and a range divided by the actual volume of air 2.5 collocated PM reference method audit sampled, and is expressed in micrograms per 2.5 sampler operating simultaneously at the cubic meter of air (μg/m3). monitoring site location of the subject sam- 3.0 PM Measurement Range. 2.5 pler and includes both random (precision) 3.1 Lower concentration limit. The lower de- and systematic (bias) errors. The require- tection limit of the mass concentration ments for this field sampler audit procedure measurement range is estimated to be ap- are set forth in part 58, appendix A of this proximately 2 μg/m3, based on noted mass changes in field blanks in conjunction with chapter. the 24 m3 nominal total air sample volume 4.2 Measurement system bias. Results of col- specified for the 24-hour sample. located measurements where the duplicate 3.2 Upper concentration limit. The upper sampler is a reference method sampler are limit of the mass concentration range is de- used to assess a portion of the measurement termined by the filter mass loading beyond system bias according to the schedule and which the sampler can no longer maintain procedure specified in part 58, appendix A of the operating flow rate within specified lim- this chapter. its due to increased pressure drop across the 4.3 Audits with reference method samplers to loaded filter. This upper limit cannot be determine system accuracy and bias. According specified precisely because it is a complex to the schedule and procedure specified in function of the ambient particle size dis- part 58, appendix A of this chapter, a ref- tribution and type, humidity, the individual erence method sampler is required to be lo- filter used, the capacity of the sampler flow cated at each of selected PM2.5 SLAMS sites rate control system, and perhaps other fac- as a duplicate sampler. The results from the tors. Nevertheless, all samplers are esti- primary sampler and the duplicate reference mated to be capable of measuring 24-hour method sampler are used to calculate accu- PM2.5 mass concentrations of at least 200 μg/ racy of the primary sampler on a quarterly 95

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basis, bias of the primary sampler on an an- 6.6 Maximum pressure drop (clean filter). 30 nual basis, and bias of a single reporting or- cm H2O column @ 16.67 L/min clean air flow. ganization on an annual basis. Reference 2 in 6.7 Maximum moisture pickup. Not more section 13.0 of this appendix provides addi- than 10 μg weight increase after 24-hour ex- tional information and guidance on these posure to air of 40 percent relative humidity, reference method audits. relative to weight after 24-hour exposure to 4.4 Flow rate accuracy and bias. Part 58, ap- air of 35 percent relative humidity. pendix A of this chapter requires that the 6.8 Collection efficiency. Greater than 99.7 flow rate accuracy and bias of individual percent, as measured by the DOP test (ASTM PM2.5 samplers used in SLAMS monitoring D 2986–91) with 0.3 μm particles at the sam- networks be assessed periodically via audits pler’s operating face velocity. of each sampler’s operational flow rate. In 6.9 Filter weight stability. Filter weight loss addition, part 58, appendix A of this chapter shall be less than 20 μg, as measured in each requires that flow rate bias for each ref- of the following two tests specified in sec- erence and equivalent method operated by tions 6.9.1 and 6.9.2 of this appendix. The fol- each reporting organization be assessed lowing conditions apply to both of these quarterly and annually. Reference 2 in sec- tests: Filter weight loss shall be the average tion 13.0 of this appendix provides additional difference between the initial and the final information and guidance on flow rate accu- filter weights of a random sample of test fil- racy audits and calculations for accuracy ters selected from each lot prior to sale. The and bias. number of filters tested shall be not less 5.0 Precision. A data quality objective of 10 than 0.1 percent of the filters of each manu- percent coefficient of variation or better has facturing lot, or 10 filters, whichever is been established for the operational preci- greater. The filters shall be weighed under sion of PM monitoring data. 2.5 laboratory conditions and shall have had no 5.1 Tests to establish initial operational air sample passed through them, i.e., filter precision for each reference method sampler blanks. Each test procedure must include are specified as a part of the requirements for designation as a reference method under initial conditioning and weighing, the test, § 53.58 of this chapter. and final conditioning and weighing. Condi- 5.2 Measurement System Precision. Collo- tioning and weighing shall be in accordance cated sampler results, where the duplicate with sections 8.0 through 8.2 of this appendix sampler is not a reference method sampler and general guidance provided in reference 2 but is a sampler of the same designated of section 13.0 of this appendix. method as the primary sampler, are used to 6.9.1 Test for loose, surface particle contami- assess measurement system precision ac- nation. After the initial weighing, install cording to the schedule and procedure speci- each test filter, in turn, in a filter cassette fied in part 58, appendix A of this chapter. (Figures L–27, L–28, and L–29 of this appen- Part 58, appendix A of this chapter requires dix) and drop the cassette from a height of 25 that these collocated sampler measurements cm to a flat hard surface, such as a particle- be used to calculate quarterly and annual free wood bench. Repeat two times, for a precision estimates for each primary sam- total of three drop tests for each test filter. pler and for each designated method em- Remove the test filter from the cassette and ployed by each reporting organization. Ref- weigh the filter. The average change in erence 2 in section 13.0 of this appendix pro- weight must be less than 20 μg. vides additional information and guidance 6.9.2 Test for temperature stability. After on this requirement. weighing each filter, place the test filters in a drying oven set at 40 °C ±2 °C for not less 6.0 Filter for PM2.5 Sample Collection. Any filter manufacturer or vendor who sells or of- than 48 hours. Remove, condition, and refers to sell filters specifically identified for weigh each test filter. The average change in weight must be less than 20 μg. use with this PM2.5 reference method shall certify that the required number of filters 6.10 Alkalinity. Less than 25 microequiva- from each lot of filters offered for sale as lents/gram of filter, as measured by the guid- such have been tested as specified in this sec- ance given in reference 2 in section 13.0 of tion 6.0 and meet all of the following design this appendix. and performance specifications. 6.11 Supplemental requirements. Although 6.1 Size. Circular, 46.2 mm diameter ±0.25 not required for determination of PM2.5 mass mm. concentration under this reference method, 6.2 Medium. Polytetrafluoroethylene additional specifications for the filter must (PTFE Teflon), with integral support ring. be developed by users who intend to subject 6.3 Support ring. Polymethylpentene (PMP) PM2.5 filter samples to subsequent chemical or equivalent inert material, 0.38 ±0.04 mm analysis. These supplemental specifications thick, outer diameter 46.2 mm ±0.25 mm, and include background chemical contamination width of 3.68 mm (±0.00, ¥0.51 mm). of the filter and any other filter parameters 6.4 Pore size. 2 μm as measured by ASTM F that may be required by the method of chem- 316–94. ical analysis. All such supplemental filter 6.5 Filter thickness. 30 to 50 μm. specifications must be compatible with and

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secondary to the primary filter specifica- 7.3.1 Sample inlet assembly. The sample inlet tions given in this section 6.0 of this appen- assembly, consisting of the inlet, downtube, dix. and impactor shall be configured and assem- 7.0 PM2.5 Sampler. bled as indicated in Figure L–1 of this appen- 7.1 Configuration. The sampler shall consist dix and shall meet all associated require- of a sample air inlet, downtube, particle size ments. A portion of this assembly shall also separator (impactor), filter holder assembly, be subject to the maximum overall sampler air pump and flow rate control system, flow leak rate specification under section 7.4.6 of rate measurement device, ambient and filter this appendix. temperature monitoring system, barometric 7.3.2 Inlet. The sample inlet shall be fab- pressure measurement system, timer, out- ricated as indicated in Figures L–2 through door environmental enclosure, and suitable L–18 of this appendix and shall meet all asso- mechanical, electrical, or electronic control ciated requirements. capability to meet or exceed the design and 7.3.3 Downtube. The downtube shall be fab- functional performance as specified in this ricated as indicated in Figure L–19 of this ap- section 7.0 of this appendix. The performance pendix and shall meet all associated require- specifications require that the sampler: ments. (a) Provide automatic control of sample 7.3.4 Particle size separator. The sampler volumetric flow rate and other operational shall be configured with either one of the parameters. two alternative particle size separators de- (b) Monitor these operational parameters scribed in this section 7.3.4. One separator is as well as ambient temperature and pressure. an impactor-type separator (WINS impactor) (c) Provide this information to the sampler described in sections 7.3.4.1, 7.3.4.2, and 7.3.4.3 operator at the end of each sample period in of this appendix. The alternative separator is digital form, as specified in table L–1 of sec- a cyclone-type separator (VSCC TM) de- tion 7.4.19 of this appendix. scribed in section 7.3.4.4 of this appendix. 7.2 Nature of specifications. The PM2.5 sam- 7.3.4.1 The impactor (particle size sepa- pler is specified by a combination of design rator) shall be fabricated as indicated in Fig- and performance requirements. The sample ures L–20 through L–24 of this appendix and inlet, downtube, particle size discriminator, shall meet all associated requirements. Fol- filter cassette, and the internal configura- lowing the manufacture and finishing of each tion of the filter holder assembly are speci- upper impactor housing (Figure L–21 of this fied explicitly by design figures and associ- appendix), the dimension of the impaction ated mechanical dimensions, tolerances, ma- jet must be verified by the manufacturer terials, surface finishes, assembly instruc- using Class ZZ go/no-go plug gauges that are tions, and other necessary specifications. All traceable to NIST. other aspects of the sampler are specified by 7.3.4.2 Impactor filter specifications: required operational function and perform- (a) Size. Circular, 35 to 37 mm diameter. ance, and the design of these other aspects (b) Medium. Borosilicate glass fiber, with- (including the design of the lower portion of out binder. the filter holder assembly) is optional, sub- (c) Pore size. 1 to 1.5 micrometer, as meas- ject to acceptable operational performance. ured by ASTM F 316–80. Test procedures to demonstrate compliance (d) Thickness. 300 to 500 micrometers. with both the design and performance re- 7.3.4.3 Impactor oil specifications: quirements are set forth in subpart E of part (a) Composition. Dioctyl sebacate (DOS), 53 of this chapter. single-compound diffusion oil. 7.3 Design specifications. Except as indicated (b) Vapor pressure. Maximum 2 × 10¥8 mm in this section 7.3 of this appendix, these Hg at 25 °C. components must be manufactured or repro- (c) Viscosity. 36 to 40 centistokes at 25 °C. duced exactly as specified, in an ISO 9001- (d) Density. 1.06 to 1.07 g/cm3 at 25 °C. registered facility, with registration ini- (e) Quantity. 1 mL ±0.1 mL. tially approved and subsequently maintained 7.3.4.4 The cyclone-type separator is iden- during the period of manufacture. See tified as a BGI VSCC TM Very Sharp Cut Cy- § 53.1(t) of this chapter for the definition of clone particle size separator specified as part an ISO-registered facility. Minor modifica- of EPA-designated equivalent method tions or variances to one or more compo- EQPM–0202–142 (67 FR 15567, April 2, 2002) and nents that clearly would not affect the aero- as manufactured by BGI Incorporated, 58 dynamic performance of the inlet, downtube, Guinan Street, Waltham, Massachusetts impactor, or filter cassette will be consid- 20451. ered for specific approval. Any such proposed 7.3.5 Filter holder assembly. The sampler modifications shall be described and sub- shall have a sample filter holder assembly to mitted to the EPA for specific individual ac- adapt and seal to the down tube and to hold ceptability either as part of a reference or and seal the specified filter, under section 6.0 equivalent method application under part 53 of this appendix, in the sample air stream in of this chapter or in writing in advance of a horizontal position below the downtube such an intended application under part 53 of such that the sample air passes downward this chapter. through the filter at a uniform face velocity.

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The upper portion of this assembly shall be porting surface to prevent toppling of the fabricated as indicated in Figures L–25 and sampler due to wind. L–26 of this appendix and shall accept and 7.4 Performance specifications. seal with the filter cassette, which shall be 7.4.1 Sample flow rate. Proper operation of fabricated as indicated in Figures L–27 the impactor requires that specific air ve- through L–29 of this appendix. locities be maintained through the device. (a) The lower portion of the filter holder Therefore, the design sample air flow rate assembly shall be of a design and construc- through the inlet shall be 16.67 L/min (1.000 tion that: m3/hour) measured as actual volumetric flow (1) Mates with the upper portion of the as- rate at the temperature and pressure of the sembly to complete the filter holder assem- sample air entering the inlet. bly, 7.4.2 Sample air flow rate control system. The (2) Completes both the external air seal sampler shall have a sample air flow rate and the internal filter cassette seal such control system which shall be capable of pro- that all seals are reliable over repeated filter viding a sample air volumetric flow rate changings, and within the specified range, under section (3) Facilitates repeated changing of the fil- 7.4.1 of this appendix, for the specified filter, ter cassette by the sampler operator. under section 6.0 of this appendix, at any at- (b) Leak-test performance requirements mospheric conditions specified, under sec- for the filter holder assembly are included in tion 7.4.7 of this appendix, at a filter pressure section 7.4.6 of this appendix. drop equal to that of a clean filter plus up to (c) If additional or multiple filters are 75 cm water column (55 mm Hg), and over the stored in the sampler as part of an auto- specified range of supply line voltage, under matic sequential sample capability, all such section 7.4.15.1 of this appendix. This flow filters, unless they are currently and di- control system shall allow for operator ad- rectly installed in a sampling channel or justment of the operational flow rate of the sampling configuration (either active or in- sampler over a range of at least ±15 percent active), shall be covered or (preferably) of the flow rate specified in section 7.4.1 of sealed in such a way as to: this appendix. (1) Preclude significant exposure of the fil- 7.4.3 Sample flow rate regulation. The sample ter to possible contamination or accumula- flow rate shall be regulated such that for the tion of dust, insects, or other material that specified filter, under section 6.0 of this ap- may be present in the ambient air, sampler, pendix, at any atmospheric conditions speci- or sampler ventilation air during storage pe- fied, under section 7.4.7 of this appendix, at a riods either before or after sampling; and filter pressure drop equal to that of a clean (2) To minimize loss of volatile or semi- filter plus up to 75 cm water column (55 mm volatile PM sample components during stor- Hg), and over the specified range of supply age of the filter following the sample period. line voltage, under section 7.4.15.1 of this ap- 7.3.6 Flow rate measurement adapter. A flow pendix, the flow rate is regulated as follows: rate measurement adapter as specified in 7.4.3.1 The volumetric flow rate, measured Figure L–30 of this appendix shall be fur- or averaged over intervals of not more than nished with each sampler. 5 minutes over a 24-hour period, shall not 7.3.7 Surface finish. All internal surfaces ex- vary more than ±5 percent from the specified posed to sample air prior to the filter shall 16.67 L/min flow rate over the entire sample be treated electrolytically in a sulfuric acid period. bath to produce a clear, uniform anodized 7.4.3.2 The coefficient of variation (sample surface finish of not less than 1000 mg/ft2 standard deviation divided by the mean) of (1.08 mg/cm2) in accordance with military the flow rate, measured over a 24-hour pe- standard specification (mil. spec.) 8625F, riod, shall not be greater than 2 percent. Type II, Class 1 in reference 4 of section 13.0 7.4.3.3 The amplitude of short-term flow of this appendix. This anodic surface coating rate pulsations, such as may originate from shall not be dyed or pigmented. Following some types of vacuum pumps, shall be at- anodization, the surfaces shall be sealed by tenuated such that they do not cause signifi- immersion in boiling deionized water for not cant flow measurement error or affect the less than 15 minutes. Section 53.51(d)(2) of collection of particles on the particle collec- this chapter should also be consulted. tion filter. 7.3.8 Sampling height. The sampler shall be 7.4.4 Flow rate cut off. The sampler’s sample equipped with legs, a stand, or other means air flow rate control system shall terminate to maintain the sampler in a stable, upright sample collection and stop all sample flow position and such that the center of the sam- for the remainder of the sample period in the ple air entrance to the inlet, during sample event that the sample flow rate deviates by collection, is maintained in a horizontal more than 10 percent from the sampler de- plane and is 2.0 ±0.2 meters above the floor or sign flow rate specified in section 7.4.1 of this other horizontal supporting surface. Suitable appendix for more than 60 seconds. However, bolt holes, brackets, tie-downs, or other this sampler cut-off provision shall not apply means should be provided to facilitate me- during periods when the sampler is inoper- chanically securing the sample to the sup- ative due to a temporary power interruption,

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and the elapsed time of the inoperative pe- struction Manual, under section 7.4.18 of this riod shall not be included in the total sample appendix, and all other necessary functional time measured and reported by the sampler, capability to permit and facilitate the sam- under section 7.4.13 of this appendix. pler operator to conveniently carry out a 7.4.5 Flow rate measurement. leak test of the sampler at a field moni- 7.4.5.1 The sampler shall provide a means toring site without additional equipment. to measure and indicate the instantaneous The sampler components to be subjected to sample air flow rate, which shall be meas- this leak test include all components and ured as volumetric flow rate at the tempera- their interconnections in which external air ture and pressure of the sample air entering leakage would or could cause an error in the ± the inlet, with an accuracy of 2 percent. sampler’s measurement of the total volume The measured flow rate shall be available for of sample air that passes through the sample display to the sampler operator at any time filter. in either sampling or standby modes, and the measurement shall be updated at least every (a) The suggested technique for the oper- 30 seconds. The sampler shall also provide a ator to use for this leak test is as follows: simple means by which the sampler operator (1) Remove the sampler inlet and installs can manually start the sample flow tempo- the flow rate measurement adapter supplied rarily during non-sampling modes of oper- with the sampler, under section 7.3.6 of this ation, for the purpose of checking the sample appendix. flow rate or the flow rate measurement sys- (2) Close the valve on the flow rate meas- tem. urement adapter and use the sampler air 7.4.5.2 During each sample period, the sam- pump to draw a partial vacuum in the sampler’s flow rate measurement system shall pler, including (at least) the impactor, filter automatically monitor the sample volu- holder assembly (filter in place), flow meas- metric flow rate, obtaining flow rate measurement device, and interconnections be- urements at intervals of not greater than 30 tween these devices, of at least 55 mm Hg (75 seconds. cm water column), measured at a location (a) Using these interval flow rate measure- downstream of the filter holder assembly. ments, the sampler shall determine or cal- (3) Plug the flow system downstream of culate the following flow-related parameters, these components to isolate the components scaled in the specified engineering units: under vacuum from the pump, such as with a (1) The instantaneous or interval-average built-in valve. flow rate, in L/min. (2) The value of the average sample flow (4) Stop the pump. rate for the sample period, in L/min. (5) Measure the trapped vacuum in the (3) The value of the coefficient of variation sampler with a built-in pressure measuring (sample standard deviation divided by the device. average) of the sample flow rate for the sam- (6) (i) Measure the vacuum in the sampler ple period, in percent. with the built-in pressure measuring device (4) The occurrence of any time interval again at a later time at least 10 minutes during the sample period in which the meas- after the first pressure measurement. ured sample flow rate exceeds a range of ±5 (ii) CAUTION: Following completion of the percent of the average flow rate for the sam- test, the adaptor valve should be opened ple period for more than 5 minutes, in which slowly to limit the flow rate of air into the case a warning flag indicator shall be set. sampler. Excessive air flow rate may blow (5) The value of the integrated total sam- oil out of the impactor. 3 ple volume for the sample period, in m . (7) Upon completion of the test, open the (b) Determination or calculation of these adaptor valve, remove the adaptor and plugs, values shall properly exclude periods when and restore the sampler to the normal oper- the sampler is inoperative due to temporary ating configuration. interruption of electrical power, under sec- (b) The associated leak test procedure tion 7.4.13 of this appendix, or flow rate cut shall require that for successful passage of off, under section 7.4.4 of this appendix. (c) These parameters shall be accessible to this test, the difference between the two the sampler operator as specified in table L– pressure measurements shall not be greater 1 of section 7.4.19 of this appendix. In addi- than the number of mm of Hg specified for tion, it is strongly encouraged that the flow the sampler by the manufacturer, based on rate for each 5-minute interval during the the actual internal volume of the sampler, sample period be available to the operator that indicates a leak of less than 80 mL/min. following the end of the sample period. (c) Variations of the suggested technique 7.4.6 Leak test capability. or an alternative external leak test tech- 7.4.6.1 External leakage. The sampler shall nique may be required for samplers whose include an external air leak-test capability design or configuration would make the sug- consisting of components, accessory hard- gested technique impossible or impractical. ware, operator interface controls, a written The specific proposed external leak test pro- procedure in the associated Operation/In- cedure, or particularly an alternative leak

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test technique, proposed for a particular can- practical. The specific proposed internal leak didate sampler may be described and sub- test procedure, or particularly an alternative mitted to the EPA for specific individual ac- internal leak test technique proposed for a ceptability either as part of a reference or particular candidate sampler may be de- equivalent method application under part 53 scribed and submitted to the EPA for spe- of this chapter or in writing in advance of cific individual acceptability either as part such an intended application under part 53 of of a reference or equivalent method applica- this chapter. tion under part 53 of this chapter or in writ- 7.4.6.2 Internal, filter bypass leakage. The ing in advance of such intended application sampler shall include an internal, filter by- under part 53 of this chapter. pass leak-check capability consisting of 7.4.7 Range of operational conditions. The components, accessory hardware, operator sampler is required to operate properly and interface controls, a written procedure in the meet all requirements specified in this ap- Operation/Instruction Manual, and all other pendix over the following operational ranges. necessary functional capability to permit 7.4.7.1 Ambient temperature. ¥30 to = 45 °C and facilitate the sampler operator to con- (Note: Although for practical reasons, the veniently carry out a test for internal filter temperature range over which samplers are bypass leakage in the sampler at a field required to be tested under part 53 of this monitoring site without additional equip- chapter is ¥20 to = 40 °C, the sampler shall ment. The purpose of the test is to determine be designed to operate properly over this that any portion of the sample flow rate that wider temperature range.). leaks past the sample filter without passing 7.4.7.2 Ambient relative humidity. 0 to 100 through the filter is insignificant relative to percent. the design flow rate for the sampler. 7.4.7.3 Barometric pressure range. 600 to 800 (a) The suggested technique for the oper- mm Hg. ator to use for this leak test is as follows: (1) Carry out an external leak test as pro- 7.4.8 Ambient temperature sensor. The sam- vided under section 7.4.6.1 of this appendix pler shall have capability to measure the which indicates successful passage of the temperature of the ambient air surrounding ¥ ° prescribed external leak test. the sampler over the range of 30 to = 45 C, ° (2) Install a flow-impervious membrane with a resolution of 0.1 C and accuracy of ± ° material in the filter cassette, either with or 2.0 C, referenced as described in reference 3 without a filter, as appropriate, which effec- in section 13.0 of this appendix, with and tively prevents air flow through the filter. without maximum solar insolation. (3) Use the sampler air pump to draw a par- 7.4.8.1 The ambient temperature sensor tial vacuum in the sampler, downstream of shall be mounted external to the sampler en- the filter holder assembly, of at least 55 mm closure and shall have a passive, naturally Hg (75 cm water column). ventilated sun shield. The sensor shall be lo- (4) Plug the flow system downstream of the cated such that the entire sun shield is at filter holder to isolate the components under least 5 cm above the horizontal plane of the vacuum from the pump, such as with a built- sampler case or enclosure (disregarding the in valve. inlet and downtube) and external to the (5) Stop the pump. vertical plane of the nearest side or protu- (6) Measure the trapped vacuum in the berance of the sampler case or enclosure. sampler with a built-in pressure measuring The maximum temperature measurement device. error of the ambient temperature measure- (7) Measure the vacuum in the sampler ment system shall be less than 1.6 °C at 1 m/ with the built-in pressure measuring device s wind speed and 1000 W/m2 solar radiation again at a later time at least 10 minutes intensity. after the first pressure measurement. 7.4.8.2 The ambient temperature sensor (8) Remove the flow plug and membrane shall be of such a design and mounted in and restore the sampler to the normal oper- such a way as to facilitate its convenient ating configuration. dismounting and immersion in a liquid for (b) The associated leak test procedure calibration and comparison to the filter tem- shall require that for successful passage of perature sensor, under section 7.4.11 of this this test, the difference between the two appendix. pressure measurements shall not be greater 7.4.8.3 This ambient temperature measure- than the number of mm of Hg specified for ment shall be updated at least every 30 sec- the sampler by the manufacturer, based on onds during both sampling and standby (non- the actual internal volume of the portion of sampling) modes of operation. A visual indi- the sampler under vacuum, that indicates a cation of the current (most recent) value of leak of less than 80 mL/min. the ambient temperature measurement, up- (c) Variations of the suggested technique dated at least every 30 seconds, shall be or an alternative internal, filter bypass leak available to the sampler operator during test technique may be required for samplers both sampling and standby (non-sampling) whose design or configuration would make modes of operation, as specified in table L–1 the suggested technique impossible or im- of section 7.4.19 of this appendix.

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7.4.8.4 This ambient temperature measure- and non-sampling modes, as specified in the ment shall be used for the purpose of moni- filter temperature measurement test de- toring filter temperature deviation from am- scribed in part 53, subpart E of this chapter. bient temperature, as required by section This filter temperature measurement shall 7.4.11 of this appendix, and may be used for have a resolution of 0.1 °C and accuracy of purposes of effecting filter temperature con- ±1.0 °C, referenced as described in reference 3 trol, under section 7.4.10 of this appendix, or in section 13.0 of this appendix. This tem- computation of volumetric flow rate, under perature sensor shall be of such a design and sections 7.4.1 to 7.4.5 of this appendix, if ap- mounted in such a way as to facilitate its propriate. reasonably convenient dismounting and im- 7.4.8.5 Following the end of each sample pe- mersion in a liquid for calibration and com- riod, the sampler shall report the maximum, parison to the ambient temperature sensor minimum, and average temperature for the under section 7.4.8 of this appendix. sample period, as specified in table L–1 of 7.4.11.2 The filter temperature measure- section 7.4.19 of this appendix. ment shall be updated at least every 30 sec- 7.4.9 Ambient barometric sensor. The sampler onds during both sampling and standby (non- shall have capability to measure the baro- sampling) modes of operation. A visual indi- metric pressure of the air surrounding the cation of the current (most recent) value of sampler over a range of 600 to 800 mm Hg ref- the filter temperature measurement, up- erenced as described in reference 3 in section dated at least every 30 seconds, shall be 13.0 of this appendix; also see part 53, subpart available to the sampler operator during E of this chapter. This barometric pressure both sampling and standby (non-sampling) measurement shall have a resolution of 5 modes of operation, as specified in table L–1 ± mm Hg and an accuracy of 10 mm Hg and of section 7.4.19 of this appendix. shall be updated at least every 30 seconds. A 7.4.11.3 For sequential samplers, the tem- visual indication of the value of the current perature of each filter shall be measured in- (most recent) barometric pressure measure- dividually unless it can be shown, as speci- ment, updated at least every 30 seconds, fied in the filter temperature measurement shall be available to the sampler operator test described in § 53.57 of this chapter, that during both sampling and standby (non-sam- the temperature of each filter can be rep- pling) modes of operation, as specified in resented by fewer temperature sensors. table L–1 of section 7.4.19 of this appendix. This barometric pressure measurement may 7.4.11.4 The sampler shall also provide a be used for purposes of computation of volu- warning flag indicator following any occur- metric flow rate, under sections 7.4.1 to 7.4.5 rence in which the filter temperature (any of this appendix, if appropriate. Following filter temperature for sequential samplers) the end of a sample period, the sampler shall exceeds the ambient temperature by more ° report the maximum, minimum, and mean than 5 C for more than 30 consecutive min- barometric pressures for the sample period, utes during either the sampling or post-sam- as specified in table L–1 of section 7.4.19 of pling periods of operation, as specified in this appendix. table L–1 of section 7.4.19 of this appendix, 7.4.10 Filter temperature control (sampling under section 10.12 of this appendix, regard- and post-sampling). The sampler shall provide ing sample validity when a warning flag oc- a means to limit the temperature rise of the curs. It is further recommended (not re- sample filter (all sample filters for sequen- quired) that the sampler be capable of re- tial samplers), from insolation and other cording the maximum differential between sources, to no more 5 °C above the tempera- the measured filter temperature and the am- ture of the ambient air surrounding the sam- bient temperature and its time and date of pler, during both sampling and post-sam- occurrence during both sampling and post- pling periods of operation. The post-sam- sampling (non-sampling) modes of operation pling period is the non-sampling period be- and providing for those data to be accessible tween the end of the active sampling period to the sampler operator following the end of and the time of retrieval of the sample filter the sample period, as suggested in table L–1 by the sampler operator. of section 7.4.19 of this appendix. 7.4.11 Filter temperature sensor(s). 7.4.12 Clock/timer system. 7.4.11.1 The sampler shall have the capa- (a) The sampler shall have a programmable bility to monitor the temperature of the real-time clock timing/control system that: sample filter (all sample filters for sequen- (1) Is capable of maintaining local time tial samplers) over the range of ¥30 to = 45 and date, including year, month, day-of- °C during both sampling and non-sampling month, hour, minute, and second to an accu- periods. While the exact location of this tem- racy of ±1.0 minute per month. perature sensor is not explicitly specified, (2) Provides a visual indication of the cur- the filter temperature measurement system rent system time, including year, month, must demonstrate agreement, within 1 °C, day-of-month, hour, and minute, updated at with a test temperature sensor located with- least each minute, for operator verification. in 1 cm of the center of the filter down- (3) Provides appropriate operator controls stream of the filter during both sampling for setting the correct local time and date.

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(4) Is capable of starting the sample collec- quencies shall not be precluded by this re- tion period and sample air flow at a specific, quirement. operator-settable time and date, and stop- 7.4.15.2 The design and construction of the ping the sample air flow and terminating the sampler shall comply with all applicable Na- sampler collection period 24 hours (1440 min- tional Electrical Code and Underwriters Lab- utes) later, or at a specific, operator-settable oratories electrical safety requirements. time and date. 7.4.15.3 The design of all electrical and (b) These start and stop times shall be electronic controls shall be such as to pro- readily settable by the sampler operator to vide reasonable resistance to interference or within ±1.0 minute. The system shall provide malfunction from ordinary or typical levels a visual indication of the current start and of stray electromagnetic fields (EMF) as stop time settings, readable to ±1.0 minute, may be found at various monitoring sites for verification by the operator, and the and from typical levels of electrical tran- start and stop times shall also be available sients or electronic noise as may often or oc- via the data output port, as specified in table casionally be present on various electrical L–1 of section 7.4.19 of this appendix. Upon power lines. execution of a programmed sample period 7.4.15.4 In the event of temporary loss of start, the sampler shall automatically reset electrical supply power to the sampler, the all sample period information and warning sampler shall not be required to sample or flag indications pertaining to a previous provide other specified functions during such sample period. Refer also to section 7.4.15.4 loss of power, except that the internal clock/ of this appendix regarding retention of cur- timer system shall maintain its local time rent date and time and programmed start and date setting within ±1 minute per week, and stop times during a temporary electrical and the sampler shall retain all other time power interruption. and programmable settings and all data re- 7.4.13 Sample time determination. The sam- quired to be available to the sampler oper- pler shall be capable of determining the ator following each sample period for at elapsed sample collection time for each PM2.5 least 7 days without electrical supply power. sample, accurate to within ±1.0 minute, When electrical power is absent at the oper- measured as the time between the start of ator-set time for starting a sample period or the sampling period, under section 7.4.12 of is interrupted during a sample period, the this appendix and the termination of the sampler shall automatically start or resume sample period, under section 7.4.12 of this ap- sampling when electrical power is restored, pendix or section 7.4.4 of this appendix. This if such restoration of power occurs before the elapsed sample time shall not include peri- operator-set stop time for the sample period. ods when the sampler is inoperative due to a 7.4.15.5 The sampler shall have the capa- temporary interruption of electrical power, bility to record and retain a record of the under section 7.4.15.4 of this appendix. In the year, month, day-of-month, hour, and event that the elapsed sample time deter- minute of the start of each power interrup- mined for the sample period is not within the tion of more than 1 minute duration, up to 10 range specified for the required sample pe- such power interruptions per sample period. riod in section 3.3 of this appendix, the sam- (More than 10 such power interruptions shall pler shall set a warning flag indicator. The invalidate the sample, except where an ex- date and time of the start of the sample pe- ceedance is measured, under section 3.3 of riod, the value of the elapsed sample time for this appendix.) The sampler shall provide for the sample period, and the flag indicator sta- these power interruption data to be available tus shall be available to the sampler oper- to the sampler operator following the end of ator following the end of the sample period, the sample period, as specified in table L–1 of as specified in table L–1 of section 7.4.19 of section 7.4.19 of this appendix. this appendix. 7.4.16 Control devices and operator interface. 7.4.14 Outdoor environmental enclosure. The The sampler shall have mechanical, elec- sampler shall have an outdoor enclosure (or trical, or electronic controls, control de- enclosures) suitable to protect the filter and vices, electrical or electronic circuits as nec- other non-weatherproof components of the essary to provide the timing, flow rate meas- sampler from precipitation, wind, dust, ex- urement and control, temperature control, tremes of temperature and humidity; to help data storage and computation, operator maintain temperature control of the filter interface, and other functions specified. Op- (or filters, for sequential samplers); and to erator-accessible controls, data displays, and provide reasonable security for sampler com- interface devices shall be designed to be sim- ponents and settings. ple, straightforward, reliable, and easy to 7.4.15 Electrical power supply. learn, read, and operate under field condi- 7.4.15.1 The sampler shall be operable and tions. The sampler shall have provision for function as specified herein when operated operator input and storage of up to 64 char- on an electrical power supply voltage of 105 acters of numeric (or alphanumeric) data for to 125 volts AC (RMS) at a frequency of 59 to purposes of site, sampler, and sample identi- 61 Hz. Optional operation as specified at ad- fication. This information shall be available ditional power supply voltages and/or fre- to the sampler operator for verification and

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change and for output via the data output requirement shall not preclude the sampler port along with other data following the end from offering other types of output connec- of a sample period, as specified in table L–1 tions in addition to the required RS–232C of section 7.4.19 of this appendix. All data report. quired to be available to the operator fol- 7.4.18 Operation/instruction manual. The lowing a sample collection period or ob- sampler shall include an associated com- tained during standby mode in a post-sam- prehensive operation or instruction manual, pling period shall be retained by the sampler as required by part 53 of this chapter, which until reset, either manually by the operator includes detailed operating instructions on or automatically by the sampler upon initi- the setup, operation, calibration, and main- ation of a new sample collection period. tenance of the sampler. This manual shall 7.4.17 Data output port requirement. The provide complete and detailed descriptions of sampler shall have a standard RS–232C data the operational and calibration procedures output connection through which digital data may be exported to an external data prescribed for field use of the sampler and all storage or transmission device. All informa- instruments utilized as part of this reference tion which is required to be available at the method. The manual shall include adequate end of each sample period shall be accessible warning of potential safety hazards that may through this data output connection. The in- result from normal use or malfunction of the formation that shall be accessible though method and a description of necessary safety this output port is summarized in table L–1 precautions. The manual shall also include a of section 7.4.19 of this appendix. Since no clear description of all procedures pertaining specific format for the output data is pro- to installation, operation, periodic and cor- vided, the sampler manufacturer or vendor rective maintenance, and troubleshooting, shall make available to sampler purchasers and shall include parts identification dia- appropriate computer software capable of re- grams. ceiving exported sampler data and correctly 7.4.19 Data reporting requirements. The var- translating the data into a standard spread- ious information that the sampler is re- sheet format and optionally any other for- quired to provide and how it is to be provided mats as may be useful to sampler users. This is summarized in the following table L–1.

TABLE L–1 TO APPENDIX L OF PART 50—SUMMARY OF INFORMATION TO BE PROVIDED BY THE SAMPLER

Appen- Availability Format dix L Information to be section provided 1 End of Visual Data Digital ref- Anytime 2 3 4 5 Units erence period display output reading

Flow rate, 30-sec- 7.4.5.1 ✓ ...... ✓ * XX.X ...... L/min ond maximum interval. Flow rate, aver- 7.4.5.2 * ✓ * ✓ XX.X ...... L/min age for the sample period. Flow rate, CV, for 7.4.5.2 * ✓ * ✓ XX.X ...... % sample period. Flow rate, 5-min. 7.4.5.2 ✓ ✓ ✓ ✓■ On/Off average out of spec. (FLAG 6). Sample volume, 7.4.5.2 * ✓ ✓ ✓ XX.X ...... m3 total. Temperature, am- 7.4.8 .... ✓ ...... ✓ ...... XX.X ...... °C bient, 30-second interval. Temperature, am- 7.4.8 .... * ✓ ✓ ✓■ XX.X ...... °C bient, min., max., average for the sample period. Baro. pressure, 7.4.9 .... ✓ ...... ✓ ...... XXX ...... mm Hg ambient, 30- second interval. Baro. pressure, 7.4.9 .... * ✓ ✓ ✓■ XXX ...... mm Hg ambient, min., max., average for the sample period. Filter temperature, 7.4.11 .. ✓ ...... ✓ ...... XX.X ...... °C 30-second interval.

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TABLE L–1 TO APPENDIX L OF PART 50—SUMMARY OF INFORMATION TO BE PROVIDED BY THE SAMPLER—Continued

Appen- Availability Format dix L Information to be section provided 1 End of Visual Data Digital ref- Anytime 2 3 4 5 Units erence period display output reading

Filter temp. dif- 7.4.11 .. * ✓ ✓ ✓■ On/Off ferential, 30- second interval, out of spec. (FLAG 6). Filter temp., max- 7.4.11 .. * * * * X.X, YY/MM/DD °C, Yr/Mon/Day imum differen- HH.mm. Hrs. min tial from ambient, date, time of occurrence. Date and Time .... 7.4.12 .. ✓ ...... ✓ ...... YY/MM/DD Yr/Mon/Day Hrs. HH.mm. min Sample start and 7.4.12 .. ✓ ✓ ✓ ✓ YY/MM/DD Yr/Mon/Day Hrs. stop time set- HH.mm. min tings. Sample period 7.4.12 ...... ✓ ✓ ✓ YY/MM/DD Yr/Mon/Day Hrs. start time. HH.mm. min Elapsed sample 7.4.13 .. * ✓ ✓ ✓ HH.mm ...... Hrs. min time. Elapsed sample 7.4.13 ...... ✓ ✓ ✓■ On/Off time, out of spec. (FLAG 6). Power interrup- 7.4.15.5 * ✓ * ✓ 1HH.mm, Hrs. min tions ≤1 min., 2HH.mm, etc.. start time of first 10. User-entered in- 7.4.16 .. ✓ ✓ ✓ ✓■ As entered. formation, such as sampler and site identification. ✓ Provision of this information is required. * Provision of this information is optional. If information related to the entire sample period is optionally provided prior to the end of the sample period, the value provided should be the value calculated for the portion of the sampler period completed up to the time the information is provided. ■ Indicates that this information is also required to be provided to the Air Quality System (AQS) data bank; see § 58.16 of this chapter. For ambient temperature and barometric pressure, only the average for the sample period must be reported. 1. Information is required to be available to the operator at any time the sampler is operating, whether sampling or not. 2. Information relates to the entire sampler period and must be provided following the end of the sample period until reset manually by the operator or automatically by the sampler upon the start of a new sample period. 3. Information shall be available to the operator visually. 4. Information is to be available as digital data at the sampler’s data output port specified in section 7.4.16 of this appendix following the end of the sample period until reset manually by the operator or automatically by the sampler upon the start of a new sample period. 5. Digital readings, both visual and data output, shall have not less than the number of significant digits and resolution specified. 6. Flag warnings may be displayed to the operator by a single flag indicator or each flag may be displayed individually. Only a set (on) flag warning must be indicated; an off (unset) flag may be indicated by the absence of a flag warning. Sampler users should refer to section 10.12 of this appendix regarding the validity of samples for which the sampler provided an associated flag warning.

8.0 Filter Weighing. See reference 2 in sec- 8.2 Filter conditioning. All sample filters tion 13.0 of this appendix, for additional, used shall be conditioned immediately before more detailed guidance. both the pre- and post-sampling weighings as 8.1 Analytical balance. The analytical bal- specified below. See reference 2 in section ance used to weigh filters must be suitable 13.0 of this appendix for additional guidance. for weighing the type and size of filters spec- 8.2.1 Mean temperature. 20 - 23 °C. ified, under section 6.0 of this appendix, and 8.2.2 Temperature control. ±2 °C over 24 have a readability of ±1 μg. The balance shall hours. be calibrated as specified by the manufac- 8.2.3 Mean humidity. Generally, 30–40 per- turer at installation and recalibrated imme- cent relative humidity; however, where it diately prior to each weighing session. See can be shown that the mean ambient relative reference 2 in section 13.0 of this appendix for humidity during sampling is less than 30 per- additional guidance. cent, conditioning is permissible at a mean

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relative humidity within ±5 relative humid- 9.0 Calibration. Reference 2 in section 13.0 of ity percent of the mean ambient relative hu- this appendix contains additional guidance. midity during sampling, but not less than 20 9.1 General requirements. percent. 9.1.1 Multipoint calibration and single- 8.2.4 Humidity control. ±5 relative humidity point verification of the sampler’s flow rate percent over 24 hours. measurement device must be performed peri- 8.2.5 Conditioning time. Not less than 24 odically to establish and maintain hours. traceability of subsequent flow measure- 8.3 Weighing procedure. ments to a flow rate standard. 8.3.1 New filters should be placed in the 9.1.2 An authoritative flow rate standard conditioning environment immediately upon shall be used for calibrating or verifying the arrival and stored there until the pre-sam- sampler’s flow rate measurement device with ± pling weighing. See reference 2 in section 13.0 an accuracy of 2 percent. The flow rate of this appendix for additional guidance. standard shall be a separate, stand-alone de- 8.3.2 The analytical balance shall be lo- vice designed to connect to the flow rate cated in the same controlled environment in measurement adapter, Figure L–30 of this ap- which the filters are conditioned. The filters pendix. This flow rate standard must have shall be weighed immediately following the its own certification and be traceable to a conditioning period without intermediate or National Institute of Standards and Tech- nology (NIST) primary standard for volume transient exposure to other conditions or en- or flow rate. If adjustments to the sampler’s vironments. flow rate measurement system calibration 8.3.3 Filters must be conditioned at the are to be made in conjunction with an audit same conditions (humidity within ±5 relative of the sampler’s flow measurement system, humidity percent) before both the pre- and such adjustments shall be made following post-sampling weighings. the audit. Reference 2 in section 13.0 of this 8.3.4 Both the pre- and post-sampling appendix contains additional guidance. weighings should be carried out on the same 9.1.3 The sampler’s flow rate measurement analytical balance, using an effective tech- device shall be re-calibrated after nique to neutralize static charges on the fil- electromechanical maintenance or transport ter, under reference 2 in section 13.0 of this of the sampler. appendix. If possible, both weighings should 9.2 Flow rate calibration/verification proce- be carried out by the same analyst. dure. 8.3.5 The pre-sampling (tare) weighing shall 9.2.1 PM2.5 samplers may employ various be within 30 days of the sampling period. types of flow control and flow measurement 8.3.6 The post-sampling conditioning and devices. The specific procedure used for cali- weighing shall be completed within 240 hours bration or verification of the flow rate meas- (10 days) after the end of the sample period, urement device will vary depending on the unless the filter sample is maintained at type of flow rate controller and flow rate temperatures below the average ambient measurement employed. Calibration shall be temperature during sampling (or 4 °C or in terms of actual ambient volumetric flow below for average sampling temperatures rates (Qa), measured at the sampler’s inlet less than 4 °C) during the time between re- downtube. The generic procedure given here trieval from the sampler and the start of the serves to illustrate the general steps in- conditioning, in which case the period shall volved in the calibration of a PM2.5 sampler. not exceed 30 days. Reference 2 in section The sampler operation/instruction manual 13.0 of this appendix has additional guidance required under section 7.4.18 of this appendix on transport of cooled filters. and the Quality Assurance Handbook in ref- 8.3.7 Filter blanks. erence 2 in section 13.0 of this appendix pro- 8.3.7.1 New field blank filters shall be vide more specific and detailed guidance for weighed along with the pre-sampling (tare) calibration. weighing of each lot of PM2.5 filters. These 9.2.2 The flow rate standard used for flow blank filters shall be transported to the sam- rate calibration shall have its own certifi- pling site, installed in the sampler, retrieved cation and be traceable to a NIST primary from the sampler without sampling, and re- standard for volume or flow rate. A calibra- weighed as a quality control check. tion relationship for the flow rate standard, 8.3.7.2 New laboratory blank filters shall be e.g., an equation, curve, or family of curves weighed along with the pre-sampling (tare) relating actual flow rate (Qa) to the flow rate weighing of each set of PM2.5 filters. These indicator reading, shall be established that is laboratory blank filters should remain in the accurate to within 2 percent over the ex- laboratory in protective containers during pected range of ambient temperatures and the field sampling and should be reweighed pressures at which the flow rate standard as a quality control check. may be used. The flow rate standard must be 8.3.8 Additional guidance for proper filter re-calibrated or re-verified at least annually. weighing and related quality assurance ac- 9.2.3 The sampler flow rate measurement tivities is provided in reference 2 in section device shall be calibrated or verified by re- 13.0 of this appendix. moving the sampler inlet and connecting the

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flow rate standard to the sampler’s downtube eral steps involved in the PM2.5 sample col- in accordance with the operation/instruction lection and measurement, using a PM2.5 ref- manual, such that the flow rate standard ac- erence method sampler. curately measures the sampler’s flow rate. 10.1 The sampler shall be set up, calibrated, The sampler operator shall first carry out a and operated in accordance with the specific, sampler leak check and confirm that the detailed guidance provided in the specific sampler passes the leak test and then verify sampler’s operation or instruction manual that no leaks exist between the flow rate and in accordance with a specific quality as- standard and the sampler. surance program developed and established 9.2.4 The calibration relationship between by the user, based on applicable supple- the flow rate (in actual L/min) indicated by mentary guidance provided in reference 2 in the flow rate standard and by the sampler’s section 13.0 of this appendix. flow rate measurement device shall be estab- 10.2 Each new sample filter shall be in- lished or verified in accordance with the spected for correct type and size and for pin- sampler operation/instruction manual. Tem- holes, particles, and other imperfections. Un- perature and pressure corrections to the flow acceptable filters should be discarded. A rate indicated by the flow rate standard may unique identification number shall be as- be required for certain types of flow rate signed to each filter, and an information standards. Calibration of the sampler’s flow record shall be established for each filter. If rate measurement device shall consist of at the filter identification number is not or least three separate flow rate measurements cannot be marked directly on the filter, al- (multipoint calibration) evenly spaced with- ternative means, such as a number-identified in the range of ¥10 percent to = 10 percent of storage container, must be established to the sampler’s operational flow rate, section maintain positive filter identification. 7.4.1 of this appendix. Verification of the 10.3 Each filter shall be conditioned in the sampler’s flow rate shall consist of one flow conditioning environment in accordance rate measurement at the sampler’s oper- with the requirements specified in section 8.2 ational flow rate. The sampler operation/in- of this appendix. struction manual and reference 2 in section 10.4 Following conditioning, each filter 13.0 of this appendix provide additional guid- shall be weighed in accordance with the re- ance. quirements specified in section 8.0 of this ap- 9.2.5 If during a flow rate verification the pendix and the presampling weight recorded reading of the sampler’s flow rate indicator with the filter identification number. or measurement device differs by ±4 percent 10.5 A numbered and preweighed filter shall or more from the flow rate measured by the be installed in the sampler following the in- flow rate standard, a new multipoint calibra- structions provided in the sampler operation tion shall be performed and the flow rate or instruction manual. verification must then be repeated. 10.6 The sampler shall be checked and pre- 9.2.6 Following the calibration or pared for sample collection in accordance verification, the flow rate standard shall be with instructions provided in the sampler op- removed from the sampler and the sampler eration or instruction manual and with the inlet shall be reinstalled. Then the sampler’s specific quality assurance program estab- normal operating flow rate (in L/min) shall lished for the sampler by the user. be determined with a clean filter in place. If 10.7 The sampler’s timer shall be set to the flow rate indicated by the sampler differs start the sample collection at the beginning by ±2 percent or more from the required sam- of the desired sample period and stop the pler flow rate, the sampler flow rate must be sample collection 24 hours later. adjusted to the required flow rate, under sec- 10.8 Information related to the sample col- tion 7.4.1 of this appendix. lection (site location or identification num- 9.3 Periodic calibration or verification of ber, sample date, filter identification num- the calibration of the sampler’s ambient ber, and sampler model and serial number) temperature, filter temperature, and baro- shall be recorded and, if appropriate, entered metric pressure measurement systems is also into the sampler. required. Reference 3 of section 13.0 of this 10.9 The sampler shall be allowed to collect appendix contains additional guidance. the PM2.5 sample during the set 24-hour time 10.0 PM2.5 Measurement Procedure. The de- period. tailed procedure for obtaining valid PM2.5 10.10 Within 177 hours (7 days, 9 hours) of measurements with each specific sampler the end of the sample collection period, the designated as part of a reference method for filter, while still contained in the filter cas- PM2.5 under part 53 of this chapter shall be sette, shall be carefully removed from the provided in the sampler-specific operation or sampler, following the procedure provided in instruction manual required by section 7.4.18 the sampler operation or instruction manual of this appendix. Supplemental guidance is and the quality assurance program, and provided in section 2.12 of the Quality Assur- placed in a protective container. The protec- ance Handbook listed in reference 2 in sec- tive container shall contain no loose mate- tion 13.0 of this appendix. The generic proce- rial that could be transferred to the filter. dure given here serves to illustrate the gen- The protective container shall hold the filter

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cassette securely such that the cover shall 11.0 Sampler Maintenance. The sampler not come in contact with the filter’s sur- shall be maintained as described by the sam- faces. Reference 2 in section 13.0 of this ap- pler’s manufacturer in the sampler-specific pendix contains additional information. operation or instruction manual required 10.11 The total sample volume in actual m3 under section 7.4.18 of this appendix and in for the sampling period and the elapsed sam- accordance with the specific quality assur- ple time shall be obtained from the sampler ance program developed and established by and recorded in accordance with the instruc- the user based on applicable supplementary tions provided in the sampler operation or guidance provided in reference 2 in section instruction manual. All sampler warning 13.0 of this appendix. flag indications and other information re- 12.0 Calculations quired by the local quality assurance pro- 12.1 (a) The PM2.5 concentration is cal- gram shall also be recorded. culated as:

10.12 All factors related to the validity or PM2.5 = (Wf ¥ Wi)/Va representativeness of the sample, such as where: sampler tampering or malfunctions, unusual μ 3 meteorological conditions, construction ac- PM2.5 = mass concentration of PM2.5, g/m ; tivity, fires or dust storms, etc. shall be re- Wf, Wi = final and initial weights, respec- corded as required by the local quality assur- tively, of the filter used to collect the μ ance program. The occurrence of a flag warn- PM2.5 particle sample, g; ing during a sample period shall not nec- Va = total air volume sampled in actual vol- essarily indicate an invalid sample but rath- ume units, as provided by the sampler, 3 er shall indicate the need for specific review m . of the QC data by a quality assurance officer NOTE: Total sample time must be between to determine sample validity. 1,380 and 1,500 minutes (23 and 25 hrs) for a 10.13 After retrieval from the sampler, the fully valid PM2.5 sample; however, see also exposed filter containing the PM2.5 sample section 3.3 of this appendix. should be transported to the filter condi- 13.0 References. tioning environment as soon as possible, 1. Quality Assurance Handbook for Air Pol- ideally to arrive at the conditioning environ- lution Measurement Systems, Volume I, ment within 24 hours for conditioning and Principles. EPA/600/R–94/038a, April 1994. subsequent weighing. During the period be- Available from CERI, ORD Publications, tween filter retrieval from the sampler and U.S. Environmental Protection Agency, 26 the start of the conditioning, the filter shall West Martin Luther King Drive, Cincinnati, be maintained as cool as practical and con- Ohio 45268. tinuously protected from exposure to tem- 2. Quality Assurance Guidance Document ° peratures over 25 C to protect the integrity 2.12. Monitoring PM2.5 in Ambient Air Using of the sample and minimize loss of volatile Designated Reference or Class I Equivalent components during transport and storage. Methods. U.S. EPA, National Exposure Re- See section 8.3.6 of this appendix regarding search Laboratory. Research Triangle Park, time limits for completing the post-sampling NC, November 1988 or later edition. Cur- weighing. See reference 2 in section 13.0 of rently available at: http://www.epa.gov/ttn/ this appendix for additional guidance on amtic/pmqainf.html. transporting filter samplers to the condi- 3. Quality Assurance Handbook for Air Pol- tioning and weighing laboratory. lution Measurement Systems, Volume IV: 10.14. The exposed filter containing the Meteorological Measurements, (Revised Edi- PM2.5 sample shall be re-conditioned in the tion) EPA/600/R–94/038d, March, 1995. Avail- conditioning environment in accordance able from CERI, ORD Publications, U.S. En- with the requirements specified in section 8.2 vironmental Protection Agency, 26 West of this appendix. Martin Luther King Drive, Cincinnati, Ohio 10.15. The filter shall be reweighed imme- 45268. diately after conditioning in accordance 4. Military standard specification (mil. with the requirements specified in section 8.0 spec.) 8625F, Type II, Class 1 as listed in De- of this appendix, and the postsampling partment of Defense Index of Specifications weight shall be recorded with the filter iden- and Standards (DODISS), available from tification number. DODSSP-Customer Service, Standardization 10.16 The PM2.5 concentration shall be cal- Documents Order Desk, 700 Robbins Avenue, culated as specified in section 12.0 of this ap- Building 4D, Philadelphia, PA 1911–5094. pendix. 14.0 Figures L–1 through L–30 to Appendix L.

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[62 FR 38714, July 18, 1997, as amended at 64 FR 19719, Apr. 22, 1999; 71 FR 61226, Oct. 17, 2006]

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APPENDIX M TO PART 50 [RESERVED] mary and monitors utilize the same specific sampling and analysis method. APPENDIX N TO PART 50—INTERPRETA- Combined site data record is the data set TION OF THE NATIONAL AMBIENT AIR used for performing calculations in appendix QUALITY STANDARDS FOR PM2.5 N. It represents data for the primary monitors augmented with data from collocated 1.0 GENERAL monitors according to the procedure speci- (a) This appendix explains the data han- fied in section 3.0(d) of this appendix. dling conventions and computations nec- Creditable samples are daily values in the essary for determining when the national combined site record that are given credit ambient air quality standards (NAAQS) for for data completeness. The number of cred- PM2.5 are met, specifically the primary and itable samples (cn) for a given year also gov- secondary annual and 24-hour PM2.5 NAAQS erns which value in the sorted series of daily specified in § 50.7, 50.13, and 50.18. PM2.5 is de- values represents the 98th percentile for that fined, in general terms, as particles with an year. Creditable samples include daily values aerodynamic diameter less than or equal to collected on scheduled sampling days and a nominal 2.5 micrometers. PM2.5 mass con- valid make-up samples taken for missed or centrations are measured in the ambient air invalidated samples on scheduled sampling by a Federal Reference Method (FRM) based days. on appendix L of this part, as applicable, and Daily values refer to the 24-hour average designated in accordance with part 53 of this concentrations of PM2.5 mass measured (or chapter; or by a Federal Equivalent Method averaged from hourly measurements in AQS) (FEM) designated in accordance with part 53 from midnight to midnight (local standard of this chapter; or by an Approved Regional time) from suitable monitors. Method (ARM) designated in accordance Data substitution tests are diagnostic eval- with part 58 of this chapter. Only those FRM, uations performed on an annual PM2.5 FEM, and ARM measurements that are de- NAAQS design value (DV) or a 24-hour PM2.5 rived in accordance with part 58 of this chap- NAAQS DV to determine if those metrics, ter (i.e., that are deemed ‘‘suitable’’) shall be which are judged to be based on incomplete used in comparisons with the PM2.5 NAAQS. data in accordance with 4.1(b) or 4.2(b) of this The data handling and computation proce- appendix shall nevertheless be deemed valid dures to be used to construct annual and 24- for NAAQS comparisons, or alternatively, hour NAAQS metrics from reported PM2.5 shall still be considered incomplete and not mass concentrations, and the associated invalid for NAAQS comparisons. There are two structions for comparing these calculated data substitution tests, the ‘‘minimum quar- metrics to the levels of the PM2.5 NAAQS, terly value’’ test and the ‘‘maximum quar- are specified in sections 2.0, 3.0, and 4.0 of terly value’’ test. Design values (DVs) are the this appendix. 3-year average NAAQS metrics that are com- (b) Decisions to exclude, retain, or make pared to the NAAQS levels to determine adjustments to the data affected by excep- when a monitoring site meets or does not tional events, including natural events, are meet the NAAQS, calculated as shown in sec- made according to the requirements and tion 4. There are two separate DVs specified process deadlines specified in §§ 50.1, 50.14 and in this appendix: 51.930 of this chapter. (1) The 3-year average of PM annual (c) The terms used in this appendix are de- 2.5 mean mass concentrations for each eligible fined as follows: Annual mean refers to a weighted arith- monitoring site is referred to as the ‘‘annual metic mean, based on quarterly means, as PM2.5 NAAQS DV’’. defined in section 4.4 of this appendix. (2) The 3-year average of annual 98th per- The Air Quality System (AQS) is EPA’s offi- centile 24-hour average PM2.5 mass con- cial repository of ambient air data. centration values recorded at each eligible Collocated monitors refers to two or more monitoring site is referred to as the ‘‘24-hour air measurement instruments for the same (or daily) PM2.5 NAAQS DV’’. parameter (e.g., PM2.5 mass) operated at the Eligible sites are monitoring stations that same site location, and whose placement is meet the criteria specified in § 58.11 and consistent with § 53.1 of this chapter. For § 58.30 of this chapter, and thus are approved purposes of considering a combined site for comparison to the annual PM2.5 NAAQS. record in this appendix, when two or more For the 24-hour PM2.5 NAAQS, all site loca- monitors are operated at the same site, one tions that meet the criteria specified in monitor is designated as the ‘‘primary’’ mon- § 58.11 are approved (i.e., eligible) for NAAQS itor with any additional monitors designated comparisons. as ‘‘collocated.’’ It is implicit in these appen- Extra samples are non-creditable samples. dix procedures that the primary monitor and They are daily values that do not occur on collocated monitor(s) are all deemed suitable scheduled sampling days and that cannot be for the applicable NAAQS comparison; how- used as make-up samples for missed or in- ever, it is not a requirement that the pri- validated scheduled samples. Extra samples

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are used in mean calculations and are in- those specific continuous FEMs/ARMs dis- cluded in the series of all daily values sub- qualified by a particular monitoring agency ject to selection as a 98th percentile value, network in accordance with § 58.10(b)(13) and but are not used to determine which value in approved by the EPA Regional Adminis- the sorted list represents the 98th percentile. trator per § 58.11(e) of this chapter. Make-up samples are samples collected to Test design values (TDV) are numerical val- take the place of missed or invalidated re- ues that used in the data substitution tests quired scheduled samples. Make-up samples described in sections 4.1(c)(i), 4.1(c)(ii) and can be made by either the primary or the 4.2(c)(i) of this appendix to determine if the collocated monitor. Make-up samples are ei- PM2.5 NAAQS DV with incomplete data are ther taken before the next required sampling judged to be valid for NAAQS comparisons. day or exactly one week after the missed (or There are two TDVs: TDVmin to determine if voided) sampling day. the NAAQS is not met and is used in the The maximum quarterly value data substi- ‘‘minimum quarterly value’’ data substitution test substitutes actual ‘‘high’’ reported tution test and TDVmax to determine if the daily PM2.5 values from the same site (spe- NAAQS is met and is used in the ‘‘maximum cifically, the highest reported non-excluded quarterly value’’ data substitution test. quarterly value(s) (year non-specific) con- These TDV’s are derived by substituting his- tained in the combined site record for the torically low or historically high daily con- evaluated 3-year period) for missing daily centration values for missing data in an in- values. complete year(s). The minimum quarterly value data substi- Year refers to a calendar year. tution test substitutes actual ‘‘low’’ reported daily PM2.5 values from the same site (spe- 2.0 MONITORING CONSIDERATIONS cifically, the lowest reported quarterly (a) Section 58.30 of this chapter provides value(s) (year non-specific) contained in the special considerations for data comparisons combined site record for the evaluated 3-year to the annual PM NAAQS. period) for missing daily values. 2.5 98th percentile is the smallest daily value (b) Monitors meeting the network technical requirements detailed in § 58.11 of this out of a year of PM2.5 mass monitoring data below which no more than 98 percent of all chapter are suitable for comparison with the daily values fall using the ranking and selec- NAAQS for PM2.5. tion method specified in section 4.5(a) of this (c) Section 58.12 of this chapter specifies appendix. the required minimum frequency of sampling Primary monitors are suitable monitors des- for PM2.5. Exceptions to the specified sam- ignated by a state or local agency in their pling frequencies, such as seasonal sampling, annual network plan (and in AQS) as the de- are subject to the approval of the EPA Re- fault data source for creating a combined gional Administrator and must be docu- site record for purposes of NAAQS compari- mented in the state or local agency Annual sons. If there is only one suitable monitor at Monitoring Network Plan as required in a particular site location, then it is pre- § 58.10 of this chapter and also in AQS. sumed to be a primary monitor. 3.0 REQUIREMENTS FOR DATA USE AND DATA Quarter refers to a calendar quarter (e.g., REPORTING FOR COMPARISONS WITH THE January through March). NAAQS FOR PM Quarterly data capture rate is the percent- 2.5 age of scheduled samples in a calendar quar- (a) Except as otherwise provided in this ap- ter that have corresponding valid reported pendix, all valid FRM/FEM/ARM PM2.5 mass sample values. Quarterly data capture rates concentration data produced by suitable are specifically calculated as the number of monitors that are required to be submitted creditable samples for the quarter divided by to AQS, or otherwise available to EPA, the number of scheduled samples for the meeting the requirements of part 58 of this quarter, the result then multiplied by 100 chapter including appendices A, C, and E and rounded to the nearest integer. shall be used in the DV calculations. Gen- Scheduled PM2.5 samples refers to those re- erally, EPA will only use such data if they ported daily values which are consistent have been certified by the reporting organi- with the required sampling frequency (per zation (as prescribed by § 58.15 of this chap- § 58.12 of this chapter) for the primary mon- ter); however, data not certified by the re- itor, or those that meet the special exception porting organization can nevertheless be noted in section 3.0(e) of this appendix. used, if the deadline for certification has Seasonal sampling is the practice of col- passed and EPA judges the data to be com- lecting data at a reduced frequency during a plete and accurate. season of expected low concentrations. (b) PM2.5 mass concentration data (typi- Suitable monitors are instruments that use cally collected hourly for continuous instru- sampling and analysis methods approved for ments and daily for filter-based instruments) NAAQS comparisons. For the annual and 24- shall be reported to AQS in micrograms per 3 hour PM2.5 NAAQS, suitable monitors in- cubic meter (μg/m ) to at least one decimal clude all FRMs, and all FEMs/ARMs except place. If concentrations are reported to one

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decimal place, additional digits to the right valid collocated values shall be used as the of the tenths decimal place shall be trun- daily value. The data record resulting from cated. If concentrations are reported to AQS this procedure is referred to as the ‘‘com- with more than one decimal place, AQS will bined site data record.’’ truncate the value to one decimal place for (e) All daily values in a combined site data NAAQS usage (i.e., for implementing the record are used in the calculations specified procedures in this appendix). In situations in this appendix; however, not all daily val- where suitable PM2.5 data are available to ues are given credit towards data complete- EPA but not reported to AQS, the same trun- ness requirements. Only creditable samples cation protocol shall be applied to that data. are given credit for data completeness. Cred- In situations where PM2.5 mass data are sub- itable samples include daily values in the mitted to AQS, or are otherwise available, combined site record that are collected on with less precision than specified above, scheduled sampling days and valid make-up these data shall nevertheless still be deemed samples taken for missed or invalidated sam- appropriate for NAAQS usage. ples on scheduled sampling days. Days are (c) Twenty-four-hour average concentra- considered scheduled according to the re- tions will be computed in AQS from sub- quired sampling frequency of the designated mitted hourly PM2.5 concentration data for primary monitor with one exception. The ex- each corresponding day of the year and the ception is, if a collocated continuous FEM/ result will be stored in the first, or start, ARM monitor has a more intensive sampling hour (i.e., midnight, hour ‘0’) of the 24-hour frequency than the primary FRM monitor, period. A 24-hour average concentration then samples contributed to the combined shall be considered valid if at least 75 per- site record from that continuous FEM/ARM cent of the hourly averages (i.e., 18 hourly monitor are always considered scheduled values) for the 24-hour period are available. and, hence, also creditable. Daily values in In the event that less than all 24 hourly aver- the combined site data record that are re- age concentrations are available (i.e., less ported for nonscheduled days, but that are than 24, but at least 18), the 24-hour average not valid make-up samples are referred to as concentration shall be computed on the basis extra samples. of the hours available using the number of available hours within the 24-hour period as 4.0 COMPARISONS WITH THE ANNUAL AND 24- the divisor (e.g., 19, if 19 hourly values are HOUR PM2.5 NAAQS available). Twenty-four-hour periods with 4.1 Annual PM NAAQS seven or more missing hours shall also be 2.5 considered valid if, after substituting zero (a) The primary annual PM2.5 NAAQS is for all missing hourly concentrations, the re- met when the annual PM2.5 NAAQS DV is sulting 24-hour average daily value is greater less than or equal to 12.0 μg/m3 at each eligi- than the level of the 24-hour PM2.5 NAAQS ble monitoring site. The secondary annual 3 (i.e., greater than or equal to 35.5 μg/m ). PM2.5 NAAQS is met when the annual PM2.5 3 Twenty-four hour average PM2.5 mass con- NAAQS DV is less than or equal to 15.0 μg/m centrations that are averaged in AQS from at each eligible monitoring site. hourly values will be truncated to one dec- (b) Three years of valid annual means are imal place, consistent with the data han- required to produce a valid annual PM2.5 dling procedure for the reported hourly (and NAAQS DV. A year meets data completeness also 24-hour filter-based) data. requirements when quarterly data capture (d) All calculations shown in this appendix rates for all four quarters are at least 75 per- shall be implemented on a site-level basis. cent. However, years with at least 11 cred- Site level concentration data shall be proc- itable samples in each quarter shall also be essed as follows: considered valid if the resulting annual (1) The default dataset for PM2.5 mass con- mean or resulting annual PM2.5 NAAQS DV centrations for a site shall consist of the (rounded according to the conventions of sec- measured concentrations recorded from the tion 4.3 of this appendix) is greater than the designated primary monitor(s). All daily val- level of the applicable primary or secondary ues produced by the primary monitor are annual PM2.5 NAAQS. Furthermore, where considered part of the site record; this in- the explicit 75 percent data capture and/or 11 cludes all creditable samples and all extra sample minimum requirements are not met, samples. the 3-year annual PM2.5 NAAQS DV shall (2) Data for the primary monitors shall be still be considered valid if it passes at least augmented as much as possible with data one of the two data substitution tests stipu- from collocated monitors. If a valid daily lated below. value is not produced by the primary mon- (c) In the case of one, two, or three years itor for a particular day (scheduled or other- that do not meet the completeness require- wise), but a value is available from a collo- ments of section 4.1(b) of this appendix and cated monitor, then that collocated value thus would normally not be useable for the shall be considered part of the combined site calculation of a valid annual PM2.5 NAAQS data record. If more than one collocated DV, the annual PM2.5 NAAQS DV shall never- daily value is available, the average of those theless be considered valid if one of the test

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conditions specified in sections 4.1(c)(i) and (d) An annual PM2.5 NAAQS DV based on 4.1(c)(ii) of this appendix is met. data that do not meet the completeness cri-

(i) An annual PM2.5 NAAQS DV that is teria stated in 4(b) and also do not satisfy above the level of the NAAQS can be vali- the test conditions specified in section 4(c), dated if it passes the minimum quarterly may also be considered valid with the ap- value data substitution test. This type of proval of, or at the initiative of, the EPA Ad- data substitution is permitted only if there ministrator, who may consider factors such are at least 30 days across the three quarters as monitoring site closures/moves, moni- of the three years under consideration (e.g., toring diligence, the consistency and levels collectively, quarter 1 of year 1, quarter 1 of of the daily values that are available, and year 2 and quarter 1 of year 3) from which to nearby concentrations in determining select the quarter-specific low value. Data whether to use such data. substitution will be performed in all quarter (e) The equations for calculating the an- periods that have less than 11 creditable nual PM2.5 NAAQS DVs are given in section samples. 4.4 of this appendix. Procedure: Identify for each deficient quar- 4.2 Twenty-four-hour PM NAAQS ter (i.e., those with less than 11 creditable 2.5 samples) the lowest reported daily value for (a) The primary and secondary 24-hour that quarter, looking across those three PM2.5 NAAQS are met when the 24-hour PM2.5 months of all three years under consider- NAAQS DV at each eligible monitoring site ation. If after substituting the lowest re- is less than or equal to 35 μg/m3. ported daily value for a quarter for (11¥ cn) (b) Three years of valid annual PM2.5 98th daily values in the matching deficient quar- percentile mass concentrations are required ter(s) (i.e., to bring the creditable number for to produce a valid 24-hour PM2.5 NAAQS DV. those quarters up to 11), the procedure yields A year meets data completeness requirements when quarterly data capture rates for a recalculated annual PM2.5 NAAQS test DV (TDV ) that is greater than the level of the all four quarters are at least 75 percent. min However, years shall be considered valid, standard, then the annual PM2.5 NAAQS DV is deemed to have passed the diagnostic test notwithstanding quarters with less than complete data (even quarters with less than and is valid, and the annual PM2.5 NAAQS is deemed to have been violated in that 3-year 11 creditable samples, but at least one cred- period. itable sample must be present for the year), if the resulting annual 98th percentile value (ii) An annual PM NAAQS DV that is 2.5 or resulting 24-hour NAAQS DV (rounded ac- equal to or below the level of the NAAQS can cording to the conventions of section 4.3 of be validated if it passes the maximum quar- this appendix) is greater than the level of the terly value data substitution test. This type standard. Furthermore, where the explicit 75 of data substitution is permitted only if percent quarterly data capture requirement there is at least 50 percent data capture in is not met, the 24-hour PM2.5 NAAQS DV each quarter that is deficient of 75 percent shall still be considered valid if it passes the data capture in each of the three years under maximum quarterly value data substitution consideration. Data substitution will be per- test. formed in all quarter periods that have less (c) In the case of one, two, or three years than 75 percent data capture but at least 50 that do not meet the completeness require- percent data capture. If any quarter has less ments of section 4.2(b) of this appendix and than 50 percent data capture then this sub- thus would normally not be useable for the stitution test cannot be used. calculation of a valid 24-hour PM2.5 NAAQS Procedure: Identify for each deficient quar- DV, the 24-hour PM2.5 NAAQS DV shall nev- ter (i.e., those with less than 75 percent but ertheless be considered valid if the test con- at least 50 percent data capture) the highest ditions specified in section 4.2(c)(i) of this reported daily value for that quarter, exclud- appendix are met. ing state-flagged data affected by excep- (i) A PM2.5 24-hour mass NAAQS DV that is tional events which have been approved for equal to or below the level of the NAAQS can exclusion by the Administrator, looking be validated if it passes the maximum quar- across those three quarters of all three years terly value data substitution test. This type under consideration. If after substituting the of data substitution is permitted only if highest reported daily PM2.5 value for a quar- there is at least 50 percent data capture in ter for all missing daily data in the match- each quarter that is deficient of 75 percent ing deficient quarter(s) (i.e., to make those data capture in each of the three years under quarters 100 percent complete), the proce- consideration. Data substitution will be per- dure yields a recalculated annual PM2.5 formed in all quarters that have less than 75 NAAQS test DV (TDVmax) that is less than or percent data capture but at least 50 percent equal to the level of the standard, then the data capture. If any quarter has less than 50 annual PM2.5 NAAQS DV is deemed to have percent data capture then this substitution passed the diagnostic test and is valid, and test cannot be used. the annual PM2.5 NAAQS is deemed to have Procedure: Identify for each deficient quar- been met in that 3-year period. ter (i.e., those with less than 75 percent but

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at least 50 percent data capture) the highest nearby concentrations in determining reported daily PM2.5 value for that quarter, whether to use such data. excluding state-flagged data affected by ex- (e) The procedures and equations for calcu- ceptional events which have been approved lating the 24-hour PM2.5 NAAQS DVs are for exclusion by the Regional Administrator, given in section 4.5 of this appendix. looking across those three quarters of all 4.3 Rounding Conventions. For the pur- three years under consideration. If, after poses of comparing calculated PM2.5 NAAQS substituting the highest reported daily max- DVs to the applicable level of the standard, imum PM2.5 value for a quarter for all miss- it is necessary to round the final results of ing daily data in the matching deficient the calculations described in sections 4.4 and quarter(s) (i.e., to make those quarters 100 4.5 of this appendix. Results for all inter- percent complete), the procedure yields a re- mediate calculations shall not be rounded. calculated 3-year 24-hour NAAQS test DV (a) Annual PM2.5 NAAQS DVs shall be (TDVmax) less than or equal to the level of rounded to the nearest tenth of a μg/m3 (deci- the standard, then the 24-hour PM2.5 NAAQS mals x.x5 and greater are rounded up to the DV is deemed to have passed the diagnostic next tenth, and any decimal lower than x.x5 test and is valid, and the 24-hour PM2.5 is rounded down to the nearest tenth). NAAQS is deemed to have been met in that (b) Twenty-four-hour PM NAAQS DVs 3-year period. 2.5 shall be rounded to the nearest 1 μg/m3 (deci- (d) A 24-hour PM2.5 NAAQS DV based on data that do not meet the completeness cri- mals 0.5 and greater are rounded up to the teria stated in section 4(b) of this appendix nearest whole number, and any decimal and also do not satisfy the test conditions lower than 0.5 is rounded down to the nearest specified in section 4(c) of this appendix, whole number). may also be considered valid with the ap- 4.4 Equations for the Annual PM NAAQS. proval of, or at the initiative of, the EPA Ad- 2.5 ministrator, who may consider factors such (a) An annual mean value for PM2.5 is de- as monitoring site closures/moves, moni- termined by first averaging the daily values toring diligence, the consistency and levels of a calendar quarter using equation 1 of this of the daily values that are available, and appendix:

th Where: xi q,y = the i value in quarter q for year y. ¯ Xq,y = the mean for quarter q of the year y; (b) Equation 2 of this appendix is then used nq = the number of daily values in the quar- to calculate the site annual mean: ter; and

Where: nQ,y = the number of quarters Q in year y with at least one daily value; and Xy = the annual mean concentration for year y (y = 1, 2, or 3); Xq,y = the mean for quarter q of year y (result of equation 1).

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Where: this case, x[1] is the largest number and x[n] ¯ is the smallest value.) The 98th percentile X = the annual PM2.5 NAAQS DV; and ¯ value is determined from this sorted series of Xy = the annual mean for year y (result of equation 2) daily values which is ordered from the highest to the lowest number. Using the left col- (d) The annual PM NAAQS DV is rounded 2.5 umn of Table 1, determine the appropriate according to the conventions in section 4.3 of range for the annual creditable number of this appendix before comparisons with the samples for year y (cn ) (e.g., for 120 cred- levels of the primary and secondary annual y itable samples per year, the appropriate PM NAAQS are made. 2.5 range would be 101 to 150). The corresponding 4.5 Procedures and Equations for the 24-Hour ‘‘n’’ value in the right column identifies the rank of the annual 98th percentile value in PM2.5 NAAQS the descending sorted list of site specific (a) When the data for a particular site and daily values for year y (e.g., for the range of year meet the data completeness require- 101 to 150, n would be 3). Thus, P0.98, y = the ments in section 4.2 of this appendix, cal- nth largest value (e.g., for the range of 101 to culation of the 98th percentile is accom- 150, the 98th percentile value would be the plished by the steps provided in this sub- third highest value in the sorted series of section. Table 1 of this appendix shall be daily values. used to identify annual 98th percentile values. TABLE 1 Identification of annual 98th percentile values using the Table 1 procedure will be The 98th percentile for year y th based on the creditable number of samples Annual number of creditable (P0.98,y), is the n maximum (as described below), rather than on the ac- 24-hour average value for the samples for year y (cny) year where n is the listed num- tual number of samples. Credit will not be ber granted for extra (non-creditable) samples. Extra samples, however, are candidates for 1 to 50 ...... 1 selection as the annual 98th percentile. [The 51 to 100 ...... 2 creditable number of samples will determine 101 to 150 ...... 3 151 to 200 ...... 4 how deep to go into the data distribution, 201 to 250 ...... 5 but all samples (creditable and extra) will be 251 to 300 ...... 6 considered when making the percentile as- 301 to 350 ...... 7 signment.] The annual creditable number of 351 to 366 ...... 8 samples is the sum of the four quarterly creditable number of samples. (b) The 24-hour PM2.5 NAAQS DV is then Procedure: Sort all the daily values from a calculated by averaging the annual 98th per- particular site and year by descending value. centiles using equation 4 of this appendix: (For example: (x[1], x[2], x[3], * * *, x[n]). In P0.98,y

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Where: all applicable requirements in part 53 of this P¯ = the 24-hour PM NAAQS DV; and chapter, and 0.98 2.5 (b) The method based on the specific sam- P0.98, y = the annual 98th percentile for year y plers and associated operational procedures have been designated as a reference method (c) The 24-hour PM2.5 NAAQS DV is round- in accordance with part 53 of this chapter. ed according to the conventions in section 1.7 PM10–2.5 methods based on samplers 4.3 of this appendix before a comparison with that meet nearly all specifications set forth the level of the primary and secondary 24- in this method but have one or more signifi- hour NAAQS are made. cant but minor deviations or modifications [78 FR 3277, Jan. 15, 2013, as amended at 82 from those specifications may be designated FR 14327, Mar. 20, 2017] as ‘‘Class I’’ equivalent methods for PM10–2.5 in accordance with part 53 of this chapter. 1.8 PM measurements obtained inci- APPENDIX O TO PART 50—REFERENCE 2.5 dental to the PM10–2.5 measurements by this METHOD FOR THE DETERMINATION OF method shall be considered to have been ob- OARSE ARTICULATE ATTER AS C P M tained with a reference method for PM2.5 in PM10–2.5 IN THE ATMOSPHERE accordance with appendix L of this part. 1.9 PM10c measurements obtained inci- 1.0 Applicability and Definition dental to the PM10–2.5 measurements by this 1.1 This method provides for the measure- method shall be considered to have been ob- ment of the mass concentration of coarse tained with a reference method for PM10 in accordance with appendix J of this part, pro- particulate matter (PM10–2.5) in ambient air over a 24-hour period. In conjunction with vided that: additional analysis, this method may be used (a) The PM10c measurements are adjusted to EPA reference conditions (25 °C and 760 to develop speciated data. millimeters of mercury), and 1.2 For the purpose of this method, (b) Such PM measurements are appro- PM is defined as particulate matter hav- 10c 10–2.5 priately identified to differentiate them ing an aerodynamic diameter in the nominal from PM measurements obtained with range of 2.5 to 10 micrometers, inclusive. 10 other (conventional) methods for PM10 des- 1.3 For this reference method, PM10–2.5 ignated in accordance with part 53 of this concentrations shall be measured as the chapter as reference or equivalent methods arithmetic difference between separate but for PM . concurrent, collocated measurements of 10 PM10 and PM2.5, where the PM10 measure- 2.0 Principle ments are obtained with a specially approved 2.1 Separate, collocated, electrically pow- sampler, identified as a ‘‘PM sampler,’’ 10c ered air samplers for PM and PM concur- that meets more demanding performance re- 10c 2.5 rently draw ambient air at identical, con- quirements than conventional PM samplers 10 stant volumetric flow rates into specially described in appendix J of this part. Meas- shaped inlets and through one or more iner- urements obtained with a PM sampler are 10c tial particle size separators where the sus- identified as ‘‘PM10c measurements’’ to dis- pended particulate matter in the PM10 or tinguish them from conventional PM10 meas- PM2.5 size range, as applicable, is separated urements obtained with conventional PM10 ¥ for collection on a polytetrafluoroethylene samplers. Thus, PM10–2.5 = PM10c PM2.5. (PTFE) filter over the specified sampling pe- 1.4 The PM10c and PM2.5 gravimetric meas- riod. The air samplers and other aspects of urement processes are considered to be non- this PM10–2.5 reference method are specified destructive, and the PM10c and PM2.5 samples either explicitly in this appendix or by ref- obtained in the PM10–2.5 measurement process erence to other applicable regulations or can be subjected to subsequent physical or quality assurance guidance. chemical analyses. 2.2 Each PM10c and PM2.5 sample collec- 1.5 Quality assessment procedures are tion filter is weighed (after moisture and provided in part 58, appendix A of this chap- temperature conditioning) before and after ter. The quality assurance procedures and sample collection to determine the net guidance provided in reference 1 in section 13 weight (mass) gain due to collected PM10c or of this appendix, although written specifi- PM2.5. The total volume of air sampled by cally for PM2.5, are generally applicable for each sampler is determined by the sampler PM10c, and, hence, PM10–2.5 measurements from the measured flow rate at local ambi- under this method, as well. ent temperature and pressure and the sam- 1.6 A method based on specific model pling time. The mass concentrations of both PM10c and PM2.5 samplers will be considered PM10c and PM2.5 in the ambient air are com- a reference method for purposes of part 58 of puted as the total mass of collected particles this chapter only if: in the PM10 or PM2.5 size range, as appro- (a) The PM10c and PM2.5 samplers and the priate, divided by the total volume of air associated operational procedures meet the sampled by the respective samplers, and ex- requirements specified in this appendix and pressed in micrograms per cubic meter (μg/

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3 m )at local temperature and pressure condi- credible PM10–2.5 concentration standards at tions. The mass concentration of PM10–2.5 is field monitoring sites and presenting or in- determined as the PM10c concentration value troducing such standards reliably to sam- less the corresponding, concurrently meas- plers or monitors to assess accuracy is still ured PM2.5 concentration value. generally impractical. The accuracy of 2.3 Most requirements for PM10–2.5 ref- PM10–2.5 measurements is therefore defined in erence methods are similar or identical to a relative sense as bias, referenced to meas- the requirements for PM2.5 reference meth- urements provided by other reference methods as set forth in appendix L to this part. od samplers or based on flow rate To insure uniformity, applicable appendix L verification audits or checks, or on other requirements are incorporated herein by ref- performance evaluation procedures. erence in the sections where indicated rather 4.2 Measurement system bias for moni- than repeated in this appendix. toring data is assessed according to the procedures and schedule set forth in part 58, ap- 3.0 PM10–2.5 Measurement Range pendix A of this chapter. The goal for the 3.1 Lower concentration limit. The lower de- measurement uncertainty (as bias) for moni- tection limit of the mass concentration toring data is defined in part 58, appendix A measurement range is estimated to be ap- of this chapter as an upper 95 percent con- proximately 3 μg/m3, based on the observed fidence limit for the absolute bias of 15 per- precision of PM2.5 measurements in the na- cent. Reference 1 in section 13 of this appen- tional PM2.5 monitoring network, the prob- dix provides additional information and able similar level of precision for the guidance on flow rate accuracy audits and matched PM10c measurements, and the addi- assessment of bias. tional variability arising from the differential nature of the measurement process. This 5.0 Precision value is provided merely as a guide to the 5.1 Tests to establish initial measurement significance of low PM10–2.5 concentration precision for each sampler of the reference measurements. method sampler pair are specified as a part 3.2 Upper concentration limit. The upper of the requirements for designation as a ref- limit of the mass concentration range is de- erence method under part 53 of this chapter. termined principally by the PM10c filter mass 5.2 Measurement system precision is as- loading beyond which the sampler can no sessed according to the procedures and longer maintain the operating flow rate schedule set forth in appendix A to part 58 of within specified limits due to increased pres- this chapter. The goal for acceptable meas- sure drop across the loaded filter. This upper urement uncertainty, as precision, of moni- limit cannot be specified precisely because it toring data is defined in part 58, appendix A is a complex function of the ambient particle of this chapter as an upper 95 percent con- size distribution and type, humidity, the in- fidence limit for the coefficient of variation dividual filter used, the capacity of the sam- (CV) of 15 percent. Reference 1 in section 13 pler flow rate control system, and perhaps of this appendix provides additional informa- other factors. All PM10c samplers are esti- tion and guidance on this requirement. mated to be capable of measuring 24-hour 6.0 Filters for PM10c and PM2.5 Sample Col- mass concentrations of at least 200 μg/m3 lection. Sample collection filters for both while maintaining the operating flow rate PM10c and PM2.5 measurements shall be iden- within the specified limits. The upper limit tical and as specified in section 6 of appendix for the PM10–2.5 measurement is likely to be L to this part. somewhat lower because the PM10–2.5 con- 7.0 Sampler. The PM10–2.5 sampler shall centration represents only a fraction of the consist of a PM10c sampler and a PM2.5 sam- PM10 concentration. pler, as follows: 3.3 Sample period. The required sample pe- 7.1 The PM2.5 sampler shall be as specified riod for PM10–2.5 concentration measurements in section 7 of appendix L to this part. by this method shall be at least 1,380 min- 7.2 The PM10c sampler shall be of like utes but not more than 1,500 minutes (23 to manufacturer, design, configuration, and 25 hours), and the start times of the PM 2.5 fabrication to that of the PM2.5 sampler and and PM10c samples are within 10 minutes and as specified in section 7 of appendix L to this the stop times of the samples are also within part, except as follows: 10 minutes (see section 10.4 of this appendix). 7.2.1 The particle size separator specified in section 7.3.4 of appendix L to this part 4.0 Accuracy (bias) shall be eliminated and replaced by a 4.1 Because the size, density, and vola- downtube extension fabricated as specified in tility of the particles making up ambient Figure O–1 of this appendix. particulate matter vary over wide ranges 7.2.2 The sampler shall be identified as a and the mass concentration of particles var- PM10c sampler on its identification label re- ies with particle size, it is difficult to define quired under § 53.9(d) of this chapter. the accuracy of PM10–2.5 measurements in an 7.2.3 The average temperature and aver- absolute sense. Furthermore, generation of age barometric pressure measured by the

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sampler during the sample period, as de- height by not more than 0.2 meter, if pos- scribed in Table L–1 of appendix L to this sible, but in any case not more than 1 meter, part, need not be reported to EPA’s AQS and the vertical axes of their inlets are sepa- data base, as required by section 7.4.19 and rated by at least 1 meter but not more than Table L–1 of appendix L to this part, pro- 4 meters, horizontally. vided such measurements for the sample pe- 10.2 The measurement procedure for PM10c riod determined by the associated PM2.5 sam- shall be as specified in section 10 of appendix pler are reported as required. L to this part, with ‘‘PM ’’ substituted for 7.3 In addition to the operation/instruc- 10c ‘‘PM ’’ wherever it occurs in that section. tion manual required by section 7.4.18 of ap- 2.5 pendix L to this part for each sampler, sup- 10.3 The measurement procedure for PM2.5 plemental operational instructions shall be shall be as specified in section 10 of appendix provided for the simultaneous operation of L to this part. the samplers as a pair to collect concurrent 10.4 For the PM10–2.5 measurement, the PM10c and PM2.5 samples. The supplemental PM10c and PM2.5 samplers shall be pro- instructions shall cover any special proce- grammed to operate on the same schedule dures or guidance for installation and setup and such that the sample period start times of the samplers for PM10–2.5 measurements, are within 5 minutes and the sample dura- such as synchronization of the samplers’ tion times are within 5 minutes. clocks or timers, proper programming for 10.5 Retrieval, transport, and storage of

collection of concurrent samples, and any each PM10c and PM2.5 sample pair following other pertinent issues related to the simulta- sample collection shall be matched to the ex- neous, coordinated operation of the two sam- tent practical such that both samples experi- plers. ence uniform conditions. 7.4 Capability for electrical interconnec- 11.0 Sampler Maintenance. Both PM and tion of the samplers to simplify sample pe- 10c PM samplers shall be maintained as de- riod programming and further ensure simul- 2.5 scribed in section 11 of appendix L to this taneous operation is encouraged but not required. Any such capability for interconnec- part. tion shall not supplant each sampler’s capa- 12.0 Calculations bility to operate independently, as required by section 7 of appendix L of this part. 12.1 Both concurrent PM10c and PM2.5 measurements must be available, valid, and 8.0 Filter Weighing meet the conditions of section 10.4 of this ap-

8.1 Conditioning and weighing for both pendix to determine the PM10–2.5 mass con- PM10c and PM2.5 sample filters shall be as centration. specified in section 8 of appendix L to this 12.2 The PM10c mass concentration is cal- part. See reference 1 of section 13 of this ap- culated using equation 1 of this section: pendix for additional, more detailed guidance. Equation 1 8.2 Handling, conditioning, and weighing for both PM10c and PM2.5 sample filters shall ()WW− be matched such that the corresponding = fi PM10c PM10c and PM2.5 filters of each filter pair re- Va ceive uniform treatment. The PM10c and PM2.5 sample filters should be weighed on the Where: same balance, preferably in the same weigh- 3 PM10c = mass concentration of PM10c, μg/m ; ing session and by the same analyst. Wf, Wi = final and initial masses (weights), 8.3 Due care shall be exercised to accu- respectively, of the filter used to collect rately maintain the paired relationship of the PM10c particle sample, μg; each set of concurrently collected PM10c and Va = total air volume sampled by the PM10c PM2.5 sample filters and their net weight gain data and to avoid misidentification or sampler in actual volume units measured reversal of the filter samples or weight data. at local conditions of temperature and See Reference 1 of section 13 of this appendix pressure, as provided by the sampler, m3. for additional guidance. NOTE: Total sample time must be between 9.0 Calibration. Calibration of the flow 1,380 and 1,500 minutes (23 and 25 hrs) for a

rate, temperature measurement, and pres- fully valid PM10c sample; however, see also sure measurement systems for both the section 3.3 of this appendix. PM10c and PM2.5 samplers shall be as specified in section 9 of appendix L to this part. 12.3 The PM2.5 mass concentration is calculated as specified in section 12 of appendix

10.0 PM10–2.5 Measurement Procedure L to this part. 12.4 The PM ¥ mass concentration, in 10.1 The PM and PM samplers shall be 10 2.5 10c 2.5 μ 3 installed at the monitoring site such that g/m , is calculated using Equation 2 of this their ambient air inlets differ in vertical section:

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Designated Reference or Class I Equivalent Equation 2 Methods. Draft, November 1998 (or later =− version or supplement, if available). Avail- PM10− 2.. 5 PM 10c PM 2 5 able at: www.epa.gov/ttn/amtic/pgqa.html.

13.0 Reference 14.0 Figures 1. Quality Assurance Guidance Document Figure O–1 is included as part of this ap- 2.12. Monitoring PM2.5 in Ambient Air Using pendix O.

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[71 FR 61230, Oct. 17, 2006] of the year and shall be stored in the first, or start, hour of the 8-hour period. An 8-hour APPENDIX P TO PART 50—INTERPRETA- average shall be considered valid if at least TION OF THE PRIMARY AND SEC- 75% of the hourly averages for the 8-hour pe- ONDARY NATIONAL AMBIENT AIR riod are available. In the event that only 6 or QUALITY STANDARDS FOR OZONE 7 hourly averages are available, the 8-hour average shall be computed on the basis of the 1. General hours available using 6 or 7 as the divisor. 8- hour periods with three or more missing (a) This appendix explains the data han- hours shall be considered valid also, if, after dling conventions and computations nec- substituting one-half the minimum detect- essary for determining whether the national able limit for the missing hourly concentra- 8-hour primary and secondary ambient air tions, the 8-hour average concentration is quality standards for ozone (O ) specified in 3 greater than the level of the standard. The § 50.15 are met at an ambient O air quality 3 computed 8-hour average O concentrations monitoring site. Ozone is measured in the 3 shall be reported to three decimal places (the ambient air by a reference method based on digits to the right of the third decimal place appendix D of this part, as applicable, and are truncated, consistent with the data han- designated in accordance with part 53 of this dling procedures for the reported data). chapter, or by an equivalent method des- Daily maximum 8-hour average concentra- ignated in accordance with part 53 of this tions. (a) There are 24 possible running 8-hour chapter. Data reporting, data handling, and average O concentrations for each calendar computation procedures to be used in mak- 3 day during the O monitoring season. The ing comparisons between reported O con- 3 3 daily maximum 8-hour concentration for a centrations and the levels of the O stand- 3 given calendar day is the highest of the 24 ards are specified in the following sections. possible 8-hour average concentrations com- Whether to exclude, retain, or make adjust- puted for that day. This process is repeated, ments to the data affected by exceptional yielding a daily maximum 8-hour average O events, including stratospheric O intrusion 3 3 concentration for each calendar day with and other natural events, is determined by ambient O monitoring data. Because the 8- the requirements under §§ 50.1, 50.14 and 3 hour averages are recorded in the start hour, 51.930. the daily maximum 8-hour concentrations (b) The terms used in this appendix are de- from two consecutive days may have some fined as follows: hourly concentrations in common. Gen- 8-hour average is the rolling average of erally, overlapping daily maximum 8-hour eight hourly O concentrations as explained 3 averages are not likely, except in those non- in section 2 of this appendix. urban monitoring locations with less pro- Annual fourth-highest daily maximum refers to the fourth highest value measured at a nounced diurnal variation in hourly con- monitoring site during a particular year. centrations. Daily maximum 8-hour average concentration (b) An O3 monitoring day shall be counted refers to the maximum calculated 8-hour av- as a valid day if valid 8-hour averages are erage for a particular day as explained in available for at least 75% of possible hours in section 2 of this appendix. the day (i.e., at least 18 of the 24 averages). Design values are the metrics (i.e., statis- In the event that less than 75% of the 8-hour tics) that are compared to the NAAQS levels averages are available, a day shall also be to determine compliance, calculated as counted as a valid day if the daily maximum shown in section 3 of this appendix. 8-hour average concentration for that day is greater than the level of the standard. O3 monitoring season refers to the span of time within a calendar year when individual 2.2 Primary and Secondary Standard- States are required to measure ambient O3 related Summary Statistic concentrations as listed in part 58 appendix D to this chapter. The standard-related summary statistic is Year refers to calendar year. the annual fourth-highest daily maximum 8- hour O3 concentration, expressed in parts per 2. Primary and Secondary Ambient Air million, averaged over three years. The 3- Quality Standards for Ozone year average shall be computed using the three most recent, consecutive calendar 2.1 Data Reporting and Handling years of monitoring data meeting the data Conventions completeness requirements described in this Computing 8-hour averages. Hourly average appendix. The computed 3-year average of concentrations shall be reported in parts per the annual fourth-highest daily maximum 8- million (ppm) to the third decimal place, hour average O3 concentrations shall be re- with additional digits to the right of the ported to three decimal places (the digits to third decimal place truncated. Running 8- the right of the third decimal place are trun- hour averages shall be computed from the cated, consistent with the data handling pro- hourly O3 concentration data for each hour cedures for the reported data). 149

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2.3 Comparisons with the Primary and onstrate that meteorological conditions on Secondary Ozone Standards missing days were not conducive to concentrations above the level of the standard. (a) The primary and secondary O3 ambient air quality standards are met at an ambient Missing days assumed less then the level of air quality monitoring site when the 3-year the standard are counted for the purpose of average of the annual fourth-highest daily meeting the data completeness requirement, subject to the approval of the appropriate maximum 8-hour average O3 concentration is less than or equal to 0.075 ppm. Regional Administrator. (b) This comparison shall be based on three (c) Years with concentrations greater than consecutive, complete calendar years of air the level of the standard shall be included quality monitoring data. This requirement is even if they have less than complete data. met for the 3-year period at a monitoring Thus, in computing the 3-year average site if daily maximum 8-hour average con- fourth maximum concentration, calendar centrations are available for at least 90% of years with less than 75% data completeness the days within the O3 monitoring season, on shall be included in the computation if the 3- average, for the 3-year period, with a min- year average fourth-highest 8-hour con- imum data completeness requirement in any centration is greater than the level of the one year of at least 75% of the days within standard. the O3 monitoring season. When computing (d) Comparisons with the primary and sec- whether the minimum data completeness re- ondary O3 standards are demonstrated by ex- quirements have been met, meteorological or amples 1 and 2 in paragraphs (d)(1) and (d)(2) ambient data may be sufficient to dem- respectively as follows:

EXAMPLE 1—AMBIENT MONITORING SITE ATTAINING THE PRIMARY AND SECONDARY O3 STANDARDS

Percent valid days (within 1st Highest 2nd Highest 3rd Highest 4th Highest 5th Highest Year the required daily max 8- daily max 8- daily max 8- daily max 8- daily max 8- monitoring hour Conc. hour Conc. hour Conc. hour Conc. hour Conc. season) (ppm) (ppm) (ppm) (ppm) (ppm)

2004 ...... 100 0.092 0.090 0.085 0.079 0.078 2005 ...... 96 0.084 0.083 0.075 0.072 0.070 2006 ...... 98 0.080 0.079 0.077 0.076 0.060

Average ...... 98 ...... 0.075 ......

(1) As shown in Example 1, this monitoring percent of days within the required moni- site meets the primary and secondary O3 toring season with valid ambient monitoring standards because the 3-year average of the data is greater than 90%, and no single year annual fourth-highest daily maximum 8-hour has less than 75% data completeness. In Ex- average O3 concentrations (i.e., 0.075666 * * * ample 1, the individual 8-hour averages used ppm, truncated to 0.075 ppm) is less than or to determine the annual fourth maximum equal to 0.075 ppm. The data completeness have also been truncated to the third dec- requirement is also met because the average imal place.

EXAMPLE 2—AMBIENT MONITORING SITE FAILING TO MEET THE PRIMARY AND SECONDARY O3 STANDARDS

2004 ...... 96 0.105 0.103 0.103 0.103 0.102 2005 ...... 74 0.104 0.103 0.092 0.091 0.088 2006 ...... 98 0.103 0.101 0.101 0.095 0.094

Average ...... 89 ...... 0.096 ......

As shown in Example 2, the primary and 0.075 ppm, even though the data capture is

secondary O3 standards are not met for this less than 75% and the average data capture monitoring site because the 3-year average for the 3 years is less than 90% within the re- of the fourth-highest daily maximum 8-hour quired monitoring season. In Example 2, the

average O3 concentrations (i.e., 0.096333 * * * individual 8-hour averages used to determine ppm, truncated to 0.096 ppm) is greater than

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the annual fourth maximum have also been Equivalent Methods). This FRM specifically truncated to the third decimal place. applies to the analysis of Pb in PM10 filters collected with the PM10c sampler. If these fil- 3. Design Values for Primary and Secondary ters are analyzed for elements other than Pb, Ambient Air Quality Standards for Ozone then refer to the guidance provided in the The air quality design value at a moni- EPA Inorganic Compendium Method IO–3.3 toring site is defined as that concentration (Reference 1 of section 8) for multi-element that when reduced to the level of the stand- analysis. ard ensures that the site meets the standard. 1.4 The PM10c air sampler draws ambient For a concentration-based standard, the air air at a constant volumetric flow rate into a quality design value is simply the standard- specially shaped inlet and through an iner- related test statistic. Thus, for the primary tial particle size separator, where the sus- and secondary standards, the 3-year average pended particulate matter in the PM10 size annual fourth-highest daily maximum 8-hour range is separated for collection on a PTFE filter over the specified sampling period. The average O3 concentration is also the air quality design value for the site. Pb content of the PM10 sample is analyzed by energy-dispersive X-ray fluorescence spec- [73 FR 16511, Mar. 27, 2008] trometry (EDXRF). Energy-dispersive X-ray fluorescence spectrometry provides a means APPENDIX Q TO PART 50—REFERENCE for identification of an element by measure- METHOD FOR THE DETERMINATION OF ment of its characteristic X-ray emission en- LEAD IN PARTICULATE MATTER AS ergy. The method allows for quantification PM10 COLLECTED FROM AMBIENT of the element by measuring the intensity of AIR X-rays emitted at the characteristic photon energy and then relating this intensity to This Federal Reference Method (FRM) the elemental concentration. The number or draws heavily from the specific analytical intensity of X-rays produced at a given en- protocols used by the U.S. EPA. ergy provides a measure of the amount of the 1. Applicability and Principle element present by comparisons with cali- 1.1 This method provides for the measure- bration standards. The X-rays are detected ment of the lead (Pb) concentration in par- and the spectral signals are acquired and ticulate matter that is 10 micrometers or processed with a personal computer. EDXRF less (PM10) in ambient air. PM10 is collected is commonly used as a non-destructive meth- on an acceptable (see section 6.1.2) 46.2 mm od for quantifying trace elements in PM. A diameter polytetrafluoroethylene (PTFE) fil- detailed explanation of quantitative X-ray ter for 24 hours using active sampling at spectrometry is described in references 2, 3 local conditions with a low-volume air sam- and 4. pler. The low-volume sampler has an average 1.5 Quality assurance (QA) procedures for flow rate of 16.7 liters per minute (Lpm) and the collection of monitoring data are con- total sampled volume of 24 cubic meters (m3) tained in Part 58, appendix A. of air. The analysis of Pb in PM10 is per- 2. PM10Pb Measurement Range and Detection formed on each individual 24-hour sample. Limit. The values given below in section 2.1 Gravimetric mass analysis of PM10c filters is and 2.2 are typical of the method capabili- not required for Pb analysis. For the purpose ties. Absolute values will vary for individual of this method, PM10 is defined as particulate situations depending on the instrument, de- matter having an aerodynamic diameter in tector age, and operating conditions used. the nominal range of 10 micrometers (10 μm) Data are typically reported in ng/m3 for am- or less. bient air samples; however, for this reference 3 1.2 For this reference method, PM10 shall method, data will be reported in μg/m at be collected with the PM10c federal reference local temperature and pressure conditions. method (FRM) sampler as described in ap- 2.1 EDXRF Pb Measurement Range. The pendix O to Part 50 using the same sample typical ambient air measurement range is period, measurement procedures, and re- 0.001 to 30 μg Pb/m3, assuming an upper range quirements specified in appendix L of Part calibration standard of about 60 μg Pb per 2 50. The PM10c sampler is also being used for square centimeter (cm ), a filter deposit area 2 3 measurement of PM10¥2.5 mass by difference of 11.86 cm , and an air volume of 24 m . The and as such, the PM10c sampler must also top range of the EDXRF instrument is much meet all of the performance requirements greater than what is stated here. The top specified for PM2.5 in appendix L. The con- measurement range of quantification is de- centration of Pb in the atmosphere is deter- fined by the level of the high concentration mined in the total volume of air sampled and calibration standard used and can be in- expressed in micrograms per cubic meter (μg/ creased to expand the measurement range as m3) at local temperature and pressure condi- needed. tions. 2.2 Detection Limit (DL). A typical esti- 1.3 The FRM will serve as the basis for ap- mate of the one-sigma detection limit (DL) proving Federal Equivalent Methods (FEMs) is about 2 ng Pb/cm2 or 0.001 μg Pb/m3, assum- as specified in 40 CFR Part 53 (Reference and ing a filter size of 46.2 mm (filter deposit

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area of 11.86 cm2) and a sample air volume of centration. This is because the Pb Lα line 24 m3. The DL is an estimate of the lowest and the As Kα lines severely overlap. The use amount of Pb that can be reliably distin- of multiple Pb lines, including the Lβ and/or guished from a blank filter. The one-sigma the Lγ lines for quantification must be used detection limit for Pb is calculated as the to reduce the uncertainty in the Pb deter- average overall uncertainty or propagated mination in the presence of As. There can be error for Pb, determined from measurements instances when lines partially overlap the Pb on a series of blank filters from the filter spectral lines, but with the energy resolution lot(s) in use. Detection limits must be deter- of most detectors these overlaps are typi- mined for each filter lot in use. If a new fil- cally de-convoluted using standard spectral ter lot is used, then a new DL must be deter- de-convolution software provided by the in- mined. The sources of random error which strument vendor. An EDXRF protocol for Pb are considered are calibration uncertainty; must define which Pb lines are used for system stability; peak and background quantification and where spectral overlaps counting statistics; uncertainty in attenu- occur. A de-convolution protocol must be ation corrections; and uncertainty in peak used to separate all the lines which overlap overlap corrections, but the dominating with Pb. source by far is peak and background count- 3.3 Particle Size Effects and Attenuation ing statistics. At a minimum, laboratories Correction Factors. X-ray attenuation is de- are to determine annual estimates of the DL pendent on the X-ray energy, mass sample using the guidance provided in Reference 5. loading, composition, and particle size. In 3. Factors Affecting Bias and Precision of some cases, the excitation and fluorescent X- Lead Determination by EDXRF rays are attenuated as they pass through the 3.1 Filter Deposit. X-ray spectra are sub- sample. In order to relate the measured inject to distortion if unusually heavy deposits tensity of the X-rays to the thin-film cali- are analyzed. This is the result of internal bration standards used, the magnitude of absorption of both primary and secondary X- any attenuation present must be corrected rays within the sample; however, this is not for. See references 6, 7, and 8 for more discus- an issue for Pb due to the energetic X-rays sion on this issue. Essentially no attenu- used to fluoresce Pb and the energetic char- ation corrections are necessary for Pb in acteristic X-rays emitted by Pb. The opti- PM10: Both the incoming excitation X-rays mum mass filter loading for multi-elemental used for analyzing lead and the fluoresced Pb EDXRF analyis is about 100 μg/cm2 or 1.2 mg/ X-rays are sufficiently energetic that for filter for a 46.2-mm filter. Too little deposit particles in this size range and for normal material can also be problematic due to low filter loadings, the Pb X-ray yield is not sig- counting statistics and signal noise. The par- nificantly impacted by attenuation. ticle mass deposit should minimally be 15 μg/ 4. Precision 2 cm . The maximum PM10 filter loading or 4.1 Measurement system precision is as- upper concentration limit of mass expected sessed according to the procedures set forth to be collected by the PM10c sampler is 200 μg/ in appendix A to part 58. Measurement meth- m3 (Appendix O to Part 50, Section 3.2). This od precision is assessed from collocated sam- equates to a mass loading of about 400 μg/cm2 pling and analysis. The goal for acceptable and is the maximum expected loading for measurement uncertainty, as precision, is PM10c filters. This maximum loading is ac- defined as an upper 90 percent confidence ceptable for the analysis of Pb and other limit for the coefficient of variation (CV) of high-Z elements with very energetic char- 20 percent. acteristic X-rays. A properly collected sam- 5. Bias ple will have a uniform deposit over the en- 5.1 Measurement system bias for moni- tire collection area. Samples with physical toring data is assessed according to the pro- deformities (including a visually non-uni- cedures set forth in appendix A of part 58. form deposit area) should not be quan- The bias is assessed through an audit using titatively analyzed. Tests on the uniformity spiked filters. The goal for measurement of particle deposition on PM10C filters bias is defined as an upper 95 percent con- showed that the non-uniformity of the filter fidence limit for the absolute bias of 15 per- deposit represents a small fraction of the cent. overall uncertainty in ambient Pb con- 6. Measurement of PTFE Filters by EDXRF centration measurement. The analysis beam 6.1 Sampling of the XRF analyzer does not cover the en- 6.1.1 Low-Volume PM10cSampler. The low- tire filter collection area. The minimum al- volume PM10c sampler shall be used for PM10 lowable beam size is 10 mm. sample collection and operated in accord- 3.2 Spectral Interferences and Spectral Over- ance with the performance specifications de- lap. Spectral interference occurs when the scribed in part 50, appendix L. entirety of the analyte spectral lines of two 6.1.2 PTFE Filters and Filter Acceptance species are nearly 100% overlapped. The pres- Testing. The PTFE filters used for PM10c sam- ence of arsenic (As) is a problematic inter- ple collection shall meet the specifications ference for EDXRF systems which use the Pb provided in part 50, appendix L. The fol- Lα line exclusively to quantify the Pb con- lowing requirements are similar to those

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currently specified for the acceptance of preparation of thin film standards is dis- PM2.5 filters that are tested for trace ele- cussed in reference 8, and 10. The NIST SRM ments by EDXRF. For large filter lots 2783 (Air Particulate on Filter Media) is cur- (greater than 500 filters) randomly select 20 rently available on polycarbonate filters and filters from a given lot. For small lots (less contains a certified concentration for Pb. than 500 filters) a lesser number of filters Thin film standards at 15 and 50 μg/cm2 are may be taken. Analyze each blank filter sep- commercially available from MicroMatter arately and calculate the average lead con- Inc. (Arlington, WA). centration in ng/cm2. Ninety percent, or 18 of 6.2.3 Filter Preparation. Filters used for the 20 filters, must have an average lead con- sample collection are 46.2-mm PTFE filters centration that is less than 4.8 ng Pb/cm2. with a pore size of 2 microns and filter de- 6.1.2.1 Filter Blanks. Field blank filters posit area 11.86 cm2. Cold storage is not a re- shall be collected along with routine sam- quirement for filters analyzed for Pb; how- ples. Field blank filters will be collected that ever, if filters scheduled for XRF analysis are transported to the sampling site and were stored cold, they must be allowed to placed in the sampler for the duration of reach room temperature prior to analysis. sampling without sampling. Laboratory All filter samples received for analysis are blank filters from each filter lot used shall checked for any holes, tears, or a non-uni- be analyzed with each batch of routine sam- form deposit which would prevent quan- ple filters analyzed. Laboratory blank filters titative analysis. Samples with physical de- are used in background subtraction as dis- formities are not quantitatively analyzable. cussed below in Section 6.2.4. The filters are carefully removed with tweez- 6.2 Analysis. The four main categories of ers from the Petri dish and securely placed random and systematic error encountered in into the instrument-specific sampler holder X-ray fluorescence analysis include errors for analysis. Care must be taken to protect from sample collection, the X-ray source, the filters from contamination prior to analysis. counting process, and inter-element effects. Filters must be kept covered when not being These errors are addressed through the cali- analyzed. No other preparation of filter sam- bration process and mathematical correc- ples is required. tions in the instrument software. Spectral 6.2.4 Calibration. In general, calibration processing methods are well established and determines each element’s sensitivity, i.e., most commercial analyzers have software its response in x-ray counts/sec to each μg/ that can implement the most common ap- cm2 of a standard and an interference coeffi- proaches (references 9–11) to background sub- cient for each element that causes inter- traction, peak overlap correction, counting ference with another one (See section 3.2 and deadtime corrections. above). The sensitivity can be determined by 6.2.1 EDXRF Analysis Instrument. An en- a linear plot of count rate versus concentra- ergy-dispersive XRF system is used. Energy- tion (μg/cm2) in which the slope is the instru- dispersive XRF systems are available from a ment’s sensitivity for that element. A more number of commercial vendors. Examples in- precise way, which requires fewer standards, clude Thermo (www.thermo.com), Spectro is to fit sensitivity versus atomic number. (http://www.spectro.com), Xenemetrix (http:// Calibration is a complex task in the oper- www.xenemetrix.com) and PANalytical (http:// ation of an XRF system. Two major func- 1 www.panalytical.com). The analysis is per- tions accomplished by calibration are the formed at room temperature in either vacu- production of reference spectra which are um or in a helium atmosphere. The specific used for fitting and the determination of the details of the corrections and calibration al- elemental sensitivities. Included in the ref- gorithms are typically included in commer- erence spectra (referred to as ‘‘shapes’’) are cial analytical instrument software routines background-subtracted peak shapes of the for automated spectral acquisition and proc- elements to be analyzed (as well as inter- essing and vary by manufacturer. It is im- fering elements) and spectral backgrounds. portant for the analyst to understand the Pure element thin film standards are used correction procedures and algorithms of the for the element peak shapes and clean filter particular system used, to ensure that the blanks from the same lot as routine filter necessary corrections are applied. samples are used for the background. The 6.2.2 Thin film standards. Thin film stand- analysis of Pb in PM filter deposits is based ards are used for calibration because they on the assumption that the thickness of the most closely resemble the layer of particles deposit is small with respect to the char- on a filter. Thin films standards are typi- acteristic Pb X-ray transmission thickness. cally deposited on Nuclepore substrates. The Therefore, the concentration of Pb in a sample is determined by first calibrating the 1 These are examples of available systems spectrometer with thin film standards to de- and is not an all inclusive list. The mention termine the sensitivity factor for Pb and of commercial products does not imply en- then analyzing the unknown samples under dorsement by the U.S. Environmental Pro- identical excitation conditions as used to detection Agency. termine the calibration. Calibration shall be

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performed annually or when significant repairs or changes occur (e.g., a change in CA× = Pb fluorescers, X-ray tubes, or detector). Cali- M Pb bration establishes the elemental sensitivity VLC factors and the magnitude of interference or Where, overlap coefficients. See reference 7 for more detailed discussion of calibration and anal- MPb is the mass per unit volume for lead in μg/m3; ysis of shapes standards for background cor- C is the mass per unit area for lead in μg/ rection, coarse particle absorption correc- Pb cm2 as measured by XRF; tions, and spectral overlap. A is the filter deposit area in cm2; 6.2.4.1 Spectral Peak Fitting. The EPA uses VLC is the total volume of air sampled by the a library of pure element peak shapes (shape PM10c sampler in actual volume units standards) to extract the elemental back- measured at local conditions of tempera- ground-free peak areas from an unknown ture and pressure, as provided by the spectrum. It is also possible to fit spectra sampler in m3. using peak stripping or analytically defined 7.2 PM10 Pb Uncertainty Calculations. functions such as modified Gaussian func- The principal contributors to total uncer- tions. The EPA shape standards are gen- tainty of XRF values include: field sampling; erated from pure, mono-elemental thin film filter deposit area; XRF calibration; attenu- standards. The shape standards are acquired ation or loss of the x-ray signals due to the for sufficiently long times to provide a large other components of the particulate sample; number of counts in the peaks of interest. It and determination of the Pb X-ray emission is not necessary for the concentration of the peak area by curve fitting. See reference 12 standard to be known. A slight contaminant for a detailed discussion of how uncertainties in the region of interest in a shape standard are similarly calculated for the PM2.5 Chem- can have a significant and serious effect on ical Speciation program. the ability of the least squares fitting algo- The model for calculating total uncer- rithm to fit the shapes to the unknown spec- tainty is: 2 2 2 2 1/2 trum. It is these elemental peak shapes that δtot = (δf + δa + δc + δv ) are fitted to the peaks in an unknown sam- Where, ple during spectral processing by the ana- δf = fitting uncertainty (XRF-specific, from 2 lyzer. In addition to this library of elemental to 100 + %) shapes there is also a background shape spec- δa = attenuation uncertainty (XRF-specific, trum for the filter type used as discussed insignificant for Pb) below in section 6.2.4.2 of this section. δc = calibration uncertainty (combined lab 6.2.4.2 Background Measurement and Cor- uncertainty, assumed as 5%) rection. A background spectrum generated by δv = volume/deposition size uncertainty the filter itself must be subtracted from the (combined field uncertainty, assumed as X-ray spectrum prior to extracting peak 5%) areas. Background spectra must be obtained 8. References for each filter lot used for sample collection. 1. Inorganic Compendium Method IO–3.3; The background shape standards which are Determination of Metals in Ambient Partic- used for background fitting are created at ulate Matter Using X-Ray Fluorescence the time of calibration. If a new lot of filters (XRF) Spectroscopy; U.S. Environmental is used, new background spectra must be ob- Protection Agency, Cincinnati, OH 45268. tained. A minimum of 20 clean blank filters EPA/625/R–96/010a. June 1999. from each filter lot are kept in a sealed con- 2. Jenkins, R., Gould, R.W., and Gedcke, D. tainer and are used exclusively for back- Quantitative X-ray Spectrometry: Second ground measurement and correction. The Edition. Marcel Dekker, Inc., New York, NY. spectra acquired on individual blank filters 1995. 3. Jenkins, R. X-Ray Fluorescence Spec- are added together to produce a single spectrometry: Second Edition in Chemical Anal- trum for each of the secondary targets or ysis, a Series of Monographs on Analytical fluorescers used in the analysis of lead. Indi- Chemistry and Its Applications, Volume 152. vidual blank filter spectra which show atypi- Editor J.D.Winefordner; John Wiley & Sons, cal contamination are excluded from the Inc., New York, NY. 1999. summed spectra. The summed spectra are 4. Dzubay, T.G. X-ray Fluorescence Anal- fitted to the appropriate background during ysis of Environmental Samples, Ann Arbor spectral processing. Background correction Science Publishers Inc., 1977. is automatically included during spectral 5. Code of Federal Regulations (CFR) 40, processing of each sample. Part 136, Appendix B; Definition and Proce- 7. Calculation. dure for the Determination of the Method 7.1 PM10 Pb concentrations. The PM10 Pb Detection Limit—Revision 1.1. concentration in the atmosphere (μg/m3) is 6. Drane, E.A, Rickel, D.G., and Courtney, calculated using the following equation: W.J., ‘‘Computer Code for Analysis X-Ray

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Fluorescence Spectra of Airborne Particu- FRM based on appendix Q to this part or by late Matter,’’ in Advances in X-Ray Anal- an FEM designated in accordance with part ysis, J.R. Rhodes, Ed., Plenum Publishing 53 of this chapter. Surrogate Pb-TSP data Corporation, New York, NY, p. 23 (1980). (i.e., Pb-PM10 data), however, can only be 7. Analysis of Energy-Dispersive X-ray used to show that the Pb NAAQS were vio- Spectra of Ambient Aerosols with Shapes lated (i.e., not met); they can not be used to Optimization, Guidance Document; TR– demonstrate that the Pb NAAQS were met. WDE–06–02; prepared under contract EP–D– Pb-PM10 data used as surrogate Pb-TSP data 05–065 for the U.S. Environmental Protection shall be processed at face value; that is, Agency, National Exposure Research Labora- without any transformation or scaling. Data tory. March 2006. handling and computation procedures to be 8. Billiet, J., Dams, R., and Hoste, J. (1980) used in making comparisons between re- Multielement Thin Film Standards for XRF ported and/or surrogate Pb-TSP concentra- Analysis, X-Ray Spectrometry, 9(4): 206–211. tions and the level of the Pb NAAQS are 9. Bonner, N.A.; Bazan, F.; and Camp, D.C. specified in the following sections. (1973). Elemental analysis of air filter sam- (b) Whether to exclude, retain, or make ad- ples using x-ray fluorescence. Report No. justments to the data affected by excep- UCRL–51388. Prepared for U.S. Atomic En- tional events, including natural events, is ergy Commission, by Univ. of Calif., Law- determined by the requirements and process rence Livermore Laboratory, Livermore, CA. deadlines specified in §§ 50.1, 50.14, and 51.930 10. Dzubay, T.G.; Lamothe, P.J.; and of this chapter. Yoshuda, H. (1977). Polymer films as calibra- (c) The terms used in this appendix are de- tion standards for X-ray fluorescence anal- fined as follows: ysis. Adv. X-Ray Anal., 20:411. Annual monitoring network plan refers to 11. Giauque, R.D.; Garrett, R.B.; and Goda, the plan required by section 58.10 of this L.Y. (1977). Calibration of energy-dispersive chapter. X-ray spectrometers for analysis of thin environmental samples. In X-Ray Fluorescence Creditable samples are samples that are Analysis of Environmental Samples, T.G. given credit for data completeness. They in- Dzubay, Ed., Ann Arbor Science Publishers, clude valid samples collected on required Ann Arbor, MI, pp. 153–181. sampling days and valid ‘‘make-up’’ samples 12. Harmonization of Interlaboratory X-ray taken for missed or invalidated samples on Fluorescence Measurement Uncertainties, required sampling days. Detailed Discussion Paper; August 4, 2006; Daily values for Pb refer to the 24-hour prepared for the Office of Air Quality Plan- mean concentrations of Pb (Pb-TSP or Pb- ning and Standards under EPA contract 68– PM10), measured from midnight to midnight D–03–038. http://www.epa.gov/ttn/amtic/files/am- (local standard time), that are used in bient/pm25/spec/xrfdet.pdf. NAAQS computations. Design value is the site-level metric (i.e., [73 FR 67052, Nov. 12, 2008] statistic) that is compared to the NAAQS level to determine compliance; the design APPENDIX R TO PART 50—INTERPRETA- value for the Pb NAAQS is selected accord- TION OF THE NATIONAL AMBIENT AIR ing to the procedures in this appendix from QUALITY STANDARDS FOR LEAD among the valid three-month Pb-TSP and surrogate Pb-TSP (Pb-PM10) arithmetic 1. General. mean concentration for the 38-month period (a) This appendix explains the data han- consisting of the most recent 3-year calendar dling conventions and computations nec- period plus two previous months (i.e., 36 3- essary for determining when the primary and month periods) using the last month of each secondary national ambient air quality 3-month period as the period of report. standards (NAAQS) for lead (Pb) specified in Extra samples are non-creditable samples. § 50.16 are met. The NAAQS indicator for Pb They are daily values that do not occur on is defined as: lead and its compounds, meas- scheduled sampling days and that can not be ured as elemental lead in total suspended used as ‘‘make-up samples’’ for missed or in- particulate (Pb-TSP), sampled and analyzed validated scheduled samples. Extra samples by a Federal reference method (FRM) based are used in mean calculations. For purposes on appendix G to this part or by a Federal of determining whether a sample must be equivalent method (FEM) designated in ac- treated as a make-up sample or an extra cordance with part 53 of this chapter. Al- sample, Pb-TSP and Pb-PM10 data collected though Pb-TSP is the lead NAAQS indicator, before January 1, 2009 will be treated with an surrogate Pb-TSP concentrations shall also assumed scheduled sampling frequency of be used for NAAQS comparisons; specifi- every sixth day. cally, valid surrogate Pb-TSP data are con- Make-up samples are samples taken to re- centration data for lead and its compounds, place missed or invalidated required sched- measured as elemental lead, in particles uled samples. Make-ups can be made by ei- with an aerodynamic size of 10 microns or ther the primary or collocated (same size less (Pb-PM10), sampled and analyzed by an fraction) instruments; to be considered a 155

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valid make-up, the sampling must be con- (a) As stipulated in section 2.10 of Appen- ducted with equipment and procedures that dix C to 40 CFR part 58, at some mandatory meet the requirements for scheduled sam- Pb monitoring locations, monitoring agen- pling. Make-up samples are either taken be- cies are required to sample for Pb as Pb-TSP, fore the next required sampling day or ex- and at other mandatory Pb monitoring sites, actly one week after the missed (or voided) monitoring agencies are permitted to mon- sampling day. Make-up samples can not span itor for Pb-PM10 in lieu of Pb-TSP. In either years; that is, if a scheduled sample for De- situation, valid collocated Pb data for the cember is missed (or voided), it can not be other parameter may be produced. Addition- made up in January. Make-up samples, how- ally, there may be non-required monitoring ever, may span months, for example a missed locations that also produce valid Pb-TSP sample on January 31 may be made up on and/or valid Pb-PM10 data. Pb-TSP data and February 1, 2, 3, 4, 5, or 7 (with an assumed Pb-PM10 data are always processed sepa- sampling frequency of every sixth day). Sec- rately when computing monthly and 3- tion 3(e) explains how such month-spanning month parameter means; monthly and 3- make-up samples are to be treated for pur- month parameter means are validated ac- poses of data completeness and mean cal- cording to the criteria stated in section 4 of culations. Only two make-up samples are this appendix. Three-month ‘‘site’’ means, permitted each calendar month; these are which are the final valid 3-month mean from counted according to the month in which the which a design value is identified, are deter- miss and not the makeup occurred. For pur- mined from the one or two available valid 3- poses of determining whether a sample must month parameter means according to the be treated as a make-up sample or an extra following prioritization which applies to all sample, Pb-TSP and Pb-PM10 data collected Pb monitoring locations. before January 1, 2009 will be treated with an (i) Whenever a valid 3-month Pb-PM10 assumed scheduled sampling frequency of mean shows a violation and either is greater every sixth day. than a corresponding (collocated) 3-month Monthly mean refers to an arithmetic Pb-TSP mean or there is no corresponding mean, calculated as specified in section 6(a) valid 3-month Pb-TSP mean present, then of this appendix. Monthly means are com- that 3-month Pb-PM10 mean will be the site- puted at each monitoring site separately for level mean for that (site’s) 3-month period. Pb-TSP and Pb-PM10 (i.e., by site-parameter- (ii) Otherwise (i.e., there is no valid vio- year-month). lating 3-month Pb-PM10 that exceeds a cor- Parameter refers either to Pb-TSP or to Pb- responding 3-month Pb-TSP mean), PM10. (A) If a valid 3-month Pb-TSP mean exists, Pollutant Occurrence Code (POC) refers to a then it will be the site-level mean for that numerical code (1, 2, 3, etc.) used to distin- (site’s) 3-month period, or guish the data from two or more monitors (B) If a valid 3-month Pb-TSP mean does for the same parameter at a single moni- not exist, then there is no valid 3-month site toring site. mean for that period (even if a valid non-vio- Scheduled sampling day means a day on lating 3-month Pb-PM10 mean exists). which sampling is scheduled based on the re- (b) As noted in section 1(a) of this appen- quired sampling frequency for the moni- dix, FRM/FEM Pb-PM10 data will be proc- toring site, as provided in section 58.12 of essed at face value (i.e., at reported con- this chapter. centrations) without adjustment when com- Three-month means are arithmetic averages puting means and making NAAQS compari- of three consecutive monthly means. Three- sons. month means are computed on a rolling, 3. Requirements for Data Used for Compari- overlapping basis. Each distinct monthly sons With the Pb NAAQS and Data Reporting mean will be included in three different 3- Considerations. month means; for example, in a given year, (a) All valid FRM/FEM Pb-TSP data and a November mean would be included in: (1) all valid FRM/FEM Pb-PM10 data submitted The September-October-November 3-month to EPA’s Air Quality System (AQS), or oth- mean, (2) the October-November-December 3- erwise available to EPA, meeting the re- month mean, and (3) the November-Decem- quirements of part 58 of this chapter includ- ber-January(of the following year) 3-month ing appendices A, C, and E shall be used in mean. Three-month means are computed design value calculations. Pb-TSP and Pb- separately for each parameter per section PM10 data representing sample collection pe- 6(a) (and are referred to as 3-month param- riods prior to January 1, 2009 (i.e., ‘‘pre-rule’’ eter means) and are validated according to data) will also be considered valid for the criteria specified in section 4(c). The pa- NAAQS comparisons and related attainment/ rameter-specific 3-month means are then nonattainment determinations if the sam- prioritized according to section 2(a) to deter- pling and analysis methods that were uti- mine a single 3-month site mean. lized to collect that data were consistent Year refers to a calendar year. with previous or newly designated FRMs or 2. Use of Pb-PM10 Data as Surrogate Pb-TSP FEMs and with either the provisions of part Data. 58 of this chapter including appendices A, C,

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and E that were in effect at the time of origi- filters for a month of sampling that are ana- nal sampling or that are in effect at the time lyzed together), the composite concentration of the attainment/nonattainment determina- will be used as the site-parameter monthly tion, and if such data are submitted to AQS mean concentration if there are no valid prior to September 1, 2009. daily Pb-TSP data reported for that month (b) Pb-TSP and Pb-PM10 measurement data with a lower POC. are reported to AQS in units of micrograms (ii) Data for the primary monitor for each per cubic meter (μg/m3) at local conditions parameter shall be augmented as much as (local temperature and pressure, LC) to three possible with data from collocated (same pa- decimal places; any additional digits to the rameter) FRM/FEM monitors. If a valid 24- right of the third decimal place are trun- hour measurement is not produced from the cated. Pre-rule Pb-TSP and Pb-PM10 con- primary monitor for a particular day (sched- centration data that were reported in stand- uled or otherwise), but a valid sample is gen- ard conditions (standard temperature and erated by a collocated (same parameter) standard pressure, STP) will not require a FRM/FEM instrument, then that collocated conversion to local conditions but rather, value shall be considered part of the site-pa- after truncating to three decimal places and rameter data record (i.e., that site-param- processing as stated in this appendix, shall eter’s monthly set of daily values). If more be compared ‘‘as is’’ to the NAAQS (i.e., the than one valid collocated FRM/FEM value is LC to STP conversion factor will be assumed available, the mean of those valid collocated to be one). However, if the monitoring agen- values shall be used as the daily value. Note cy has retroactively resubmitted Pb-TSP or that this step will not be necessary for pre- Pb-PM10 pre-rule data converted from STP to rule data given the daily identification pre- LC based on suitable meteorological data, sumption for the primary monitor. only the LC data will be used. (e) All daily values in the composite site- (c) At each monitoring location (site), Pb- parameter record are used in monthly mean TSP and Pb-PM10 data are to be processed separately when selecting daily data by day calculations. However, not all daily values (as specified in section 3(d) of this appendix), are given credit towards data completeness when aggregating daily data by month (per requirements. Only ‘‘creditable’’ samples are section 6(a)), and when forming 3-month given credit for data completeness. Cred- means (per section 6(b)). However, when de- itable samples include valid samples on riving (i.e., identifying) the design value for scheduled sampling days and valid make-up the 38-month period, 3-month means for the samples. All other types of daily values are two data types may be considered together; referred to as ‘‘extra’’ samples. Make-up see sections 2(a) and 4(e) of this appendix for samples taken in the (first week of the) details. month after the one in which the miss/void (d) Daily values for sites will be selected occurred will be credited for data capture in the month of the miss/void but will be infor a site on a size cut (Pb-TSP or Pb-PM10, i.e., ‘‘parameter’’) basis; Pb-TSP concentra- cluded in the month actually taken when computing monthly means. For example, if a tions and Pb-PM10 concentrations shall not be commingled in these determinations. Site make-up sample was taken in February to level, parameter-specific daily values will be replace a missed sample scheduled for Janu- selected as follows: ary, the make-up concentration would be in- (i) The starting dataset for a site-param- cluded in the February monthly mean but eter shall consist of the measured daily con- the sample credited in the January data cap- centrations recorded from the designated ture rate. primary FRM/FEM monitor for that param- 4. Comparisons With the Pb NAAQS. eter. The primary monitor for each param- (a) The Pb NAAQS is met at a monitoring eter shall be designated in the appropriate site when the identified design value is valid state or local agency annual Monitoring Net- and less than or equal to 0.15 micrograms per work Plan. If no primary monitor is des- cubic meter (μg/m3). A Pb design value that ignated, the Administrator will select which meets the NAAQS (i.e., 0.15 μg/m3 or less), is monitor to treat as primary. All daily values considered valid if it encompasses 36 con- produced by the primary sampler are consid- secutive valid 3-month site means (specifi- ered part of the site-parameter data record cally for a 3-year calendar period and the (i.e., that site-parameter’s set of daily val- two previous months). For sites that begin ues); this includes all creditable samples and monitoring Pb after this rule is effective but all extra samples. For pre-rule Pb-TSP and before January 15, 2010 (or January 15, 2011), Pb-PM10 data, valid data records present in a 2010–2012 (or 2011–2013) Pb design value that AQS for the monitor with the lowest occur- meets the NAAQS will be considered valid if ring Pollutant Occurrence Code (POC), as se- it encompasses at least 34 consecutive valid lected on a site-parameter-daily basis, will 3-month means (specifically encompassing constitute the site-parameter data record. only the 3-year calendar period). See 4(c) of Where pre-rule Pb-TSP data (or subsequent this appendix for the description of a valid 3- non-required Pb-TSP or Pb-PM10 data) are month mean and section 6(d) for the defini- reported in ‘‘composite’’ form (i.e., multiple tion of the design value.

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(b) The Pb NAAQS is violated at a moni- original mean (the one with less than 75% toring site when the identified design value data capture) reflects the true over/under is valid and is greater than 0.15 μg/m3, no NAAQS-level status for that 3-month period; matter whether determined from Pb-TSP or the result of one of these data substitution Pb-PM10 data. A Pb design value greater tests (i.e., a ‘‘test mean’’, as defined in sec- than 0.15 μg/m3 is valid no matter how many tion 4(c)(ii)(A) or 4(c)(ii)(B)) is not considered valid 3-month means in the 3-year period it the actual 3-month parameter mean and encompasses; that is, a violating design shall not be used in the determination of de- value is valid even if it (i.e., the highest 3- sign values. For both types of data substi- month mean) is the only valid 3-month mean tution, substitution is permitted only if in the 3-year timeframe. Further, a site does there are available data points from which to not have to monitor for three full calendar identify the high or low 3-year month-spe- years in order to have a valid violating de- cific values, specifically if there are at least sign value; a site could monitor just three 10 data points total from at least two of the months and still produce a valid (violating) three (or four for November and December) design value. possible year-months. Data substitution may (c)(i) A 3-month parameter mean is consid- only use data of the same parameter type. ered valid (i.e., meets data completeness re- (A) The ‘‘above NAAQS level’’ test is as quirements) if the average of the data cap- follows: Data substitution will be done in ture rate of the three constituent monthly each month of the 3-month period that has means (i.e., the 3-month data capture rate) is less than 75 percent data capture; monthly greater than or equal to 75 percent. Monthly capture rates are temporarily rounded to in- data capture rates (expressed as a percent- tegers (zero decimals) for this evaluation. If age) are specifically calculated as the num- by substituting the lowest reported daily ber of creditable samples for the month (in- value for that month (year non-specific; e.g., cluding any make-up samples taken the sub- for January) over the 38-month design value sequent month for missed samples in the period in question for missing scheduled data month in question, and excluding any make- in the deficient months (substituting only up samples taken in the month in question enough to meet the 75 percent data capture for missed samples in the previous month) minimum), the computation yields a recal- divided by the number of scheduled samples culated test 3-month parameter mean con- for the month, the result then multiplied by centration above the level of the standard, 100 but not rounded. The 3-month data cap- then the 3-month period is deemed to have ture rate is the sum of the three cor- passed the diagnostic test and the level of responding unrounded monthly data capture the standard is deemed to have been exceed- rates divided by three and the result rounded ed in that 3-month period. As noted in sec- to the nearest integer (zero decimal places). tion 4(c)(ii), in such a case, the 3-month pa- As noted in section 3(c), Pb-TSP and Pb-PM10 rameter mean of the data actually reported, daily values are processed separately when not the recalculated (‘‘test’’) result including calculating monthly means and data capture the low values, shall be used to determine rates; a Pb-TSP value cannot be used as a the design value. make-up for a missing Pb-PM10 value or vice (B) The ‘‘below NAAQS level’’ test is as fol- versa. For purposes of assessing data cap- lows: Data substitution will be performed for ture, Pb-TSP and Pb-PM10 data collected be- each month of the 3-month period that has fore January 1, 2009 will be treated with an less than 75 percent but at least 50 percent assumed scheduled sampling frequency of data capture; if any month has less than 50% every sixth day. data capture then the 3-month mean can not (ii) A 3-month parameter mean that does utilize this substitution test. Also, incom- not have at least 75 percent data capture and plete 3-month Pb-PM10 means can not utilize thus is not considered valid under 4(c)(i) this test. A 3-month Pb-TSP mean with less shall be considered valid (and complete) if it than 75% data capture shall still be consid- passes either of the two following ‘‘data sub- ered valid (and complete) if, by substituting stitution’’ tests, one such test for validating the highest reported daily value, month-spe- an above NAAQS-level (i.e., violating) 3- cific, over the 3-year design value period in month Pb-TSP or Pb-PM10 mean (using ac- question, for all missing scheduled data in tual ‘‘low’’ reported values from the same the deficient months (i.e., bringing the data site at about the same time of the year (i.e., capture rate up to 100%), the computation in the same month) looking across three or yields a recalculated 3-month parameter four years), and the second test for vali- mean concentration equal or less than the dating a below-NAAQS level 3-month Pb- level of the standard (0.15 μg/m3), then the 3- TSP mean (using actual ‘‘high’’ values re- month mean is deemed to have passed the di- ported for the same site at about the same agnostic test and the level of the standard is time of the year (i.e., in the same month) deemed not to have been exceeded in that 3- looking across three or four years). Note month period (for that parameter). As noted that both tests are merely diagnostic in na- in section 4(c)(ii), in such a case, the 3-month ture intending to confirm that there is a parameter mean of the data actually re- very high likelihood if not certainty that the ported, not the recalculated (‘‘test’’) result

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including the high values, shall be used to determine the design value. Equation 1 (d) Months that do not meet the completeness criteria stated in 4(c)(i) or 4(c)(ii), and 1 nm design values that do not meet the complete- = X m,y,s ∑ X i,m,y,s ness criteria stated in 4(a) or 4(b), may also nm i=1 be considered valid (and complete) with the approval of, or at the initiative of, the Ad- Where: ministrator, who may consider factors such Xm,y,s = the mean for month m of the year y as monitoring site closures/moves, moni- for sites; and

toring diligence, the consistency and levels nm = the number of daily values in the month of the valid concentration measurements (creditable plus extra samples); and th that are available, and nearby concentra- Xi,m,y,s = the i value in month m for year y tions in determining whether to use such for site s. data. (a)(ii) The Administrator may at his dis- (e) The site-level design value for a 38- cretion use the following alternate approach month period (three calendar years plus two to calculating the monthly mean concentra- previous months) is identified from the tion if the number of extra sampling days available (between one and 36) valid 3-month during a month is greater than the number site means. In a situation where there are of successfully completed scheduled and valid 3-month means for both parameters make-up sample days in that month. In exer- (Pb-TSP and Pb-PM 10), the mean originating cising his discretion, the Administrator will from the reported Pb-TSP data will be the consider whether the approach specified in one deemed the site-level monthly mean and 6(a)(i) might in the Administrator’s judg- used in design value identifications unless ment result in an unrepresentative value for the Pb-PM10 mean shows a violation of the the monthly mean concentration. This provi- NAAQS and exceeds the Pb-TSP mean; see sion is to protect the integrity of the month- section 2(a) for details. A monitoring site ly and 3-month mean concentration values in will have only one site-level 3-month mean situations in which, by intention or other- per 3-month period; however, the set of site- wise, extra sampling days are concentrated level 3-month means considered for design in a period during which ambient concentra- value identification (i.e., one to 36 site-level tions are particularly high or low. The alter- 3-month means) can be a combination of Pb- nate approach is to average all extra and TSP and Pb-PM10 data. make-up samples (in the given month) taken (f) The procedures for calculating monthly after each scheduled sampling day (‘‘Day X’’) means and 3-month means, and identifying and before the next scheduled sampling day Pb design values are given in section 6 of (e.g., ‘‘Day X + 6’’, in the case of one-in-six this appendix. sampling) with the sample taken on Day X 5. Rounding Conventions. (assuming valid data was obtained on the (a) Monthly means and monthly data cap- scheduled sampling day), and then averaging ture rates are not rounded. these averages to calculate the monthly (b) Three-month means shall be rounded to mean. This approach has the effect of giving the nearest hundredth μg/m3 (0.xx). Decimals approximately equal weight to periods dur- 0.xx5 and greater are rounded up, and any ing a month that have equal number of days, decimal lower than 0.xx5 is rounded down. regardless of how many samples were actu- E.g., a 3-month mean of 0.104925 rounds to ally obtained during the periods, thus miti- 0.10 and a 3-month mean of .10500 rounds to gating the potential for the monthly mean 0.11. Three-month data capture rates, ex- to be distorted. The first day of scheduled pressed as a percent, are round to zero dec- sampling typically will not fall on the first imal places. day of the calendar month, and there may be (c) Because a Pb design value is simply a make-up and/or extra samples (in that same (highest) 3-month mean and because the calendar month) preceding the first sched- NAAQS level is stated to two decimal places, uled day of the month. These samples will no additional rounding beyond what is speci- not be shifted into the previous month’s fied for 3-month means is required before a mean concentration, but rather will stay as- design value is compared to the NAAQS. sociated with their actual calendar month as 6. Procedures and Equations for the Pb follows. Any extra and make-up samples NAAQS. taken in a month before the first scheduled (a)(i) A monthly mean value for Pb-TSP sampling day of the month will be associated (or Pb-PM10) is determined by averaging the with and averaged with the last scheduled daily values of a calendar month using equa- sampling day of that same month. tion 1 of this appendix, unless the Adminis- (b) Three-month parameter means are de- trator chooses to exercise his discretion to termined by averaging three consecutive use the alternate approach described in monthly means of the same parameter using 6(a)(ii). Equation 2 of this appendix.

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Daily maximum 1-hour values for NO2 refers Equation 2 to the maximum 1-hour NO2 concentration values measured from midnight to midnight 1 nm (local standard time) that are used in = NAAQS computations. X m,m,ms; ∑ X m,y:z,s 123 Design values are the metrics (i.e., statis- nm i=1 tics) that are compared to the NAAQS levels Where: to determine compliance, calculated as spec- ¯ Xm1, m2, m3; s = the 3-month parameter mean ified in section 5 of this appendix. The design for months m1, m2, and m3 for site s; and values for the primary NAAQS are: nm = the number of monthly means available (1) The annual mean value for a moni- to be averaged (typically 3, sometimes 1 toring site for one year (referred to as the or 2 if one or two months have no valid ‘‘annual primary standard design value’’). daily values); and (2) The 3-year average of annual 98th per- Xm, y: z, s = The mean for month m of the year centile daily maximum 1-hour values for a y (or z) for site s. monitoring site (referred to as the ‘‘1-hour (c) Three-month site means are determined primary standard design value’’). from available 3-month parameter means ac- 98th percentile daily maximum 1-hour value is cording to the hierarchy established in 2(a) the value below which nominally 98 percent of this appendix. of all daily maximum 1-hour concentration (d) The site-level Pb design value is the values fall, using the ranking and selection highest valid 3-month site-level mean over method specified in section 5.2 of this appen- the most recent 38-month period (i.e., the dix. most recent 3-year calendar period plus two Quarter refers to a calendar quarter. previous months). Section 4(a) of this appen- Year refers to a calendar year. dix explains when the identified design value is itself considered valid for purposes of de- 2. REQUIREMENTS FOR DATA USED FOR COM- termining that the NAAQS is met or vio- PARISONS WITH THE NO2 NAAQS AND DATA lated at a site. REPORTING CONSIDERATIONS [73 FR 67054, Nov. 12, 2008] (a) All valid FRM/FEM NO2 hourly data required to be submitted to EPA’s Air Quality APPENDIX S TO PART 50—INTERPRETA- System (AQS), or otherwise available to EPA, meeting the requirements of part 58 of TION OF THE PRIMARY NATIONAL AM- this chapter including appendices A, C, and E BIENT AIR QUALITY STANDARDS FOR shall be used in design value calculations. OXIDES OF NITROGEN (NITROGEN DI- Multi-hour average concentration values col- OXIDE) lected by wet chemistry methods shall not be used. 1. GENERAL (b) When two or more NO2 monitors are op- (a) This appendix explains the data han- erated at a site, the State may in advance dling conventions and computations nec- designate one of them as the primary mon- essary for determining when the primary na- itor. If the State has not made this designa- tional ambient air quality standards for ox- tion, the Administrator will make the des- ides of nitrogen as measured by nitrogen di- ignation, either in advance or retrospec- oxide (‘‘NO2 NAAQS’’) specified in 50.11 are tively. Design values will be developed using met. Nitrogen dioxide (NO2) is measured in only the data from the primary monitor, if the ambient air by a Federal reference meth- this results in a valid design value. If data od (FRM) based on appendix F to this part or from the primary monitor do not allow the by a Federal equivalent method (FEM) des- development of a valid design value, data ignated in accordance with part 53 of this solely from the other monitor(s) will be used chapter. Data handling and computation pro- in turn to develop a valid design value, if cedures to be used in making comparisons this results in a valid design value. If there between reported NO2 concentrations and the are three or more monitors, the order for levels of the NO2 NAAQS are specified in the such comparison of the other monitors will following sections. be determined by the Administrator. The Ad- (b) Whether to exclude, retain, or make administrator may combine data from dif- justments to the data affected by excep- ferent monitors in different years for the tional events, including natural events, is purpose of developing a valid 1-hour primary determined by the requirements and process standard design value, if a valid design value deadlines specified in 50.1, 50.14 and 51.930 of cannot be developed solely with the data this chapter. from a single monitor. However, data from (c) The terms used in this appendix are de- two or more monitors in the same year at fined as follows: the same site will not be combined in an at- Annual mean refers to the annual average tempt to meet data completeness require- of all of the 1-hour concentration values as ments, except if one monitor has physically defined in section 5.1 of this appendix. replaced another instrument permanently, in

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which case the two instruments will be con- procedures specified in section 5.2 is above sidered to be the same monitor, or if the the level of the primary 1-hour standard. State has switched the designation of the (ii)(A) A 1-hour primary standard design primary monitor from one instrument to an- value that is below the level of the NAAQS other during the year. can be validated if the substitution test in (c) Hourly NO2 measurement data shall be section 3.2(c)(ii)(B) results in a ‘‘test design reported to AQS in units of parts per billion value’’ that is below the level of the NAAQS. (ppb), to at most one place after the decimal, The test substitutes actual ‘‘high’’ reported with additional digits to the right being daily maximum 1-hour values from the same truncated with no further rounding. site at about the same time of the year (specifically, in the same calendar quarter) for 3. COMPARISONS WITH THE NO2 NAAQS unknown values that were not successfully measured. Note that the test is merely diag- 3.1 The Annual Primary NO NAAQS 2 nostic in nature, intended to confirm that (a) The annual primary NO2 NAAQS is met there is a very high likelihood that the origi- at a site when the valid annual primary nal design value (the one with less than 75 standard design value is less than or equal to percent data capture of hours by day and of 53 parts per billion (ppb). days by quarter) reflects the true under- (b) An annual primary standard design NAAQS-level status for that 3-year period; value is valid when at least 75 percent of the the result of this data substitution test (the hours in the year are reported. ‘‘test design value’’, as defined in section (c) An annual primary standard design 3.2(c)(ii)(B)) is not considered the actual de- value based on data that do not meet the sign value. For this test, substitution is per- completeness criteria stated in section 3.1(b) mitted only if there are at least 200 days may also be considered valid with the ap- across the three matching quarters of the proval of, or at the initiative of, the Admin- three years under consideration (which is istrator, who may consider factors such as about 75 percent of all possible daily values monitoring site closures/moves, monitoring in those three quarters) for which 75 percent diligence, the consistency and levels of the of the hours in the day, including State- valid concentration measurements that are flagged data affected by exceptional events available, and nearby concentrations in de- which have been approved for exclusion by termining whether to use such data. the Administrator, have reported concentra- (d) The procedures for calculating the an- tions. However, maximum 1-hour values nual primary standard design values are from days with less than 75 percent of the given in section 5.1 of this appendix. hours reported shall also be considered in identifying the high value to be used for sub- 3.2 The 1-hour Primary NO2 NAAQS stitution. (B) The substitution test is as follows: Data (a) The 1-hour primary NO2 NAAQS is met at a site when the valid 1-hour primary substitution will be performed in all quarter standard design value is less than or equal to periods that have less than 75 percent data 100 parts per billion (ppb). capture but at least 50 percent data capture, (b) An NO2 1-hour primary standard design including State-flagged data affected by ex- value is valid if it encompasses three con- ceptional events which have been approved secutive calendar years of complete data. A for exclusion by the Administrator; if any year meets data completeness requirements quarter has less than 50 percent data capture when all 4 quarters are complete. A quarter then this substitution test cannot be used. is complete when at least 75 percent of the Identify for each quarter (e.g., January– sampling days for each quarter have com- March) the highest reported daily maximum plete data. A sampling day has complete 1-hour value for that quarter, excluding data if 75 percent of the hourly concentra- State-flagged data affected by exceptional tion values, including State-flagged data af- events which have been approved for exclu- fected by exceptional events which have been sion by the Administrator, looking across approved for exclusion by the Administrator, those three months of all three years under are reported. consideration. All daily maximum 1-hour (c) In the case of one, two, or three years values from all days in the quarter period that do not meet the completeness require- shall be considered when identifying this ments of section 3.2(b) of this appendix and highest value, including days with less than thus would normally not be useable for the 75 percent data capture. If after substituting calculation of a valid 3-year 1-hour primary the highest non-excluded reported daily standard design value, the 3-year 1-hour pri- maximum 1-hour value for a quarter for as mary standard design value shall neverthe- much of the missing daily data in the match- less be considered valid if one of the fol- ing deficient quarter(s) as is needed to make lowing conditions is true. them 100 percent complete, the procedure in (i) At least 75 percent of the days in each section 5.2 yields a recalculated 3-year 1-hour quarter of each of three consecutive years standard ‘‘test design value’’ below the level have at least one reported hourly value, and of the standard, then the 1-hour primary the design value calculated according to the standard design value is deemed to have

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passed the diagnostic test and is valid, and not the ‘‘test design value’’, shall be used as the level of the standard is deemed to have the valid design value. been met in that 3-year period. As noted in (d) A 1-hour primary standard design value section 3.2(c)(i), in such a case, the 3-year de- based on data that do not meet the com- sign value based on the data actually re- pleteness criteria stated in 3.2(b) and also do ported, not the ‘‘test design value’’, shall be not satisfy section 3.2(c), may also be consid- used as the valid design value. ered valid with the approval of, or at the ini- (iii)(A) A 1-hour primary standard design tiative of, the Administrator, who may con- value that is above the level of the NAAQS sider factors such as monitoring site clo- can be validated if the substitution test in sures/moves, monitoring diligence, the con- section 3.2(c)(iii)(B) results in a ‘‘test design sistency and levels of the valid concentra- value’’ that is above the level of the NAAQS. tion measurements that are available, and The test substitutes actual ‘‘low’’ reported nearby concentrations in determining daily maximum 1-hour values from the same whether to use such data. site at about the same time of the year (spe- (e) The procedures for calculating the 1- cifically, in the same three months of the hour primary standard design values are calendar) for unknown values that were not given in section 5.2 of this appendix. successfully measured. Note that the test is merely diagnostic in nature, intended to con- 4. ROUNDING CONVENTIONS firm that there is a very high likelihood that the original design value (the one with less 4.1 Rounding Conventions for the Annual than 75 percent data capture of hours by day Primary NO2 NAAQS and of days by quarter) reflects the true (a) Hourly NO2 measurement data shall be above-NAAQS-level status for that 3-year pe- reported to AQS in units of parts per billion riod; the result of this data substitution test (ppb), to at most one place after the decimal, (the ‘‘test design value’’, as defined in sec- with additional digits to the right being tion 3.2(c)(iii)(B)) is not considered the ac- truncated with no further rounding. tual design value. For this test, substitution (b) The annual primary standard design is permitted only if there are a minimum value is calculated pursuant to section 5.1 number of available daily data points from and then rounded to the nearest whole num- which to identify the low quarter-specific ber or 1 ppb (decimals 0.5 and greater are daily maximum 1-hour values, specifically if rounded up to the nearest whole number, and there are at least 200 days across the three any decimal lower than 0.5 is rounded down matching quarters of the three years under to the nearest whole number). consideration (which is about 75 percent of all possible daily values in those three quar- 4.2 Rounding Conventions for the 1-hour ters) for which 75 percent of the hours in the Primary NO2 NAAQS day have reported concentrations. Only days with at least 75 percent of the hours reported (a) Hourly NO2 measurement data shall be shall be considered in identifying the low reported to AQS in units of parts per billion value to be used for substitution. (ppb), to at most one place after the decimal, (B) The substitution test is as follows: with additional digits to the right being Data substitution will be performed in all truncated with no further rounding. quarter periods that have less than 75 per- (b) Daily maximum 1-hour values are not cent data capture. Identify for each quarter rounded. (e.g., January-March) the lowest reported (c) The 1-hour primary standard design daily maximum 1-hour value for that quar- value is calculated pursuant to section 5.2 ter, looking across those three months of all and then rounded to the nearest whole num- three years under consideration. All daily ber or 1 ppb (decimals 0.5 and greater are maximum 1-hour values from all days with rounded up to the nearest whole number, and at least 75 percent capture in the quarter pe- any decimal lower than 0.5 is rounded down riod shall be considered when identifying to the nearest whole number). this lowest value. If after substituting the lowest reported daily maximum 1-hour value 5. CALCULATION PROCEDURES FOR THE for a quarter for as much of the missing PRIMARY NO2 NAAQS daily data in the matching deficient quar- 5.1 Procedures for the Annual Primary NO ter(s) as is needed to make them 75 percent 2 NAAQS complete, the procedure in section 5.2 yields a recalculated 3-year 1-hour standard ‘‘test (a) When the data for a site and year meet design value’’ above the level of the stand- the data completeness requirements in sec- ard, then the 1-hour primary standard design tion 3.1(b) of this appendix, or if the Admin- value is deemed to have passed the diag- istrator exercises the discretionary author- nostic test and is valid, and the level of the ity in section 3.1(c), the annual mean is sim- standard is deemed to have been exceeded in ply the arithmetic average of all of the re- that 3-year period. As noted in section ported 1-hour values. 3.2(c)(i), in such a case, the 3-year design (b) The annual primary standard design value based on the data actually reported, value for a site is the valid annual mean

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rounded according to the conventions in sec- Using the left column of Table 1, determine tion 4.1. the appropriate range (i.e., row) for the annual number of days with valid data for year 5.2 Calculation Procedures for the 1-hour y (cny) as determined from step (A). The cor- Primary NO2 NAAQS responding ‘‘n’’ value in the right column (a) Procedure for identifying annual 98th per- identifies the rank of the annual 98th percentile values. When the data for a particular centile value in the descending sorted list of site and year meet the data completeness re- daily site values for year y. Thus, P0.98, y = quirements in section 3.2(b), or if one of the the nth largest value. conditions of section 3.2(c) is met, or if the (b) The 1-hour primary standard design Administrator exercises the discretionary value for a site is mean of the three annual authority in section 3.2(d), identification of 98th percentile values, rounded according to annual 98th percentile value is accomplished the conventions in section 4. as follows. (i) The annual 98th percentile value for a TABLE 1 year is the higher of the two values resulting from the following two procedures. P0.98, y is the Annual number nth maximum (1) Procedure 1. of days with value of the (A) For the year, determine the number of valid data for year, where n days with at least 75 percent of the hourly year ‘‘y’’ (cny) is the listed values reported including State-flagged data number affected by exceptional events which have 1–50 1 been approved for exclusion by the Adminis- 51–100 2 trator. 101–150 3 (B) For the year, from only the days with 151–200 4 at least 75 percent of the hourly values re- 201–250 5 ported, select from each day the maximum 251–300 6 301–350 7 hourly value excluding State-flagged data af- 351–366 8 fected by exceptional events which have been approved for exclusion by the Administrator. (C) Sort all these daily maximum hourly [75 FR 6532, Feb. 9, 2010] values from a particular site and year by descending value. (For example: (x[1], x[2], x[3], APPENDIX T TO PART 50—INTERPRETA- * * *, x[n]). In this case, x[1] is the largest TION OF THE PRIMARY NATIONAL AM- number and x[n] is the smallest value.) The BIENT AIR QUALITY STANDARDS FOR 98th percentile is determined from this sort- OXIDES OF SULFUR (SULFUR DIOX- ed series of daily values which is ordered IDE) from the highest to the lowest number. Using the left column of Table 1, determine 1. GENERAL the appropriate range (i.e., row) for the annual number of days with valid data for year (a) This appendix explains the data handling conventions and computations nec- y (cny) as determined from step (A). The corresponding ‘‘n’’ value in the right column essary for determining when the primary na- identifies the rank of the annual 98th per- tional ambient air quality standards for Ox- centile value in the descending sorted list of ides of Sulfur as measured by Sulfur Dioxide (‘‘SO NAAQS’’) specified in § 50.17 are met at daily site values for year y. Thus, P0.98, y = 2 the nth largest value. an ambient air quality monitoring site. Sul- (2) Procedure 2. fur Dioxide (SO2) is measured in the ambient (A) For the year, determine the number of air by a Federal reference method (FRM) days with at least one hourly value reported based on appendix A or A–1 to this part or by including State-flagged data affected by ex- a Federal equivalent method (FEM) des- ceptional events which have been approved ignated in accordance with part 53 of this for exclusion by the Administrator. chapter. Data handling and computation pro- (B) For the year, from all the days with at cedures to be used in making comparisons least one hourly value reported, select from between reported SO2 concentrations and the each day the maximum hourly value exclud- levels of the SO2 NAAQS are specified in the ing State-flagged data affected by excep- following sections. tional events which have been approved for (b) Decisions to exclude, retain, or make exclusion by the Administrator. adjustments to the data affected by excep- (C) Sort all these daily maximum values tional events, including natural events, are from a particular site and year by descend- made according to the requirements and ing value. (For example: (x[1], x[2], x[3], process deadlines specified in §§ 50.1, 50.14 and * * *, x[n]). In this case, x[1] is the largest 51.930 of this chapter. number and x[n] is the smallest value.) The (c) The terms used in this appendix are de- 98th percentile is determined from this sort- fined as follows: ed series of daily values which is ordered Daily maximum 1-hour values for SO2 refers from the highest to the lowest number. to the maximum 1-hour SO2 concentration

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values measured from midnight to midnight rence Code and substituting the 1-hour data (local standard time) that are used in from a second physical monitor whenever a NAAQS computations. valid concentration value is not obtained Design values are the metrics (i.e., statis- from the primary monitor; if a monitoring tics) that are compared to the NAAQS levels agency substitutes data in this manner, each to determine compliance, calculated as spec- substituted value must be accompanied by ified in section 5 of this appendix. The design an AQS qualifier code indicating that substi- value for the primary 1-hour NAAQS is the 3- tution with a value from a second physical year average of annual 99th percentile daily monitor has taken place. maximum 1-hour values for a monitoring (c) Hourly SO2 measurement data shall be site (referred to as the ‘‘1-hour primary reported to AQS in units of parts per billion standard design value’’). (ppb), to at most one place after the decimal, 99th percentile daily maximum 1-hour value is with additional digits to the right being the value below which nominally 99 percent truncated with no further rounding. of all daily maximum 1-hour concentration values fall, using the ranking and selection 3. COMPARISONS WITH THE 1-HOUR PRIMARY method specified in section 5 of this appen- SO2 NAAQS dix. (a) The 1-hour primary SO2 NAAQS is met Pollutant Occurrence Code (POC) refers to a at an ambient air quality monitoring site numerical code (1, 2, 3, etc.) used to distin- when the valid 1-hour primary standard de- guish the data from two or more monitors sign value is less than or equal to 75 parts for the same parameter at a single moni- per billion (ppb). toring site. (b) An SO2 1-hour primary standard design Quarter refers to a calendar quarter. value is valid if it encompasses three con- Year refers to a calendar year. secutive calendar years of complete data. A year meets data completeness requirements 2. REQUIREMENTS FOR DATA USED FOR COM- when all 4 quarters are complete. A quarter PARISONS WITH THE SO NAAQS AND DATA 2 is complete when at least 75 percent of the REPORTING CONSIDERATIONS sampling days for each quarter have com- (a) All valid FRM/FEM SO2 hourly data re- plete data. A sampling day has complete quired to be submitted to EPA’s Air Quality data if 75 percent of the hourly concentra- System (AQS), or otherwise available to tion values, including State-flagged data af- EPA, meeting the requirements of part 58 of fected by exceptional events which have been this chapter including appendices A, C, and E approved for exclusion by the Administrator, shall be used in design value calculations. are reported. Multi-hour average concentration values col- (c) In the case of one, two, or three years lected by wet chemistry methods shall not that do not meet the completeness require- be used. ments of section 3(b) of this appendix and (b) Data from two or more monitors from thus would normally not be useable for the the same year at the same site reported to calculation of a valid 3-year 1-hour primary EPA under distinct Pollutant Occurrence standard design value, the 3-year 1-hour pri- Codes shall not be combined in an attempt to mary standard design value shall neverthe- meet data completeness requirements. The less be considered valid if one of the fol- Administrator will combine annual 99th per- lowing conditions is true. centile daily maximum concentration values (i) At least 75 percent of the days in each from different monitors in different years, quarter of each of three consecutive years selected as described here, for the purpose of have at least one reported hourly value, and developing a valid 1-hour primary standard the design value calculated according to the design value. If more than one of the mon- procedures specified in section 5 is above the itors meets the completeness requirement level of the primary 1-hour standard. for all four quarters of a year, the steps spec- (ii)(A) A 1-hour primary standard design ified in section 5(a) of this appendix shall be value that is equal to or below the level of applied to the data from the monitor with the NAAQS can be validated if the substi- the highest average of the four quarterly tution test in section 3(c)(ii)(B) results in a completeness values to derive a valid annual ‘‘test design value’’ that is below the level of 99th percentile daily maximum concentra- the NAAQS. The test substitutes actual tion. If no monitor is complete for all four ‘‘high’’ reported daily maximum 1-hour val- quarters in a year, the steps specified in sec- ues from the same site at about the same tion 3(c) and 5(a) of this appendix shall be ap- time of the year (specifically, in the same plied to the data from the monitor with the calendar quarter) for unknown values that highest average of the four quarterly com- were not successfully measured. Note that pleteness values in an attempt to derive a the test is merely diagnostic in nature, invalid annual 99th percentile daily maximum tended to confirm that there is a very high concentration. This paragraph does not pro- likelihood that the original design value (the hibit a monitoring agency from making a one with less than 75 percent data capture of local designation of one physical monitor as hours by day and of days by quarter) reflects the primary monitor for a Pollutant Occur- the true under-NAAQS-level status for that

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3-year period; the result of this data substi- the test is merely diagnostic in nature, in- tution test (the ‘‘test design value’’, as de- tended to confirm that there is a very high fined in section 3(c)(ii)(B)) is not considered likelihood that the original design value (the the actual design value. For this test, substi- one with less than 75 percent data capture of tution is permitted only if there are at least hours by day and of days by quarter) reflects 200 days across the three matching quarters the true above-NAAQS-level status for that of the three years under consideration 3-year period; the result of this data substi- (which is about 75 percent of all possible tution test (the ‘‘test design value’’, as de- daily values in those three quarters) for fined in section 3(c)(iii)(B)) is not considered which 75 percent of the hours in the day, in- the actual design value. For this test, substi- cluding State-flagged data affected by excep- tution is permitted only if there are a min- tional events which have been approved for imum number of available daily data points exclusion by the Administrator, have re- from which to identify the low quarter-spe- ported concentrations. However, maximum cific daily maximum 1-hour values, specifi- 1-hour values from days with less than 75 cally if there are at least 200 days across the percent of the hours reported shall also be three matching quarters of the three years considered in identifying the high value to under consideration (which is about 75 per- be used for substitution. cent of all possible daily values in those (B) The substitution test is as follows: three quarters) for which 75 percent of the Data substitution will be performed in all hours in the day have reported concentra- quarter periods that have less than 75 per- tions. Only days with at least 75 percent of cent data capture but at least 50 percent the hours reported shall be considered in data capture, including State-flagged data identifying the low value to be used for sub- affected by exceptional events which have stitution. been approved for exclusion by the Adminis- (B) The substitution test is as follows: trator; if any quarter has less than 50 per- Data substitution will be performed in all cent data capture then this substitution test quarter periods that have less than 75 per- cannot be used. Identify for each quarter cent data capture. Identify for each quarter (e.g., January–March) the highest reported (e.g., January–March) the lowest reported daily maximum 1-hour value for that quar- daily maximum 1-hour value for that quarter, excluding State-flagged data affected by ter, looking across those three months of all exceptional events which have been approved three years under consideration. All daily for exclusion by the Administrator, looking maximum 1-hour values from all days with across those three months of all three years at least 75 percent capture in the quarter pe- under consideration. All daily maximum 1- riod shall be considered when identifying hour values from all days in the quarter pe- this lowest value. If after substituting the riod shall be considered when identifying lowest reported daily maximum 1-hour value this highest value, including days with less for a quarter for as much of the missing than 75 percent data capture. If after sub- daily data in the matching deficient quar- stituting the highest reported daily max- ter(s) as is needed to make them 75 percent imum 1-hour value for a quarter for as much complete, the procedure in section 5 yields a of the missing daily data in the matching de- recalculated 3-year 1-hour standard ‘‘test deficient quarter(s) as is needed to make them sign value’’ above the level of the standard, 100 percent complete, the procedure in sec- then the 1-hour primary standard design tion 5 yields a recalculated 3-year 1-hour value is deemed to have passed the diag- standard ‘‘test design value’’ less than or nostic test and is valid, and the level of the equal to the level of the standard, then the standard is deemed to have been exceeded in 1-hour primary standard design value is that 3-year period. As noted in section 3(c)(i), deemed to have passed the diagnostic test in such a case, the 3-year design value based and is valid, and the level of the standard is on the data actually reported, not the ‘‘test deemed to have been met in that 3-year pe- design value’’, shall be used as the valid de- riod. As noted in section 3(c)(i), in such a sign value. case, the 3-year design value based on the (d) A 1-hour primary standard design value data actually reported, not the ‘‘test design based on data that do not meet the com- value’’, shall be used as the valid design pleteness criteria stated in 3(b) and also do value. not satisfy section 3(c), may also be consid- (iii)(A) A 1-hour primary standard design ered valid with the approval of, or at the ini- value that is above the level of the NAAQS tiative of, the Administrator, who may con- can be validated if the substitution test in sider factors such as monitoring site clo- section 3(c)(iii)(B) results in a ‘‘test design sures/moves, monitoring diligence, the con- value’’ that is above the level of the NAAQS. sistency and levels of the valid concentra- The test substitutes actual ‘‘low’’ reported tion measurements that are available, and daily maximum 1-hour values from the same nearby concentrations in determining site at about the same time of the year (spe- whether to use such data. cifically, in the same three months of the (e) The procedures for calculating the 1- calendar) for unknown hourly values that hour primary standard design values are were not successfully measured. Note that given in section 5 of this appendix.

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4. ROUNDING CONVENTIONS FOR THE 1-HOUR (A) For the year, determine the number of PRIMARY SO2 NAAQS days with at least one hourly value reported including State-flagged data affected by ex- (a) Hourly SO measurement data shall be 2 ceptional events which have been approved reported to AQS in units of parts per billion (ppb), to at most one place after the decimal, for exclusion by the Administrator. with additional digits to the right being (B) For the year, from all the days with at truncated with no further rounding. least one hourly value reported, select from (b) Daily maximum 1-hour values and each day the maximum hourly value exclud- therefore the annual 99th percentile of those ing State-flagged data affected by excep- daily values are not rounded. tional events which have been approved for (c) The 1-hour primary standard design exclusion by the Administrator. value is calculated pursuant to section 5 and (C) Sort all these daily maximum values then rounded to the nearest whole number or from a particular site and year by descend- 1 ppb (decimals 0.5 and greater are rounded ing value. (For example: (x[1], x[2], x[3], up to the nearest whole number, and any * * *, x[n]). In this case, x[1] is the largest decimal lower than 0.5 is rounded down to number and x[n] is the smallest value.) The the nearest whole number). 99th percentile is determined from this sorted series of daily values which is ordered 5. CALCULATION PROCEDURES FOR THE 1-HOUR from the highest to the lowest number. PRIMARY SO2 NAAQS Using the left column of Table 1, determine the appropriate range (i.e., row) for the an- (a) Procedure for identifying annual 99th per- nual number of days with valid data for year centile values. When the data for a particular y (cn ). The corresponding ‘‘n’’ value in the ambient air quality monitoring site and year y right column identifies the rank of the an- meet the data completeness requirements in nual 99th percentile value in the descending section 3(b), or if one of the conditions of sorted list of daily site values for year y. section 3(c) is met, or if the Administrator Thus, P0.99,y = the nth largest value. exercises the discretionary authority in sec- (b) The 1-hour primary standard design tion 3(d), identification of annual 99th per- value for an ambient air quality monitoring centile value is accomplished as follows. site is mean of the three annual 99th per- (i) The annual 99th percentile value for a centile values, rounded according to the con- year is the higher of the two values resulting ventions in section 4. from the following two procedures. (1) Procedure 1. For the year, determine the TABLE 1 number of days with at least 75 percent of the hourly values reported. P0.99,y is the nth (A) For the year, determine the number of Annual number of days with valid maximum value of the days with at least 75 percent of the hourly data for year ‘‘y’’ (cny) year, where n is the values reported including State-flagged data listed number affected by exceptional events which have 1–100 ...... 1 been approved for exclusion by the Adminis- 101–200 ...... 2 trator. 201–300 ...... 3 (B) For the year, from only the days with 301–366 ...... 4 at least 75 percent of the hourly values reported, select from each day the maximum [75 FR 35595, June 23, 2010] hourly value excluding State-flagged data affected by exceptional events which have been APPENDIX U TO PART 50—INTERPRETA- approved for exclusion by the Administrator. TION OF THE PRIMARY AND SEC- (C) Sort all these daily maximum hourly values from a particular site and year by de- ONDARY NATIONAL AMBIENT AIR scending value. (For example: (x[1], x[2], x[3], QUALITY STANDARDS FOR OZONE * * *, x[n]). In this case, x[1] is the largest 1. GENERAL number and x[n] is the smallest value.) The 99th percentile is determined from this sort- (a) This appendix explains the data han- ed series of daily values which is ordered dling conventions and computations nec- from the highest to the lowest number. essary for determining whether the primary Using the left column of Table 1, determine and secondary national ambient air quality the appropriate range (i.e., row) for the an- standards (NAAQS) for ozone (O3) specified in nual number of days with valid data for year § 50.19 are met at an ambient O3 air quality y (cny). The corresponding ‘‘n’’ value in the monitoring site. Data reporting, data han- right column identifies the rank of the andling, and computation procedures to be used nual 99th percentile value in the descending in making comparisons between reported O3 sorted list of daily site values for year y. concentrations and the levels of the O3 Thus, P0.99, y = the nth largest value. NAAQS are specified in the following sec- (2) Procedure 2. For the year, determine the tions. number of days with at least one hourly (b) Whether to exclude or retain the data value reported. affected by exceptional events is determined

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by the requirements under §§ 50.1, 50.14 and O3 concentration is not obtained from the 51.930. primary monitor. In the event that hourly O3 (c) The terms used in this appendix are de- concentration data are available for more fined as follows: than one secondary monitor, the hourly con- 8-hour average refers to the moving average centration values from the secondary mon- of eight consecutive hourly O3 concentra- itors shall be averaged and substituted into tions measured at a site, as explained in sec- the site data record. tion 3 of this appendix. (c) In certain circumstances, including but Annual fourth-highest daily maximum refers not limited to site closures or relocations, to the fourth highest value measured at a data from two nearby sites may be combined site during a year. into a single site data record for the purpose Collocated monitors refers to the instance of of calculating a valid design value. The ap- two or more O3 monitors operating at the propriate Regional Administrator may ap- same physical location. prove such combinations after taking into Daily maximum 8-hour average O3 concentra- consideration factors such as distance be- tion refers to the maximum calculated 8-hour tween sites, spatial and temporal patterns in average value measured at a site on a par- air quality, local emissions and meteorology, ticular day, as explained in section 3 of this jurisdictional boundaries, and terrain fea- appendix. tures. Design value refers to the metric (i.e., sta- ATA EPORTING AND ATA ANDLING tistic) that is used to compare ambient O3 3. D R D H concentration data measured at a site to the CONVENTIONS NAAQS in order to determine compliance, as (a) Hourly average O3 concentrations shall explained in section 4 of this appendix. be reported in parts per million (ppm) to the Minimum data completeness requirements third decimal place, with additional digits to refer to the amount of data that a site is re- the right of the third decimal place trun- quired to collect in order to make a valid de- cated. Each hour shall be identified using termination that the site is meeting the local standard time (LST). NAAQS. (b) Moving 8-hour averages shall be com- Monitor refers to a physical instrument puted from the hourly O3 concentration data used to measure ambient O3 concentrations. for each hour of the year and shall be stored O3 monitoring season refers to the span of in the first, or start, hour of the 8-hour pe- time within a year when individual states riod. An 8-hour average shall be considered are required to measure ambient O3 con- valid if at least 6 of the hourly concentra- centrations, as listed in Appendix D to part tions for the 8-hour period are available. In 58 of this chapter. the event that only 6 or 7 hourly concentra- Site refers to an ambient O3 air quality tions are available, the 8-hour average shall monitoring site. be computed on the basis of the hours avail- Site data record refers to the set of hourly able, using 6 or 7, respectively, as the divi- O3 concentration data collected at a site for sor. In addition, in the event that 5 or fewer use in comparisons with the NAAQS. hourly concentrations are available, the 8- Year refers to calendar year. hour average shall be considered valid if, after substituting zero for the missing hour- 2. SELECTION OF DATA FOR USE IN COMPARI- ly concentrations, the resulting 8-hour aver- SONS WITH THE PRIMARY AND SECONDARY age is greater than the level of the NAAQS, OZONE NAAQS or equivalently, if the sum of the available (a) All valid hourly O3 concentration data hourly concentrations is greater than 0.567 collected using a federal reference method ppm. The 8-hour averages shall be reported specified in Appendix D to this part, or an to three decimal places, with additional dig- equivalent method designated in accordance its to the right of the third decimal place with part 53 of this chapter, meeting all ap- truncated. Hourly O3 concentrations that plicable requirements in part 58 of this chap- have been approved under § 50.14 as having ter, and submitted to EPA’s Air Quality Sys- been affected by exceptional events shall be tem (AQS) database or otherwise available to counted as missing or unavailable in the cal- EPA, shall be used in design value calcula- culation of 8-hour averages. tions. (c) The daily maximum 8-hour average O3 (b) All design value calculations shall be concentration for a given day is the highest implemented on a site-level basis. If data are of the 17 consecutive 8-hour averages begin- reported to EPA from collocated monitors, ning with the 8-hour period from 7:00 a.m. to those data shall be combined into a single 3:00 p.m. and ending with the 8-hour period site data record as follows: from 11:00 p.m. to 7:00 a.m. the following day (i) The monitoring agency shall designate (i.e., the 8-hour averages for 7:00 a.m. to 11:00 one monitor as the primary monitor for the p.m.). Daily maximum 8-hour average O3 site. concentrations shall be determined for each (ii) Hourly O3 concentration data from a day with ambient O3 monitoring data, in- secondary monitor shall be substituted into cluding days outside the O3 monitoring sea- the site data record whenever a valid hourly son if those data are available.

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(d) A daily maximum 8-hour average O3 at an ambient air quality monitoring site concentration shall be considered valid if when the 3-year average of the annual valid 8-hour averages are available for at fourth-highest daily maximum 8-hour aver- least 13 of the 17 consecutive 8-hour periods age O3 concentration (i.e., the design value) starting from 7:00 a.m. to 11:00 p.m. In addi- is less than or equal to 0.070 ppm. tion, in the event that fewer than 13 valid 8- (b) A design value greater than the level of hour averages are available, a daily max- the NAAQS is always considered to be valid. imum 8-hour average O3 concentration shall A design value less than or equal to the level also be considered valid if it is greater than of the NAAQS must meet minimum data the level of the NAAQS. Hourly O3 con- completeness requirements in order to be centrations that have been approved under considered valid. These requirements are § 50.14 as having been affected by exceptional met for a 3-year period at a site if valid daily events shall be included when determining maximum 8-hour average O3 concentrations whether these criteria have been met. are available for at least 90% of the days (e) The primary and secondary O3 design within the O3 monitoring season, on average, value statistic is the annual fourth-highest for the 3-year period, with a minimum of at daily maximum 8-hour O3 concentration, least 75% of the days within the O3 moni- averaged over three years, expressed in ppm. toring season in any one year. The fourth-highest daily maximum 8-hour O3 (c) When computing whether the minimum concentration for each year shall be deter- data completeness requirements have been mined based only on days meeting the valid- met, meteorological or ambient data may be ity criteria in 3(d). The 3-year average shall sufficient to demonstrate that meteorolog- be computed using the three most recent, ical conditions on missing days were not consecutive years of ambient O3 monitoring conducive to concentrations above the level data. Design values shall be reported in ppm of the NAAQS. Missing days assumed less to three decimal places, with additional dig- than the level of the NAAQS are counted for its to the right of the third decimal place the purpose of meeting the minimum data truncated. completeness requirements, subject to the approval of the appropriate Regional Admin- 4. COMPARISONS WITH THE PRIMARY AND istrator. SECONDARY OZONE NAAQS (d) Comparisons with the primary and sec- (a) The primary and secondary national ondary O3 NAAQS are demonstrated by ex- ambient air quality standards for O3 are met amples 1 and 2 as follows:

EXAMPLE 1—SITE MEETING THE PRIMARY AND SECONDARY O3 NAAQS

Percent valid 1st highest 2nd highest 3rd highest 4th highest 5th highest days within O3 Year monitoring daily max daily max daily max daily max daily max season (Data 8-hour O3 8-hour O3 8-hour O3 8-hour O3 8-hour O3 completeness) (ppm) (ppm) (ppm) (ppm) (ppm)

2014 ...... 100 0.082 0.080 0.075 0.069 0.068 2015 ...... 96 0.074 0.073 0.065 0.062 0.060 2016 ...... 98 0.070 0.069 0.067 0.066 0.060 Average ...... 98 ...... 0.065

As shown in Example 1, this site meets the ments are also met (i.e., design value is con- primary and secondary O3 NAAQS because sidered valid) because the average percent of the 3-year average of the annual fourth-high- days within the O3 monitoring season with est daily maximum 8-hour average O3 con- valid ambient monitoring data is greater centrations (i.e., 0.065666 ppm, truncated to than 90%, and no single year has less than 0.065 ppm) is less than or equal to 0.070 ppm. 75% data completeness. The minimum data completeness require-

EXAMPLE 2—SITE FAILING TO MEET THE PRIMARY AND SECONDARY O3 O3 NAAQS

2014 ...... 96 0.085 0.080 0.079 0.074 0.072 2015 ...... 74 0.084 0.083 0.072 0.071 0.068 2016 ...... 98 0.083 0.081 0.081 0.075 0.074 Average ...... 89 ...... 0.073

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As shown in Example 2, this site fails to Subpart G—Control Strategy meet the primary and secondary O3 NAAQS because the 3-year average of the annual 51.110 Attainment and maintenance of na- fourth-highest daily maximum 8-hour aver- tional standards. age O3 concentrations (i.e., 0.073333 ppm, 51.111 Description of control measures. truncated to 0.073 ppm) is greater than 0.070 51.112 Demonstration of adequacy. ppm, even though the annual data complete- 51.113 [Reserved] ness is less than 75% in one year and the 3- 51.114 Emissions data and projections. year average data completeness is less than 51.115 Air quality data and projections. 90% (i.e., design value would not otherwise be 51.116 Data availability. considered valid). 51.117 Additional provisions for lead. [80 FR 65458, Oct. 26, 2015] 51.118 Stack height provisions. 51.119 Intermittent control systems. 51.120 Requirements for State Implementa- PART 51—REQUIREMENTS FOR tion Plan revisions relating to new PREPARATION, ADOPTION, AND motor vehicles. SUBMITTAL OF IMPLEMENTATION 51.121 Findings and requirements for sub- PLANS mission of State implementation plan revisions relating to emissions of nitrogen Subpart A—Air Emissions Reporting oxides. 51.122 Emissions reporting requirements for Requirements SIP revisions relating to budgets for NOX GENERAL INFORMATION FOR INVENTORY emissions. PREPARERS 51.123 Findings and requirements for submission of State implementation plan re- Sec. visions relating to emissions of oxides of 51.1 Who is responsible for actions described nitrogen pursuant to the Clean Air Inter- in this subpart? state Rule. 51.5 What tools are available to help pre- 51.124 Findings and requirements for sub- pare and report emissions data? mission of State implementation plan re- 51.10 [Reserved] visions relating to emissions of sulfur dioxide pursuant to the Clean Air Inter- SPECIFIC REPORTING REQUIREMENTS state Rule. 51.15 What data does my state need to re- 51.125 [Reserved] port to EPA? 51.126 Determination of widespread use of 51.20 What are the emission thresholds that ORVR and waiver of CAA section separate point and nonpoint sources? 182(b)(3) Stage II gasoline vapor recovery 51.25 What geographic area must my state’s requirements. inventory cover? 51.30 When does my state report which Subpart H—Prevention of Air Pollution emissions data to EPA? Emergency Episodes 51.35 How can my state equalize the emission inventory effort from year to year? 51.150 Classification of regions for episode 51.40 In what form and format should my plans. state report the data to EPA? 51.151 Significant harm levels. 51.45 Where should my state report the 51.152 Contingency plans. data? 51.153 Reevaluation of episode plans. 51.50 What definitions apply to this subpart? Subpart I—Review of New Sources and APPENDIX A TO SUBPART A OF PART 51—TA- Modifications BLES APPENDIX B TO SUBPART A OF PART 51 [RE- 51.160 Legally enforceable procedures. SERVED] 51.161 Public availability of information. 51.162 Identification of responsible agency. Subparts B–E [Reserved] 51.163 Administrative procedures. 51.164 Stack height procedures. Subpart F—Procedural Requirements 51.165 Permit requirements. 51.166 Prevention of significant deteriora- 51.100 Definitions. tion of air quality. 51.101 Stipulations. 51.102 Public hearings. Subpart J—Ambient Air Quality 51.103 Submission of plans, preliminary re- Surveillance view of plans. 51.104 Revisions. 51.190 Ambient air quality monitoring re- 51.105 Approval of plans. quirements.

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Subpart K—Source Surveillance 51.322 Sources subject to emissions reporting. 51.210 General. 51.323 Reportable emissions data and infor- 51.211 Emission reports and recordkeeping. mation. 51.212 Testing, inspection, enforcement, and 51.324 Progress in plan enforcement. complaints. 51.326 Reportable revisions. 51.213 Transportation control measures. 51.327 Enforcement orders and other State 51.214 Continuous emission monitoring. actions. 51.328 [Reserved] Subpart L—Legal Authority Subpart R—Extensions 51.230 Requirements for all plans. 51.231 Identification of legal authority. 51.341 Request for 18-month extension. 51.232 Assignment of legal authority to local agencies. Subpart S—Inspection/Maintenance Program Requirements Subpart M—Intergovernmental 51.350 Applicability. Consultation 51.351 Enhanced I/M performance standard. AGENCY DESIGNATION 51.352 Basic I/M performance standard. 51.353 Network type and program evalua- 51.240 General plan requirements. tion. 51.241 Nonattainment areas for carbon mon- 51.354 Adequate tools and resources. oxide and ozone. 51.355 Test frequency and convenience. 51.242 [Reserved] 51.356 Vehicle coverage. 51.357 Test procedures and standards. Subpart N—Compliance Schedules 51.358 Test equipment. 51.359 Quality control. 51.260 Legally enforceable compliance 51.360 Waivers and compliance via diag- schedules. nostic inspection. 51.261 Final compliance schedules. 51.361 Motorist compliance enforcement. 51.262 Extension beyond one year. 51.362 Motorist compliance enforcement program oversight. Subpart O—Miscellaneous Plan Content 51.363 Quality assurance. Requirements 51.364 Enforcement against contractors, stations and inspectors. 51.280 Resources. 51.365 Data collection. 51.281 Copies of rules and regulations. 51.366 Data analysis and reporting. 51.285 Public notification. 51.367 Inspector training and licensing or 51.286 Electronic reporting. certification. 51.368 Public information and consumer Subpart P—Protection of Visibility protection. 51.369 Improving repair effectiveness. 51.300 Purpose and applicability. 51.370 Compliance with recall notices. 51.301 Definitions. 51.371 On-road testing. 51.302 Reasonably attributable visibility 51.372 State Implementation Plan submis- impairment. sions. 51.303 Exemptions from control. 51.373 Implementation deadlines. 51.304 Identification of integral vistas. APPENDIX A TO SUBPART S OF PART 51—CALI- 51.305 Monitoring for reasonably attrib- BRATIONS, ADJUSTMENTS AND QUALITY utable visibility impairment. CONTROL 51.306 [Reserved] APPENDIX B TO SUBPART S OF PART 51—TEST 51.307 New source review. PROCEDURES 51.308 Regional haze program requirements. APPENDIX C TO SUBPART S OF PART 51— 51.309 Requirements related to the Grand STEADY-STATE SHORT TEST STANDARDS Canyon Visibility Transport Commis- APPENDIX D TO SUBPART S OF PART 51— sion. STEADY-STATE SHORT TEST EQUIPMENT APPENDIX E TO SUBPART S OF PART 51—TRAN- Subpart Q—Reports SIENT TEST DRIVING CYCLE AIR QUALITY DATA REPORTING Subpart T—Conformity to State or Federal 51.320 Annual air quality data report. Implementation Plans of Transportation Plans, Programs, and Projects Devel- SOURCE EMISSIONS AND STATE ACTION REPORTING oped, Funded or Approved Under Title 23 U.S.C. or the Federal Transit Laws 51.321 Annual source emissions and State action report. 51.390 Implementation plan revision.

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Subpart U—Economic Incentive Programs 51.914 What new source review requirements apply for 8-hour ozone nonattainment 51.490 Applicability. areas? 51.491 Definitions. 51.915 What emissions inventory require- 51.492 State program election and sub- ments apply under the 8-hour NAAQS? mittal. 51.916 What are the requirements for an 51.493 State program requirements. Ozone Transport Region under the 8-hour 51.494 Use of program revenues. NAAQS? 51.917 What is the effective date of designa- Subpart W—Determining Conformity of tion for the Las Vegas, NV, 8-hour ozone General Federal Actions to State or nonattainment area? Federal Implementation Plans 51.918 Can any SIP planning requirements be suspended in 8-hour ozone nonattain- 51.850 [Reserved] ment areas that have air quality data 51.851 State implementation plan (SIP) or that meets the NAAQS? Tribal implementation plan (TIP) revi- 51.919 Applicability. sion. 51.852–51.860 [Reserved] Subpart Y—Mitigation Requirements Subpart X—Provisions for Implementation 51.930 Mitigation of Exceptional Events. of 8-hour Ozone National Ambient Air Quality Standard Subpart Z—Provisions for Implementation of PM National Ambient Air Quality 51.900 Definitions. 2.5 51.901 Applicability of part 51. Standards 51.902 Which classification and nonattain- 51.1000 Definitions. ment area planning provisions of the 51.1001 Applicability of part 51. CAA shall apply to areas designated non- 51.1002 Classifications and reclassifications. attainment for the 1997 8-hour NAAQS? 51.1003 Attainment plan due dates and sub- 51.903 How do the classification and attain- mission requirements. ment date provisions in section 181 of 51.1004 Attainment dates. subpart 2 of the CAA apply to areas subject to § 51.902(a)? 51.1005 Attainment date extensions. 51.904 How do the classification and attain- 51.1006 Optional PM2.5 precursor demonstra- ment date provisions in section 172(a) of tions. subpart 1 of the CAA apply to areas sub- 51.1007 [Reserved] ject to § 51.902(b)? 51.1008 Emissions inventory requirements. 51.905 How do areas transition from the 1- 51.1009 Moderate area attainment plan con- hour NAAQS to the 1997 8-hour NAAQS trol strategy requirements. and what are the anti-backsliding provi- 51.1010 Serious area attainment plan con- sions? trol strategy requirements. 51.906 Redesignation to nonattainment fol- 51.1011 Attainment demonstration and mod- lowing initial designations for the 8-hour eling requirements. NAAQS. 51.1012 Reasonable further progress (RFP) 51.907 For an area that fails to attain the 8- requirements. hour NAAQS by its attainment date, how 51.1013 Quantitative milestone require- does EPA interpret sections ments. 172(a)(2)(C)(ii) and 181(a)(5)(B) of the 51.1014 Contingency measures requirements. CAA? 51.1015 Clean data requirements. 51.908 What modeling and attainment dem- 51.1016 Continued applicability of the FIP onstration requirements apply for pur- and SIP requirements pertaining to poses of the 8-hour ozone NAAQS? interstate transport under CAA section 51.909 [Reserved] 110(a)(2)(D)(i) and (ii) after revocation of 51.910 What requirements for reasonable the 1997 primary annual PM2.5 NAAQS. further progress (RFP) under sections 172(c)(2) and 182 apply for areas des- Subpart AA—Provisions for Implementation ignated nonattainment for the 8-hour of the 2008 Ozone National Ambient ozone NAAQS? Air Quality Standards 51.911 [Reserved] 51.912 What requirements apply for reason- 51.1100 Definitions. ably available control technology 51.1101 Applicability of part 51. (RACT) and reasonably available control 51.1102 Classification and nonattainment measures (RACM) under the 8-hour area planning provisions. NAAQS? 51.1103 Application of classification and at- 51.913 How do the section 182(f) NOX exemp- tainment date provisions in CAA section tion provisions apply for the 8-hour 181 to areas subject to § 51.1102. NAAQS? 51.1104 [Reserved]

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51.1105 Transition from the 1997 ozone 51.1310 Requirements for reasonable further NAAQS to the 2008 ozone NAAQS and progress (RFP). anti-backsliding. 51.1311 [Reserved] 51.1106 Redesignation to nonattainment fol- 51.1312 Requirements for reasonably avail- lowing initial designations. able control technology (RACT) and rea- 51.1107 Determining eligibility for 1-year at- sonably available control measures tainment date extensions for the 2008 (RACM). ozone NAAQS under CAA section 51.1313 Section 182(f) NOX exemption provi- 181(a)(5). sions. 51.1108 Modeling and attainment dem- 51.1314 New source review requirements. onstration requirements. 51.1315 Emissions inventory requirements. 51.1109 [Reserved]. 51.1316 Requirements for an Ozone Trans- 51.1110 Requirements for reasonable further port Region. progress (RFP). 51.1317 Fee programs for Severe and Ex- 51.1111 [Reserved]. treme nonattainment areas that fail to 51.1112 Requirements for reasonably avail- attain. able control technology (RACT) and rea- 51.1318 Suspension of SIP planning require- sonably available control measures ments in nonattainment areas that have (RACM). air quality data that meet an ozone 51.1113 Section 182(f) NOX exemption provi- NAAQS. sions. 51.1319 [Reserved] 51.1114 New source review requirements. APPENDIXES A–K TO PART 51 [RESERVED] 51.1115 Emissions inventory requirements. APPENDIX L TO PART 51—EXAMPLE REGULA- 51.1116 Requirements for an Ozone Trans- TIONS FOR PREVENTION OF AIR POLLUTION port Region. EMERGENCY EPISODES 51.1117 Fee programs for Severe and Ex- APPENDIX M TO PART 51—RECOMMENDED TEST treme nonattainment areas that fail to METHODS FOR STATE IMPLEMENTATION attain. PLANS 51.1118 Suspension of SIP planning require- APPENDIXES N–O TO PART 51 [RESERVED] ments in nonattainment areas that have APPENDIX P TO PART 51—MINIMUM EMISSION air quality data that meet an ozone MONITORING REQUIREMENTS NAAQS. APPENDIXES Q–R TO PART 51 [RESERVED] 51.1119 Applicability. APPENDIX S TO PART 51—EMISSION OFFSET IN- TERPRETATIVE RULING Subpart BB—Data Requirements for Char- APPENDIXES T–U TO PART 51 [RESERVED] acterizing Air Quality for the Primary APPENDIX V TO PART 51—CRITERIA FOR DE- TERMINING THE COMPLETENESS OF PLAN SO2 NAAQS SUBMISSIONS 51.1200 Definitions. APPENDIX W TO PART 51—GUIDELINE ON AIR 51.1201 Purpose. QUALITY MODELS 51.1202 Applicability. APPENDIX X TO PART 51—EXAMPLES OF ECO- 51.1203 Air agency requirements. NOMIC INCENTIVE PROGRAMS 51.1204 Enforceable emission limits pro- APPENDIX Y TO PART 51—GUIDELINES FOR viding for attainment. BART DETERMINATIONS UNDER THE RE- 51.1205 Ongoing data requirements. GIONAL HAZE RULE AUTHORITY: 23 U.S.C. 101; 42 U.S.C. 7401– Subpart CC—Provisions for Implementation 7671q. of the 2015 Ozone National Ambient Air Quality Standards SOURCE: 36 FR 22398, Nov. 25, 1971, unless otherwise noted. 51.1300 Definitions. 51.1301 Applicability of this part. Subpart A—Air Emissions 51.1302 Classification and nonattainment area planning provisions. Reporting Requirements 51.1303 Application of classification and attainment date provisions in CAA section SOURCE: 73 FR 76552, Dec. 17, 2008, unless 181 to areas subject to § 51.1302. otherwise noted. 51.1304–51.1305 [Reserved] 51.1306 Redesignation to nonattainment fol- GENERAL INFORMATION FOR INVENTORY lowing initial designations. PREPARERS 51.1307 Determining eligibility for 1-year attainment date extensions for an 8-hour § 51.1 Who is responsible for actions ozone NAAQS under CAA section described in this subpart? 181(a)(5). 51.1308 Modeling and attainment dem- States must inventory emission onstration requirements. sources located on nontribal lands and 51.1309 [Reserved] report this information to EPA.

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§ 51.5 What tools are available to help sion Inventory System (EIS) using the prepare and report emissions data? data elements described in this sub- (a) We urge your state to use esti- part. mation procedures described in docu- (3) A state may, at its option, choose ments from the Emission Inventory to report ozone season day emissions of Improvement Program (EIIP), avail- NOX as required under the NOX SIP able at the following Internet address: Call and summer day emissions of NOX http://www.epa.gov/ttn/chief/eiip. These that may be required under the NOX procedures are standardized and ranked SIP Call for controlled sources to the according to relative uncertainty for EIS using the data elements described each emission estimating technique. in this subpart. Using this guidance will enable others (4) A state may, at its option, include to use your state’s data and evaluate estimates of emissions for additional its quality and consistency with other pollutants (such as hazardous air pol- data. lutants) in its emission inventory re- (b) Where current EIIP guidance ma- ports. terials have been supplanted by state- (b) Sources. Emissions should be re- of-the-art emission estimation ap- ported from the following sources in all proaches or are not applicable to parts of the state, excluding sources lo- sources or source categories, states are cated on tribal lands: urged to use applicable, state-of-the- (1) Point. art techniques for estimating emis- (2) Nonpoint. States may choose to sions. meet the requirements for some of their nonpoint sources by accepting § 51.10 [Reserved] the EPA’s estimates for the sources for which the EPA makes calculations. In SPECIFIC REPORTING REQUIREMENTS such instances, states are encouraged to review and update the activity val- § 51.15 What data does my state need ues or other calculational inputs used to report to EPA? by the EPA for these sources. (a) Pollutants. Report actual emis- (3) Onroad and Nonroad mobile. (i) sions of the following (see § 51.50 for Emissions for onroad and nonroad mo- precise definitions as required): bile sources must be reported as inputs (1) Required pollutants for triennial to the latest EPA-developed mobile reports of annual (12-month) emissions emissions models, such as the Motor for all sources and every-year reports Vehicle Emissions Simulator (MOVES) of annual emissions from Type A for onroad sources or the NMIM for sources: nonroad sources. States using these (i) Sulfur dioxide (SO2). models may report, at their discretion, (ii) Volatile organic compounds emissions values computed from these (VOC). models in addition to the model inputs. (iii) Nitrogen oxides (NOX). (ii) In lieu of submitting model in- (iv) Carbon monoxide (CO). puts for onroad and nonroad mobile (v) Lead and lead compounds. sources, California must submit emis- (vi) Primary PM2.5. As applicable, sions values. also report filterable and condensable (iii) In lieu of submitting any data, components. states may accept existing EPA emis- (vii) Primary PM10. As applicable, sion estimates. also report filterable and condensable (4) Emissions for wild and prescribed components. fires are not required to be reported by (viii) Ammonia (NH3). states. If states wish to optionally re- (2) A state may, at its option, choose port these sources, they must be re- to report NOX and VOC summer day ported to the events data category. The emissions (or any other emissions) as events data category is a day-specific required under the Ozone Implementa- accounting of these large-scale but tion Rule or report CO winter work usually short duration emissions. Sub- weekday emissions for CO nonattain- missions must include both daily emis- ment areas or CO attainment areas sions estimates as well as daily acres with maintenance plans to the Emis- burned values. In lieu of submitting

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this information, states may accept must be separated and identified by the EPA estimates or they may submit source classification code (SCC). inputs (e.g., acres burned, fuel loads) Nonpoint source categories or emission for us to use in the EPA’s estimation events reasonably estimated by the approach. state to represent a de minimis per- (c) Supporting information. You must centage of total county and state emis- report the data elements in Tables 2a sions of a given pollutant may be omit- and 2b in Appendix A of this subpart. ted. We may ask you for other data on a (1) The reporting of wild and pre- voluntary basis to meet special pur- scribed fires is encouraged but not re- poses. (d) Confidential data. We do not con- quired and should be done via only the sider the data in Tables 2a and 2b in ‘‘Events’’ data category. Appendix A of this subpart confiden- (2) Agricultural fires (also referred to tial, but some states limit release of as crop residue burning) must be re- these types of data. Any data that you ported to the nonpoint data category. submit to EPA under this subpart will [73 FR 76552, Dec. 17, 2008, as amended at 80 be considered in the public domain and FR 8795, Feb. 19, 2015] cannot be treated as confidential. If Federal and state requirements are in- § 51.25 What geographic area must my consistent, consult your EPA Regional state’s inventory cover? Office for a final reconciliation. Because of the regional nature of [73 FR 76552, Dec. 17, 2008, as amended at 80 these pollutants, your state’s inven- FR 8795, Feb. 19, 2015] tory must be statewide, regardless of any area’s attainment status. § 51.20 What are the emission thresholds that separate point and nonpoint sources? § 51.30 When does my state report which emissions data to EPA? (a) All anthropogenic stationary sources must be included in your in- All states are required to report two ventory as either point or nonpoint basic types of emission inventories to sources. the EPA: An every-year inventory; and (b) Sources that meet the definition a triennial inventory. of point source in this subpart must be (a) Every-year inventory. See Tables reported as point sources. All pollut- 2a and 2b of Appendix A of this subpart ants specified in § 51.15(a) must be refor the specific data elements to report ported for point sources, not just the every year. pollutant(s) that qualify the source as (1) All states are required to report a point source. every year the annual (12-month) emis- (c) If your state has lower emission sions data described in § 51.15 from reporting thresholds for point sources Type A (large) point sources, as defined than paragraph (b) of this section, then in Table 1 of Appendix A of this sub- you may use these in reporting your part. The first every-year cycle inven- emissions to EPA. tory will be for the 2009 inventory year (d) All stationary source emissions and must be submitted to the EPA that are not reported as point sources must be reported as nonpoint sources. within 12 months, i.e., by December 31, Episodic wind-generated particulate 2010. matter (PM) emissions from sources (2) In inventory years that fall under that are not major sources may be ex- the triennial inventory requirements, cluded, for example dust lifted by high the reporting required by the triennial winds from natural or tilled soil. Emis- inventory satisfies the every-year re- sions of nonpoint sources should be ag- porting requirements of paragraph (a) gregated to the resolution required by of this section. the EIS as described in the current Na- (b) Triennial inventory. See Tables 2a tional Emission Inventory (NEI) inven- and 2b to Appendix A of subpart A for tory year plan posted at http:// the specific data elements that must be www.epa.gov/ttn/chief/eiinformation.html. reported for the triennial inventories. In most cases, this is county level and

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(1) All states are required to report state must use the same emission fac- for every third inventory year the an- tors to calculate emissions for each nual (12-month) emissions data as de- year of the 3-year period. If your state scribed in § 51.15. The first triennial in- has revised emission factors during the ventory will be for the 2011 inventory 3 years for a process that has not and must be submitted to the EPA changed, you must compute previous within 12 months, i.e., by December 31, years’ data using the revised factor. If 2012. Subsequent triennial inventories your state uses models to estimate (2014, 2017, etc.) will be due 12 months emissions, you must make sure that after the end of the inventory year, i.e., the model is the same for all 3 years. by December 31 of the following year. (2) [Reserved] [80 FR 8796, Feb. 19, 2015] [80 FR 8796, Feb. 19, 2015] § 51.40 In what form and format should my state report the data to § 51.35 How can my state equalize the EPA? emission inventory effort from year to year? You must report your emission in- (a) Compiling a triennial inventory ventory data to us in electronic form. means more effort every 3 years. As an We support specific electronic data re- option, your state may ease this work- porting formats, and you are required load spike by using the following ap- to report your data in a format con- proach: sistent with these. The term ‘‘format’’ (1) Each year, collect and report data encompasses the definition of one or for all Type A (large) point sources more specific data fields for each of the (this is required for all Type A point data elements listed in Tables 2a and sources). 2b in Appendix A of this subpart; al- (2) Each year, collect data for one- lowed code values for certain data third of your sources that are not Type fields; transmittal information; and A point sources. Collect data for a dif- data table relational structure. Be- ferent third of these sources each year cause electronic reporting technology so that data has been collected for all may change, contact the EPA Emission of the sources that are not Type A Inventory and Analysis Group (EIAG) point sources by the end of each 3-year for the latest specific formats. You can cycle. You must save 3 years of data find information on the current for- and then report all emissions from the mats at the following Internet address: sources that are not Type A point http://www.epa.gov/ttn/chief/eis/2011nei/ sources on the triennial inventory due xmlldataleis.pdf. You may also call date. the air emissions contact in your EPA (3) Each year, collect data for one- Regional Office or our Info CHIEF help third of the nonpoint, nonroad mobile, desk at (919) 541–1000 or send email to and onroad mobile sources. You must [email protected]. save 3 years of data for each such [80 FR 8796, Feb. 19, 2015] source and then report all of these data on the triennial inventory due date. § 51.45 Where should my state report (b) For the sources described in para- the data? graph (a) of this section, your state will have data from 3 successive years (a) Your state submits or reports at any given time, rather than from data by providing it directly to EPA. the single year in which it is compiled. (b) The latest information on data re- (c) If your state chooses the method porting procedures is available at the of inventorying one-third of your following Internet address: http:// sources that are not Type A point www.epa.gov/ttn/chief. You may also sources and triennial inventory call our Info CHIEF help desk at (919) nonpoint, nonroad mobile, and onroad 541–1000 or e-mail to [email protected]. mobile sources each year, your state must compile each year of the 3-year § 51.50 What definitions apply to this period identically. For example, if a subpart? process has not changed for a source Aircraft engine type means a code de- category or individual plant, your fining a unique combination of aircraft

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and engine used as an input parameter tem) that is not used in a motor vehi- for calculating emissions from aircraft. cle or a vehicle used solely for competi- Annual emissions means actual emis- tion, or that is not affected by sections sions for a plant, point, or process that 111 or 202 of the CAA; and are measured or calculated to rep- (3) A nonroad vehicle is a vehicle that resent a calendar year. is run by a nonroad engine and that is Control measure means a unique code not a motor vehicle or a vehicle used for the type of control device or oper- solely for competition. ational measure (e.g., wet scrubber, NAICS means North American Indus- flaring, process change, ban) used to re- try Classification System code. The duce emissions. NAICS codes are U.S. Department of Emission calculation method means the Commerce’s codes for categorizing code describing how the emissions for a businesses by products or services and pollutant were calculated, e.g., by have replaced Standard Industrial stack test, continuous emissions mon- Classification codes. itor, EPA emission factor, etc. Nitrogen oxides (NOX) means nitrogen Emission factor means the ratio relat- oxides (NO ) as defined in 40 CFR 60.2 ing emissions of a specific pollutant to X as all oxides of nitrogen except N2O. an activity throughput level. Nitrogen oxides should be reported on means the Emission operating type an equivalent molecular weight basis operational status of an emissions unit as nitrogen dioxide (NO ). for the time period for which emissions 2 Nonpoint sources collectively rep- are being reported, i.e., Routine, Start- up, Shutdown, or Upset. resent individual sources that have not Emission process identifier means a been inventoried as specific point or unique code for the process generating mobile sources. These individual the emissions. sources treated collectively as Emission type means the type of emis- nonpoint sources are typically too sions produced for onroad and nonroad small, numerous, or difficult to inven- sources or the mode of operation for tory using the methods for the other marine vessels. classes of sources. Emissions year means the calendar Particulate matter (PM) is a criteria year for which the emissions estimates air pollutant. For the purpose of this are reported. subpart, the following definitions Facility site identifier means the apply: unique code for a plant or facility (1) Filterable PM2.5 or Filterable PM10: treated as a point source, containing Particles that are directly emitted by a one or more pollutant-emitting units. source as a solid or liquid at stack or The EPA’s reporting format allows for release conditions and captured on the state submittals to use either the filter of a stack test train. Filterable state’s data system identifiers or the PM2.5 is particulate matter with an EPA’s Emission Inventory System aerodynamic diameter equal to or less identifiers. than 2.5 micrometers. Filterable PM10 Facility site name means the name of is particulate matter with an aero- the facility. dynamic diameter equal to or less than Lead (Pb) means lead as defined in 40 10 micrometers. CFR 50.12. Emissions of Pb which occur (2) Condensable PM: Material that is either as elemental Pb or as a chemical vapor phase at stack conditions, but compound containing Pb should be re- which condenses and/or reacts upon ported as the mass of the Pb atoms cooling and dilution in the ambient air only. to form solid or liquid PM immediately Mobile source means a motor vehicle, after discharge from the stack. Note nonroad engine or nonroad vehicle, that all condensable PM, if present where: from a source, is typically in the PM2.5 (1) A motor vehicle is any self-pro- size fraction and, therefore, all of it is pelled vehicle used to carry people or a component of both primary PM2.5 and property on a street or highway; primary PM10. (2) A nonroad engine is an internal (3) Primary PM2.5: The sum of filter- combustion engine (including fuel sys- able PM2.5 and condensable PM. 176

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(4) Primary PM10: The sum of filter- the reporting format specified by the able PM10 and condensable PM. EPA for each inventory year. (5) Secondary PM: Particles that form Release point apportionment percent or grow in mass through chemical reac- means the average percentage(s) of an tions in the ambient air well after dilu- emissions exhaust stream directed to a tion and condensation have occurred. given release point. Secondary PM is usually formed at Release point exit gas flow rate means some distance downwind from the the numeric value of the flow rate of a source. Secondary PM should not be re- stack gas. ported in the emission inventory and is Release point exit gas temperature not covered by this subpart. means the numeric value of the tem- Percent control approach capture effi- perature of an exit gas stream in de- ciency means the percentage of an ex- grees Fahrenheit. haust gas stream actually collected for Release point exit gas velocity means routing to a set of control devices. the numeric value of the velocity of an Percent control approach effectiveness exit gas stream. means the percentage of time or activ- Release point identifier means a unique ity throughput that a control approach code for the point where emissions is operating as designed, including the from one or more processes release into capture and reduction devices. This the atmosphere. percentage accounts for the fact that Release point stack diameter means the controls typically are not 100 percent inner physical diameter of a stack. effective because of equipment downtime, upsets and decreases in control Release point stack height means phys- efficiencies. ical height of a stack above the sur- Percent control approach penetration rounding terrain. means the percentage of a nonpoint Release point type code means the code source category activity that is cov- for physical configuration of the re- ered by the reported control measures. lease point. Percent control measures reduction effi- Reporting period type means the code ciency means the net emission reduc- describing the time period covered by tion efficiency across all emissions the emissions reported, i.e., Annual, 5- control devices. It does not account for month ozone season, summer day, or capture device efficiencies. winter. Physical address means the location Source classification code (SCC) means address (street address or other phys- a process-level code that describes the ical location description), locality equipment and/or operation which is name, state, and postal zip code of a fa- emitting pollutants. cility. This is the physical location State and county FIPS code means the where the emissions occur; not the cor- system of unique identifiers in the Fed- porate headquarters or a mailing ad- eral Information Placement System dress. (FIPS) used to identify states, counties Point source means large, stationary and parishes for the entire United (non-mobile), identifiable sources of States, Puerto Rico, and Guam. emissions that release pollutants into Throughput means a measurable fac- the atmosphere. A point source is a fa- tor or parameter that relates directly cility that is a major source under 40 or indirectly to the emissions of an air CFR part 70 for one or more of the pol- pollution source during the period for lutants for which reporting is required which emissions are reported. Depend- by § 51.15 (a)(1). This does not include ing on the type of source category, ac- the emissions of hazardous air pollut- tivity information may refer to the ants, which are not considered in deter- amount of fuel combusted, raw mate- mining whether a source is a point rial processed, product manufactured, source under this subpart. The min- or material handled or processed. It imum point source reporting thresh- may also refer to population, employ- olds are shown in Table 1 of Appendix ment, or number of units. Activity A. throughput is typically the value that Pollutant code means a unique code is multiplied against an emission fac- for each reported pollutant assigned by tor to generate an emissions estimate.

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Type A source means large point throughput or output capacity of the sources with a potential to emit great- unit. er than or equal to any of the thresh- Unit identifier means a unique code olds listed in Table 1 of Appendix A of for the unit that generates emissions, this subpart. If a source is a Type A typically a physical piece of equipment source for any pollutant listed in Table or a closely related set of equipment. 1, then the emissions for all pollutants VOC means volatile organic com- required by § 51.15 must be reported for pounds. The EPA’s regulatory defini- that source. tion of VOC is in 40 CFR 51.100. Unit design capacity means a measure [80 FR 8796, Feb. 19, 2015] of the size of a point source, based on the reported maximum continuous APPENDIX A TO SUBPART A OF PART 51— TABLES

TABLE 1 TO APPENDIX A OF SUBPART A—EMISSION THRESHOLDS 1 BY POLLUTANT FOR TREATMENT AS POINT SOURCE UNDER 40 CFR 51.30

Every-year Triennial Pollutant Type A Type B sources NAA sources 3 sources 2

(1) SO2 ...... ≥2500 ≥100 ...... ≥100...... PM2.5 (Serious) ≥70. (2) VOC ...... ≥250 ≥100 ...... ≥100...... within OTR 4 ≥50 ...... within OTR ≥50...... O3 (Serious) ≥50...... O3 (Severe) ≥25...... O3 (Extreme) ≥10...... PM2.5 (Serious) ≥70. (3) NOX ...... ≥2500 ≥100 ...... ≥100...... O3 (Serious) ≥50...... O3 (Severe) ≥25...... O3 (Extreme) ≥10...... PM2.5 (Serious) ≥70. (4) CO ...... ≥2500 ≥1000 ...... ≥1000...... CO (all areas) ≥100. (5) Lead ...... ≥0.5 (actual) ...... ≥0.5 (actual). (6) Primary PM10 ...... ≥250 ≥100 ...... ≥100...... PM10 (Serious) ≥70. (7) Primary PM2.5 ...... ≥250 ≥100 ...... ≥100...... PM2.5 (Serious) ≥70. (8) NH3 ...... ≥250 ≥100 ...... ≥100...... PM2.5 (Serious) ≥70. 1 Thresholds for point source determination shown in tons per year of potential to emit as defined in 40 CFR part 70, with the exception of lead. Reported emissions should be in actual tons emitted for the required time period. 2 Type A sources are a subset of the Type B sources and are the larger emitting sources by pollutant. 3 NAA = Nonattainment Area. The point source reporting thresholds vary by attainment status for SO2, VOC, NOX, CO, PM10, PM2.5, and NH3. 4 OTR = Ozone Transport Region (see 40 CFR 51.1300(k)).

TABLE 2a TO APPENDIX A OF SUBPART A—FA- TABLE 2a TO APPENDIX A OF SUBPART A—FA- CILITY INVENTORY 1 DATA ELEMENTS FOR RE- CILITY INVENTORY 1 DATA ELEMENTS FOR RE- PORTING EMISSIONS FROM POINT SOURCES, PORTING EMISSIONS FROM POINT SOURCES, WHERE REQUIRED BY 40 CFR 51.30 WHERE REQUIRED BY 40 CFR 51.30—Con- tinued Data elements Data elements (1) Emissions Year. (2) State and County FIPS Code or Tribal Code. (13) Release Point Stack Height and Unit of Measure. (3) Facility Site Identifier. (14) Release Point Stack Diameter and Unit of Measure. (4) Unit Identifier. (15) Release Point Exit Gas Temperature and Unit of Meas- (5) Emission Process Identifier. ure. (6) Release Point Identifier. (16) Release Point Exit Gas Velocity or Release Point Exit (7) Facility Site Name. Gas Flow Rate and Unit of Measure. (8) Physical Address (Location Address, Locality Name, (17) Release Point Status and Year. State and Postal Code). (18) NAICS at facility level. (9) Latitude and Longitude at facility level. (19) Unit Design Capacity and Unit of Measure (for some (10) Source Classification Code. unit types). (11) Aircraft Engine Type (where applicable). (20) Unit Type. (12) Facility Site Status and Year. (21) Unit Status and Year.

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Data elements Data elements

(22) Release Point Apportionment Percent. (27) Percent Control Approach Effectiveness (where applica- (23) Release Point Type. ble). (24) Control Measure and Control Pollutant (where applicable). 1 Facility Inventory data elements need only be reported (25) Percent Control Approach Capture Efficiency (where ap- once to the EIS and then revised if needed. They do not need plicable). to be reported for each triennial or every-year emissions inventory. (26) Percent Control Measures Reduction Efficiency (where applicable).

TABLE 2b TO APPENDIX A OF SUBPART A—DATA ELEMENTS FOR REPORTING EMISSIONS FROM POINT, NONPOINT, ONROAD MOBILE AND NONROAD MOBILE SOURCES, WHERE REQUIRED BY 40 CFR 51.30

Data elements Point Nonpoint Onroad Nonroad

(1) Emissions Year...... Y Y Y Y (2) FIPS code...... Y Y Y Y (3) Shape Identifiers (where applicable) ...... Y (4) Source Classification Code ...... Y Y Y (5) Emission Type (where applicable) ...... Y Y Y (8) Emission Factor ...... Y Y (9) Throughput (Value, Material, Unit of Measure, and Type) ...... Y Y Y (10) Pollutant Code...... Y Y Y Y (11) Annual Emissions and Unit of Measure ...... Y Y Y Y (12) Reporting Period Type (Annual) ...... Y Y Y Y (13) Emission Operating Type (Routine) ...... Y ...... (14) Emission Calculation Method ...... Y Y (15) Control Measure and Control Pollutant (where applicable) ...... Y (16) Percent Control Measures Reduction Efficiency (where applicable) ...... Y (17) Percent Control Approach Effectiveness (where applicable) ...... Y (18) Percent Control Approach Penetration (where applicable) ...... Y ......

[73 FR 76552, Dec. 17, 2008, as amended at 80 Agency (EPA) or an authorized rep- FR 8796, Feb. 19, 2015; 81 FR 58149, Aug. 24, resentative. 2016; 83 FR 63031, Dec. 6, 2018] (c) Primary standard means a national primary ambient air quality standard Subparts B–E [Reserved] promulgated pursuant to section 109 of the Act. Subpart F—Procedural (d) Secondary standard means a na- Requirements tional secondary ambient air quality standard promulgated pursuant to sec- AUTHORITY: 42 U.S.C. 7401, 7411, 7412, 7413, tion 109 of the Act. 7414, 7470–7479, 7501–7508, 7601, and 7602. (e) National standard means either a primary or secondary standard. § 51.100 Definitions. (f) Owner or operator means any per- As used in this part, all terms not de- son who owns, leases, operates, con- fined herein will have the meaning trols, or supervises a facility, building, given them in the Act: structure, or installation which di- (a) Act means the Clean Air Act (42 rectly or indirectly result or may re- U.S.C. 7401 et seq., as amended by Pub. sult in emissions of any air pollutant L. 91–604, 84 Stat. 1676 Pub. L. 95–95, 91 for which a national standard is in ef- Stat., 685 and Pub. L. 95–190, 91 Stat., fect. 1399.) (g) Local agency means any local gov- (b) Administrator means the Adminis- ernment agency other than the State trator of the Environmental Protection

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agency, which is charged with responsi- (2) Federal or State emission charges bility for carrying out a portion of the or taxes or other economic incentives plan. or disincentives. (h) Regional Office means one of the (3) Closing or relocation of residen- ten (10) EPA Regional Offices. tial, commercial, or industrial facili- (i) State agency means the air pollu- ties. tion control agency primarily respon- (4) Changes in schedules or methods sible for development and implementa- of operation of commercial or indus- tion of a plan under the Act. trial facilities or transportation sys- (j) Plan means an implementation tems, including, but not limited to, plan approved or promulgated under short-term changes made in accord- section 110 of 172 of the Act. ance with standby plans. (k) Point source means the following: (5) Periodic inspection and testing of (1) For particulate matter, sulfur ox- motor vehicle emission control sys- ides, carbon monoxide, volatile organic tems, at such time as the Adminis- compounds (VOC) and nitrogen diox- trator determines that such programs ide— are feasible and practicable. (i) Any stationary source the actual (6) Emission control measures appli- emissions of which are in excess of 90.7 cable to in-use motor vehicles, includ- metric tons (100 tons) per year of the ing, but not limited to, measures such pollutant in a region containing an as mandatory maintenance, installa- area whose 1980 urban place population, tion of emission control devices, and as defined by the U.S. Bureau of the conversion to gaseous fuels. Census, was equal to or greater than 1 (7) Any transportation control meas- million. ure including those transportation (ii) Any stationary source the actual measures listed in section 108(f) of the emissions of which are in excess of 22.7 Clean Air Act as amended. metric tons (25 tons) per year of the (8) Any variation of, or alternative to pollutant in a region containing an any measure delineated herein. area whose 1980 urban place population, (9) Control or prohibition of a fuel or as defined by the U.S. Bureau of the fuel additive used in motor vehicles, if Census, was less than 1 million; or such control or prohibition is nec- (2) For lead or lead compounds meas- essary to achieve a national primary or ured as elemental lead, any stationary secondary air quality standard and is source that actually emits a total of 4.5 approved by the Administrator under metric tons (5 tons) per year or more. section 211(c)(4)(C) of the Act. (l) Area source means any small resi- (o) Reasonably available control tech- dential, governmental, institutional, nology (RACT) means devices, systems, commercial, or industrial fuel combus- process modifications, or other appa- tion operations; onsite solid waste dis- ratus or techniques that are reasonably posal facility; motor vehicles, aircraft available taking into account: vessels, or other transportation facili- (1) The necessity of imposing such ties or other miscellaneous sources controls in order to attain and main- identified through inventory tech- tain a national ambient air quality niques similar to those described in the standard; ‘‘AEROS Manual series, Vol. II AEROS (2) The social, environmental, and User’s Manual,’’ EPA–450/2–76–029 De- economic impact of such controls; and cember 1976. (3) Alternative means of providing for (m) Region means an area designated attainment and maintenance of such as an air quality control region (AQCR) standard. (This provision defines RACT under section 107(c) of the Act. for the purposes of § 51.341(b) only.) (n) Control strategy means a combina- (p) Compliance schedule means the tion of measures designated to achieve date or dates by which a source or cat- the aggregate reduction of emissions egory of sources is required to comply necessary for attainment and mainte- with specific emission limitations con- nance of national standards including, tained in an implementation plan and but not limited to, measures such as: with any increments of progress to- (1) Emission limitations. ward such compliance.

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(q) Increments of progress means steps difluoroethane (HFC–152a); toward compliance which will be taken parachlorobenzotrifluoride (PCBTF); by a specific source, including: cyclic, branched, or linear completely (1) Date of submittal of the source’s methylated siloxanes; acetone; final control plan to the appropriate perchloroethylene air pollution control agency; (tetrachloroethylene); 3,3-dichloro- (2) Date by which contracts for emis- 1,1,1,2,2-pentafluoropropane (HCFC– sion control systems or process modi- 225ca); 1,3-dichloro-1,1,2,2,3- fications will be awarded; or date by pentafluoropropane (HCFC–225cb); which orders will be issued for the pur- 1,1,1,2,3,4,4,5,5,5-decafluoropentane chase of component parts to accom- (HFC 43–10mee); difluoromethane plish emission control or process modi- (HFC–32); ethylfluoride (HFC–161); fication; 1,1,1,3,3,3-hexafluoropropane (HFC– (3) Date of initiation of on-site con- 236fa); 1,1,2,2,3-pentafluoropropane struction or installation of emission (HFC–245ca); 1,1,2,3,3- control equipment or process change; pentafluoropropane (HFC–245ea); (4) Date by which on-site construc- 1,1,1,2,3-pentafluoropropane (HFC– tion or installation of emission control 245eb); 1,1,1,3,3-pentafluoropropane equipment or process modification is (HFC–245fa); 1,1,1,2,3,3- to be completed; and hexafluoropropane (HFC–236ea); (5) Date by which final compliance is 1,1,1,3,3-pentafluorobutane (HFC– to be achieved. 365mfc); chlorofluoromethane (HCFC– (r) Transportation control measure 31); 1 chloro-1-fluoroethane (HCFC– means any measure that is directed to- 151a); 1,2-dichloro-1,1,2-trifluoroethane ward reducing emissions of air pollut- (HCFC–123a); 1,1,1,2,2,3,3,4,4-nonafluoro- ants from transportation sources. Such 4-methoxy-butane (C F OCH or HFE– measures include, but are not limited 4 9 3 to, those listed in section 108(f) of the 7100); 2-(difluoromethoxymethyl)- Clean Air Act. 1,1,1,2,3,3,3-heptafluoropropane (s) Volatile organic compounds (VOC) ((CF3)2CFCF2OCH3); 1-ethoxy- means any compound of carbon, ex- 1,1,2,2,3,3,4,4,4-nonafluorobutane cluding carbon monoxide, carbon diox- (C4F9OC2H5 or HFE–7200); 2- ide, carbonic acid, metallic carbides or (ethoxydifluoromethyl)-1,1,1,2,3,3,3- carbonates, and ammonium carbonate, heptafluoropropane which participates in atmospheric pho- ((CF3)2CFCF2OC2H5); methyl acetate; tochemical reactions. 1,1,1,2,2,3,3-heptafluoro-3-methoxy-pro- (1) This includes any such organic pane (n-C3F7OCH3, HFE–7000); 3- compound other than the following, ethoxy- 1,1,1,2,3,4,4,5,5,6,6,6- which have been determined to have dodecafluoro-2-(trifluoromethyl) negligible photochemical reactivity: hexane (HFE–7500); 1,1,1,2,3,3,3- Methane; ethane; methylene chloride heptafluoropropane (HFC 227ea); meth- (dichloromethane); 1,1,1-trichloro- yl formate (HCOOCH3); 1,1,1,2,2,3,4,5,5,5- ethane (methyl chloroform); 1,1,2- decafluoro-3-methoxy-4- trichloro-1,2,2-trifluoroethane (CFC– trifluoromethyl-pentane (HFE–7300); 113); trichlorofluoromethane (CFC–11); propylene carbonate; dimethyl car- dichlorodifluoromethane (CFC–12); bonate; trans-1,3,3,3-tetrafluoropropene; chlorodifluoromethane (HCFC–22); HCF2OCF2H (HFE–134); trifluoromethane (HFC–23); 1,2-dichloro HCF2OCF2OCF2H (HFE–236cal2); 1,1,2,2-tetrafluoroethane (CFC–114); HCF2OCF2CF2OCF2H (HFE–338pcc13); chloropentafluoroethane (CFC–115); HCF2OCF2OCF2CF2OCF2H (H-Galden 1,1,1-trifluoro 2,2-dichloroethane 1040x or H-Galden ZT 130 (or 150 or (HCFC–123); 1,1,1,2-tetrafluoroethane 180)); trans 1-chloro-3,3,3-trifluoroprop- (HFC–134a); 1,1-dichloro 1-fluoroethane 1-ene; 2,3,3,3-tetrafluoropropene; 2- (HCFC–141b); 1-chloro 1,1- amino-2-methyl-1-propanol; t-butyl ac- difluoroethane (HCFC–142b); 2-chloro- etate; 1,1,2,2- Tetrafluoro -1-(2,2,2- 1,1,1,2-tetrafluoroethane (HCFC–124); trifluoroethoxy) ethane; cis-1,1,1,4,4,4- pentafluoroethane (HFC–125); 1,1,2,2- hexafluorobut-2-ene (HFO–1336mzz-Z); tetrafluoroethane (HFC–134); 1,1,1- and perfluorocarbon compounds which trifluoroethane (HFC–143a); 1,1- fall into these classes:

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(i) Cyclic, branched, or linear, com- limit. Therefore, the compounds identi- pletely fluorinated alkanes; fied in paragraph (s) of this section as (ii) Cyclic, branched, or linear, com- negligibly reactive and excluded from pletely fluorinated ethers with no EPA’s definition of VOCs are to be unsaturations; counted towards a product’s reactivity (iii) Cyclic, branched, or linear, com- limit for the purposes of determining pletely fluorinated tertiary amines compliance with California’s aerosol with no unsaturations; and coatings reactivity-based regulation. (iv) Sulfur containing (7) For the purposes of determining perfluorocarbons with no compliance with EPA’s aerosol coat- unsaturations and with sulfur bonds ings reactivity based regulation (as de- only to carbon and fluorine. scribed in 40 CFR part 59—National (2) For purposes of determining com- Volatile Organic Compound Emission pliance with emissions limits, VOC will Standards for Consumer and Commer- be measured by the test methods in the cial Products) any organic compound approved State implementation plan in the volatile portion of an aerosol (SIP) or 40 CFR part 60, appendix A, as coating is counted towards the prod- applicable. Where such a method also uct’s reactivity-based limit, as pro- measures compounds with negligible vided in 40 CFR part 59, subpart E. photochemical reactivity, these Therefore, the compounds that are negligibility-reactive compounds may used in aerosol coating products and be excluded as VOC if the amount of that are identified in paragraphs (s)(1) such compounds is accurately quan- or (s)(5) of this section as excluded tified, and such exclusion is approved from EPA’s definition of VOC are to be by the enforcement authority. counted towards a product’s reactivity (3) As a precondition to excluding limit for the purposes of determining these compounds as VOC or at any compliance with EPA’s aerosol coat- time thereafter, the enforcement au- ings reactivity-based national regula- thority may require an owner or oper- tion, as provided in 40 CFR part 59, sub- ator to provide monitoring or testing part E. methods and results demonstrating, to (t)–(w) [Reserved] the satisfaction of the enforcement au- (x) Time period means any period of thority, the amount of negligibly-reac- time designated by hour, month, sea- tive compounds in the source’s emis- son, calendar year, averaging time, or sions. other suitable characteristics, for (4) For purposes of Federal enforce- which ambient air quality is estimated. ment for a specific source, the EPA (y) Variance means the temporary de- shall use the test methods specified in ferral of a final compliance date for an the applicable EPA-approved SIP, in a individual source subject to an ap- permit issued pursuant to a program proved regulation, or a temporary approved or promulgated under title V change to an approved regulation as it of the Act, or under 40 CFR part 51, applies to an individual source. subpart I or appendix S, or under 40 (z) Emission limitation and emission CFR parts 52 or 60. The EPA shall not standard mean a requirement estab- be bound by any State determination lished by a State, local government, or as to appropriate methods for testing the Administrator which limits the or monitoring negligibly-reactive com- quantity, rate, or concentration of pounds if such determination is not re- emissions of air pollutants on a contin- flected in any of the above provisions. uous basis, including any requirements (5) [Reserved] which limit the level of opacity, pre- (6) For the purposes of determining scribe equipment, set fuel specifica- compliance with California’s aerosol tions, or prescribe operation or mainte- coatings reactivity-based regulation, nance procedures for a source to assure (as described in the California Code of continuous emission reduction. Regulations, Title 17, Division 3, Chap- (aa) Capacity factor means the ratio ter 1, Subchapter 8.5, Article 3), any or- of the average load on a machine or ganic compound in the volatile portion equipment for the period of time con- of an aerosol coating is counted to- sidered to the capacity rating of the wards that product’s reactivity-based machine or equipment.

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(bb) Excess emissions means emissions (i) The reheating of a gas stream, fol- of an air pollutant in excess of an emis- lowing use of a pollution control sys- sion standard. tem, for the purpose of returning the (cc) Nitric acid plant means any facil- gas to the temperature at which it was ity producing nitric acid 30 to 70 per- originally discharged from the facility cent in strength by either the pressure generating the gas stream; or atmospheric pressure process. (ii) The merging of exhaust gas (dd) Sulfuric acid plant means any fa- streams where: cility producing sulfuric acid by the (A) The source owner or operator contact process by burning elemental demonstrates that the facility was sulfur, alkylation acid, hydrogen sul- originally designed and constructed fide, or acid sludge, but does not in- with such merged gas streams; clude facilities where conversion to sulfuric acid is utilized primarily as a (B) After July 8, 1985 such merging is means of preventing emissions to the part of a change in operation at the fa- atmosphere of sulfur dioxide or other cility that includes the installation of sulfur compounds. pollution controls and is accompanied (ee) Fossil fuel-fired steam generator by a net reduction in the allowable means a furnance or bioler used in the emissions of a pollutant. This exclu- process of burning fossil fuel for the sion from the definition of dispersion primary purpose of producing steam by techniques shall apply only to the emis- heat transfer. sion limitation for the pollutant af- (ff) Stack means any point in a source fected by such change in operation; or designed to emit solids, liquids, or (C) Before July 8, 1985, such merging gases into the air, including a pipe or was part of a change in operation at duct but not including flares. the facility that included the installa- (gg) A stack in existence means that tion of emissions control equipment or the owner or operator had (1) begun, or was carried out for sound economic or caused to begin, a continuous program engineering reasons. Where there was of physical on-site construction of the an increase in the emission limitation stack or (2) entered into binding agree- or, in the event that no emission limi- ments or contractual obligations, tation was in existence prior to the which could not be cancelled or modi- merging, an increase in the quantity of fied without substantial loss to the pollutants actually emitted prior to owner or operator, to undertake a pro- the merging, the reviewing agency gram of construction of the stack to be shall presume that merging was signifi- completed within a reasonable time. cantly motivated by an intent to gain (hh)(1) Dispersion technique means emissions credit for greater dispersion. any technique which attempts to affect Absent a demonstration by the source the concentration of a pollutant in the owner or operator that merging was ambient air by: not significantly motivated by such in- (i) Using that portion of a stack tent, the reviewing agency shall deny which exceeds good engineering prac- credit for the effects of such merging in tice stack height: calculating the allowable emissions for (ii) Varying the rate of emission of a the source; pollutant according to atmospheric (iii) Smoke management in agricul- conditions or ambient concentrations of that pollutant; or tural or silvicultural prescribed burn- (iii) Increasing final exhaust gas ing programs; plume rise by manipulating source (iv) Episodic restrictions on residen- process parameters, exhaust gas pa- tial woodburning and open burning; or rameters, stack parameters, or com- (v) Techniques under bining exhaust gases from several ex- § 51.100(hh)(1)(iii) which increase final isting stacks into one stack; or other exhaust gas plume rise where the re- selective handling of exhaust gas sulting allowable emissions of sulfur streams so as to increase the exhaust dioxide from the facility do not exceed gas plume rise. 5,000 tons per year. (2) The preceding sentence does not (ii) Good engineering practice (GEP) include: stack height means the greater of:

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(1) 65 meters, measured from the GEP stack height determined by the ground-level elevation at the base of formulae provided in § 51.100(ii)(2)(ii) of the stack: this part or 26 meters, whichever is (2)(i) For stacks in existence on Jan- greater, as measured from the ground- uary 12, 1979, and for which the owner level elevation at the base of the stack. or operator had obtained all applicable The height of the structure or terrain permits or approvals required under 40 feature is measured from the ground- CFR parts 51 and 52. level elevation at the base of the stack.

Hg = 2.5H, (kk) Excessive concentration is defined for the purpose of determining good en- provided the owner or operator pro- gineering practice stack height under duces evidence that this equation was § 51.100(ii)(3) and means: actually relied on in establishing an (1) For sources seeking credit for emission limitation: stack height exceeding that estab- (ii) For all other stacks, lished under § 51.100(ii)(2) a maximum Hg = H + 1.5L ground-level concentration due to where: emissions from a stack due in whole or part to downwash, wakes, and eddy ef- Hg = good engineering practice stack height, measured from the ground-level ele- fects produced by nearby structures or vation at the base of the stack, nearby terrain features which individ- H = height of nearby structure(s) measured ually is at least 40 percent in excess of from the ground-level elevation at the the maximum concentration experi- base of the stack. L = lesser dimension, height or projected enced in the absence of such downwash, width, of nearby structure(s) wakes, or eddy effects and which contributes to a total concentration due to provided that the EPA, State or local emissions from all sources that is control agency may require the use of greater than an ambient air quality a field study or fluid model to verify standard. For sources subject to the GEP stack height for the source; or prevention of significant deterioration (3) The height demonstrated by a program (40 CFR 51.166 and 52.21), an fluid model or a field study approved excessive concentration alternatively by the EPA State or local control means a maximum ground-level con- agency, which ensures that the emis- centration due to emissions from a sions from a stack do not result in excessive concentrations of any air pol- stack due in whole or part to lutant as a result of atmospheric downwash, wakes, or eddy effects pro- downwash, wakes, or eddy effects cre- duced by nearby structures or nearby ated by the source itself, nearby struc- terrain features which individually is tures or nearby terrain features. at least 40 percent in excess of the (jj) Nearby as used in § 51.100(ii) of maximum concentration experienced this part is defined for a specific struc- in the absence of such downwash, ture or terrain feature and wakes, or eddy effects and greater than (1) For purposes of applying the for- a prevention of significant deteriora- mulae provided in § 51.100(ii)(2) means tion increment. The allowable emission that distance up to five times the less- rate to be used in making demonstra- er of the height or the width dimension tions under this part shall be pre- of a structure, but not greater than 0.8 scribed by the new source performance km (1⁄2 mile), and standard that is applicable to the (2) For conducting demonstrations source category unless the owner or op- under § 51.100(ii)(3) means not greater erator demonstrates that this emission than 0.8 km (1⁄2 mile), except that the rate is infeasible. Where such dem- portion of a terrain feature may be onstrations are approved by the au- considered to be nearby which falls thority administering the State imple- within a distance of up to 10 times the mentation plan, an alternative emis- maximum height (Ht) of the feature, sion rate shall be established in con- not to exceed 2 miles if such feature sultation with the source owner or op- achieves a height (H ) 0.8 km from the t erator. stack that is at least 40 percent of the

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(2) For sources seeking credit after (pp) Particulate matter emissions means October 11, 1983, for increases in exist- all finely divided solid or liquid mate- ing stack heights up to the heights es- rial, other than uncombined water, tablished under § 51.100(ii)(2), either (i) emitted to the ambient air as measured a maximum ground-level concentration by applicable reference methods, or an due in whole or part to downwash, equivalent or alternative method, spec- wakes or eddy effects as provided in ified in this chapter, or by a test meth- paragraph (kk)(1) of this section, ex- od specified in an approved State im- cept that the emission rate specified by plementation plan. any applicable State implementation (qq) PM10 means particulate matter plan (or, in the absence of such a limit, with an aerodynamic diameter less the actual emission rate) shall be used, than or equal to a nominal 10 microm- or (ii) the actual presence of a local eters as measured by a reference meth- nuisance caused by the existing stack, od based on appendix J of part 50 of as determined by the authority admin- this chapter and designated in accord- istering the State implementation ance with part 53 of this chapter or by plan; and an equivalent method designated in accordance with part 53 of this chapter. (3) For sources seeking credit after (rr) PM10 emissions means finely di- January 12, 1979 for a stack height de- vided solid or liquid material, with an termined under § 51.100(ii)(2) where the aerodynamic diameter less than or authority administering the State im- equal to a nominal 10 micrometers plementation plan requires the use of a emitted to the ambient air as measured field study or fluid model to verify by an applicable reference method, or GEP stack height, for sources seeking an equivalent or alternative method, stack height credit after November 9, specified in this chapter or by a test 1984 based on the aerodynamic influ- method specified in an approved State ence of cooling towers, and for sources implementation plan. seeking stack height credit after De- (ss) Total suspended particulate means cember 31, 1970 based on the aero- particulate matter as measured by the dynamic influence of structures not method described in appendix B of part adequately represented by the equa- 50 of this chapter. tions in § 51.100(ii)(2), a maximum ground-level concentration due in [51 FR 40661, Nov. 7, 1986] whole or part to downwash, wakes or EDITORIAL NOTE: For FEDERAL REGISTER ci- eddy effects that is at least 40 percent tations affecting § 51.100, see the List of CFR in excess of the maximum concentra- Sections Affected, which appears in the tion experienced in the absence of such Finding Aids section of the printed volume and at www.govinfo.gov. downwash, wakes, or eddy effects. (ll)–(mm) [Reserved] § 51.101 Stipulations. (nn) Intermittent control system Nothing in this part will be con- (ICS) means a dispersion technique strued in any manner: which varies the rate at which pollut- (a) To encourage a State to prepare, ants are emitted to the atmosphere ac- adopt, or submit a plan which does not cording to meteorological conditions provide for the protection and enhance- and/or ambient concentrations of the ment of air quality so as to promote pollutant, in order to prevent ground- the public health and welfare and pro- level concentrations in excess of appli- ductive capacity. cable ambient air quality standards. (b) To encourage a State to adopt Such a dispersion technique is an ICS any particular control strategy with- whether used alone, used with other out taking into consideration the cost- dispersion techniques, or used as a sup- effectiveness of such control strategy plement to continuous emission con- in relation to that of alternative controls (i.e., used as a supplemental control strategies. trol system). (c) To preclude a State from employ- (oo) Particulate matter means any air- ing techniques other than those speci- borne finely divided solid or liquid ma- fied in this part for purposes of esti- terial with an aerodynamic diameter mating air quality or demonstrating smaller than 100 micrometers. the adequacy of a control strategy,

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provided that such other techniques tice announcing the 30 day notification are shown to be adequate and appro- period clearly states: If no request for a priate for such purposes. public hearing is received the hearing will (d) To encourage a State to prepare, be cancelled; identifies the method and adopt, or submit a plan without taking time for announcing that the hearing has into consideration the social and eco- been cancelled; and provides a contact nomic impact of the control strategy phone number for the public to call to set forth in such plan, including, but find out if the hearing has been cancelled. not limited to, impact on availability These requirements apply for adoption of fuels, energy, transportation, and and submission to EPA of: employment. (1) Any plan or revision of it required (e) To preclude a State from pre- by § 51.104(a). paring, adopting, or submitting a plan which provides for attainment and (2) Any individual compliance sched- maintenance of a national standard ule under (§ 51.260). through the application of a control (3) Any revision under § 51.104(d). strategy not specifically identified or (b) Separate hearings may be held for described in this part. plans to implement primary and sec- (f) To preclude a State or political ondary standards. subdivision thereof from adopting or (c) No hearing will be required for enforcing any emission limitations or any change to an increment of progress other measures or combinations therein an approved individual compliance of to attain and maintain air quality schedule unless such change is likely better than that required by a national to cause the source to be unable to standard. comply with the final compliance date (g) To encourage a State to adopt a in the schedule. The requirements of control strategy uniformly applicable §§ 51.104 and 51.105 will be applicable to throughout a region unless there is no such schedules, however. satisfactory alternative way of pro- (d) Any hearing required by para- viding for attainment and maintenance graph (a) of this section will be held of a national standard throughout such only after reasonable notice, which will region. be considered to include, at least 30 [61 FR 30163, June 14, 1996] days prior to the date of such hearing(s): § 51.102 Public hearings. (1) Notice given to the public by (a) Except as otherwise provided in prominent advertisement in the area paragraph (c) of this section and within affected announcing the date(s), the 30 day notification period as re- time(s), and place(s) of such hearing(s); quired by paragraph (d) of this section, (2) Availability of each proposed plan States must provide notice, provide the or revision for public inspection in at opportunity to submit written com- least one location in each region to ments and allow the public the oppor- which it will apply, and the avail- tunity to request a public hearing. The ability of each compliance schedule for State must hold a public hearing or public inspection in at least one loca- provide the public the opportunity to tion in the region in which the affected request a public hearing. The notice source is located; announcing the 30 day notification period must include the date, place and (3) Notification to the Administrator time of the public hearing. If the State (through the appropriate Regional Of- provides the public the opportunity to fice); request a public hearing and a request (4) Notification to each local air pol- is received the State must hold the lution control agency which will be sig- scheduled hearing or schedule a public nificantly impacted by such plan, hearing (as required by paragraph (d) of schedule or revision; this section). The State may cancel the (5) In the case of an interstate region, public hearing through a method it notification to any other States in- identifies if no request for a public cluded, in whole or in part, in the re- hearing is received during the 30 day gions which are significantly impacted notification period and the original no- by such plan or schedule or revision.

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(e) The State must prepare and re- (b) Upon request by a State, the Ad- tain, for inspection by the Adminis- ministrator will work with the State trator upon request, a record of each to provide preliminary review of a plan hearing. The record must contain, as a or portion thereof submitted in ad- minimum, a list of witnesses together vance of the date such plan is due. with the text of each presentation. Such requests must be made to the ap- (f) The State must submit with the propriate Regional Office, and must in- plan, revision, or schedule, a certifi- dicate changes (such as redline/ cation that the requirements in para- strikethrough) to the existing approved graph (a) and (d) of this section were plan where applicable, and be sub- met. Such certification will include the mitted using a format agreed upon by date and place of any public hearing(s) the State and Regional Office. Re- held or that no public hearing was requests for preliminary review do not quested during the 30 day notification relieve a State of the responsibility of period. adopting and submitting plans in ac- (g) Upon written application by a cordance with prescribed due dates. State agency (through the appropriate Regional Office), the Administrator (c) In addition to conforming to the may approve State procedures for pub- requirements of appendix V to this part lic hearings. The following criteria for complete SIP submissions, the EPA apply: requests that the state consult with (1) Procedures approved under this the appropriate Regional Office regard- section shall be deemed to satisfy the ing any additional guidance for submit- requirement of this part regarding pub- ting a plan to EPA. lic hearings. [80 FR 7340, Feb. 10, 2015] (2) Procedures different from this part may be approved if they— § 51.104 Revisions. (i) Ensure public participation in (a) States may revise the plan from matters for which hearings are re- time to time consistent with the required; and quirements applicable to implementa- (ii) Provide adequate public notification plans under this part. tion of the opportunity to participate. (b) The States must submit any revi- (3) The Administrator may impose any conditions on approval he or she sion of any regulation or any compli- deems necessary. ance schedule under paragraph (c) of this section to the Administrator no [36 FR 22938, Nov. 25, 1971, as amended at 65 later than 60 days after its adoption. FR 8657, Feb. 22, 2000; 72 FR 38792, July 16, (c) EPA will approve revisions only 2007] after applicable hearing requirements § 51.103 Submission of plans, prelimi- of § 51.102 have been satisfied. nary review of plans. (d) In order for a variance to be considered for approval as a revision to the (a) The State makes an official plan submission to EPA only when the sub- State implementation plan, the State mission conforms to the requirements must submit it in accordance with the of appendix V to this part and the requirements of this section. State delivers the submission to EPA [51 FR 40661, Nov. 7, 1986, as amended at 61 through one of the three following FR 16060, Apr. 11, 1996] methods: An electronic submission through EPA’s eSIP submission sys- § 51.105 Approval of plans. tem; one paper submission to the ap- Revisions of a plan, or any portion propriate Regional Office with an exact thereof, will not be considered part of duplicate electronic version, preferably an applicable plan until such revisions in a word searchable format; or three paper submissions. Any State submis- have been approved by the Adminis- sion under this part, whether through trator in accordance with this part. the eSIP submission system or in paper [51 FR 40661, Nov. 7, 1986, as amended at 60 copy form, will serve as the official FR 33922, June 29, 1995] submission.

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Subpart G—Control Strategy may be made on a case-by-case basis or, where appropriate, on a generic basis for a specific State program. SOURCE: 51 FR 40665, Nov. 7, 1986, unless otherwise noted. Written approval of the Administrator must be obtained for any modification § 51.110 Attainment and maintenance or substitution. In addition, use of a of national standards. modified or substituted model must be (a) Each plan providing for the at- subject to notice and opportunity for tainment of a primary or secondary public comment under procedures set standard must specify the projected at- forth in § 51.102. tainment date. (b) The demonstration must include (b)–(f) [Reserved] the following: (g) During developing of the plan, (1) A summary of the computations, EPA encourages States to identify al- assumptions, and judgments used to ternative control strategies, as well as determine the degree of reduction of the costs and benefits of each such al- emissions (or reductions in the growth ternative for attainment or mainte- of emissions) that will result from the nance of the national standard. implementation of the control strat- [51 FR 40661 Nov. 7, 1986, as amended at 61 FR egy. 16060, Apr. 11, 1996; 61 FR 30163, June 14, 1996] (2) A presentation of emission levels expected to result from implementa- § 51.111 Description of control meas- tion of each measure of the control ures. strategy. Each plan must set forth a control (3) A presentation of the air quality strategy which includes the following: levels expected to result from imple- (a) A description of enforcement mentation of the overall control strat- methods including, but not limited to: egy presented either in tabular form or (1) Procedures for monitoring compli- as an isopleth map showing expected ance with each of the selected control maximum pollutant concentrations. measures, (4) A description of the dispersion (2) Procedures for handling viola- models used to project air quality and tions, and to evaluate control strategies. (3) A designation of agency responsibility for enforcement of implementa- (5) For interstate regions, the anal- tion. ysis from each constituent State must, (b) [Reserved] where practicable, be based upon the same regional emission inventory and [51 FR 40665, Nov. 7, 1986, as amended at 60 air quality baseline. FR 33922, June 29, 1995] [51 FR 40665, Nov. 7, 1986, as amended at 58 § 51.112 Demonstration of adequacy. FR 38821, July 20, 1993; 60 FR 40468, Aug. 9, (a) Each plan must demonstrate that 1995; 61 FR 41840, Aug. 12, 1996] the measures, rules, and regulations § 51.113 [Reserved] contained in it are adequate to provide for the timely attainment and mainte- § 51.114 Emissions data and projec- nance of the national standard that it tions. implements. (1) The adequacy of a control strat- (a) Except for lead, each plan must egy shall be demonstrated by means of contain a detailed inventory of emis- applicable air quality models, data sions from point and area sources. Lead bases, and other requirements specified requirements are specified in § 51.117. in appendix W of this part (Guideline The inventory must be based upon on Air Quality Models). measured emissions or, where meas- (2) Where an air quality model speci- ured emissions are not available, docu- fied in appendix W of this part (Guide- mented emission factors. line on Air Quality Models) is inappro- (b) Each plan must contain a sum- priate, the model may be modified or mary of emission levels projected to re- another model substituted. Such a sult from application of the new con- modification or substitution of a model trol strategy.

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(c) Each plan must identify the sented in such a manner as to show the sources of the data used in the projec- relationship between measured or esti- tion of emissions. mated amounts of emissions and the amounts of such emissions allowable § 51.115 Air quality data and projec- under the applicable emission limitations. tions or other measures. (a) Each plan must contain a summary of data showing existing air qual- § 51.117 Additional provisions for lead. ity. In addition to other requirements in (b) Each plan must: §§ 51.100 through 51.116 the following re- (1) Contain a summary of air quality quirements apply to lead. To the ex- concentrations expected to result from tent they conflict, there requirements application of the control strategy, and are controlling over those of the pro- (2) Identify and describe the disper- ceeding sections. sion model, other air quality model, or (a) Control strategy demonstration. receptor model used. Each plan must contain a demonstra- (c) Actual measurements of air qual- tion showing that the plan will attain ity must be used where available if and maintain the standard in the fol- made by methods specified in appendix lowing areas: C to part 58 of this chapter. Estimated (1) Areas in the vicinity of the fol- air quality using appropriate modeling lowing point sources of lead: Primary techniques may be used to supplement lead smelters, Secondary lead smelters, measurements. Primary copper smelters, Lead gaso- (d) For purposes of developing a con- line additive plants, Lead-acid storage trol strategy, background concentra- battery manufacturing plants that tion shall be taken into consideration produce 2,000 or more batteries per day. with respect to particulate matter. As Any other stationary source that actu- used in this subpart, background con- ally emits 25 or more tons per year of centration is that portion of the meas- lead or lead compounds measured as ured ambient levels that cannot be re- elemental lead. duced by controlling emissions from (2) Any other area that has lead air man-made sources. concentrations in excess of the na- (e) In developing an ozone control tional ambient air quality standard strategy for a particular area, back- concentration for lead, measured since ground ozone concentrations and ozone January 1, 1974. transported into an area must be con- (b) Time period for demonstration of sidered. States may assume that the adequacy. The demonstration of ade- ozone standard will be attained in quacy of the control strategy required upwind areas. under § 51.112 may cover a longer period if allowed by the appropriate EPA Re- § 51.116 Data availability. gional Administrator. (a) The State must retain all detailed (c) Special modeling provisions. (1) For data and calculations used in the prep- urbanized areas with measured lead aration of each plan or each plan revi- concentrations in excess of 4.0 μg/m3, sion, and make them available for pub- quarterly mean measured since Janu- lic inspection and submit them to the ary 1, 1974, the plan must employ the Administrator at his request. modified rollback model for the dem- (b) The detailed data and calcula- onstration of attainment as a min- tions used in the preparation of plan imum, but may use an atmospheric dis- revisions are not considered a part of persion model if desired, consistent the plan. with requirements contained in (c) Each plan must provide for public § 51.112(a). If a proportional model is availability of emission data reported used, the air quality data should be the by source owners or operators or other- same year as the emissions inventory wise obtained by a State or local agen- required under the paragraph e. cy. Such emission data must be cor- (2) For each point source listed in related with applicable emission limi- § 51.117(a), that plan must employ an tations or other measures. As used in atmospheric dispersion model for dem- this paragraph, correlated means pre- onstration of attainment, consistent

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with requirements contained in (HATREMS) point source coding forms § 51.112(a). for all point sources and the area (3) For each area in the vicinity of an source coding forms for all sources that air quality monitor that has recorded are not point sources, but need not nec- lead concentrations in excess of the essarily be in the format of those lead national standard concentration, forms. the plan must employ the modified [41 FR 18388, May 3, 1976, as amended at 58 rollback model as a minimum, but may FR 38822, July 20, 1993; 73 FR 67057, Nov. 12, use an atmospheric dispersion model if 2008] desired for the demonstration of attainment, consistent with require- § 51.118 Stack height provisions. ments contained in § 51.112(a). (a) The plan must provide that the (d) Air quality data and projections. (1) degree of emission limitation required Each State must submit to the appro- of any source for control of any air pol- priate EPA Regional Office with the lutant must not be affected by so much plan, but not part of the plan, all lead of any source’s stack height that ex- air quality data measured since Janu- ceeds good engineering practice or by ary 1, 1974. This requirement does not any other dispersion technique, except apply if the data has already been sub- as provided in § 51.118(b). The plan must mitted. provide that before a State submits to (2) The data must be submitted in ac- EPA a new or revised emission limita- cordance with the procedures and data tion that is based on a good engineer- forms specified in Chapter 3.4.0 of the ing practice stack height that exceeds ‘‘AEROS User’s Manual’’ concerning the height allowed by § 51.100(ii) (1) or storage and retrieval of aerometric (2), the State must notify the public of data (SAROAD) except where the Re- the availabilty of the demonstration gional Administrator waives this re- study and must provide opportunity for quirement. a public hearing on it. This section (3) If additional lead air quality data does not require the plan to restrict, in are desired to determine lead air con- any manner, the actual stack height of centrations in areas suspected of ex- any source. ceeding the lead national ambient air (b) The provisions of § 51.118(a) shall quality standard, the plan may include not apply to (1) stack heights in exist- data from any previously collected fil- ence, or dispersion techniques imple- ters from particulate matter high vol- mented on or before December 31, 1970, ume samplers. In determining the lead except where pollutants are being content of the filters for control strat- emitted from such stacks or using such egy demonstration purposes, a State dispersion techniques by sources, as de- may use, in addition to the reference fined in section 111(a)(3) of the Clean method, X-ray fluorescence or any Air Act, which were constructed, or re- other method approved by the Regional constructed, or for which major modi- Administrator. fications, as defined in (e) Emissions data. (1) The point §§ 51.165(a)(1)(v)(A), 51.166(b)(2)(i) and source inventory on which the sum- 52.21(b)(2)(i), were carried out after De- mary of the baseline for lead emissions cember 31, 1970; or (2) coal-fired steam inventory is based must contain all electric generating units subject to the sources that emit 0.5 or more tons of provisions of section 118 of the Clean lead per year. Air Act, which commenced operation (2) Each State must submit lead before July 1, 1957, and whose stacks emissions data to the appropriate EPA were construced under a construction Regional Office with the original plan. contract awarded before February 8, The submission must be made with the 1974. plan, but not as part of the plan, and must include emissions data and infor- § 51.119 Intermittent control systems. mation related to point and area (a) The use of an intermittent con- source emissions. The emission data trol system (ICS) may be taken into and information should include the in- account in establishing an emission formation identified in the Hazardous limitation for a pollutant under a and Trace Emissions System State implementation plan, provided:

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(1) The ICS was implemented before to the data from the monitors and in- December 31, 1970, according to the cri- strumentation. teria specified in § 51.119(b). (ii) Requirements which specify the (2) The extent to which the ICS is circumstances under which, the extent taken into account is limited to reflect to which, and the procedures through emission levels and associated ambient which, emissions shall be curtailed pollutant concentrations that would through the activation of ICS. result if the ICS was the same as it was (iii) Requirements for recordkeeping before December 31, 1970, and was oper- which require the owner or operator of ated as specified by the operating sys- the source to keep, for periods of at tem of the ICS before December 31, least 3 years, records of measured am- 1970. bient air quality data, meteorological (3) The plan allows the ICS to com- information acquired, and production pensate only for emissions from a data relating to those processes af- source for which the ICS was imple- fected by the ICS. mented before December 31, 1970, and, (iv) Requirements for reporting in the event the source has been modi- which require the owner or operator of fied, only to the extent the emissions the source to notify the State and EPA correspond to the maximum capacity within 30 days of a NAAQS violation of the source before December 31, 1970. pertaining to the pollutant affected by For purposes of this paragraph, a the ICS. source for which the ICS was imple- (7) Nothing in this paragraph affects mented is any particular structure or the applicability of any new source re- equipment the emissions from which view requirements or new source per- were subject to the ICS operating pro- formance standards contained in the cedures. Clean Air Act or 40 CFR subchapter C. (4) The plan requires the continued Nothing in this paragraph precludes a operation of any constant pollution State from taking an ICS into account control system which was in use before in establishing emission limitations to December 31, 1970, or the equivalent of any extent less than permitted by this that system. paragraph. (5) The plan clearly defines the emis- (b) An intermittent control system sion limits affected by the ICS and the (ICS) may be considered implemented manner in which the ICS is taken into for a pollutant before December 31, account in establishing those limits. 1970, if the following criteria are met: (6) The plan contains requirements (1) The ICS must have been estab- for the operation and maintenance of lished and operational with respect to the qualifying ICS which, together that pollutant prior to December 31, with the emission limitations and any 1970, and reductions in emissions of other necessary requirements, will as- that pollutant must have occurred sure that the national ambient air when warranted by meteorological and quality standards and any applicable ambient monitoring data. prevention of significant deterioration (2) The ICS must have been designed increments will be attained and main- and operated to meet an air quality obtained. These requirements shall in- jective for that pollutant such as an air clude, but not necessarily be limited quality level or standard. to, the following: (3) The ICS must, at a minimum, (i) Requirements that a source owner have included the following compo- or operator continuously operate and nents prior to December 31, 1970: maintain the components of the ICS (i) Air quality monitors. An array of specified at § 51.119(b)(3) (ii)–(iv) in a sampling stations whose location and manner which assures that the ICS is type were consistent with the air qual- at least as effective as it was before De- ity objective and operation of the sys- cember 31, 1970. The air quality mon- tem. itors and meteorological instrumenta- (ii) Meteorological instrumentation. A tion specified at § 51.119(b) may be oper- meteorological data acquisition net- ated by a local authority or other enti- work (may be limited to a single sta- ty provided the source has ready access tion) which provided meteorological

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prediction capabilities sufficient to de- achieved by the Ozone Transport Com- termine the need for, and degree of, mission low emission vehicle (OTC emission curtailments necessary to LEV) program described in paragraph achieve the air quality design objec- (c) of this section. This inadequacy will tive. be deemed cured for each of the afore- (iii) Operating system. A system of es- mentioned States (including the Dis- tablished procedures for determining trict of Columbia) in the event that the need for curtailments and for ac- EPA determines through rulemaking complishing such curtailments. Docu- that a national LEV-equivalent new mentation of this system, as required motor vehicle emission control pro- by paragraph (n)(4), may consist of a gram is an acceptable alternative for compendium of memoranda or com- OTC LEV and finds that such program parable material which define the cri- is in effect. In the event no such find- teria and procedures for curtailments ing is made, each of those States must and which identify the type and num- adopt and submit to EPA by February ber of personnel authorized to initiate 15, 1996 a SIP revision meeting the re- curtailments. quirements of paragraph (b) of this sec- (iv) Meteorologist. A person, schooled tion in order to cure the SIP inad- in meteorology, capable of interpreting data obtained from the meteorological equacy. network and qualified to forecast me- (b) If a SIP revision is required under teorological incidents and their effect paragraph (a) of this section, it must on ambient air quality. Sources may contain the OTC LEV program de- have obtained meteorological services scribed in paragraph (c) of this section through a consultant. Services of such unless the State adopts and submits to a consultant could include sufficient EPA, as a SIP revision, other emission- training of source personnel for certain reduction measures sufficient to meet operational procedures, but not for de- the requirements of paragraph (d) of sign, of the ICS. this section. If a State adopts and sub- (4) Documentation sufficient to sup- mits to EPA, as a SIP revision, other port the claim that the ICS met the emission-reduction measures pursuant criteria listed in this paragraph must to paragraph (d) of this section, then be provided. Such documentation may for purposes of determining whether include affidavits or other documenta- such a SIP revision is complete within tion. the meaning of section 110(k)(1) (and hence is eligible at least for consider- § 51.120 Requirements for State Imple- ation to be approved as satisfying para- mentation Plan revisions relating to new motor vehicles. graph (d) of this section), such a SIP revision must contain other adopted (a) The EPA Administrator finds that emission-reduction measures that, to- the State Implementation Plans (SIPs) gether with the identified potentially for the States of Connecticut, Dela- broadly practicable measures, achieve ware, Maine, Maryland, Massachusetts, at least the minimum level of emission New Hampshire, New Jersey, New reductions that could potentially sat- York, Pennsylvania, Rhode Island, and isfy the requirements of paragraph (d) Vermont, the portion of Virginia in- of this section. All such measures must cluded (as of November 15, 1990) within the Consolidated Metropolitan Statis- be fully adopted and enforceable. tical Area that includes the District of (c) The OTC LEV program is a pro- Columbia, are substantially inadequate gram adopted pursuant to section 177 to comply with the requirements of of the Clean Air Act. section 110(a)(2)(D) of the Clean Air (1) The OTC LEV program shall con- Act, 42 U.S.C. 7410(a)(2)(D), and to miti- tain the following elements: gate adequately the interstate pollut- (i) It shall apply to all new 1999 and ant transport described in section 184 later model year passenger cars and of the Clean Air Act, 42 U.S.C. 7511C, to light-duty trucks (0–5750 pounds loaded the extent that they do not provide for vehicle weight), as defined in Title 13, emission reductions from new motor California Code of Regulations, section vehicles in the amount that would be 1900(b)(11) and (b)(8), respectively, that

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are sold, imported, delivered, pur- years immediately preceding model chased, leased, rented, acquired, re- year 1999, in a manner consistent with ceived, or registered in any area of the California banking and discounting State that is in the Northeast Ozone procedures. Transport Region as of December 19, (vi) The provisions for small volume 1994. manufacturers and intermediate vol- (ii) All vehicles to which the OTC ume manufacturers, as applied by Title LEV program is applicable shall be re- 13, California Code of Regulations to quired to have a certificate from the California’s LEV program, shall apply. California Air Resources Board (CARB) Those manufacturers defined as small affirming compliance with California volume manufacturers and inter- standards. mediate volume manufacturers in Cali- (iii) All vehicles to which this LEV fornia under California’s regulations program is applicable shall be required shall be considered small volume man- to meet the mass emission standards ufacturers and intermediate volume for Non-Methane Organic Gases manufacturers under this program. (NMOG), Carbon Monoxide (CO), Oxides (vii) The provisions for hybrid elec- of Nitrogen (NOX), Formaldehyde tric vehicles (HEVs), as defined in Title (HCHO), and particulate matter (PM) 13 California Code of Regulations, sec- as specified in Title 13, California Code tion 1960.1, shall apply for purposes of of Regulations, section 1960.1(f)(2) (and calculating fleet average NMOG values. formaldehyde standards under section (viii) The provisions for fuel-flexible 1960.1(e)(2), as applicable) or as speci- vehicles and dual-fuel vehicles specified by California for certification as a fied in Title 13, California Code of Reg- TLEV (Transitional Low-Emission Ve- ulations, section 1960.1(g)(1) footnote 4 hicle), LEV (Low-Emission Vehicle), shall apply. ULEV (Ultra-Low-Emission Vehicle), or ZEV (Zero-Emission Vehicle) under (ix) The provisions for reactivity ad- section 1960.1(g)(1) (and section justment factors, as defined by Title 13, 1960.1(e)(3), for formaldehyde standards, California Code of Regulations, shall as applicable). apply. (iv) All manufacturers of vehicles (x) The aforementioned State OTC subject to the OTC LEV program shall LEV standards shall be identical to the be required to meet the fleet average aforementioned California standards as NMOG exhaust emission values for pro- such standards exist on December 19, duction and delivery for sale of their 1994. passenger cars, light-duty trucks 0–3750 (xi) All States’ OTC LEV programs pounds loaded vehicle weight, and must contain any other provisions of light-duty trucks 3751–5750 pounds California’s LEV program specified in loaded vehicle weight specified in Title Title 13, California Code of Regulations 13, California Code of Regulations, sec- necessary to comply with section 177 of tion 1960.1(g)(2) for each model year be- the Clean Air Act. ginning in 1999. A State may determine (2) States are not required to include not to implement the NMOG fleet aver- the mandate for production of ZEVs age in the first model year of the pro- specified in Title 13, California Code of gram if the State begins implementa- Regulations, section 1960.1(g)(2) foot- tion of the program late in a calendar note 9. year. However, all States must imple- (3) Except as specified elsewhere in ment the NMOG fleet average in any this section, States may implement the full model years of the LEV program. OTC LEV program in any manner con- (v) All manufacturers shall be al- sistent with the Act that does not de- lowed to average, bank and trade cred- crease the emissions reductions or its in the same manner as allowed jeopardize the effectiveness of the pro- under the program specified in Title 13, gram. California Code of Regulations, section (d) The SIP revision that paragraph 1960.1(g)(2) footnote 7 for each model (b) of this section describes as an alter- year beginning in 1999. States may ac- native to the OTC LEV program de- count for credits banked by manufac- scribed in paragraph (c) of this section turers in California or New York in must contain a set of State-adopted

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measures that provides at least the fol- tially inadequate to comply with the lowing amount of emission reductions requirements of section in time to bring serious ozone non- 110(a)(2)(D)(i)(I) of the Clean Air Act attainment areas into attainment by (CAA), 42 U.S.C. 7410(a)(2)(D)(i)(I), be- their 1999 attainment date: cause the SIP does not include ade- (1) Reductions at least equal to the quate provisions to prohibit sources difference between: and other activities from emitting ni- (i) The nitrogen oxides (NOX) emis- trogen oxides (‘‘NOX’’) in amounts that sion reductions from the 1990 statewide will contribute significantly to non- emissions inventory achievable attainment in one or more other States through implementation of all of the with respect to the 1-hour ozone na- Clean Air Act-mandated and poten- tional ambient air quality standards tially broadly practicable control (NAAQS). Each of the jurisdictions measures throughout all portions of listed in paragraph (c) of this section the State that are within the North- must submit to EPA a SIP revision east Ozone Transport Region created under section 184(a) of the Clean Air that cures the inadequacy. Act as of December 19, 1994; and (2) [Reserved] (3) As used in this section, these (ii) A reduction in NOX emissions from the 1990 statewide inventory in terms shall have the following mean- such portions of the State of 50% or ings: whatever greater reduction is nec- Nitrogen oxides or NOX means all ox- essary to prevent significant contribu- ides of nitrogen except nitrous oxide tion to nonattainment in, or inter- (N2O), reported on an equivalent molec- ference with maintenance by, any ular weight basis as nitrogen dioxide downwind State. (NO2). (2) Reductions at least equal to the Ozone season means the period from difference between: May 1 to September 30 of a year. (i) The VOC emission reductions from Phase I SIP submission means a SIP the 1990 statewide emissions inventory revision submitted by a State on or be- achievable through implementation of fore October 30, 2000 in compliance with all of the Clean Air Act-mandated and paragraph (b)(1)(ii) of this section to potentially broadly practicable control limit projected NOX emissions during measures in all portions of the State the ozone season from sources in the in, or near and upwind of, any of the se- relevant portion or all of the State, as rious or severe ozone nonattainment applicable, to no more than the State’s areas lying in the series of such areas Phase I NO ozone season budget under running northeast from the Wash- X paragraph (e) of this section. ington, DC, ozone nonattainment area to and including the Portsmouth, New Phase II SIP submission means a SIP Hampshire ozone nonattainment area; revision submitted by a State in com- and pliance with paragraph (b)(1)(ii) of this (ii) A reduction in VOC emissions section to limit projected NOX emis- from the 1990 emissions inventory in sions during the ozone season from all such areas of 50% or whatever sources in the relevant portion or all of greater reduction is necessary to pre- the State, as applicable, to no more vent significant contribution to non- than the State’s final NOX ozone season attainment in, or interference with budget under paragraph (e) of this sec- maintenance by, any downwind State. tion. (b)(1) For each jurisdiction listed in [60 FR 4736, Jan. 24, 1995] paragraph (c) of this section, each SIP § 51.121 Findings and requirements for revision required under paragraph (a) submission of State implementation of this section will contain adequate plan revisions relating to emissions provisions, for purposes of complying of nitrogen oxides. with section 110(a)(2)(D)(i)(I) of the (a)(1) The Administrator finds that CAA, 42 U.S.C. 7410(a)(2)(D)(i)(I), only if the State implementation plan (SIP) the SIP revision: for each jurisdiction listed in para- (i) Contains control measures ade- graph (c) of this section is substan- quate to prohibit emissions of NOX that 194

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would otherwise be projected, in ac- (2)(i) The State-by-State amounts of cordance with paragraph (g) of this sec- the Phase I and final NOX ozone season tion, to cause the jurisdiction’s overall budgets, expressed in tons, are listed in NOX emissions during the ozone season Table 1 to this paragraph (e)(2)(i): to be in excess of the applicable NOX ozone season budget for that jurisdic- TABLE 1 TO PARAGRAPH (e)(2)(i)—STATE NOX tion described in paragraph (e) of this OZONE SEASON BUDGETS section; Phase I NOX Final NOX ozone (ii) Requires full implementation of ozone season season budget State budget (2007 and there- all such control measures by no later (2004–2006) after) than May 31, 2004 for the sources covered by a Phase I SIP submission and Alabama ...... 124,795 119,827 Connecticut ...... 42,891 42,850 May 1, 2007 for the sources covered by Delaware ...... 23,522 22,862 a Phase II SIP submission; and District of Columbia 6,658 6,657 (iii) Meets the other requirements of Illinois ...... 278,146 271,091 this section. The SIP revision’s compli- Indiana ...... 234,625 230,381 Kentucky ...... 165,075 162,519 ance with the requirement of para- Maryland ...... 82,727 81,947 graph (b)(1)(i) of this section shall be Massachusetts ...... 85,871 84,848 considered compliance with the juris- Michigan ...... 191,941 190,908 Missouri ...... 61,406 diction’s NOX ozone season budget for New Jersey ...... 95,882 96,876 purposes of this section. New York ...... 241,981 240,322 (2) [Reserved] North Carolina ...... 171,332 165,306 Ohio ...... 252,282 249,541 (c) The following jurisdictions (here- Pennsylvania ...... 268,158 257,928 inafter referred to as ‘‘States’’) are Rhode Island ...... 9,570 9,378 subject to the requirement of this sec- South Carolina ...... 127,756 123,496 Tennessee ...... 201,163 198,286 tion: Virginia ...... 186,689 180,521 (1) Connecticut, Delaware, Illinois, West Virginia ...... 85,045 83,921 Indiana, Kentucky, Maryland, Massa- chusetts, New Jersey, New York, North (ii) (A) For purposes of paragraph Carolina, Ohio, Pennsylvania, Rhode (e)(2)(i) of this section, in the case of Island, South Carolina, Tennessee, Vir- each State listed in paragraphs ginia, West Virginia, and the District (e)(2)(ii)(B) through (E) of this section, of Columbia. the NOX ozone season budget is defined (2) The portions of Alabama, Michi- as the total amount of NOX emissions gan, and Missouri within the fine grid from all sources in the specified coun- of the OTAG modeling domain. The ties in that State, as indicated in para- fine grid is the area encompassed by a graph (e)(2)(i) of this section with re- box with the following geographic co- spect to the State, which the State ordinates: Southwest Corner, 92 de- must demonstrate that it will not ex- grees West longitude and 32 degrees ceed in the 2007 ozone season pursuant North latitude; and Northeast Corner, to paragraph (g)(1) of this section. 69.5 degrees West longitude and 44 de- (B) In the case of Alabama, the coun- grees North latitude. ties are: Autauga, Bibb, Blount, Cal- (d)(1) [Reserved] houn, Chambers, Cherokee, Chilton, (2) Each SIP submission under this Clay, Cleburne, Colbert, Coosa, section must comply with § 51.103 (re- Cullman, Dallas, DeKalb, Elmore, garding submission of plans). Etowah, Fayette, Franklin, Greene, (e)(1) Except as provided in paragraph Hale, Jackson, Jefferson, Lamar, Lau- (e)(2)(ii) of this section, the NOX ozone derdale, Lawrence, Lee, Limestone, season budget for a State listed in Macon, Madison, Marion, Marshall, paragraph (c) of this section is defined Morgan, Perry, Pickens, Randolph, as the total amount of NOX emissions Russell, St. Clair, Shelby, Sumter, from all sources in that State, as indi- Talladega, Tallapoosa, Tuscaloosa, cated in paragraph (e)(2)(i) of this sec- Walker, and Winston. tion with respect to that State, which (C) [Reserved] the State must demonstrate that it (D) In the case of Michigan, the coun- will not exceed in the 2007 ozone season ties are: Allegan, Barry, Bay, Berrien, pursuant to paragraph (g)(1) of this sec- Branch, Calhoun, Cass, Clinton, Eaton, tion. Genesee, Gratiot, Hillsdale, Ingham,

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Ionia, Isabella, Jackson, Kalamazoo, its NOX ozone season budget in the 2007 Kent, Lapeer, Lenawee, Livingston, ozone season; and Macomb, Mecosta, Midland, Monroe, (ii) Impose enforceable mechanisms, Montcalm, Muskegon, Newaygo, Oak- in accordance with paragraphs (b)(1)(i) land, Oceana, Ottawa, Saginaw, St. and (ii) of this section, to assure that Clair, St. Joseph, Sanilac, Shiawassee, collectively all such sources, including Tuscola, Van Buren, Washtenaw, and new or modified units, will not exceed Wayne. in the 2007 ozone season the total NOX (E) In the case of Missouri, the coun- emissions projected for such sources by ties are: Bollinger, Butler, Cape the State pursuant to paragraph (g) of Girardeau, Carter, Clark, Crawford, this section. Dent, Dunklin, Franklin, Gasconade, (3) For purposes of paragraph (f)(2) of Iron, Jefferson, Lewis, Lincoln, Madi- this section, the term ‘‘fossil fuel- son, Marion, Mississippi, Montgomery, fired’’ means, with regard to a NOX New Madrid, Oregon, Pemiscot, Perry, source: Pike, Ralls, Reynolds, Ripley, St. (i) The combustion of fossil fuel, Charles, St. Francois, St. Louis, St. alone or in combination with any other Louis City, Ste. Genevieve, Scott, fuel, where fossil fuel actually com- Shannon, Stoddard, Warren, Wash- busted comprises more than 50 percent ington, and Wayne. of the annual heat input on a Btu basis (f) Each SIP revision must set forth during any year starting in 1995 or, if a control measures to meet the NOX NOX source had no heat input starting ozone season budget in accordance with in 1995, during the last year of oper- paragraph (b)(1)(i) of this section, ation of the NOX source prior to 1995; or which include the following: (ii) The combustion of fossil fuel, (1) A description of enforcement alone or in combination with any other methods including, but not limited to: fuel, where fossil fuel is projected to (i) Procedures for monitoring compli- comprise more than 50 percent of the ance with each of the selected control annual heat input on a Btu basis dur- measures; ing any year; provided that the NOX (ii) Procedures for handling viola- source shall be ‘‘fossil fuel-fired’’ as of tions; and the date, during such year, on which (iii) A designation of agency respon- the NOX source begins combusting fos- sibility for enforcement of implemen- sil fuel. tation. (g)(1) Each SIP revision must dem- (2) Should a State elect to impose onstrate that the control measures control measures on fossil fuel-fired contained in it are adequate to provide NOX sources serving electric generators for the timely compliance with the with a nameplate capacity greater State’s NOX ozone season budget dur- than 25 MWe or boilers, combustion ing the 2007 ozone season. turbines or combined cycle units with (2) The demonstration must include a maximum design heat input greater the following: than 250 mmBtu/hr as a means of meet- (i) Each revision must contain a de- ing its NO ozone season budget, then X tailed baseline inventory of NOX mass those measures must: emissions during the ozone season from (i)(A) Impose a NOX mass emissions the following sources in the year 2007, cap on each source; absent the control measures specified (B) Impose a NOX emissions rate in the SIP submission: electric gener- limit on each source and assume max- ating units (EGU), non-electric gener- imum operating capacity for every ating units (non-EGU), area, nonroad such source for purposes of estimating and highway sources. The State must NOX mass emissions; or use the same baseline emissions inven- (C) Impose any other regulatory re- tory that EPA used in calculating the quirement which the State has dem- State’s NOX ozone season budget, ex- onstrated to EPA provides equivalent cept that EPA may direct the State to or greater assurance than options in use different baseline inventory infor- paragraph (f)(2)(i)(A) or (B) of this sec- mation if the State fails to certify that tion that the State will comply with it has implemented all of the control

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measures assumed in developing the combined cycle units with a maximum baseline inventory. design heat input greater than 250 (ii) [Reserved] mmBtu/hr, then the revision may re- (iii) Each revision must contain a quire some or all such sources to com- summary of NOX mass emissions dur- ply with the full set of monitoring, rec- ing the ozone season in 2007 projected ordkeeping, and reporting provisions of to result from implementation of each 40 CFR part 75, subpart H. A State re- of the control measures specified in the quiring such compliance authorizes the SIP submission and from all NOX Administrator to assist the State in sources together following implemen- implementing the revision by carrying tation of all such control measures, out the functions of the Administrator compared to the baseline 2007 NOX under such part. emissions inventory for the State de- (5) For purposes of paragraph (i)(4) of scribed in paragraph (g)(2)(i) of this this section, the term ‘‘fossil fuel- section. The State must provide EPA fired’’ has the meaning set forth in with a summary of the computations, paragraph (f)(3) of this section. assumptions, and judgments used to (j) Each revision must show that the determine the degree of reduction in State has legal authority to carry out projected 2007 NOX emissions that will the revision, including authority to: be achieved from the implementation (1) Adopt emissions standards and of the new control measures compared limitations and any other measures to the baseline emissions inventory. necessary for attainment and mainte- (iv) Each revision must identify the nance of the State’s NO ozone season sources of the data used in the projec- X budget specified in paragraph (e) of tion of emissions. this section; (h) Each revision must comply with § 51.116 (regarding data availability). (2) Enforce applicable laws, regula- (i) Each revision must provide for tions, and standards, and seek injunc- monitoring the status of compliance tive relief; with any control measures adopted to (3) Obtain information necessary to determine whether air pollution meet the NOX ozone season budget. Specifically, the revision must meet sources are in compliance with applica- the following requirements: ble laws, regulations, and standards, (1) The revision must provide for le- including authority to require record- gally enforceable procedures for requir- keeping and to make inspections and ing owners or operators of stationary conduct tests of air pollution sources; sources to maintain records of and pe- (4) Require owners or operators of riodically report to the State: stationary sources to install, maintain, (i) Information on the amount of NOX and use emissions monitoring devices emissions from the stationary sources; and to make periodic reports to the and State on the nature and amounts of (ii) Other information as may be nec- emissions from such stationary essary to enable the State to determine sources; also authority for the State to whether the sources are in compliance make such data available to the public with applicable portions of the control as reported and as correlated with any measures; applicable emissions standards or limi- (2) The revision must comply with tations. § 51.212 (regarding testing, inspection, (k)(1) The provisions of law or regula- enforcement, and complaints); tion which the State determines pro- (3) If the revision contains any trans- vide the authorities required under this portation control measures, then the section must be specifically identified, revision must comply with § 51.213 (re- and copies of such laws or regulations garding transportation control meas- must be submitted with the SIP revi- ures); sion. (4) If the revision contains measures (2) Legal authority adequate to fulfill to control fossil fuel-fired NOX sources the requirements of paragraphs (j)(3) serving electric generators with a and (4) of this section may be delegated nameplate capacity greater than 25 to the State under section 114 of the MWe or boilers, combustion turbines or CAA, 42 U.S.C. 7414.

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(l)(1) A revision may assign legal au- § 51.122 Emissions reporting require- thority to local agencies in accordance ments for SIP revisions relating to with § 51.232. budgets for NOX emissions. (2) Each revision must comply with (a) As used in this section, words and § 51.240 (regarding general plan require- terms shall have the meanings set ments). forth in § 51.50. In addition, the fol- (m) Each revision must comply with lowing terms shall apply to this sec- § 51.280 (regarding resources). tion: (n) For purposes of the SIP revisions (1) Ozone season emissions means required by this section, EPA may emissions during the period from May 1 make a finding as applicable under sec- through September 30 of a year. (2) Summer day emissions means an tion 179(a)(1)–(4) of the CAA, 42 U.S.C. average day’s emissions for a typical 7509(a)(1)–(4), starting the sanctions summer work weekday. The state will process set forth in section 179(a) of the select the particular month(s) in sum- CAA. Any such finding will be deemed mer and the day(s) in the work week to a finding under 40 CFR 52.31(c) and be represented. sanctions will be imposed in accord- (b) For its transport SIP revision ance with the order of sanctions and under § 51.121, each state must submit the terms for such sanctions estab- to EPA NOX emissions data as de- lished in 40 CFR 52.31. scribed in this section. (o) Each revision must provide for (c) Each revision must provide for State compliance with the reporting periodic reporting by the state of NOX requirements set forth in § 51.122. emissions data to demonstrate whether (p)–(q) [Reserved] the state’s emissions are consistent (r)(1) Notwithstanding any provisions with the projections contained in its of subparts A through I of 40 CFR part approved SIP submission. 96 and any State’s SIP to the contrary, (1) For the every-year reporting with regard to any ozone season that cycle, each revision must provide for occurs after September 30, 2008, the Ad- reporting of NOX emissions data every year as follows: ministrator will not carry out any of (i) The state must report to EPA the functions set forth for the Adminis- emissions data from all NOX sources trator in subparts A through I of 40 within the state for which the state CFR part 96 or in any emissions trad- specified control measures in its SIP ing program provisions in a State’s SIP submission under § 51.121(g), including approved under this section. all sources for which the state has (2) Except as provided in 40 CFR adopted measures that differ from the 52.38(b)(10)(ii), a State whose SIP is ap- measures incorporated into the base- proved as meeting the requirements of line inventory for the year 2007 that this section and that includes or in- the state developed in accordance with cluded an emissions trading program § 51.121(g).The state must also report to approved under this section must re- EPA ozone season emissions of NOX vise the SIP to adopt control measures and summer day emissions of NOX from that satisfy the same portion of the any point, nonpoint, onroad mobile, or State’s NOX emissions reduction re- nonroad mobile source for which the quirements under this section as the state specified control measures in its State projected such emissions trading SIP submission under § 51.121(g). program would satisfy. (ii) If sources report NOX emissions data to EPA for a given year pursuant [63 FR 57491, Oct. 27, 1998, as amended at 63 to the monitoring and reporting re- FR 71225, Dec. 24, 1998; 64 FR 26305, May 14, quirements of 40 CFR part 75, then the 1999; 65 FR 11230, Mar. 2, 2000; 65 FR 56251, state need not provide an every-year Sept. 18, 2000; 69 FR 21642, Apr. 21, 2004; 70 FR cycle report to EPA for such sources. 25317, May 12, 2005; 70 FR 51597, Aug. 31, 2005; (2) For the 3-year cycle reporting, 73 FR 21538, Apr. 22, 2008; 76 FR 48353, Aug. 8, each plan must provide for triennial 2011; 79 FR 71671, Dec. 3, 2014; 84 FR 8442, Mar. (i.e., every third year) reporting of NO 8, 2019] X emissions data from all sources within the state. The state must also report to

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EPA ozone season emissions of NOX section must submit a SIP revision to and summer day emissions of NOX from comply with the requirements of sec- all point sources, nonpoint sources, tion 110(a)(2)(D)(i)(I) of the CAA, 42 onroad mobile sources, and nonroad U.S.C. 7410(a)(2)(D)(i)(I), through the mobile sources. adoption of adequate provisions prohib- (3) The data availability require- iting sources and other activities from ments in § 51.116 must be followed for emitting NOX in amounts that will con- all data submitted to meet the require- tribute significantly to nonattainment ments of paragraphs (c)(1) and (2) of in, or interfere with maintenance by, this section. one or more other States with respect (d) [Reserved] to the 8-hour ozone NAAQS. (e) Each state must submit for EPA (3) Notwithstanding the other provi- approval an example of the calculation sions of this section, such provisions procedure used to calculate ozone sea- are not applicable as they relate to the son emissions along with sufficient in- State of Minnesota as of December 3, formation to verify the calculated 2009. value of ozone season emissions. (b) For each State identified in para- (f) Data collection is to begin during graph (c) of this section, the SIP revi- the ozone season 1 year prior to the sion required under paragraph (a) of state’s NOX SIP Call compliance date. this section will contain adequate pro- (g) The state shall report emissions visions, for purposes of complying with as point sources according to the point section 110(a)(2)(D)(i)(I) of the CAA, 42 source emissions thresholds of the Air U.S.C. 7410(a)(2)(D)(i)(I), only if the SIP Emissions Reporting Rule (AERR), 40 revision contains control measures CFR part 51, subpart A. The detail of that assure compliance with the appli- the emissions inventory shall be con- cable requirements of this section. sistent with the data elements required (c) In addition to being subject to the by 40 CFR part 51, subpart A. When requirements in paragraphs (b) and (d) submitting a formal NO Budget Emis- X of this section: sions Report and associated data, states shall notify the appropriate EPA (1) Alabama, Delaware, Florida, Illi- Regional Office. nois, Indiana, Iowa, Kentucky, Lou- isiana, Maryland, Michigan, Mis- [73 FR 76558, Dec. 17, 2008, as amended at 80 sissippi, Missouri, New Jersey, New FR 8796, Feb. 19, 2015; 84 FR 8443, Mar. 8, 2019] York, North Carolina, Ohio, Pennsyl- vania, South Carolina, Tennessee, Vir- § 51.123 Findings and requirements for ginia, West Virginia, Wisconsin, and submission of State implementation plan revisions relating to emissions the District of Columbia shall be sub- of oxides of nitrogen pursuant to ject to the requirements contained in the Clean Air Interstate Rule. paragraphs (e) through (cc) of this sec- (a)(1) Under section 110(a)(1) of the tion; CAA, 42 U.S.C. 7410(a)(1), the Adminis- (2) Georgia, Minnesota, and Texas trator determines that each State iden- shall be subject to the requirements in tified in paragraph (c)(1) and (2) of this paragraphs (e) through (o) and (cc) of section must submit a SIP revision to this section; and comply with the requirements of sec- (3) Arkansas, Connecticut, and Mas- tion 110(a)(2)(D)(i)(I) of the CAA, 42 sachusetts shall be subject to the re- U.S.C. 7410(a)(2)(D)(i)(I), through the quirements contained in paragraphs (q) adoption of adequate provisions prohib- through (cc) of this section. iting sources and other activities from (d)(1) The State’s SIP revision under emitting NOX in amounts that will con- paragraph (a) of this section must be tribute significantly to nonattainment submitted to EPA by no later than in, or interfere with maintenance by, September 11, 2006. one or more other States with respect (2) The requirements of appendix V to to the fine particles (PM2.5) NAAQS. this part shall apply to the SIP revi- (2)(a) Under section 110(a)(1) of the sion under paragraph (a) of this sec- CAA, 42 U.S.C. 7410(a)(1), the Adminis- tion. trator determines that each State iden- (3) The State shall deliver 5 copies of tified in paragraph (c)(1) and (3) of this the SIP revision under paragraph (a) of

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this section to the appropriate Re- graph (e)(2) of this section plus the gional Office, with a letter giving no- amount of the Annual Non-EGU NOX tice of such action. Reduction Requirement under para- (e) The State’s SIP revision shall graph (e)(1)(iii)(A) of this section for contain control measures and dem- the appropriate period. onstrate that they will result in com- (2) For a State that complies with pliance with the State’s Annual EGU the requirements of paragraph (a)(1) of NOX Budget, if applicable, and achieve this section by imposing control meas- the State’s Annual Non-EGU NOX Re- ures on only EGUs, the amount of the duction Requirement, if applicable, for Annual EGU NOX Budget, in tons of the appropriate periods. The amounts NOX per year, shall be as follows, for of the State’s Annual EGU NOX Budget the indicated State for the indicated and Annual Non-EGU NOX Reduction period: Requirement shall be determined as follows: Annual EGU Annual EGU NOX budget NOX budget (1)(i) The Annual EGU NOX Budget State for 2015 and for 2009–2014 thereafter for the State is defined as the total (tons) (tons) amount of NOX emissions from all EGUs in that State for a year, if the Alabama ...... 69,020 57,517 Delaware ...... 4,166 3,472 State meets the requirements of para- District of Columbia ...... 144 120 graph (a)(1) of this section by imposing Florida ...... 99,445 82,871 control measures, at least in part, on Georgia ...... 66,321 55,268 Illinois ...... 76,230 63,525 EGUs. If the State imposes control Indiana ...... 108,935 90,779 measures under this section on only Iowa ...... 32,692 27,243 EGUs, the Annual EGU NOX Budget for Kentucky ...... 83,205 69,337 the State shall not exceed the amount, Louisiana ...... 35,512 29,593 Maryland ...... 27,724 23,104 during the indicated periods, specified Michigan ...... 65,304 54,420 in paragraph (e)(2) of this section. Minnesota ...... 31,443 26,203 Mississippi ...... 17,807 14,839 (ii) The Annual Non-EGU NOX Reduc- Missouri ...... 59,871 49,892 tion Requirement, if applicable, is de- New Jersey ...... 12,670 10,558 fined as the total amount of NOX emis- New York ...... 45,617 38,014 sion reductions that the State dem- North Carolina ...... 62,183 51,819 onstrates, in accordance with para- Ohio ...... 108,667 90,556 Pennsylvania ...... 99,049 82,541 graph (g) of this section, it will achieve South Carolina ...... 32,662 27,219 from non-EGUs during the appropriate Tennessee ...... 50,973 42,478 period. If the State meets the require- Texas ...... 181,014 150,845 Virginia ...... 36,074 30,062 ments of paragraph (a)(1) of this sec- West Virginia ...... 74,220 61,850 tion by imposing control measures on Wisconsin ...... 40,759 33,966 only non-EGUs, then the State’s An- nual Non-EGU NOX Reduction Require- (3) For a State that complies with ment shall equal or exceed, during the the requirements of paragraph (a)(1) of appropriate periods, the amount deter- this section by imposing control meas- mined in accordance with paragraph ures on only non-EGUs, the amount of (e)(3) of this section. the Annual Non-EGU NOX Reduction (iii) If a State meets the require- Requirement, in tons of NOX per year, ments of paragraph (a)(1) of this sec- shall be determined, for the State for tion by imposing control measures on 2009 and thereafter, by subtracting the both EGUs and non-EGUs, then: amount of the State’s Annual EGU NOX (A) The Annual Non-EGU NOX Reduc- Budget for the appropriate year, speci- tion Requirement shall equal or exceed fied in paragraph (e)(2) of this section the difference between the amount from the amount of the State’s NOX specified in paragraph (e)(2) of this sec- baseline EGU emissions inventory pro- tion for the appropriate period and the jected for the appropriate year, speci- amount of the State’s Annual EGU NOX fied in Table 5 of ‘‘Regional and State Budget specified in the SIP revision for SO2 and NOX Budgets’’, March 2005 the appropriate period; and (available at http://www.epa.gov/ (B) The Annual EGU NOX Budget cleanairinterstaterule). shall not exceed, during the indicated (4)(i) Notwithstanding the State’s ob- periods, the amount specified in para- ligation to comply with paragraph

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(e)(2) or (3) of this section, the State’s operators of the source to have oc- SIP revision may allow sources re- curred during 2007 and 2008 and not to quired by the revision to implement be necessary to comply with any appli- control measures to demonstrate com- cable State or federal emissions limita- pliance using credit issued from the tion. State’s compliance supplement pool, as (3) The emissions reductions for set forth in paragraph (e)(4)(ii) of this which credits are issued must have section. been quantified by the owners and op- (ii) The State-by-State amounts of erators of the source: the compliance supplement pool are as (i) For EGUs and for fossil-fuel-fired follows: non-EGUs that are boilers or combustion turbines with a maximum design Compliance State supplement heat input greater than 250 mmBut/hr, pool using emissions data determined in ac- Alabama ...... 10,166 cordance with subpart H of part 75 of Delaware ...... 843 this chapter; and District of Columbia ...... 0 (ii) For non-EGUs not described in Florida ...... 8,335 Georgia ...... 12,397 paragraph (e)(4)(iii)(A)(3)(i) of this sec- Illinois ...... 11,299 tion, using emissions data determined Indiana ...... 20,155 in accordance with subpart H of part 75 Iowa ...... 6,978 Kentucky ...... 14,935 of this chapter or, if the State dem- Louisiana ...... 2,251 onstrates that compliance with subpart Maryland ...... 4,670 H of part 75 of this chapter is not prac- Michigan ...... 8,347 Minnesota ...... 6,528 ticable, determined, to the extent prac- Mississippi ...... 3,066 ticable, with the same degree of assur- Missouri ...... 9,044 ance with which emissions data are de- New Jersey ...... 660 termined for sources subject to subpart New York ...... 0 North Carolina ...... 0 H of part 75. Ohio ...... 25,037 (4) If the SIP revision contains ap- Pennsylvania ...... 16,009 proved provisions for an emissions South Carolina ...... 2,600 Tennessee ...... 8,944 trading program, the owners and opera- Texas ...... 772 tors of sources that receive credit ac- Virginia ...... 5,134 cording to the requirements of this West Virginia ...... 16,929 Wisconsin ...... 4,898 paragraph may transfer the credit to other sources or persons according to (iii) The SIP revision may provide for the provisions in the emissions trading the distribution of credits from the program. compliance supplement pool to sources (B) The State may issue credit from that are required to implement control the compliance supplement pool to measures using one or both of the fol- sources that are required by the SIP lowing two mechanisms: revision to implement NOX emission (A) The State may issue credit from control measures and whose owners compliance supplement pool to sources and operators demonstrate a need for that are required by the SIP revision an extension, beyond 2009, of the dead- to implement NOX emission control line for the source for implementing measures and that implement NOX such emission controls. emission reductions in 2007 and 2008 (1) The State shall complete the that are not necessary to comply with issuance process by January 1, 2010. any State or federal emissions limita- (2) The State shall issue credit to a tion applicable at any time during such source only if the owners and operators years. Such a source may be issued one of the source demonstrate that: credit from the compliance supplement (i) For a source used to generate elec- pool for each ton of such emission re- tricity, implementation of the SIP reductions in 2007 and 2008. vision’s applicable control measures by (1) The State shall complete the 2009 would create undue risk for the re- issuance process by January 1, 2010. liability of the electricity supply. This (2) The emissions reductions for demonstration must include a showing which credits are issued must have that it would not be feasible for the been demonstrated by the owners and owners and operators of the source to

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obtain a sufficient amount of elec- adopt alternative requirements that tricity, to prevent such undue risk, ensure that the State will comply with from other electricity generation fa- its requirements under paragraph (e) of cilities during the installation of con- this section, as applicable, in 2009 and trol technology at the source necessary subsequent years. to comply with the SIP revision. (g)(1) Each SIP revision that contains (ii) For a source not used to generate control measures covering non-EGUs electricity, compliance with the SIP as part or all of a State’s obligation in revision’s applicable control measures meeting its requirement under para- by 2009 would create undue risk for the graph (a)(1) of this section must dem- source or its associated industry to a onstrate that such control measures degree that is comparable to the risk are adequate to provide for the timely described in paragraph compliance with the State’s Annual (e)(4)(iii)(B)(2)(i) of this section. Non-EGU NOX Reduction Requirement (iii) This demonstration must include under paragraph (e) of this section and a showing that it would not be possible are not adopted or implemented by the for the source to comply with applica- State, as of May 12, 2005, and are not ble control measures by obtaining suf- adopted or implemented by the Federal ficient credits under paragraph government, as of the date of submis- (e)(4)(iii)(A) of this section, or by ac- sion of the SIP revision by the State to quiring sufficient credits from other EPA. sources or persons, to prevent undue (2) The demonstration under para- risk. graph (g)(1) of this section must in- (f) Each SIP revision must set forth clude the following, with respect to control measures to meet the amounts each source category of non-EGUs for specified in paragraph (e) of this sec- which the SIP revision requires control tion, as applicable, including the fol- measures: lowing: (i) A detailed historical baseline in- (1) A description of enforcement ventory of NO mass emissions from methods including, but not limited to: X the source category in a representative (i) Procedures for monitoring compliance with each of the selected control year consisting, at the State’s election, measures; of 2002, 2003, 2004, or 2005, or an average (ii) Procedures for handling viola- of 2 or more of those years, absent the tions; and control measures specified in the SIP (iii) A designation of agency respon- revision. sibility for enforcement of implemen- (A) This inventory must represent es- tation. timates of actual emissions based on (2)(i) If a State elects to impose con- monitoring data in accordance with trol measures on EGUs, then those subpart H of part 75 of this chapter, if the source category is subject to moni- measures must impose an annual NOX mass emissions cap on all such sources toring requirements in accordance with in the State. subpart H of part 75 of this chapter. (ii) If a State elects to impose con- (B) In the absence of monitoring data trol measures on fossil fuel-fired non- in accordance with subpart H of part 75 EGUs that are boilers or combustion of this chapter, actual emissions must turbines with a maximum design heat be quantified, to the maximum extent input greater than 250 mmBtu/hr, then practicable, with the same degree of those measures must impose an annual assurance with which emissions are NOX mass emissions cap on all such quantified for sources subject to sub- sources in the State. part H of part 75 of this chapter and (iii) If a State elects to impose con- using source-specific or source-cat- trol measures on non-EGUs other than egory-specific assumptions that ensure those described in paragraph (f)(2)(ii) of a source’s or source category’s actual this section, then those measures must emissions are not overestimated. If a impose an annual NOX mass emissions State uses factors to estimate emis- cap on all such sources in the State or sions, production or utilization, or ef- the State must demonstrate why such fectiveness of controls or rules for a emissions cap is not practicable and source category, such factors must be

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chosen to ensure that emissions are the official planning assumptions are not overestimated. more accurate. (C) For measures to reduce emissions (C) These inventories must account from motor vehicles, emission esti- for any changes in production method, mates must be based on an emissions materials, fuels, or efficiency that are model that has been approved by EPA expected to occur between the histor- for use in SIP development and must ical baseline year and 2009 or 2015, as be consistent with the planning as- appropriate. sumptions regarding vehicle miles (iii) A projection of NOX mass emis- traveled and other factors current at sions in 2009 and 2015 from the source the time of the SIP development. category assuming the same projected (D) For measures to reduce emissions changes as under paragraph (g)(2)(ii) of from nonroad engines or vehicles, this section and resulting from imple- emission estimates methodologies mentation of each of the control meas- must be approved by EPA. ures specified in the SIP revision. (ii) A detailed baseline inventory of (A) These inventories must address NOX mass emissions from the source the possibility that the State’s new category in the years 2009 and 2015, ab- control measures may cause produc- sent the control measures specified in tion or utilization, and emissions, to the SIP revision and reflecting changes shift to unregulated or less stringently in these emissions from the historical regulated sources in the source cat- baseline year to the years 2009 and 2015, egory in the same or another State, based on projected changes in the pro- and these inventories must include any duction input or output, population, such amounts of emissions that may vehicle miles traveled, economic activ- shift to such other sources. ity, or other factors as applicable to (B) The State must provide EPA with this source category. a summary of the computations, as- (A) These inventories must account sumptions, and judgments used to de- for implementation of any control termine the degree of reduction in pro- measures that are otherwise required jected 2009 and 2015 NO emissions that by final rules already promulgated, as X will be achieved from the implementa- of May 12, 2005, or adopted or imple- tion of the new control measures com- mented by any federal agency, as of the pared to the relevant baseline emis- date of submission of the SIP revision sions inventory. by the State to EPA, and must exclude any control measures specified in the (iv) The result of subtracting the amounts in paragraph (g)(2)(iii) of this SIP revision to meet the NOX emissions reduction requirements of this section. section for 2009 and 2015, respectively, (B) Economic and population fore- from the lower of the amounts in para- casts must be as specific as possible to graph (g)(2)(i) or (g)(2)(ii) of this sec- the applicable industry, State, and tion for 2009 and 2015, respectively, may county of the source or source category be credited towards the State’s Annual and must be consistent with both na- Non-EGU NOX Reduction Requirement tional projections and relevant official in paragraph (e)(3) of this section for planning assumptions, including esti- the appropriate period. mates of population and vehicle miles (v) Each SIP revision must identify traveled developed through consulta- the sources of the data used in each es- tion between State and local transpor- timate and each projection of emis- tation and air quality agencies. How- sions. ever, if these official planning assump- (h) Each SIP revision must comply tions are inconsistent with official U.S. with § 51.116 (regarding data avail- Census projections of population or ability). with energy consumption projections (i) Each SIP revision must provide contained in the U.S. Department of for monitoring the status of compli- Energy’s most recent Annual Energy ance with any control measures adopt- Outlook, then the SIP revision must ed to meet the State’s requirements make adjustments to correct the in- under paragraph (e) of this section as consistency or must demonstrate how follows:

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(1) The SIP revision must provide for (1) Adopt emissions standards and legally enforceable procedures for re- limitations and any other measures quiring owners or operators of sta- necessary for attainment and mainte- tionary sources to maintain records of, nance of the State’s relevant Annual and periodically report to the State: EGU NOX Budget or the Annual Non- (i) Information on the amount of NOX EGU NOX Reduction Requirement, as emissions from the stationary sources; applicable, under paragraph (e) of this and section; (ii) Other information as may be nec- (2) Enforce applicable laws, regula- essary to enable the State to determine tions, and standards and seek injunc- whether the sources are in compliance tive relief; with applicable portions of the control (3) Obtain information necessary to measures; determine whether air pollution (2) The SIP revision must comply sources are in compliance with applica- with § 51.212 (regarding testing, inspec- ble laws, regulations, and standards, tion, enforcement, and complaints); including authority to require record- (3) If the SIP revision contains any keeping and to make inspections and transportation control measures, then conduct tests of air pollution sources; the SIP revision must comply with and § 51.213 (regarding transportation con- (4)(i) Require owners or operators of trol measures); stationary sources to install, maintain, (4)(i) If the SIP revision contains and use emissions monitoring devices measures to control EGUs, then the and to make periodic reports to the SIP revision must require such sources State on the nature and amounts of to comply with the monitoring, record- emissions from such stationary keeping, and reporting provisions of sources; and subpart H of part 75 of this chapter. (ii) Make the data described in para- (ii) If the SIP revision contains meas- graph (j)(4)(i) of this section available ures to control fossil fuel-fired non- to the public within a reasonable time EGUs that are boilers or combustion after being reported and as correlated turbines with a maximum design heat with any applicable emissions stand- input greater than 250 mmBtu/hr, then ards or limitations. the SIP revision must require such (k)(1) The provisions of law or regula- sources to comply with the monitoring, tion that the State determines provide recordkeeping, and reporting provi- the authorities required under this sec- sions of subpart H of part 75 of this tion must be specifically identified, chapter. and copies of such laws or regulations (iii) If the SIP revision contains must be submitted with the SIP revi- measures to control any other non- sion. EGUs that are not described in para- (2) Legal authority adequate to fulfill graph (i)(4)(ii) of this section, then the the requirements of paragraphs (j)(3) SIP revision must require such sources and (4) of this section may be delegated to comply with the monitoring, record- to the State under section 114 of the keeping, and reporting provisions of CAA. subpart H of part 75 of this chapter, or (l)(1) A SIP revision may assign legal the State must demonstrate why such authority to local agencies in accord- requirements are not practicable and ance with § 51.232. adopt alternative requirements that (2) Each SIP revision must comply ensure that the required emissions re- with § 51.240 (regarding general plan reductions will be quantified, to the max- quirements). imum extent practicable, with the (m) Each SIP revision must comply same degree of assurance with which with § 51.280 (regarding resources). emissions are quantified for sources (n) Each SIP revision must provide subject to subpart H of part 75 of this for State compliance with the report- chapter. ing requirements in § 51.125. (j) Each SIP revision must show that (o)(1) Notwithstanding any other pro- the State has legal authority to carry vision of this section, if a State adopts out the SIP revision, including author- regulations substantively identical to ity to: subparts AA through II of part 96 of

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this chapter (CAIR NOX Annual Trad- subpart EE of part 96 of this chapter ing Program), incorporates such sub- and may instead adopt any method- parts by reference into its regulations, ology for allocating CAIR NOX allow- or adopts regulations that differ sub- ances to individual sources, as follows: stantively from such subparts only as (A) The State’s methodology must set forth in paragraph (o)(2) of this sec- not allow the State to allocate CAIR tion, then such emissions trading pro- NOX allowances for a year in excess of gram in the State’s SIP revision is the amount in the State’s Annual EGU automatically approved as meeting the NOX Budget for such year; requirements of paragraph (e) of this (B) The State’s methodology must re- section, provided that the State has quire that, for EGUs commencing oper- the legal authority to take such action ation before January 1, 2001, the State and to implement its responsibilities will determine, and notify the Admin- under such regulations. Before January istrator of, each unit’s allocation of 1, 2009, a State’s regulations shall be CAIR NOX allowances by October 31, considered to be substantively iden- 2006 for 2009, 2010, and 2011 and by Octo- tical to subparts AA through II of part ber 31, 2008 and October 31 of each year 96 of this chapter, or differing sub- thereafter for 4th the year after the stantively only as set forth in para- year of the notification deadline; graph (o)(2) of this section, regardless (C) The State’s methodology must re- of whether the State’s regulations in- quire that, for EGUs commencing oper- clude the definition of ‘‘Biomass’’, ation on or after January 1, 2001, the paragraph (3) of the definition of ‘‘Co- State will determine, and notify the generation unit’’, and the second sen- Administrator of, each unit’s alloca- tence of the definition of ‘‘Total energy tion of CAIR NOX allowances by Octo- input’’ in § 96.102 of this chapter pro- ber 31 of the year for which the CAIR mulgated on October 19, 2007, provided NOX allowances are allocated; and that the State timely submits to the (D) The State’s methodology for allo- Administrator a SIP revision that re- cating the compliance supplement pool vises the State’s regulations to include must be substantively identical to such provisions. Submission to the Ad- § 97.143 (except that the permitting au- ministrator of a SIP revision that re- thority makes the allocations and the vises the State’s regulations to include Administrator records the allocations such provisions shall be considered made by the permitting authority) or timely if the submission is made by otherwise in accordance with para- January 1, 2009. graph (e)(4) of this section. (2) If a State adopts an emissions (3) A State that adopts an emissions trading program that differs sub- trading program in accordance with stantively from subparts AA through II paragraph (o)(1) or (2) of this section is of part 96 of this chapter only as fol- not required to adopt an emissions lows, then the emissions trading pro- trading program in accordance with gram is approved as set forth in para- paragraph (aa)(1) or (2) of this section graph (o)(1) of this section. or § 96.124(o)(1) or (2). (i) The State may decline to adopt (4) If a State adopts an emissions the CAIR NOX opt-in provisions of: trading program that differs sub- (A) Subpart II of this part and the stantively from subparts AA through provisions applicable only to CAIR NOX HH of part 96 of this chapter, other opt-in units in subparts AA through than as set forth in paragraph (o)(2) of HH of this part; this section, then such emissions trad- (B) Section 96.188(b) of this chapter ing program is not automatically ap- and the provisions of subpart II of this proved as set forth in paragraph (o)(1) part applicable only to CAIR NOX opt- or (2) of this section and will be re- in units under § 96.188(b); or viewed by the Administrator for ap- (C) Section 96.188(c) of this chapter provability in accordance with the and the provisions of subpart II of this other provisions of this section, pro- part applicable only to CAIR NOX opt- vided that the NOX allowances issued in units under § 96.188(c). under such emissions trading program (ii) The State may decline to adopt shall not, and the SIP revision shall the allocation provisions set forth in state that such NOX allowances shall 205

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not, qualify as CAIR NOX allowances or that are substantively identical to CAIR NOX Ozone Season allowances § 97.143 of this chapter, except that the under any emissions trading program permitting authority makes the alloca- approved under paragraphs (o)(1) or (2) tions and the Administrator records or (aa)(1) or (2) of this section. the allocations made by the permitting (p) Notwithstanding any other provi- authority; sion of this section, a State may adopt, (ii) Provisions for allocating the and include in a SIP revision submitted State’s compliance supplement pool by March 31, 2007, regulations relating that are substantively identical to to the Federal CAIR NOX Annual Trad- § 96.143 of this chapter; or ing Program under subparts AA (iii) Other provisions for allocating through HH of part 97 of this chapter as the State’s compliance supplement follows: pool that are in accordance with para- (1) The State may adopt, as CAIR graph (e)(4) of this section. NOX allowance allocation provisions (3) The State may adopt CAIR opt-in replacing the provisions in subpart EE unit provisions as follows: of part 97 of this chapter: (i) Provisions for CAIR opt-in units, (i) Allocation provisions sub- including provisions for applications stantively identical to subpart EE of for CAIR opt-in permits, approval of part 96 of this chapter, under which the CAIR opt-in permits, treatment of permitting authority makes the alloca- units as CAIR opt-in units, and allocations; or tion and recordation of CAIR NOX al- (ii) Any methodology for allocating lowances for CAIR opt-in units, that CAIR NOX allowances to individual are substantively identical to subpart sources under which the permitting au- II of part 96 of this chapter and the pro- thority makes the allocations, provisions of subparts AA through HH vided that: that are applicable to CAIR opt-in (A) The State’s methodology must units or units for which a CAIR opt-in not allow the permitting authority to permit application is submitted and allocate CAIR NOX allowances for a not withdrawn and a CAIR opt-in per- year in excess of the amount in the mit is not yet issued or denied; State’s Annual EGU NOX budget for (ii) Provisions for CAIR opt-in units, such year. including provisions for applications (B) The State’s methodology must refor CAIR opt-in permits, approval of quire that, for EGUs commencing oper- CAIR opt-in permits, treatment of ation before January 1, 2001, the per- units as CAIR opt-in units, and alloca- mitting authority will determine, and tion and recordation of CAIR NOX al- notify the Administrator of, each lowances for CAIR opt-in units, that unit’s allocation of CAIR NOX allow- are substantively identical to subpart ances by April 30, 2007 for 2009, 2010, and II of part 96 of this chapter and the pro- 2011 and by October 31, 2008 and October visions of subparts AA through HH 31 of each year thereafter for the 4th that are applicable to CAIR opt-in year after the year of the notification units or units for which a CAIR opt-in deadline. permit application is submitted and (C) The State’s methodology must re- not withdrawn and a CAIR opt-in per- quire that, for EGUs commencing oper- mit is not yet issued or denied, except ation on or after January 1, 2001, the that the provisions exclude § 96.188(b) of permitting authority will determine, this chapter and the provisions of sub- and notify the Administrator of, each part II of part 96 of this chapter that unit’s allocation of CAIR NOX allow- apply only to units covered by ances by October 31 of the year for § 96.188(b) of this chapter; or which the CAIR NOX allowances are al- (iii) Provisions for applications for located. CAIR opt-in units, including provisions (2) The State may adopt, as compli- for CAIR opt-in permits, approval of ance supplement pool provisions re- CAIR opt-in permits, treatment of placing the provisions in § 97.143 of this units as CAIR opt-in units, and alloca- chapter: tion and recordation of CAIR NOX al- (i) Provisions for allocating the lowances for CAIR opt-in units, that State’s compliance supplement pool are substantively identical to subpart

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II of part 96 of this chapter and the pro- (A) The Ozone Season Non-EGU NOX visions of subparts AA through HH Reduction Requirement shall equal or that are applicable to CAIR opt-in exceed the difference between the units or units for which a CAIR opt-in amount specified in paragraph (q)(2) of permit application is submitted and this section for the appropriate period not withdrawn and a CAIR opt-in per- and the amount of the State’s Ozone mit is not yet issued or denied, except Season EGU NOX Budget specified in that the provisions exclude § 96.188(c) of the SIP revision for the appropriate pe- this chapter and the provisions of sub- riod; and part II of part 96 of this chapter that (B) The Ozone Season EGU NOX apply only to units covered by Budget shall not exceed, during the in- § 96.188(c) of this chapter. dicated periods, the amount specified (q) The State’s SIP revision shall in paragraph (q)(2) of this section plus contain control measures and dem- the amount of the Ozone Season Non- onstrate that they will result in com- EGU NOX Reduction Requirement pliance with the State’s Ozone Season under paragraph (q)(1)(iii)(A) of this section for the appropriate period. EGU NO Budget, if applicable, and X (2) For a State that complies with achieve the State’s Ozone Season Non- the requirements of paragraph (a)(2) of EGU NO Reduction Requirement, if X this section by imposing control meas- applicable, for the appropriate periods. ures on only EGUs, the amount of the The amounts of the State’s Ozone Sea- Ozone Season EGU NO Budget, in tons son EGU NO Budget and Ozone Season X X of NO per ozone season, shall be as fol- Non-EGU NO Reduction Requirement X X lows, for the indicated State for the in- shall be determined as follows: dicated period: (1)(i) The Ozone Season EGU NOX Budget for the State is defined as the Ozone season Ozone season EGU NOX total amount of NOX emissions from all EGU NOX budget for EGUs in that State for an ozone sea- State budget for 2015 and 2009–2014 thereafter son, if the State meets the require- (tons) (tons) ments of paragraph (a)(2) of this section by imposing control measures, at Alabama ...... 32,182 26,818 Arkansas ...... 11,515 9,596 least in part, on EGUs. If the State im- Connecticut ...... 2,559 2,559 poses control measures under this sec- Delaware ...... 2,226 1,855 tion on only EGUs, the Ozone Season District of Columbia ...... 112 94 Florida ...... 47,912 39,926 EGU NOX Budget for the State shall Illinois ...... 30,701 28,981 not exceed the amount, during the in- Indiana ...... 45,952 39,273 dicated periods, specified in paragraph Iowa ...... 14,263 11,886 Kentucky ...... 36,045 30,587 (q)(2) of this section. Louisiana ...... 17,085 14,238 Maryland ...... 12,834 10,695 (ii) The Ozone Season Non-EGU NOX Massachusetts ...... 7,551 6,293 Reduction Requirement, if applicable, Michigan ...... 28,971 24,142 is defined as the total amount of NOX Mississippi ...... 8,714 7,262 emission reductions that the State Missouri ...... 26,678 22,231 New Jersey ...... 6,654 5,545 demonstrates, in accordance with para- New York ...... 20,632 17,193 graph (s) of this section, it will achieve North Carolina ...... 28,392 23,660 from non-EGUs during the appropriate Ohio ...... 45,664 39,945 Pennsylvania ...... 42,171 35,143 period. If the State meets the require- South Carolina ...... 15,249 12,707 ments of paragraph (a)(2) of this sec- Tennessee ...... 22,842 19,035 tion by imposing control measures on Virginia ...... 15,994 13,328 West Virginia ...... 26,859 26,525 only non-EGUs, then the State’s Ozone Wisconsin ...... 17,987 14,989 Season Non-EGU NOX Reduction Re- quirement shall equal or exceed, during (3) For a State that complies with the appropriate periods, the amount the requirements of paragraph (a)(2) of determined in accordance with para- this section by imposing control meas- graph (q)(3) of this section. ures on only non-EGUs, the amount of (iii) If a State meets the require- the Ozone Season Non-EGU NOX Reduc- ments of paragraph (a)(2) of this section Requirement, in tons of NOX per tion by imposing control measures on ozone season, shall be determined, for both EGUs and non-EGUs, then: the State for 2009 and thereafter, by

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subtracting the amount of the State’s must impose an ozone season NOX mass Ozone Season EGU NOX Budget for the emissions cap on all such sources in appropriate year, specified in para- the State or the State must dem- graph (q)(2) of this section, from the onstrate why such emissions cap is not amount of the State’s NOX baseline practicable and adopt alternative re- EGU emissions inventory projected for quirements that ensure that the State the ozone season in the appropriate will comply with its requirements year, specified in Table 7 of ‘‘Regional under paragraph (q) of this section, as and State SO2 and NOX Budgets’’, applicable, in 2009 and subsequent March 2005 (available at: http:// years. www.epa.gov/cleanairinterstaterule). (s)(1) Each SIP revision that contains (4) Notwithstanding the State’s obli- control measures covering non-EGUs gation to comply with paragraph (q)(2) as part or all of a State’s obligation in or (3) of this section, the State’s SIP meeting its requirement under para- revision may allow sources required by graph (a)(2) of this section must dem- the revision to implement NOX emis- onstrate that such control measures sion control measures to demonstrate are adequate to provide for the timely compliance using NOX SIP Call allow- compliance with the State’s Ozone Sea- ances allocated under the NOX Budget son Non-EGU NOX Reduction Require- Trading Program for any ozone season ment under paragraph (q) of this sec- during 2003 through 2008 that have not tion and are not adopted or imple- been deducted by the Administrator mented by the State, as of May 12, 2005, under the NOX Budget Trading Pro- and are not adopted or implemented by gram, if the SIP revision ensures that the federal government, as of the date such allowances will not be available of submission of the SIP revision by for such deduction under the NOX the State to EPA. Budget Trading Program. (2) The demonstration under para- (r) Each SIP revision must set forth graph (s)(1) of this section must include control measures to meet the amounts the following, with respect to each specified in paragraph (q) of this sec- source category of non-EGUs for which tion, as applicable, including the fol- the SIP revision requires control meas- lowing: ures: (1) A description of enforcement (i) A detailed historical baseline in- methods including, but not limited to: ventory of NOX mass emissions from (i) Procedures for monitoring compli- the source category in a representative ance with each of the selected control ozone season consisting, at the State’s measures; election, of the ozone season in 2002, (ii) Procedures for handling viola- 2003, 2004, or 2005, or an average of 2 or tions; and more of those ozone seasons, absent the (iii) A designation of agency respon- control measures specified in the SIP sibility for enforcement of implemen- revision. tation. (A) This inventory must represent es- (2)(i) If a State elects to impose con- timates of actual emissions based on trol measures on EGUs, then those monitoring data in accordance with measures must impose an ozone season subpart H of part 75 of this chapter, if NOX mass emissions cap on all such the source category is subject to moni- sources in the State. toring requirements in accordance with (ii) If a State elects to impose con- subpart H of part 75 of this chapter. trol measures on fossil fuel-fired non- (B) In the absence of monitoring data EGUs that are boilers or combustion in accordance with subpart H of part 75 turbines with a maximum design heat of this chapter, actual emissions must input greater than 250 mmBtu/hr, then be quantified, to the maximum extent those measures must impose an ozone practicable, with the same degree of season NOX mass emissions cap on all assurance with which emissions are such sources in the State. quantified for sources subject to sub- (iii) If a State elects to impose con- part H of part 75 of this chapter and trol measures on non-EGUs other than using source-specific or source-cat- those described in paragraph (r)(2)(ii) egory-specific assumptions that ensure of this section, then those measures a source’s or source category’s actual

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emissions are not overestimated. If a contained in the U.S. Department of State uses factors to estimate emis- Energy’s most recent Annual Energy sions, production or utilization, or ef- Outlook, then the SIP revision must fectiveness of controls or rules for a make adjustments to correct the in- source category, such factors must be consistency or must demonstrate how chosen to ensure that emissions are the official planning assumptions are not overestimated. more accurate. (C) For measures to reduce emissions (C) These inventories must account from motor vehicles, emission esti- for any changes in production method, mates must be based on an emissions materials, fuels, or efficiency that are model that has been approved by EPA expected to occur between the histor- for use in SIP development and must ical baseline ozone season and ozone be consistent with the planning as- season 2009 or ozone season 2015, as ap- sumptions regarding vehicle miles propriate. traveled and other factors current at (iii) A projection of NOX mass emis- the time of the SIP development. sions in ozone season 2009 and ozone (D) For measures to reduce emissions season 2015 from the source category from nonroad engines or vehicles, assuming the same projected changes emission estimates methodologies as under paragraph (s)(2)(ii) of this sec- must be approved by EPA. tion and resulting from implementa- (ii) A detailed baseline inventory of tion of each of the control measures NOX mass emissions from the source specified in the SIP revision. category in ozone seasons 2009 and 2015, (A) These inventories must address absent the control measures specified the possibility that the State’s new in the SIP revision and reflecting control measures may cause produc- changes in these emissions from the tion or utilization, and emissions, to historical baseline ozone season to the shift to unregulated or less stringently ozone seasons 2009 and 2015, based on regulated sources in the source cat- projected changes in the production egory in the same or another State, input or output, population, vehicle miles traveled, economic activity, or and these inventories must include any other factors as applicable to this such amounts of emissions that may source category. shift to such other sources. (A) These inventories must account (B) The State must provide EPA with for implementation of any control a summary of the computations, as- measures that are adopted or imple- sumptions, and judgments used to de- mented by the State, as of May 12, 2005, termine the degree of reduction in pro- or adopted or implemented by the fed- jected ozone season 2009 and ozone sea- eral government, as of the date of sub- son 2015 NOX emissions that will be mission of the SIP revision by the achieved from the implementation of State to EPA, and must exclude any the new control measures compared to control measures specified in the SIP the relevant baseline emissions inventory. revision to meet the NOX emissions reduction requirements of this section. (iv) The result of subtracting the (B) Economic and population fore- amounts in paragraph (s)(2)(iii) of this casts must be as specific as possible to section for ozone season 2009 and ozone the applicable industry, State, and season 2015, respectively, from the county of the source or source category lower of the amounts in paragraph and must be consistent with both na- (s)(2)(i) or (s)(2)(ii) of this section for tional projections and relevant official ozone season 2009 and ozone season planning assumptions including esti- 2015, respectively, may be credited to- mates of population and vehicle miles wards the State’s Ozone Season Non- traveled developed through consulta- EGU NOX Reduction Requirement in tion between State and local transpor- paragraph (q)(3) of this section for the tation and air quality agencies. How- appropriate period. ever, if these official planning assump- (v) Each SIP revision must identify tions are inconsistent with official U.S. the sources of the data used in each es- Census projections of population or timate and each projection of emis- with energy consumption projections sions.

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(t) Each SIP revision must comply imum extent practicable, with the with § 51.116 (regarding data avail- same degree of assurance with which ability). emissions are quantified for sources (u) Each SIP revision must provide subject to subpart H of part 75 of this for monitoring the status of compli- chapter. ance with any control measures adopt- (v) Each SIP revision must show that ed to meet the State’s requirements the State has legal authority to carry under paragraph (q) of this section as out the SIP revision, including author- follows: ity to: (1) The SIP revision must provide for (1) Adopt emissions standards and legally enforceable procedures for re- limitations and any other measures quiring owners or operators of sta- necessary for attainment and mainte- tionary sources to maintain records of, nance of the State’s relevant Ozone and periodically report to the State: Season EGU NOX Budget or the Ozone (i) Information on the amount of NOX Season Non-EGU NOX Reduction Re- emissions from the stationary sources; quirement, as applicable, under para- and graph (q) of this section; (ii) Other information as may be nec- (2) Enforce applicable laws, regula- essary to enable the State to determine tions, and standards and seek injunc- whether the sources are in compliance tive relief; with applicable portions of the control (3) Obtain information necessary to measures; determine whether air pollution (2) The SIP revision must comply sources are in compliance with applica- with § 51.212 (regarding testing, inspec- ble laws, regulations, and standards, tion, enforcement, and complaints); including authority to require record- (3) If the SIP revision contains any keeping and to make inspections and transportation control measures, then conduct tests of air pollution sources; the SIP revision must comply with and § 51.213 (regarding transportation con- (4)(i) Require owners or operators of trol measures); stationary sources to install, maintain, (4)(i) If the SIP revision contains and use emissions monitoring devices measures to control EGUs, then the and to make periodic reports to the SIP revision must require such sources State on the nature and amounts of to comply with the monitoring, record- emissions from such stationary keeping, and reporting provisions of sources; and subpart H of part 75 of this chapter. (ii) Make the data described in para- (ii) If the SIP revision contains meas- graph (v)(4)(i) of this section available ures to control fossil fuel-fired non- to the public within a reasonable time EGUs that are boilers or combustion after being reported and as correlated turbines with a maximum design heat with any applicable emissions stand- input greater than 250 mmBtu/hr, then ards or limitations. the SIP revision must require such (w)(1) The provisions of law or regu- sources to comply with the monitoring, lation that the State determines pro- recordkeeping, and reporting provi- vide the authorities required under this sions of subpart H of part 75 of this section must be specifically identified, chapter. and copies of such laws or regulations (iii) If the SIP revision contains must be submitted with the SIP revi- measures to control any other non- sion. EGUs that are not described in para- (2) Legal authority adequate to fulfill graph (u)(4)(ii) of this section, then the the requirements of paragraphs (v)(3) SIP revision must require such sources and (4) of this section may be delegated to comply with the monitoring, record- to the State under section 114 of the keeping, and reporting provisions of CAA. subpart H of part 75 of this chapter, or (x)(1) A SIP revision may assign legal the State must demonstrate why such authority to local agencies in accord- requirements are not practicable and ance with § 51.232. adopt alternative requirements that (2) Each SIP revision must comply ensure that the required emissions re- with § 51.240 (regarding general plan reductions will be quantified, to the max- quirements).

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(y) Each SIP revision must comply (ii) The State may decline to adopt with § 51.280 (regarding resources). the CAIR NOX Ozone Season opt-in pro- (z) Each SIP revision must provide visions of: for State compliance with the report- (A) Subpart IIII of this part and the ing requirements in § 51.125. provisions applicable only to CAIR NOX (aa)(1) Notwithstanding any other Ozone Season opt-in units in subparts provision of this section, if a State AAAA through HHHH of this part; adopts regulations substantively iden- (B) Section 96.388(b) of this chapter tical to subparts AAAA through IIII of and the provisions of subpart IIII of part 96 of this chapter (CAIR Ozone this part applicable only to CAIR NOX Season NOX Trading Program), incor- Ozone Season opt-in units under porates such subparts by reference into § 96.388(b); or its regulations, or adopts regulations (C) Section 96.388(c) of this chapter that differ substantively from such and the provisions of subpart IIII of subparts only as set forth in paragraph this part applicable only to CAIR NOX (aa)(2) of this section, then such emis- Ozone Season opt-in units under sions trading program in the State’s § 96.388(c). SIP revision is automatically approved (iii) The State may decline to adopt as meeting the requirements of para- the allocation provisions set forth in graph (q) of this section, provided that subpart EEEE of part 96 of this chapter the State has the legal authority to and may instead adopt any method- take such action and to implement its ology for allocating CAIR NOX Ozone responsibilities under such regulations. Season allowances to individual Before January 1, 2009, a State’s regu- sources, as follows: lations shall be considered to be sub- (A) The State may provide for stantively identical to subparts AAAA issuance of an amount of CAIR Ozone through IIII of part 96 of the chapter, Season NOX allowances for an ozone or differing substantively only as set season, in addition to the amount in forth in paragraph (o)(2) of this section, the State’s Ozone Season EGU NOX regardless of whether the State’s regu- Budget for such ozone season, not ex- lations include the definition of ‘‘Bio- ceeding the amount of NOX SIP Call al- mass’’, paragraph (3) of the definition lowances allocated for the ozone season of ‘‘Cogeneration unit’’, and the second under the NOX Budget Trading Pro- sentence of the definition of ‘‘Total en- gram to non-EGUs that the applica- ergy input’’ in § 96.302 of this chapter bility provisions in § 96.304 are ex- promulgated on October 19, 2007, pro- panded to include under paragraph vided that the State timely submits to (aa)(2)(i) of this section; the Administrator a SIP revision that (B) The State’s methodology must revises the State’s regulations to in- not allow the State to allocate CAIR clude such provisions. Submission to Ozone Season NOX allowances for an the Administrator of a SIP revision ozone season in excess of the amount in that revises the State’s regulations to the State’s Ozone Season EGU NOX include such provisions shall be consid- Budget for such ozone season plus any ered timely if the submission is made additional amount of CAIR Ozone Sea- by January 1, 2009. son NOX allowances issued under para- (2) If a State adopts an emissions graph (aa)(2)(iii)(A) of this section for trading program that differs sub- such ozone season; stantively from subparts AAAA (C) The State’s methodology must re- through IIII of part 96 of this chapter quire that, for EGUs commencing oper- only as follows, then the emissions ation before January 1, 2001, the State trading program is approved as set will determine, and notify the Admin- forth in paragraph (aa)(1) of this sec- istrator of, each unit’s allocation of tion. CAIR NOX allowances by October 31, (i) The State may expand the appli- 2006 for the ozone seasons 2009, 2010, cability provisions in § 96.304 to include and 2011 and by October 31, 2008 and Oc- all non-EGUs subject to the State’s tober 31 of each year thereafter for the emissions trading program approved ozone season in the 4th year after the under § 51.121(p). year of the notification deadline; and

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(D) The State’s methodology must covered by the amount of tons specified require that, for EGUs commencing op- in paragraph (q)(2) of this section, then eration on or after January 1, 2001, the the State must replace the former State will determine, and notify the amount for such ozone season by the Administrator of, each unit’s alloca- latter amount for such ozone season in tion of CAIR Ozone Season NOX allow- applying paragraph (q) of this section. ances by July 31 of the calendar year of (2) Rhode Island may revise its SIP the ozone season for which the CAIR to provide that, for each ozone season Ozone Season NOX allowances are allo- during which Rhode Island implements cated. control measures on EGUs and non- (3) A State that adopts an emissions EGUs through an emissions trading trading program in accordance with program adopted in regulations that paragraph (aa)(1) or (2) of this section differ substantively from subparts is not required to adopt an emissions AAAA through IIII of part 96 of this trading program in accordance with chapter as set forth in this paragraph, paragraph (o)(1) or (2) of this section or such EGUs and non-EGUs shall not be § 51.153(o)(1) or (2). subject to the requirements of the (4) If a State adopts an emissions State’s SIP meeting the requirements trading program that differs sub- of § 51.121. stantively from subparts AAAA (i) Rhode Island must expand the ap- through IIII of part 96 of this chapter, plicability provisions in § 96.304 to in- other than as set forth in paragraph clude all non-EGUs subject to Rhode (aa)(2) of this section, then such emis- Island’s emissions trading program ap- sions trading program is not automati- proved under § 51.121(p). cally approved as set forth in para- (ii) Rhode Island may decline to graph (aa)(1) or (2) of this section and adopt the CAIR NO Ozone Season opt- will be reviewed by the Administrator X in provisions of: for approvability in accordance with the other provisions of this section, (A) Subpart IIII of this part and the provisions applicable only to CAIR NOX provided that the NOX allowances issued under such emissions trading Ozone Season opt-in units in subparts program shall not, and the SIP revision AAAA through HHHH of this part; shall state that such NO allowances (B) Section 96.388(b) of this chapter X and the provisions of subpart IIII of shall not, qualify as CAIR NOX allow- this part applicable only to CAIR NOX ances or CAIR Ozone Season NOX allowances under any emissions trading Ozone Season opt-in units under program approved under paragraphs § 96.388(b); or (o)(1) or (2) or (aa)(1) or (2) of this sec- (C) Section 96.388(c) of this chapter tion. and the provisions of subpart IIII of (bb)(1)(i) The State may revise its this part applicable only to CAIR NOX SIP to provide that, for each ozone sea- Ozone Season opt-in units under son during which a State implements § 96.388(c). control measures on EGUs or non- (iii) Rhode Island may adopt the allo- EGUs through an emissions trading cation provisions set forth in subpart program approved under paragraph EEEE of part 96 of this chapter, pro- (aa)(1) or (2) of this section, such EGUs vided that Rhode Island must provide and non-EGUs shall not be subject to for issuance of an amount of CAIR the requirements of the State’s SIP Ozone Season NOX allowances for an meeting the requirements of § 51.121, if ozone season not exceeding 936 tons for the State meets the requirement in 2009 and thereafter; paragraph (bb)(1)(ii) of this section. (iv) Rhode Island may adopt any (ii) For a State under paragraph methodology for allocating CAIR NOX (bb)(1)(i) of this section, if the State’s Ozone Season allowances to individual amount of tons specified in paragraph sources, as follows: (q)(2) of this section exceeds the (A) Rhode Island’s methodology must State’s amount of NOX SIP Call allow- not allow Rhode Island to allocate ances allocated for the ozone season in CAIR Ozone Season NOX allowances for 2009 or in any year thereafter for the an ozone season in excess of 936 tons same types and sizes of units as those for 2009 and thereafter;

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(B) Rhode Island’s methodology must (i) A forest-related organic resource, require that, for EGUs commencing op- including mill residues, precommercial eration before January 1, 2001, Rhode thinnings, slash, brush, or byproduct Island will determine, and notify the from conversion of trees to merchant- Administrator of, each unit’s alloca- able material; or tion of CAIR NOX allowances by Octo- (ii) A wood material, including pal- ber 31, 2006 for the ozone seasons 2009, lets, crates, dunnage, manufacturing 2010, and 2011 and by October 31, 2008 and construction materials (other than and October 31 of each year thereafter pressure-treated, chemically-treated, for the ozone season in the 4th year or painted wood products), and land- after the year of the notification dead- scape or right-of-way tree trimmings. line; and Boiler means an enclosed fossil- or (C) Rhode Island’s methodology must other-fuel-fired combustion device used require that, for EGUs commencing op- to produce heat and to transfer heat to eration on or after January 1, 2001, recirculating water, steam, or other Rhode Island will determine, and no- medium. tify the Administrator of, each unit’s Bottoming-cycle cogeneration unit means a cogeneration unit in which the allocation of CAIR Ozone Season NOX allowances by July 31 of the calendar energy input to the unit is first used to year of the ozone season for which the produce useful thermal energy and at least some of the reject heat from the CAIR Ozone Season NOX allowances are allocated. useful thermal energy application or (3) Notwithstanding a SIP revision by process is then used for electricity pro- a State authorized under paragraph duction. (bb)(1) of this section or by Rhode Is- Clean Air Act or CAA means the Clean land under paragraph (bb)(2) of this Air Act, 42 U.S.C. 7401, et seq. section, if the State’s or Rhode Island’s Cogeneration unit means a stationary, SIP that, without such SIP revision, fossil-fuel-fired boiler or stationary, imposes control measures on EGUs or fossil-fuel-fired combustion turbine: non-EGUs under § 51.121 is determined (1) Having equipment used to produce by the Administrator to meet the re- electricity and useful thermal energy quirements of § 51.121, such SIP shall be for industrial, commercial, heating, or deemed to continue to meet the re- cooling purposes through the sequen- quirements of § 51.121. tial use of energy; and (2) Producing during the 12-month pe- (cc) The terms used in this section riod starting on the date the unit first shall have the following meanings: produces electricity and during any means the Adminis- Administrator calendar year after the calendar year trator of the United States Environ- in which the unit first produces elec- mental Protection Agency or the Ad- tricity— ministrator’s duly authorized rep- (i) For a topping-cycle cogeneration resentative. unit, Allocate or allocation means, with re- (A) Useful thermal energy not less gard to allowances, the determination than 5 percent of total energy output; of the amount of allowances to be ini- and tially credited to a source or other en- (B) Useful power that, when added to tity. one-half of useful thermal energy pro- Biomass means— duced, is not less then 42.5 percent of (1) Any organic material grown for total energy input, if useful thermal the purpose of being converted to en- energy produced is 15 percent or more ergy; of total energy output, or not less than (2) Any organic byproduct of agri- 45 percent of total energy input, if use- culture that can be converted into en- ful thermal energy produced is less ergy; or than 15 percent of total energy output. (3) Any material that can be con- (ii) For a bottoming-cycle cogenera- verted into energy and is nonmerchant- tion unit, useful power not less than 45 able for other purposes, that is seg- percent of total energy input; regated from other nonmerchantable (3) Provided that the total energy material, and that is; input under paragraphs (2)(i)(B) and

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(2)(ii) of this definition shall equal the generator with nameplate capacity of unit’s total energy input from all fuel more than 25 MWe supplying in any except biomass if the unit is a boiler. calendar year more than one-third of Combustion turbine means: the unit’s potential electric output ca- (1) An enclosed device comprising a pacity or 219,000 MWh, whichever is compressor, a combustor, and a turbine greater, to any utility power distribu- and in which the flue gas resulting tion system for sale. from the combustion of fuel in the (B) If a unit qualifies as a cogenera- combustor passes through the turbine, tion unit during the 12-month period rotating the turbine; and starting on the date the unit first pro- (2) If the enclosed device under para- duces electricity and meets the re- graph (1) of this definition is combined quirements of paragraphs (2)(i)(A) of cycle, any associated duct burner, heat this section for at least one calendar recovery steam generator, and steam year, but subsequently no longer meets turbine. all such requirements, the unit shall Commence operation means to have become an electric generating unit begun any mechanical, chemical, or starting on the earlier of January 1 electronic process, including, with re- after the first calendar year during gard to a unit, start-up of a unit’s com- which the unit first no longer qualifies bustion chamber. as a cogeneration unit or January 1 Electric generating unit or EGU means: after the first calendar year during (1)(i) Except as provided in paragraph which the unit no longer meets the re- (2) of this definition, a stationary, fos- quirements of paragraph (2)(i)(A)(2) of sil-fuel-fired boiler or stationary, fos- this section. sil-fuel-fired combustion turbine serv- (ii)(A) Any unit that is an electric ing at any time, since the later of No- generating unit under paragraph (1)(i) vember 15, 1990 or the start-up of the or (ii) of this definition commencing unit’s combustion chamber, a gener- operation before January 1, 1985: ator with nameplate capacity of more (1) Qualifying as a solid waste incin- than 25 MWe producing electricity for eration unit; and sale. (2) With an average annual fuel con- (ii) If a stationary boiler or sta- sumption of non-fossil fuel for 1985–1987 tionary combustion turbine that, under exceeding 80 percent (on a Btu basis) paragraph (1)(i) of this section, is not and an average annual fuel consump- an electric generating unit begins to tion of non-fossil fuel for any 3 con- combust fossil fuel or to serve a gener- secutive calendar years after 1990 ex- ator with nameplate capacity of more ceeding 80 percent (on a Btu basis). than 25 MWe producing electricity for (B) Any unit that is an electric gen- sale, the unit shall become an electric erating unit under paragraph (1)(i) or generating unit as provided in para- (ii) of this definition commencing oper- graph (1)(i) of this section on the first ation on or after January 1, 1985: date on which it both combusts fossil (1) Qualifying as a solid waste incin- fuel and serves such generator. eration unit; and (2) A unit that meets the require- (2) With an average annual fuel con- ments set forth in paragraphs (2)(i)(A), sumption of non-fossil fuel for the first (2)(ii)(A), or (2)(ii)(B) of this definition 3 calendar years of operation exceeding paragraph shall not be an electric gen- 80 percent (on a Btu basis) and an aver- erating unit: age annual fuel consumption of non- (i)(A) Any unit that is an electric fossil fuel for any 3 consecutive cal- generating unit under paragraph (1)(i) endar years after 1990 exceeding 80 per- or (ii) of this definition: cent (on a Btu basis). (1) Qualifying as a cogeneration unit (C) If a unit qualifies as a solid waste during the 12-month period starting on incineration unit and meets the re- the date the unit first produces elec- quirements of paragraph (2)(ii)(A) or tricity and continuing to qualify as a (B) of this section for at least 3 con- cogeneration unit; and secutive calendar years, but subse- (2) Not serving at any time, since the quently no longer meets all such re- later of November 15, 1990 or the start- quirements, the unit shall become an up of the unit’s combustion chamber, a electric generating unit starting on the

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earlier of January 1 after the first cal- NOX SIP Call allowance means a lim- endar year during which the unit first ited authorization issued by the Ad- no longer qualifies as a solid waste in- ministrator under the NOX Budget cineration unit or January 1 after the Trading Program to emit up to one ton first 3 consecutive calendar years after of nitrogen oxides during the ozone 1990 for which the unit has an average season of the specified year or any year annual fuel consumption of fossil fuel thereafter, provided that the provision of 20 percent or more. in § 51.121(b)(2)(ii)(E) shall not be used Fossil fuel means natural gas, petro- in applying this definition. leum, coal, or any form of solid, liquid, Ozone season means the period, which or gaseous fuel derived from such ma- begins May 1 and ends September 30 of terial. any year. Fossil-fuel-fired means, with regard to Potential electrical output capacity a unit, combusting any amount of fos- means 33 percent of a unit’s maximum sil fuel in any calendar year. design heat input, divided by 3,413 Btu/ Generator means a device that pro- kWh, divided by 1,000 kWh/MWh, and duces electricity. multiplied by 8,760 hr/yr. Maximum design heat input means the Sequential use of energy means: maximum amount of fuel per hour (in (1) For a topping-cycle cogeneration Btu/hr) that a unit is capable of com- unit, the use of reject heat from elec- busting on a steady state basis as of tricity production in a useful thermal the initial installation of the unit as energy application or process; or specified by the manufacturer of the (2) For a bottoming-cycle cogenera- unit. tion unit, the use of reject heat from NAAQS means National Ambient Air useful thermal energy application or Quality Standard. process in electricity production. Nameplate capacity means, starting Solid waste incineration unit means a from the initial installation of a gener- stationary, fossil-fuel-fired boiler or ator, the maximum electrical gener- stationary, fossil-fuel-fired combustion ating output (in MWe) that the gener- turbine that is a ‘‘solid waste incinerator is capable of producing on a ation unit’’ as defined in section steady state basis and during contin- 129(g)(1) of the Clean Air Act. uous operation (when not restricted by Topping-cycle cogeneration unit means seasonal or other deratings) as of such a cogeneration unit in which the en- installation as specified by the manu- ergy input to the unit is first used to facturer of the generator or, starting produce useful power, including elec- from the completion of any subsequent tricity, and at least some of the reject physical change in the generator reheat from the electricity production is sulting in an increase in the maximum then used to provide useful thermal en- electrical generating output (in MWe) ergy. that the generator is capable of pro- Total energy input means, with regard ducing on a steady state basis and dur- to a cogeneration unit, total energy of ing continuous operation (when not re- all forms supplied to the cogeneration stricted by seasonal or other unit, excluding energy produced by the deratings), such increased maximum cogeneration unit itself. Each form of amount as of such completion as speci- energy supplied shall be measured by fied by the person conducting the phys- the lower heating value of that form of ical change. energy calculated as follows: Non-EGU means a source of NOX LHV = HHV ¥ 10.55(W + 9H) emissions that is not an EGU. Where: NOX Budget Trading Program means a multi-state nitrogen oxides air pollu- LHV = lower heating value of fuel in Btu/lb, tion control and emission reduction HHV = higher heating value of fuel in Btu/lb, program approved and administered by W = Weight % of moisture in fuel, and the Administrator in accordance with H = Weight % of hydrogen in fuel. subparts A through I of this part and Total energy output means, with re- § 51.121, as a means of mitigating inter- gard to a cogeneration unit, the sum of state transport of ozone and nitrogen useful power and useful thermal energy oxides. produced by the cogeneration unit.

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Unit means a stationary, fossil-fuel- Ozone Season opt-in units under fired boiler or a stationary, fossil-fuel- § 96.388(c). fired combustion turbine. (3) New Hampshire may adopt the al- Useful power means, with regard to a location provisions set forth in subpart cogeneration unit, electricity or me- EEEE of part 96 of this chapter, pro- chanical energy made available for use, vided that New Hampshire must pro- excluding any such energy used in the vide for issuance of an amount of CAIR power production process (which proc- Ozone Season NOX allowances for an ess includes, but is not limited to, any ozone season not exceeding 3,000 tons on-site processing or treatment of fuel for 2009 and thereafter; combusted at the unit and any on-site (4) New Hampshire may adopt any emission controls). methodology for allocating CAIR NOX Useful thermal energy means, with re- Ozone Season allowances to individual gard to a cogeneration unit, thermal sources, as follows: energy that is: (i) New Hampshire’s methodology (1) Made available to an industrial or must not allow New Hampshire to allo- commercial process, excluding any cate CAIR Ozone Season NOX allow- heat contained in condensate return or ances for an ozone season in excess of makeup water; 3,000 tons for 2009 and thereafter; (2) Used in a heating application (ii) New Hampshire’s methodology (e.g., space heating or domestic hot must require that, for EGUs com- water heating); or mencing operation before January 1, (3) Used in a space cooling applica- 2001, New Hampshire will determine, tion (i.e., thermal energy used by an absorption chiller). and notify the Administrator of, each Utility power distribution system means unit’s allocation of CAIR NOX allow- the portion of an electricity grid owned ances by October 31, 2006 for the ozone or operated by a utility and dedicated seasons 2009, 2010, and 2011 and by Octo- to delivering electricity to customers. ber 31, 2008 and October 31 of each year (dd) New Hampshire may revise its thereafter for the ozone season in the SIP to implements control measures on 4th year after the year of the notifica- EGUs and non-EGUs through an emis- tion deadline; and sions trading program adopted in regu- (iii) New Hampshire’s methodology lations that differ substantively from must require that, for EGUs com- subparts AAAA through IIII of part 96 mencing operation on or after January of this chapter as set forth in this para- 1, 2001, New Hampshire will determine, graph. and notify the Administrator of, each (1) New Hampshire must expand the unit’s allocation of CAIR Ozone Season applicability provisions in § 96.304 of NOX allowances by July 31 of the cal- this chapter to include all non-EGUs endar year of the ozone season for subject to New Hampshire’s emissions which the CAIR Ozone Season NOX al- trading program at New Hampshire lowances are allocated. Code of Administrative Rules, chapter (ee) Notwithstanding any other pro- Env-A 3200 (2004). vision of this section, a State may (2) New Hampshire may decline to adopt, and include in a SIP revision adopt the CAIR NOX Ozone Season opt- submitted by March 31, 2007, regula- in provisions of: tions relating to the Federal CAIR NOX (i) Subpart IIII of this part and the Ozone Season Trading Program under provisions applicable only to CAIR NOX subparts AAAA through HHHH of part Ozone Season opt-in units in subparts 97 of this chapter as follows: AAAA through HHHH of this part; (1) The State may adopt, as applica- (ii) Section 96.388(b) of this chapter bility provisions replacing the provi- and the provisions of subpart IIII of sions in § 97.304 of this chapter, provi- this part applicable only to CAIR NOX sions for applicability that are sub- Ozone Season opt-in units under stantively identical to the provisions § 96.388(b); or in § 96.304 of this chapter expanded to (iii) Section 96.388(c) of this chapter include all non-EGUs subject to the and the provisions of subpart IIII of State’s emissions trading program ap- this part applicable only to CAIR NOX proved under § 51.121(p). Before January 216

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1, 2009, a State’s applicability provi- graph (ee)(2)(ii)(A) of this section for sions shall be considered to be sub- such ozone season. stantively identical to § 96.304 of this (C) The State’s methodology must re- chapter (with the expansion allowed quire that, for EGUs commencing oper- under this paragraph) regardless of ation before January 1, 2001, the per- whether the State’s regulations include mitting authority will determine, and the definition of ‘‘Biomass’’, paragraph notify the Administrator of, each (3) of the definition of ‘‘Cogeneration unit’s allocation of CAIR NOX Ozone unit’’, and the second sentence of the Season allowances by April 30, 2007 for definition of ‘‘Total energy input’’ in 2009, 2010, and 2011 and by October 31, § 97.102 of this chapter promulgated on 2008 and October 31 of each year there- October 19, 2007, provided that the after for the 4th year after the year of State timely submits to the Adminis- the notification deadline. trator a SIP revision that revises the (D) The State’s methodology must State’s regulations to include such pro- require that, for EGUs commencing op- visions. Submission to the Adminis- eration on or after January 1, 2001, the trator of a SIP revision that revises permitting authority will determine, the State’s regulations to include such and notify the Administrator of, each provisions shall be considered timely if unit’s allocation of CAIR NOX Ozone the submission is made by January 1, Season allowances by July 31 of the 2009. year for which the CAIR NOX Ozone (2) The State may adopt, as CAIR Season allowances are allocated. NOX Ozone Season allowance allocation (3) The State may adopt CAIR opt-in provisions replacing the provisions in unit provisions as follows: subpart EEEE of part 97 of this chap- (i) Provisions for CAIR opt-in units, ter: including provisions for applications (i) Allocation provisions sub- for CAIR opt-in permits, approval of stantively identical to subpart EEEE CAIR opt-in permits, treatment of of part 96 of this chapter, under which units as CAIR opt-in units, and alloca- the permitting authority makes the al- tion and recordation of CAIR NOX locations; or Ozone Season allowances for CAIR opt- (ii) Any methodology for allocating in units, that are substantively iden- CAIR NOX Ozone Season allowances to tical to subpart IIII of part 96 of this individual sources under which the per- chapter and the provisions of subparts mitting authority makes the alloca- AAAA through HHHH that are applications, provided that: ble to CAIR opt-in units or units for (A) The State may provide for which a CAIR opt-in permit application issuance of an amount of CAIR Ozone is submitted and not withdrawn and a Season NOX allowances for an ozone CAIR opt-in permit is not yet issued or season, in addition to the amount in denied; the State’s Ozone Season EGU NOX (ii) Provisions for CAIR opt-in units, Budget for such ozone season, not ex- including provisions for applications ceeding the portion of the State’s trad- for CAIR opt-in permits, approval of ing program budget, under the State’s CAIR opt-in permits, treatment of emissions trading program approved units as CAIR opt-in units, and alloca- under § 51.121(p), attributed to the non- tion and recordation of CAIR NOX EGUs that the applicability provisions Ozone Season allowances for CAIR opt- in § 96.304 of this chapter are expanded in units, that are substantively iden- to include under paragraph (ee)(1) of tical to subpart IIII of part 96 of this this section. chapter and the provisions of subparts (B) The State’s methodology must AAAA through HHHH that are applica- not allow the State to allocate CAIR ble to CAIR opt-in units or units for Ozone Season NOX allowances for an which a CAIR opt-in permit application ozone season in excess of the amount in is submitted and not withdrawn and a the State’s Ozone Season EGU NOX CAIR opt-in permit is not yet issued or Budget for such ozone season plus any denied, except that the provisions ex- additional amount of CAIR Ozone Sea- clude § 96.388(b) of this chapter and the son NOX allowances issued under para- provisions of subpart IIII of part 96 of 217

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this chapter that apply only to units all CAIR NOX allowances allocated for covered by § 96.388(b) of this chapter; or a control period in 2015 and any subse- (iii) Provisions for applications for quent year, and, thereafter, no holding CAIR opt-in units, including provisions or surrender of CAIR NOX allowances for CAIR opt-in permits, approval of will be required with regard to emis- CAIR opt-in permits, treatment of sions or excess emissions for such con- units as CAIR opt-in units, and alloca- trol periods; and tion and recordation of CAIR NOX al- (4) By March 3, 2015, the Adminis- lowances for CAIR opt-in units, that trator will remove from the CAIR NOX are substantively identical to subpart Ozone Season Allowance Tracking Sys- IIII of part 96 of this chapter and the tem accounts all CAIR NOX Ozone Sea- provisions of subparts AAAA through son allowances allocated for a control HHHH that are applicable to CAIR opt- period in 2015 and any subsequent year, in units or units for which a CAIR opt- and, thereafter, no holding or sur- in permit application is submitted and render of CAIR NOX Ozone Season al- not withdrawn and a CAIR opt-in per- lowances will be required with regard mit is not yet issued or denied, except to emissions or excess emissions for that the provisions exclude § 96.388(c) of such control periods. this chapter and the provisions of subpart IIII of part 96 of this chapter that [70 FR 25319, May 12, 2005, as amended at 71 FR 25301, 25370, Apr. 28, 2006; 71 FR 74793, Dec. apply only to units covered by 13, 2006; 72 FR 59203, Oct. 19, 2007; 74 FR 56726, § 96.388(c) of this chapter. Nov. 3, 2009; 76 FR 48353, Aug. 8, 2011; 79 FR (ff) Notwithstanding any provisions 71671, Dec. 3, 2014] of paragraphs (a) through (ee) of this section, subparts AA through II and § 51.124 Findings and requirements for AAAA through IIII of part 96 of this submission of State implementation chapter, subparts AA through II and plan revisions relating to emissions AAAA through IIII of part 97 of this of sulfur dioxide pursuant to the Clean Air Interstate Rule. chapter, and any State’s SIP to the contrary: (a)(1) Under section 110(a)(1) of the (1) With regard to any control period CAA, 42 U.S.C. 7410(a)(1), the Adminis- that begins after December 31, 2014, the trator determines that each State iden- Administrator: tified in paragraph (c) of this section (i) Rescinds the determination in must submit a SIP revision to comply paragraph (a) of this section that the with the requirements of section States identified in paragraph (c) of 110(a)(2)(D)(i)(I) of the CAA, 42 U.S.C. this section must submit a SIP revi- 7410(a)(2)(D)(i)(I), through the adoption sion with respect to the fine particles of adequate provisions prohibiting (PM2.5) NAAQS and the 8-hour ozone sources and other activities from emit- NAAQS meeting the requirements of ting SO2 in amounts that will con- paragraphs (b) through (ee) of this sec- tribute significantly to nonattainment tion; and in, or interfere with maintenance by, (ii) Will not carry out any of the one or more other States with respect functions set forth for the Adminis- to the fine particles (PM2.5) NAAQS. trator in subparts AA through II and (2) Notwithstanding the other provi- AAAA through IIII of part 96 of this sions of this section, such provisions chapter, subparts AA through II and are not applicable as they relate to the AAAA through IIII of part 97 of this State of Minnesota as of December 3, chapter, or in any emissions trading 2009. program provisions in a State’s SIP ap- (b) For each State identified in para- proved under this section; graph (c) of this section, the SIP revi- (2) The Administrator will not deduct sion required under paragraph (a) of for excess emissions any CAIR NOX al- this section will contain adequate pro- lowances or CAIR NOX Ozone Season visions, for purposes of complying with allowances allocated for 2015 or any section 110(a)(2)(D)(i)(I) of the CAA, 42 year thereafter; U.S.C. 7410(a)(2)(D)(i)(I), only if the SIP (3) By March 3, 2015, the Adminis- revision contains control measures trator will remove from the CAIR NOX that assure compliance with the appli- Allowance Tracking System accounts cable requirements of this section.

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(c) The following States are subject shall not exceed the amount, during to the requirements of this section: the indicated periods, specified in para- Alabama, Delaware, Florida, Georgia, graph (e)(2) of this section. Illinois, Indiana, Iowa, Kentucky, Lou- (ii) The Annual Non-EGU SO2 Reduc- isiana, Maryland, Michigan, Min- tion Requirement, if applicable, is de- nesota, Mississippi, Missouri, New Jer- fined as the total amount of SO2 emis- sey, New York, North Carolina, Ohio, sion reductions that the State dem- Pennsylvania, South Carolina, Ten- onstrates, in accordance with para- nessee, Texas, Virginia, West Virginia, graph (g) of this section, it will achieve Wisconsin, and the District of Colum- from non-EGUs during the appropriate bia. period. If the State meets the require- (d)(1) The SIP revision under para- ments of paragraph (a) of this section graph (a) of this section must be sub- by imposing control measures on only mitted to EPA by no later than Sep- non-EGUs, then the State’s Annual tember 11, 2006. Non-EGU SO2 Reduction Requirement (2) The requirements of appendix V to shall equal or exceed, during the appro- this part shall apply to the SIP revi- priate periods, the amount determined sion under paragraph (a) of this sec- in accordance with paragraph (e)(3) of tion. this section. (3) The State shall deliver 5 copies of (iii) If a State meets the require- the SIP revision under paragraph (a) of ments of paragraph (a) of this section this section to the appropriate Re- by imposing control measures on both gional Office, with a letter giving no- EGUs and non-EGUs, then: tice of such action. (A) The Annual Non-EGU SO2 Reduc- (e) The State’s SIP revision shall tion Requirement shall equal or exceed contain control measures and dem- the difference between the amount onstrate that they will result in com- specified in paragraph (e)(2) of this sec- pliance with the State’s Annual EGU tion for the appropriate period and the SO2 Budget, if applicable, and achieve amount of the State’s Annual EGU SO2 the State’s Annual Non-EGU SO2 Re- Budget specified in the SIP revision for duction Requirement, if applicable, for the appropriate period; and the appropriate periods. The amounts (B) The Annual EGU SO2 Budget of the State’s Annual EGU SO2 Budget shall not exceed, during the indicated and Annual Non-EGU SO2 Reduction periods, the amount specified in para- Requirement shall be determined as graph (e)(2) of this section plus the follows: amount of the Annual Non-EGU SO2 (1)(i) The Annual EGU SO2 Budget for Reduction Requirement under para- the State is defined as the total graph (e)(1)(iii)(A) of this section for amount of SO2 emissions from all EGUs the appropriate period. in that State for a year, if the State (2) For a State that complies with meets the requirements of paragraph the requirements of paragraph (a) of (a) of this section by imposing control this section by imposing control meas- measures, at least in part, on EGUs. If ures on only EGUs, the amount of the the State imposes control measures Annual EGU SO2 Budget, in tons of SO2 under this section on only EGUs, the per year, shall be as follows, for the in- Annual EGU SO2 Budget for the State dicated State for the indicated period:

Annual EGU SO2 Annual EGU SO2 State budget for 2010–2014 budget for 2015 and (tons) thereafter (tons)

Alabama ...... 157,582 110,307 Delaware ...... 22,411 15,687 District of Columbia ...... 708 495 Florida ...... 253,450 177,415 Georgia ...... 213,057 149,140 Illinois ...... 192,671 134,869 Indiana ...... 254,599 178,219 Iowa ...... 64,095 44,866 Kentucky ...... 188,773 132,141 Louisiana ...... 59,948 41,963 Maryland ...... 70,697 49,488 Michigan ...... 178,605 125,024

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Annual EGU SO2 Annual EGU SO2 State budget for 2010–2014 budget for 2015 and (tons) thereafter (tons)

Minnesota ...... 49,987 34,991 Mississippi ...... 33,763 23,634 Missouri ...... 137,214 96,050 New Jersey ...... 32,392 22,674 New York ...... 135,139 94,597 North Carolina ...... 137,342 96,139 Ohio ...... 333,520 233,464 Pennsylvania ...... 275,990 193,193 South Carolina ...... 57,271 40,089 Tennessee ...... 137,216 96,051 Texas ...... 320,946 224,662 Virginia ...... 63,478 44,435 West Virginia ...... 215,881 151,117 Wisconsin ...... 87,264 61,085

(3) For a State that complies with (iii) If a State elects to impose con- the requirements of paragraph (a) of trol measures on non-EGUs other than this section by imposing control meas- those described in paragraph (f)(2)(ii) of ures on only non-EGUs, the amount of this section, then those measures must the Annual Non-EGU SO2 Reduction impose an annual SO2 mass emissions Requirement, in tons of SO2 per year, cap on all such sources in the State, or shall be determined, for the State for the State must demonstrate why such 2010 and thereafter, by subtracting the emissions cap is not practicable, and amount of the State’s Annual EGU SO2 adopt alternative requirements that Budget for the appropriate year, speci- ensure that the State will comply with fied in paragraph (e)(2) of this section, its requirements under paragraph (e) of from an amount equal to 2 times the this section, as applicable, in 2010 and State’s Annual EGU SO2 Budget for subsequent years. 2010 through 2014, specified in para- (g)(1) Each SIP revision that contains graph (e)(2) of this section. control measures covering non-EGUs (f) Each SIP revision must set forth as part or all of a State’s obligation in control measures to meet the amounts meeting its requirement under para- specified in paragraph (e) of this sec- graph (a) of this section must dem- tion, as applicable, including the fol- onstrate that such control measures lowing: are adequate to provide for the timely (1) A description of enforcement compliance with the State’s Annual methods including, but not limited to: Non-EGU SO2 Reduction Requirement (i) Procedures for monitoring compli- under paragraph (e) of this section and ance with each of the selected control are not adopted or implemented by the measures; State, as of May 12, 2005, and are not (ii) Procedures for handling viola- adopted or implemented by the federal tions; and government, as of the date of submis- (iii) A designation of agency respon- sion of the SIP revision by the State to sibility for enforcement of implemen- EPA. tation. (2) The demonstration under para- (2)(i) If a State elects to impose con- graph (g)(1) of this section must in- trol measures on EGUs, then those clude the following, with respect to measures must impose an annual SO2 each source category of non-EGUs for mass emissions cap on all such sources which the SIP revision requires control in the State. measures: (ii) If a State elects to impose con- (i) A detailed historical baseline in- trol measures on fossil fuel-fired non- ventory of SO2 mass emissions from EGUs that are boilers or combustion the source category in a representative turbines with a maximum design heat year consisting, at the State’s election, input greater than 250 mmBtu/hr, then of 2002, 2003, 2004, or 2005, or an average those measures must impose an annual of 2 or more of those years, absent the SO2 mass emissions cap on all such control measures specified in the SIP sources in the State. revision.

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(A) This inventory must represent es- revision to meet the SO2 emissions re- timates of actual emissions based on duction requirements of this section. monitoring data in accordance with (B) Economic and population fore- part 75 of this chapter, if the source casts must be as specific as possible to category is subject to part 75 moni- the applicable industry, State, and toring requirements in accordance with county of the source or source category part 75 of this chapter. and must be consistent with both na- (B) In the absence of monitoring data tional projections and relevant official in accordance with part 75 of this chap- planning assumptions, including esti- ter, actual emissions must be quan- mates of population and vehicle miles tified, to the maximum extent prac- traveled developed through consulta- ticable, with the same degree of assur- tion between State and local transpor- ance with which emissions are quan- tation and air quality agencies. How- tified for sources subject to part 75 of ever, if these official planning assump- this chapter and using source-specific tions are inconsistent with official U.S. or source-category-specific assump- Census projections of population or tions that ensure a source’s or source with energy consumption projections category’s actual emissions are not contained in the U.S. Department of overestimated. If a State uses factors Energy’s most recent Annual Energy to estimate emissions, production or Outlook, then the SIP revision must utilization, or effectiveness of controls make adjustments to correct the in- or rules for a source category, such fac- consistency or must demonstrate how tors must be chosen to ensure that the official planning assumptions are emissions are not overestimated. more accurate. (C) For measures to reduce emissions (C) These inventories must account from motor vehicles, emission esti- for any changes in production method, materials, fuels, or efficiency that are mates must be based on an emissions expected to occur between the histor- model that has been approved by EPA ical baseline year and 2010 or 2015, as for use in SIP development and must appropriate. be consistent with the planning as- (iii) A projection of SO mass emis- sumptions regarding vehicle miles 2 sions in 2010 and 2015 from the source traveled and other factors current at category assuming the same projected the time of the SIP development. changes as under paragraph (g)(2)(ii) of (D) For measures to reduce emissions this section and resulting from imple- from nonroad engines or vehicles, mentation of each of the control meas- emission estimates methodologies ures specified in the SIP revision. must be approved by EPA. (A) These inventories must address (ii) A detailed baseline inventory of the possibility that the State’s new SO2 mass emissions from the source control measures may cause produc- category in the years 2010 and 2015, ab- tion or utilization, and emissions, to sent the control measures specified in shift to unregulated or less stringently the SIP revision and reflecting changes regulated sources in the source cat- in these emissions from the historical egory in the same or another State, baseline year to the years 2010 and 2015, and these inventories must include any based on projected changes in the pro- such amounts of emissions that may duction input or output, population, shift to such other sources. vehicle miles traveled, economic activ- (B) The State must provide EPA with ity, or other factors as applicable to a summary of the computations, as- this source category. sumptions, and judgments used to de- (A) These inventories must account termine the degree of reduction in pro- for implementation of any control jected 2010 and 2015 SO2 emissions that measures that are adopted or imple- will be achieved from the implementa- mented by the State, as of May 12, 2005, tion of the new control measures com- or adopted or implemented by the fed- pared to the relevant baseline emis- eral government, as of the date of sub- sions inventory. mission of the SIP revision by the (iv) The result of subtracting the State to EPA, and must exclude any amounts in paragraph (g)(2)(iii) of this control measures specified in the SIP section for 2010 and 2015, respectively,

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from the lower of the amounts in paragraph (i)(4)(ii) of this section, then the graph (g)(2)(i) or (g)(2)(ii) of this sec- SIP revision must require such sources tion for 2010 and 2015, respectively, may to comply with the monitoring, record- be credited towards the State’s Annual keeping, and reporting provisions of Non-EGU SO2 Reduction Requirement part 75 of this chapter, or the State in paragraph (e)(3) of this section for must demonstrate why such require- the appropriate period. ments are not practicable and adopt al- (v) Each SIP revision must identify ternative requirements that ensure the sources of the data used in each es- that the required emissions reductions timate and each projection of emis- will be quantified, to the maximum ex- sions. tent practicable, with the same degree (h) Each SIP revision must comply of assurance with which emissions are with § 51.116 (regarding data avail- quantified for sources subject to part 75 ability). of this chapter. (i) Each SIP revision must provide (j) Each SIP revision must show that for monitoring the status of compli- the State has legal authority to carry ance with any control measures adopt- out the SIP revision, including author- ed to meet the State’s requirements ity to: under paragraph (e) of this section, as (1) Adopt emissions standards and follows: limitations and any other measures (1) The SIP revision must provide for necessary for attainment and mainte- legally enforceable procedures for re- nance of the State’s relevant Annual quiring owners or operators of sta- EGU SO2 Budget or the Annual Non- tionary sources to maintain records of, EGU SO2 Reduction Requirement, as and periodically report to the State: applicable, under paragraph (e) of this (i) Information on the amount of SO2 section; emissions from the stationary sources; (2) Enforce applicable laws, regula- and tions, and standards and seek injunc- (ii) Other information as may be nec- tive relief; essary to enable the State to determine (3) Obtain information necessary to whether the sources are in compliance determine whether air pollution with applicable portions of the control sources are in compliance with applica- measures; ble laws, regulations, and standards, (2) The SIP revision must comply including authority to require record- with § 51.212 (regarding testing, inspec- keeping and to make inspections and tion, enforcement, and complaints); conduct tests of air pollution sources; (3) If the SIP revision contains any and transportation control measures, then (4)(i) Require owners or operators of the SIP revision must comply with stationary sources to install, maintain, § 51.213 (regarding transportation con- and use emissions monitoring devices trol measures); and to make periodic reports to the (4)(i) If the SIP revision contains State on the nature and amounts of measures to control EGUs, then the emissions from such stationary SIP revision must require such sources sources; and to comply with the monitoring, record- (ii) Make the data described in para- keeping, and reporting provisions of graph (j)(4)(i) of this section available part 75 of this chapter. to the public within a reasonable time (ii) If the SIP revision contains meas- after being reported and as correlated ures to control fossil fuel-fired non- with any applicable emissions stand- EGUs that are boilers or combustion ards or limitations. turbines with a maximum design heat (k)(1) The provisions of law or regula- input greater than 250 mmBtu/hr, then tion that the State determines provide the SIP revision must require such the authorities required under this sec- sources to comply with the monitoring, tion must be specifically identified, recordkeeping, and reporting provi- and copies of such laws or regulations sions of part 75 of this chapter. must be submitted with the SIP revi- (iii) If the SIP revision contains sion. measures to control any other non- (2) Legal authority adequate to fulfill EGUs that are not described in para- the requirements of paragraphs (j)(3)

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and (4) of this section may be delegated gram is approved as set forth in para- to the State under section 114 of the graph (o)(1) of this section. CAA. (i) The State may decline to adopt (l)(1) A SIP revision may assign legal the CAIR SO2 opt-in provisions of sub- authority to local agencies in accord- part III of this part and the provisions ance with § 51.232. applicable only to CAIR SO2 opt-in (2) Each SIP revision must comply units in subparts AAA through HHH of with § 51.240 (regarding general plan re- this part. quirements). (ii) The State may decline to adopt (m) Each SIP revision must comply the CAIR SO2 opt-in provisions of with § 51.280 (regarding resources). § 96.288(b) of this chapter and the provi- (n) Each SIP revision must provide sions of subpart III of this part applica- for State compliance with the report- ble only to CAIR SO2 opt-in units ing requirements in § 51.125. under § 96.288(b). (o)(1) Notwithstanding any other pro- (iii) The State may decline to adopt vision of this section, if a State adopts the CAIR SO2 opt-in provisions of regulations substantively identical to § 96.288(c) of this chapter and the provi- subparts AAA through III of part 96 of sions of subpart II of this part applica- this chapter (CAIR SO2 Trading Pro- ble only to CAIR SO2 opt-in units gram), incorporates such subparts by under § 96.288(c). reference into its regulations, or (3) A State that adopts an emissions adopts regulations that differ sub- trading program in accordance with stantively from such subparts only as paragraph (o)(1) or (2) of this section is set forth in paragraph (o)(2) of this sec- not required to adopt an emissions tion, then such emissions trading pro- trading program in accordance with gram in the State’s SIP revision is § 96.123 (o)(1) or (2) or (aa)(1) or (2) of automatically approved as meeting the this chapter. requirements of paragraph (e) of this (4) If a State adopts an emissions section, provided that the State has trading program that differs sub- the legal authority to take such action stantively from subparts AAA through and to implement its responsibilities III of part 96 of this chapter, other than under such regulations. Before January as set forth in paragraph (o)(2) of this 1, 2009, a State’s regulations shall be section, then such emissions trading considered to be substantively iden- program is not automatically approved tical to subparts AAA through III of as set forth in paragraph (o)(1) or (2) of part 96 of the chapter, or differing sub- this section and will be reviewed by the stantively only as set forth in para- Administrator for approvability in ac- graph (o)(2) of this section, regardless cordance with the other provisions of of whether the State’s regulations in- this section, provided that the SO2 al- clude the definition of ‘‘Biomass’’, lowances issued under such emissions paragraph (3) of the definition of ‘‘Co- trading program shall not, and the SIP generation unit’’, and the second sen- revision shall state that such SO2 al- tence of the definition of ‘‘Total energy lowances shall not, qualify as CAIR input’’ in § 96.202 of this chapter pro- SO2 allowances under any emissions mulgated on October 19, 2007, provided trading program approved under para- that the State timely submits to the graph (o)(1) or (2) of this section. Administrator a SIP revision that re- (p) If a State’s SIP revision does not vises the State’s regulations to include contain an emissions trading program such provisions. Submission to the Ad- approved under paragraph (o)(1) or (2) ministrator of a SIP revision that re- of this section but contains control vises the State’s regulations to include measures on EGUs as part or all of a such provisions shall be considered State’s obligation in meeting its re- timely if the submission is made by quirement under paragraph (a) of this January 1, 2009. section: (2) If a State adopts an emissions (1) The SIP revision shall provide, for trading program that differs sub- each year that the State has such obli- stantively from subparts AAA through gation, for the permanent retirement III of part 96 of this chapter only as fol- of an amount of Acid Rain allowances lows, then the emissions trading pro- allocated to sources in the State for

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that year and not deducted by the Ad- (2) Any organic byproduct of agri- ministrator under the Acid Rain Pro- culture that can be converted into en- gram and any emissions trading pro- ergy; or gram approved under paragraph (o)(1) (3) Any material that can be con- or (2) of this section, equal to the dif- verted into energy and is nonmerchant- ference between— able for other purposes, that is seg- (A) The total amount of Acid Rain al- regated from other nonmerchantable lowances allocated under the Acid Rain material, and that is; Program to the sources in the State for (i) A forest-related organic resource, that year; and including mill residues, precommercial (B) If the State’s SIP revision con- thinnings, slash, brush, or byproduct tains only control measures on EGUs, from conversion of trees to merchant- the State’s Annual EGU SO2 Budget for able material; or the appropriate period as specified in (ii) A wood material, including pal- paragraph (e)(2) of this section or, if lets, crates, dunnage, manufacturing the State’s SIP revision contains con- and construction materials (other than trol measures on EGUs and non-EGUs, pressure-treated, chemically-treated, the State’s Annual EGU SO2 Budget for or painted wood products), and land- the appropriate period as specified in scape or right-of-way tree trimmings. the SIP revision. Boiler means an enclosed fossil- or (2) The SIP revision providing for other-fuel-fired combustion device used permanent retirement of Acid Rain al- to produce heat and to transfer heat to lowances under paragraph (p)(1) of this recirculating water, steam, or other section must ensure that such allow- medium. ances are not available for deduction Bottoming-cycle cogeneration unit by the Administrator under the Acid means a cogeneration unit in which the Rain Program and any emissions trad- energy input to the unit is first used to ing program approved under paragraph produce useful thermal energy and at (o)(1) or (2) of this section. least some of the reject heat from the (q) The terms used in this section useful thermal energy application or shall have the following meanings: process is then used for electricity pro- Acid Rain allowance means a limited duction. authorization issued by the Adminis- Clean Air Act or CAA means the Clean trator under the Acid Rain Program to Air Act, 42 U.S.C. 7401, et seq. emit up to one ton of sulfur dioxide Cogeneration unit means a stationary, during the specified year or any year fossil-fuel-fired boiler or stationary, thereafter, except as otherwise pro- fossil-fuel-fired combustion turbine: vided by the Administrator. (1) Having equipment used to produce Acid Rain Program means a multi- electricity and useful thermal energy State sulfur dioxide and nitrogen ox- for industrial, commercial, heating, or ides air pollution control and emissions cooling purposes through the sequen- reduction program established by the tial use of energy; and Administrator under title IV of the (2) Producing during the 12-month pe- CAA and parts 72 through 78 of this riod starting on the date the unit first chapter. produces electricity and during any Administrator means the Adminis- calendar year after the calendar year trator of the United States Environ- in which the unit first produces elec- mental Protection Agency or the Ad- tricity— ministrator’s duly authorized rep- (i) For a topping-cycle cogeneration resentative. unit, Allocate or allocation means, with re- (A) Useful thermal energy not less gard to allowances, the determination than 5 percent of total energy output; of the amount of allowances to be ini- and tially credited to a source or other en- (B) Useful power that, when added to tity. one-half of useful thermal energy pro- Biomass means— duced, is not less then 42.5 percent of (1) Any organic material grown for total energy input, if useful thermal the purpose of being converted to en- energy produced is 15 percent or more ergy; of total energy output, or not less than

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45 percent of total energy input, if use- (1) Qualifying as a cogeneration unit ful thermal energy produced is less during the 12-month period starting on than 15 percent of total energy output. the date the unit first produces elec- (ii) For a bottoming-cycle cogenera- tricity and continuing to qualify as a tion unit, useful power not less than 45 cogeneration unit; and percent of total energy input; (2) Not serving at any time, since the (3) Provided that the total energy later of November 15, 1990 or the start- input under paragraphs (2)(i)(B) and up of the unit’s combustion chamber, a (2)(ii) of this definition shall equal the generator with nameplate capacity of unit’s total energy input from all fuel more than 25 MWe supplying in any except biomass if the unit is a boiler. calendar year more than one-third of Combustion turbine means: the unit’s potential electric output ca- (1) An enclosed device comprising a pacity or 219,000 MWh, whichever is compressor, a combustor, and a turbine greater, to any utility power distribu- and in which the flue gas resulting tion system for sale. from the combustion of fuel in the (B) If a unit qualifies as a cogenera- combustor passes through the turbine, tion unit during the 12-month period rotating the turbine; and starting on the date the unit first pro- (2) If the enclosed device under para- duces electricity and meets the re- graph (1) of this definition is combined quirements of paragraphs (2)(i)(A) of cycle, any associated duct burner, heat this section for at least one calendar recovery steam generator, and steam year, but subsequently no longer meets turbine. all such requirements, the unit shall Commence operation means to have become an electric generating unit begun any mechanical, chemical, or starting on the earlier of January 1 electronic process, including, with re- after the first calendar year during gard to a unit, start-up of a unit’s com- which the unit first no longer qualifies bustion chamber. as a cogeneration unit or January 1 Electric generating unit or EGU means: after the first calendar year during (1)(i) Except as provided in paragraph which the unit no longer meets the re- (2) of this definition, a stationary, fos- quirements of paragraph (2)(i)(A)(2) of sil-fuel-fired boiler or stationary, fos- this section. sil-fuel-fired combustion turbine serv- (ii)(A) Any unit that is an electric ing at any time, since the later of No- generating unit under paragraph (1)(i) vember 15, 1990 or the start-up of the or (ii) of this definition commencing unit’s combustion chamber, a gener- operation before January 1, 1985: ator with nameplate capacity of more (1) Qualifying as a solid waste incin- than 25 MWe producing electricity for eration unit; and sale. (2) With an average annual fuel con- (ii) If a stationary boiler or sta- sumption of non-fossil fuel for 1985–1987 tionary combustion turbine that, under exceeding 80 percent (on a Btu basis) paragraph (1)(i) of this section, is not and an average annual fuel consump- an electric generating unit begins to tion of non-fossil fuel for any 3 con- combust fossil fuel or to serve a gener- secutive calendar years after 1990 ex- ator with nameplate capacity of more ceeding 80 percent (on a Btu basis). than 25 MWe producing electricity for (B) Any unit that is an electric gen- sale, the unit shall become an electric erating unit under paragraph (1)(i) or generating unit as provided in para- (ii) of this definition commencing oper- graph (1)(i) of this section on the first ation on or after January 1, 1985: date on which it both combusts fossil (1) Qualifying as a solid waste incin- fuel and serves such generator. eration unit; and (2) A unit that meets the require- (2) With an average annual fuel con- ments set forth in paragraphs (2)(i)(A), sumption of non-fossil fuel for the first (2)(ii)(A), or (2)(ii)(B) of this definition 3 calendar years of operation exceeding paragraph shall not be an electric gen- 80 percent (on a Btu basis) and an aver- erating unit: age annual fuel consumption of non- (i)(A) Any unit that is an electric fossil fuel for any 3 consecutive cal- generating unit under paragraph (1)(i) endar years after 1990 exceeding 80 per- or (ii) of this definition: cent (on a Btu basis).

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(C) If a unit qualifies as a solid waste Potential electrical output capacity incineration unit and meets the re- means 33 percent of a unit’s maximum quirements of paragraph (2)(ii)(A) or design heat input, divided by 3,413 Btu/ (B) of this section for at least 3 con- kWh, divided by 1,000 kWh/MWh, and secutive calendar years, but subse- multiplied by 8,760 hr/yr. quently no longer meets all such re- Sequential use of energy means: quirements, the unit shall become an (1) For a topping-cycle cogeneration electric generating unit starting on the unit, the use of reject heat from elec- earlier of January 1 after the first cal- tricity production in a useful thermal endar year during which the unit first energy application or process; or no longer qualifies as a solid waste in- (2) For a bottoming-cycle cogenera- cineration unit or January 1 after the tion unit, the use of reject heat from first 3 consecutive calendar years after useful thermal energy application or 1990 for which the unit has an average process in electricity production. annual fuel consumption of fossil fuel Solid waste incineration unit means a of 20 percent or more. stationary, fossil-fuel-fired boiler or Fossil fuel means natural gas, petro- stationary, fossil-fuel-fired combustion leum, coal, or any form of solid, liquid, turbine that is a ‘‘solid waste inciner- or gaseous fuel derived from such ma- ation unit’’ as defined in section terial. 129(g)(1) of the Clean Air Act. Fossil-fuel-fired means, with regard to Topping-cycle cogeneration unit means a unit, combusting any amount of fos- a cogeneration unit in which the en- sil fuel in any calendar year. ergy input to the unit is first used to Generator means a device that pro- produce useful power, including elec- duces electricity. tricity, and at least some of the reject Maximum design heat input means the heat from the electricity production is maximum amount of fuel per hour (in then used to provide useful thermal en- Btu/hr) that a unit is capable of com- ergy. busting on a steady state basis as of Total energy input means, with regard the initial installation of the unit as to a cogeneration unit, total energy of specified by the manufacturer of the all forms supplied to the cogeneration unit. unit, excluding energy produced by the NAAQS means National Ambient Air cogeneration unit itself. Quality Standard. Total energy output means, with re- Nameplate capacity means, starting gard to a cogeneration unit, the sum of from the initial installation of a gener- useful power and useful thermal energy ator, the maximum electrical gener- produced by the cogeneration unit. ating output (in MWe) that the gener- Each form of energy supplied shall be measured by the lower heating value of ator is capable of producing on a that form of energy calculated as fol- steady state basis and during contin- lows: uous operation (when not restricted by seasonal or other deratings as of such LHV = HHV ¥ 10.55(W + 9H) installation as specified by the manufacturer of the generator or, starting Where: from the completion of any subsequent LHV = lower heating value of fuel in Btu/lb, physical change in the generator re- HHV = higher heating value of fuel in Btu/lb, sulting in an increase in the maximum W = Weight % of moisture in fuel, and electrical generating output (in MWe) H = Weight % of hydrogen in fuel. that the generator is capable of pro- Unit means a stationary, fossil-fuel- ducing on a steady state basis and dur- fired boiler or a stationary, fossil-fuel ing continuous operation (when not re- fired combustion turbine. stricted by seasonal or other Useful power means, with regard to a deratings), such increased maximum cogeneration unit, electricity or me- amount as of such completion as speci- chanical energy made available for use, fied by the person conducting the phys- excluding any such energy used in the ical change. power production process (which proc- Non-EGU means a source of SO2 emis- ess includes, but is not limited to, any sions that is not an EGU. on-site processing or treatment of fuel

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combusted at the unit and any on-site this chapter and the provisions of sub- emission controls). part III of part 96 of this chapter that Useful thermal energy means, with re- apply only to units covered by gard to a cogeneration unit, thermal § 96.288(b) of this chapter; or energy that is: (3) Provisions for applications for (1) Made available to an industrial or CAIR opt-in units, including provisions commercial process, excluding any for CAIR opt-in permits, approval of heat contained in condensate return or CAIR opt-in permits, treatment of makeup water; units as CAIR opt-in units, and alloca- (2) Used in a heating application tion and recordation of CAIR SO2 al- (e.g., space heating or domestic hot lowances for CAIR opt-in units, that water heating); or are substantively identical to subpart (3) Used in a space cooling applica- III of part 96 of this chapter and the tion (i.e., thermal energy used by an provisions of subparts AAA through absorption chiller). HHH that are applicable to CAIR opt-in Utility power distribution system means units or units for which a CAIR opt-in the portion of an electricity grid owned permit application is submitted and or operated by a utility and dedicated not withdrawn and a CAIR opt-in per- to delivering electricity to customers. mit is not yet issued or denied, except (r) Notwithstanding any other provi- that the provisions exclude § 96.288(c) of sion of this section, a State may adopt, this chapter and the provisions of sub- and include in a SIP revision submitted part III of part 96 of this chapter that by March 31, 2007, regulations relating apply only to units covered by to the Federal CAIR SO2 Trading Pro- § 96.288(c) of this chapter. gram under subparts AAA through (s) Notwithstanding any provisions of HHH of part 97 of this chapter as fol- paragraphs (a) through (r) of this sec- lows. The State may adopt the fol- tion, subparts AAA through III of part lowing CAIR opt-in unit provisions: 96 of this chapter, subparts AAA (1) Provisions for CAIR opt-in units, through III of part 97 of this chapter, including provisions for applications and any State’s SIP to the contrary: for CAIR opt-in permits, approval of CAIR opt-in permits, treatment of (1) With regard to any control period units as CAIR opt-in units, and alloca- that begins after December 31, 2014, the Administrator: tion and recordation of CAIR SO2 allowances for CAIR opt-in units, that (i) Rescinds the determination in are substantively identical to subpart paragraph (a) of this section that the III of part 96 of this chapter and the States identified in paragraph (c) of provisions of subparts AAA through this section must submit a SIP revi- HHH that are applicable to CAIR opt-in sion with respect to the fine particles units or units for which a CAIR opt-in (PM2.5) NAAQS meeting the require- permit application is submitted and ments of paragraphs (b) through (r) of not withdrawn and a CAIR opt-in per- this section; and mit is not yet issued or denied; (ii) Will not carry out any of the (2) Provisions for CAIR opt-in units, functions set forth for the Adminis- including provisions for applications trator in subparts AAA through III of for CAIR opt-in permits, approval of part 96 of this chapter, subparts AAA CAIR opt-in permits, treatment of through III of part 97 of this chapter, or units as CAIR opt-in units, and alloca- in any emissions trading program in a tion and recordation of CAIR SO2 al- State’s SIP approved under this sec- lowances for CAIR opt-in units, that tion; and are substantively identical to subpart (2) The Administrator will not deduct III of part 96 of this chapter and the for excess emissions any CAIR SO2 al- provisions of subparts AAA through lowances allocated for 2015 or any year HHH that are applicable to CAIR opt-in thereafter. units or units for which a CAIR opt-in [70 FR 25328, May 12, 2005, as amended at 71 permit application is submitted and FR 25302, 25372, Apr. 28, 2006; 71 FR 74793, Dec. not withdrawn and a CAIR opt-in per- 13, 2006; 72 FR 59204, Oct. 19, 2007; 74 FR 56726, mit is not yet issued or denied, except Nov. 3, 2009; 76 FR 48353, Aug. 8, 2011; 79 FR that the provisions exclude § 96.288(b) of 71671, Dec. 3, 2014]

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§ 51.125 [Reserved] (c) Priority IA Region means any area which is Priority I primarily because of § 51.126 Determination of widespread emissions from a single point source. use of ORVR and waiver of CAA (d) Priority II Region means any area section 182(b)(3) Stage II gasoline which is not a Priority I region and has vapor recovery requirements. ambient concentrations between the (a) Pursuant to section 202(a)(6) of following: the Clean Air Act, the Administrator (1) Sulfur Dioxides—60–100 μg/m3 has determined that, effective May 16, (0.02–0.04 ppm) annual arithmetic 2012, onboard refueling vapor recovery mean; 260–445 μg/m3 (0.10–0.17 ppm) 24- (ORVR) systems are in widespread use hour maximum; any concentration μ 3 in the motor vehicle fleet within the above 1,300 g/m (0.50 ppm) three-hour United States. average. (2) Particulate matter—60–95 μg/m3 (b) Effective May 16, 2012, the Admin- annual geometric mean; 150–325 μg/m3 istrator waives the requirement of 24-hour maximum. Clean Air Act section 182(b)(3) for (e) In the absence of adequate moni- Stage II vapor recovery systems in toring data, appropriate models must ozone nonattainment areas regardless be used to classify an area under para- of classification. States must submit graph (b) of this section, consistent and receive EPA approval of a revision with the requirements contained in to their approved State Implementa- § 51.112(a). tion Plans before removing Stage II re- (f) Areas which do not meet the quirements that are contained therein. above criteria are classified Priority [77 FR 28782, May 16, 2012] III. [51 FR 40668, Nov. 7, 1986, as amended at 58 Subpart H—Prevention of Air FR 38822, July 20, 1993] Pollution Emergency Episodes § 51.151 Significant harm levels. Each plan for a Priority I region SOURCE: 51 FR 40668, Nov. 7, 1986, unless must include a contingency plan which otherwise noted. must, as a minimum, provide for taking action necessary to prevent ambi- § 51.150 Classification of regions for episode plans. ent pollutant concentrations at any location in such region from reaching the (a) This section continues the classi- following levels: fication system for episode plans. Each μ 3 region is classified separately with re- Sulfur dioxide—2.620 g/m (1.0 ppm) 24-hour average. spect to each of the following pollut- PM10—600 micrograms/cubic meter; 24-hour ants: Sulfur oxides, particulate matter, average. carbon monoxide, nitrogen dioxide, and Carbon monoxide—57.5 mg/m3 (50 ppm) 8-hour ozone. average; 86.3 mg/m3 (75 ppm) 4-hour aver- (b) Priority I Regions means any area age; 144 mg/m3 (125 ppm) 1-hour average. with greater ambient concentrations Ozone—1,200 ug/m3 (0.6 ppm) 2-hour average. Nitrogen dioxide—3.750 ug/m3 (2.0 ppm) 1-hour than the following: average; 938 ug/m3 (0.5 ppm) 24-hour aver- (1) Sulfur dioxide—100 μg/m3 (0.04 age. ppm) annual arithmetic mean; 455 μg/ 3 [51 FR 40668, Nov. 7, 1986, as amended at 52 m (0.17 ppm) 24-hour maximum. FR 24713, July 1, 1987] (2) Particulate matter—95 μg/m3 annual geometric mean; 325 μg/m3 24-hour § 51.152 Contingency plans. maximum. (a) Each contingency plan must— (3) Carbon monoxide—55 mg/m3 (48 (1) Specify two or more stages of epi- ppm) 1-hour maximum; 14 mg/m3 (12 sode criteria such as those set forth in ppm) 8-hour maximum. appendix L to this part, or their equiv- (4) Nitrogen dioxide—100 μg/m3 (0.06 alent; ppm) annual arithmetic mean. (2) Provide for public announcement (5) Ozone—195 μg/m3 (0.10 ppm) 1-hour whenever any episode stage has been maximum. determined to exist; and

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(3) Specify adequate emission control classification, appropriate changes in actions to be taken at each episode the episode plan must be made as expe- stage. (Examples of emission control ditiously as practicable. actions are set forth in appendix L.) (b) [Reserved] (b) Each contingency plan for a Pri- ority I region must provide for the following: Subpart I—Review of New Sources (1) Prompt acquisition of forecasts of and Modifications atmospheric stagnation conditions and of updates of such forecasts as fre- SOURCE: 51 FR 40669, Nov. 7, 1986, unless quently as they are issued by the Na- otherwise noted. tional Weather Service. (2) Inspection of sources to ascertain § 51.160 Legally enforceable proce- compliance with applicable emission dures. control action requirements. (a) Each plan must set forth legally (3) Communications procedures for enforceable procedures that enable the transmitting status reports and orders State or local agency to determine as to emission control actions to be whether the construction or modifica- taken during an episode stage, includ- tion of a facility, building, structure or ing procedures for contact with public installation, or combination of these officials, major emission sources, pub- will result in— lic health, safety, and emergency agen- (1) A violation of applicable portions cies and news media. (c) Each plan for a Priority IA and II of the control strategy; or region must include a contingency plan (2) Interference with attainment or that meets, as a minimum, the require- maintenance of a national standard in ments of paragraphs (b)(1) and (b)(2) of the State in which the proposed source this section. Areas classified Priority (or modification) is located or in a III do not need to develop episode neighboring State. plans. (b) Such procedures must include (d) Notwithstanding the require- means by which the State or local ments of paragraphs (b) and (c) of this agency responsible for final decision- section, the Administrator may, at his making on an application for approval discretion— to construct or modify will prevent (1) Exempt from the requirements of such construction or modification if— this section those portions of Priority (1) It will result in a violation of ap- I, IA, or II regions which have been des- plicable portions of the control strat- ignated as attainment or unclassifiable egy; or for national primary and secondary (2) It will interfere with the attain- standards under section 107 of the Act; ment or maintenance of a national or standard. (2) Limit the requirements pertaining to emission control actions in Priority (c) The procedures must provide for I regions to— the submission, by the owner or oper- (i) Urbanized areas as identified in ator of the building, facility, structure, the most recent United States Census, or installation to be constructed or and modified, of such information on— (ii) Major emitting facilities, as de- (1) The nature and amounts of emis- fined by section 169(1) of the Act, out- sions to be emitted by it or emitted by side the urbanized areas. associated mobile sources; (2) The location, design, construc- § 51.153 Reevaluation of episode plans. tion, and operation of such facility, (a) States should periodically re- building, structure, or installation as evaluate priority classifications of all may be necessary to permit the State Regions or portion of Regions within or local agency to make the determina- their borders. The reevaluation must tion referred to in paragraph (a) of this consider the three most recent years of section. air quality data. If the evaluation indicates a change to a higher priority

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(d) The procedures must provide that comment shall include, as a min- approval of any construction or modi- imum— fication must not affect the responsi- (1) Availability for public inspection bility to the owner or operator to com- in at least one location in the area af- ply with applicable portions of the con- fected of the information submitted by trol strategy. the owner or operator and of the State (e) The procedures must identify or local agency’s analysis of the effect types and sizes of facilities, buildings, on air quality. This requirement may structures, or installations which will be met by making these materials be subject to review under this section. available at a physical location or on a The plan must discuss the basis for de- public Web site identified by the State termining which facilities will be sub- or local agency; ject to review. (2) A 30-day period for submittal of (f) The procedures must discuss the public comment; and air quality data and the dispersion or (3) A notice by prominent advertise- other air quality modeling used to ment in the area affected of the loca- meet the requirements of this subpart. tion of the source information and (1) All applications of air quality analysis specified in paragraph (b)(1) of modeling involved in this subpart shall this section. be based on the applicable models, data (c) Where the 30-day comment period bases, and other requirements specified required in paragraph (b) of this sec- in appendix W of this part (Guideline tion would conflict with existing re- on Air Quality Models). quirements for acting on requests for (2) Where an air quality model speci- permission to construct or modify, the fied in appendix W of this part (Guide- State may submit for approval a com- line on Air Quality Models) is inappro- ment period which is consistent with priate, the model may be modified or such existing requirements. another model substituted. Such a (d) A copy of the notice required by modification or substitution of a model paragraph (b) of this section must also may be made on a case-by-case basis be sent to the Administrator through or, where appropriate, on a generic basis for a specific State program. the appropriate Regional Office, and to Written approval of the Administrator all other State and local air pollution must be obtained for any modification control agencies having jurisdiction in or substitution. In addition, use of a the region in which such new or modi- modified or substituted model must be fied installation will be located. The subject to notice and opportunity for notice also must be sent to any other public comment under procedures set agency in the region having responsi- forth in § 51.102. bility for implementing the procedures required under this subpart. For lead, a [51 FR 40669, Nov. 7, 1986, as amended at 58 copy of the notice is required for all FR 38822, July 20, 1993; 60 FR 40468, Aug. 9, point sources. The definition of point 1995; 61 FR 41840, Aug. 12, 1996] for lead is given in § 51.100(k)(2). § 51.161 Public availability of informa- [51 FR 40669, Nov. 7, 1986, as amended at 81 tion. FR 71629, Oct. 18, 2016] (a) The legally enforceable procedures in § 51.160 must also require the § 51.162 Identification of responsible State or local agency to provide oppor- agency. tunity for public comment on informa- Each plan must identify the State or tion submitted by owners and opera- local agency which will be responsible tors. The public information must infor meeting the requirements of this clude the agency’s analysis of the ef- subpart in each area of the State. fect of construction or modification on Where such responsibility rests with an ambient air quality, including the agency other than an air pollution con- agency’s proposed approval or dis- trol agency, such agency will consult approval. with the appropriate State or local air (b) For purposes of paragraph (a) of pollution control agency in carrying this section, opportunity for public out the provisions of this subpart.

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§ 51.163 Administrative procedures. sification Manual, 1972, as amended by The plan must include the adminis- the 1977 Supplement (U.S. Government trative procedures, which will be fol- Printing Office stock numbers 4101–0065 lowed in making the determination and 003–005–00176–0, respectively). specified in paragraph (a) of § 51.160. (B) The plan may include the following provision: Notwithstanding the § 51.164 Stack height procedures. provisions of paragraph (a)(1)(ii)(A) of Such procedures must provide that this section, building, structure, facility, the degree of emission limitation re- or installation means, for onshore acquired of any source for control of any tivities under Standard Industrial Clas- air pollutant must not be affected by sification (SIC) Major Group 13: Oil and so much of any source’s stack height Gas Extraction, all of the pollutant- that exceeds good engineering practice emitting activities included in Major or by any other dispersion technique, Group 13 that are located on one or except as provided in § 51.118(b). Such more contiguous or adjacent prop- procedures must provide that before a erties, and are under the control of the State issues a permit to a source based same person (or persons under common on a good engineering practice stack control). Pollutant emitting activities height that exceeds the height allowed shall be considered adjacent if they are by § 51.100(ii) (1) or (2), the State must located on the same surface site; or if notify the public of the availability of they are located on surface sites that the demonstration study and must pro- are located within 1⁄4 mile of one an- vide opportunity for public hearing on other (measured from the center of the it. This section does not require such equipment on the surface site) and procedures to restrict in any manner they share equipment. Shared equip- the actual stack height of any source. ment includes, but is not limited to, produced fluids storage tanks, phase § 51.165 Permit requirements. separators, natural gas dehydrators or (a) State Implementation Plan and emissions control devices. Surface site, Tribal Implementation Plan provisions as used in this paragraph (a)(1)(ii)(B), satisfying sections 172(c)(5) and 173 of has the same meaning as in 40 CFR the Act shall meet the following condi- 63.761. tions: (iii) Potential to emit means the max- (1) All such plans shall use the spe- imum capacity of a stationary source cific definitions. Deviations from the to emit a pollutant under its physical following wording will be approved and operational design. Any physical only if the State specifically dem- or operational limitation on the capac- onstrates that the submitted definition ity of the source to emit a pollutant, is more stringent, or at least as strin- including air pollution control equip- gent, in all respects as the cor- ment and restrictions on hours of oper- responding definition below: ation or on the type or amount of ma- (i) Stationary source means any build- terial combusted, stored, or processed, ing, structure, facility, or installation shall be treated as part of its design which emits or may emit a regulated NSR pollutant. only if the limitation or the effect it (ii)(A) Building, structure, facility, or would have on emissions is federally installation means all of the pollutant- enforceable. Secondary emissions do emitting activities which belong to the not count in determining the potential same industrial grouping, are located to emit of a stationary source. on one or more contiguous or adjacent (iv)(A) Major stationary source means: properties, and are under the control of (1) Any stationary source of air pol- the same person (or persons under com- lutants that emits, or has the potential mon control) except the activities of to emit, 100 tons per year or more of any vessel. Pollutant emitting activi- any regulated NSR pollutant (as de- ties shall be considered as part of the fined in paragraph (a)(1)(xxxvii) of this same industrial grouping if they belong section), except that lower emissions to the same Major Group (i.e., which thresholds shall apply in areas subject have the same two-digit code) as de- to subpart 2, subpart 3, or subpart 4 of scribed in the Standard Industrial Clas- part D, title I of the Act, according to

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paragraphs (a)(1)(iv)(A)(1)(i) through that is located in an ozone transport (viii) of this section. region. (i) 50 tons per year of Volatile or- (iv) 50 tons per year or more of nitro- ganic compounds in any serious ozone gen oxides in any serious nonattain- nonattainment area. ment area for ozone. (ii) 50 tons per year of Volatile or- (v) 25 tons per year or more of nitro- ganic compounds in an area within an gen oxides in any severe nonattain- ozone transport region, except for any ment area for ozone. severe or extreme ozone nonattainment (vi) 10 tons per year or more of nitro- area. gen oxides in any extreme nonattain- (iii) 25 tons per year of Volatile or- ment area for ozone; or ganic compounds in any severe ozone (3) Any physical change that would nonattainment area. occur at a stationary source not quali- (iv) 10 tons per year of Volatile or- fying under paragraphs (a)(1)(iv)(A)(1) ganic compounds in any extreme ozone or (2) of this section as a major sta- nonattainment area. tionary source, if the change would (v) 50 tons per year of Carbon mon- constitute a major stationary source oxide in any serious nonattainment by itself. area for carbon monoxide, where sta- (B) A major stationary source that is tionary sources contribute signifi- major for volatile organic compounds cantly to Carbon monoxide levels in shall be considered major for ozone the area (as determined under rules (C) The fugitive emissions of a sta- issued by the Administrator). tionary source shall not be included in (vi) 70 tons per year of PM10 in any determining for any of the purposes of serious nonattainment area for PM10. this paragraph whether it is a major (vii) 70 tons per year of PM2.5 in any stationary source, unless the source be- serious nonattainment area for PM2.5. longs to one of the following categories (viii) 70 tons per year of any indi- of stationary sources: vidual precursor for PM2.5 (as defined in (1) Coal cleaning plants (with ther- paragraph (a)(1)(xxxvii) of this sec- mal dryers); tion), in any serious nonattainment (2) Kraft pulp mills; area for PM2.5. (3) Portland cement plants; (2) For the purposes of applying the (4) Primary zinc smelters; requirements of paragraph (a)(8) of this (5) Iron and steel mills; section to stationary sources of nitro- (6) Primary aluminum ore reduction gen oxides located in an ozone non- plants; attainment area or in an ozone trans- (7) Primary copper smelters; port region, any stationary source (8) Municipal incinerators capable of which emits, or has the potential to charging more than 250 tons of refuse emit, 100 tons per year or more of ni- per day; trogen oxides emissions, except that (9) Hydrofluoric, sulfuric, or nitric the emission thresholds in paragraphs acid plants; (a)(1)(iv)(A)(2)(i) through (vi) of this (10) Petroleum refineries; section shall apply in areas subject to (11) Lime plants; subpart 2 of part D, title I of the Act. (12) Phosphate rock processing (i) 100 tons per year or more of nitro- plants; gen oxides in any ozone nonattainment (13) Coke oven batteries; area classified as marginal or mod- (14) Sulfur recovery plants; erate. (15) Carbon black plants (furnace (ii) 100 tons per year or more of nitro- process); gen oxides in any ozone nonattainment (16) Primary lead smelters; area classified as a transitional, sub- (17) Fuel conversion plants; marginal, or incomplete or no data (18) Sintering plants; area, when such area is located in an (19) Secondary metal production ozone transport region. plants; (iii) 100 tons per year or more of ni- (20) Chemical process plants—The trogen oxides in any area designated term chemical processing plant shall under section 107(d) of the Act as at- not include ethanol production facili- tainment or unclassifiable for ozone ties that produce ethanol by natural

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fermentation included in NAICS codes (2) Use of an alternative fuel or raw 325193 or 312140; material by reason of an order under (21) Fossil-fuel boilers (or combina- sections 2 (a) and (b) of the Energy tion thereof) totaling more than 250 Supply and Environmental Coordina- million British thermal units per hour tion Act of 1974 (or any superseding heat input; legislation) or by reason of a natural (22) Petroleum storage and transfer gas curtailment plan pursuant to the units with a total storage capacity ex- Federal Power Act; ceeding 300,000 barrels; (3) Use of an alternative fuel by rea- (23) Taconite ore processing plants; son of an order or rule section 125 of (24) Glass fiber processing plants; the Act; (25) Charcoal production plants; (4) Use of an alternative fuel at a (26) Fossil fuel-fired steam electric steam generating unit to the extent plants of more than 250 million British that the fuel is generated from municipal solid waste; thermal units per hour heat input; and (5) Use of an alternative fuel or raw (27) Any other stationary source cat- material by a stationary source which; egory which, as of August 7, 1980, is being regulated under section 111 or 112 (i) The source was capable of accom- of the Act. modating before December 21, 1976, unless such change would be prohibited (v)(A) Major modification means any under any federally enforceable permit physical change in or change in the condition which was established after method of operation of a major sta- December 12, 1976 pursuant to 40 CFR tionary source that would result in: 52.21 or under regulations approved (1) A significant emissions increase pursuant to 40 CFR subpart I or § 51.166, of a regulated NSR pollutant (as de- or fined in paragraph (a)(1)(xxxvii) of this (ii) The source is approved to use section); and under any permit issued under regula- (2) A significant net emissions in- tions approved pursuant to this sec- crease of that pollutant from the major tion; stationary source. (6) An increase in the hours of oper- (B) Any significant emissions in- ation or in the production rate, unless crease (as defined in paragraph such change is prohibited under any (a)(1)(xxvii) of this section) from any federally enforceable permit condition emissions units or net emissions in- which was established after December crease (as defined in paragraph 21, 1976 pursuant to 40 CFR 52.21 or reg- (a)(1)(vi) of this section) at a major sta- ulations approved pursuant to 40 CFR tionary source that is significant for part 51 subpart I or 40 CFR 51.166. volatile organic compounds shall be (7) Any change in ownership at a sta- considered significant for ozone. tionary source. (C) A physical change or change in (8) [Reserved] the method of operation shall not in- (9) The installation, operation, ces- clude: sation, or removal of a temporary (1) Routine maintenance, repair and clean coal technology demonstration replacement. Routine maintenance, re- project, provided that the project com- pair and replacement shall include, but plies with: not be limited to, any activity(s) that (i) The State Implementation Plan meets the requirements of the equip- for the State in which the project is lo- ment replacement provisions contained cated, and in paragraph (h) of this section; (ii) Other requirements necessary to NOTE TO PARAGRAPH (a)(1)(v)(C)(1): On De- attain and maintain the national ambi- cember 24, 2003, the second sentence of this ent air quality standard during the paragraph (a)(1)(v)(C)(1) is stayed indefi- project and after it is terminated. nitely by court order. The stayed provisions (D) This definition shall not apply will become effective immediately if the court terminates the stay. At that time, with respect to a particular regulated EPA will publish a document in the FEDERAL NSR pollutant when the major sta- REGISTER advising the public of the termi- tionary source is complying with the nation of the stay. requirements under paragraph (f) of

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this section for a PAL for that pollut- paragraphs (a)(1)(xxxv)(A)(3) and ant. Instead, the definition at para- (a)(1)(xxxv)(B)(4) of this section shall graph (f)(2)(viii) of this section shall not apply. apply. (B) An increase or decrease in actual (E) For the purpose of applying the emissions is contemporaneous with the requirements of (a)(8) of this section to increase from the particular change modifications at major stationary only if it occurs before the date that sources of nitrogen oxides located in the increase from the particular ozone nonattainment areas or in ozone change occurs; transport regions, whether or not sub- (C) An increase or decrease in actual ject to subpart 2, part D, title I of the emissions is creditable only if: Act, any significant net emissions in- (1) It occurs within a reasonable pe- crease of nitrogen oxides is considered significant for ozone. riod to be specified by the reviewing (F) Any physical change in, or authority; and change in the method of operation of, a (2) The reviewing authority has not major stationary source of volatile or- relied on it in issuing a permit for the ganic compounds that results in any source under regulations approved pur- increase in emissions of volatile or- suant to this section, which permit is ganic compounds from any discrete op- in effect when the increase in actual eration, emissions unit, or other pol- emissions from the particular change lutant emitting activity at the source occurs; and shall be considered a significant net (3) As it pertains to an increase or de- emissions increase and a major modi- crease in fugitive emissions (to the ex- fication for ozone, if the major sta- tent quantifiable), it occurs at an emis- tionary source is located in an extreme sions unit that is part of one of the ozone nonattainment area that is sub- source categories listed in paragraph ject to subpart 2, part D, title I of the (a)(1)(iv)(C) of this section or it occurs Act. at an emissions unit that is located at (G) Fugitive emissions shall not be a major stationary source that belongs included in determining for any of the to one of the listed source categories. purposes of this section whether a Fugitive emission increases or de- physical change in or change in the creases are not creditable for those method of operation of a major sta- emissions units located at a facility tionary source is a major modification, whose primary activity is not rep- unless the source belongs to one of the resented by one of the source cat- source categories listed in paragraph egories listed in paragraph (a)(1)(iv)(C) (a)(1)(iv)(C) of this section. of this section and that are not, by (vi)(A) Net emissions increase means, themselves, part of a listed source cat- with respect to any regulated NSR pol- egory. lutant emitted by a major stationary (D) An increase in actual emissions is source, the amount by which the sum creditable only to the extent that the of the following exceeds zero: new level of actual emissions exceeds (1) The increase in emissions from a the old level. particular physical change or change in (E) A decrease in actual emissions is the method of operation at a sta- creditable only to the extent that: tionary source as calculated pursuant to paragraph (a)(2)(ii) of this section; (1) The old level of actual emission or and the old level of allowable emissions (2) Any other increases and decreases whichever is lower, exceeds the new in actual emissions at the major sta- level of actual emissions; tionary source that are contempora- (2) It is enforceable as a practical neous with the particular change and matter at and after the time that ac- are otherwise creditable. Baseline actual construction on the particular tual emissions for calculating in- change begins; and creases and decreases under this para- (3) The reviewing authority has not graph (a)(1)(vi)(A)(2) shall be deter- relied on it in issuing any permit under mined as provided in paragraph regulations approved pursuant to 40 (a)(1)(xxxv) of this section, except that CFR part 51 subpart I or the State has

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not relied on it in demonstrating at- stationary source of major modifica- tainment or reasonable further tion. Secondary emissions do not in- progress; clude any emissions which come di- (4) It has approximately the same rectly from a mobile source such as qualitative significance for public emissions from the tailpipe of a motor health and welfare as that attributed vehicle, from a train, or from a vessel. to the increase from the particular (ix) Fugitive emissions means those change; and emissions which could not reasonably (F) An increase that results from a pass through a stack, chimney, vent or physical change at a source occurs other functionally equivalent opening. when the emissions unit on which con- (x)(A) Significant means, in reference struction occurred becomes oper- to a net emissions increase or the po- ational and begins to emit a particular tential of a source to emit any of the pollutant. Any replacement unit that following pollutants, a rate of emis- requires shakedown becomes oper- sions that would equal or exceed any of ational only after a reasonable shake- the following rates: down period, not to exceed 180 days. (G) Paragraph (a)(1)(xii)(B) of this POLLUTANT EMISSION RATE section shall not apply for determining Carbon monoxide: 100 tons per year (tpy) creditable increases and decreases or Nitrogen oxides: 40 tpy after a change. Sulfur dioxide: 40 tpy (vii) Emissions unit means any part of Ozone: 40 tpy of Volatile organic compounds a stationary source that emits or or Nitrogen oxides would have the potential to emit any Lead: 0.6 tpy regulated NSR pollutant and includes PM10: 15 tpy an electric steam generating unit as PM2.5: 10 tpy of direct PM2.5 emissions; 40 tpy defined in paragraph (a)(1)(xx) of this of Sulfur dioxide emissions, 40 tpy of Nitro- section. For purposes of this section, gen oxide emissions, or 40 tpy of VOC emis- there are two types of emissions units sions, to the extent that any such pollutant is defined as a precursor for PM2.5 in as described in paragraphs (a)(1)(vii)(A) paragraph (a)(1)(xxxvii) of this section. and (B) of this section. (A) A new emissions unit is any emis- (B) Notwithstanding the significant sions unit which is (or will be) newly emissions rate for ozone in paragraph constructed and which has existed for (a)(1)(x)(A) of this section, significant less than 2 years from the date such means, in reference to an emissions in- emissions unit first operated. crease or a net emissions increase, any (B) An existing emissions unit is any increase in actual emissions of volatile emissions unit that does not meet the organic compounds that would result requirements in paragraph (a)(1)(vii)(A) from any physical change in, or change of this section. A replacement unit, as in the method of operation of, a major defined in paragraph (a)(1)(xxi) of this stationary source locating in a serious section, is an existing emissions unit. or severe ozone nonattainment area (viii) Secondary emissons means emis- that is subject to subpart 2, part D, sions which would occur as a result of title I of the Act, if such emissions in- the construction or operation of a crease of volatile organic compounds major stationary source or major exceeds 25 tons per year. modification, but do not come from the (C) For the purposes of applying the major stationary source or major requirements of paragraph (a)(8) of this modification itself. For the purpose of section to modifications at major sta- this section, secondary emissions must tionary sources of nitrogen oxides lo- be specific, well defined, quantifiable, cated in an ozone nonattainment area and impact the same general area as or in an ozone transport region, the the stationary source or modification significant emission rates and other re- which causes the secondary emissions. quirements for volatile organic com- Secondary emissions include emissions pounds in paragraphs (a)(1)(x)(A), (B), from any offsite support facility which and (E) of this section shall apply to would not be constructed or increase nitrogen oxides emissions. its emissions except as a result of the (D) Notwithstanding the significant construction of operation of the major emissions rate for carbon monoxide

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under paragraph (a)(1)(x)(A) of this sec- including those with a future compli- tion, significant means, in reference to ance date. an emissions increase or a net emis- (xii)(A) Actual emissions means the ac- sions increase, any increase in actual tual rate of emissions of a regulated emissions of carbon monoxide that NSR pollutant from an emissions unit, would result from any physical change as determined in accordance with para- in, or change in the method of oper- graphs (a)(1)(xii)(B) through (D) of this ation of, a major stationary source in a section, except that this definition serious nonattainment area for carbon shall not apply for calculating whether monoxide if such increase equals or ex- a significant emissions increase has oc- ceeds 50 tons per year, provided the Ad- curred, or for establishing a PAL under ministrator has determined that sta- paragraph (f) of this section. Instead, tionary sources contribute signifi- paragraphs (a)(1)(xxviii) and (xxxv) of cantly to carbon monoxide levels in this section shall apply for those pur- that area. poses. (E) Notwithstanding the significant (B) In general, actual emissions as of emissions rates for ozone under para- a particular date shall equal the aver- graphs (a)(1)(x)(A) and (B) of this sec- age rate, in tons per year, at which the tion, any increase in actual emissions unit actually emitted the pollutant of volatile organic compounds from during a consecutive 24-month period any emissions unit at a major sta- which precedes the particular date and tionary source of volatile organic com- which is representative of normal pounds located in an extreme ozone source operation. The reviewing au- nonattainment area that is subject to thority shall allow the use of a dif- subpart 2, part D, title I of the Act ferent time period upon a determina- shall be considered a significant net tion that it is more representative of emissions increase. normal source operation. Actual emis- (F) For the purposes of applying the sions shall be calculated using the requirements of paragraph (a)(13) of unit’s actual operating hours, produc- this section to modifications at exist- tion rates, and types of materials proc- ing major stationary sources of Ammo- essed, stored, or combusted during the selected time period. nia located in a PM2.5 nonattainment area, if the plan requires that the con- (C) The reviewing authority may pre- trol requirements of this section apply sume that source-specific allowable to major stationary sources and major emissions for the unit are equivalent to modifications of Ammonia as a regu- the actual emissions of the unit. (D) For any emissions unit that has lated NSR pollutant (as a PM2.5 precursor), the plan shall also define ‘‘sig- not begun normal operations on the nificant’’ for Ammonia for that area, particular date, actual emissions shall subject to the approval of the Adminis- equal the potential to emit of the unit trator. on that date. (xiii) Lowest achievable emission rate (xi) Allowable emissions means the (LAER) means, for any source, the emissions rate of a stationary source more stringent rate of emissions based calculated using the maximum rated on the following: capacity of the source (unless the (A) The most stringent emissions source is subject to federally enforce- limitation which is contained in the able limits which restrict the operating implementation plan of any State for rate, or hours of operation, or both) such class or category of stationary and the most stringent of the fol- source, unless the owner or operator of lowing: the proposed stationary source dem- (A) The applicable standards set onstrates that such limitations are not forth in 40 CFR part 60 or 61; achievable; or (B) Any applicable State Implemen- (B) The most stringent emissions tation Plan emissions limitation in- limitation which is achieved in prac- cluding those with a future compliance tice by such class or category of sta- date; or tionary sources. This limitation, when (C) The emissions rate specified as a applied to a modification, means the federally enforceable permit condition, lowest achievable emissions rate for

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the new or modified emissions units and regulations which are part of the within or stationary source. In no applicable State Implementation Plan. event shall the application of the term (xviii) Construction means any phys- permit a proposed new or modified sta- ical change or change in the method of tionary source to emit any pollutant in operation (including fabrication, erec- excess of the amount allowable under tion, installation, demolition, or modi- an applicable new source standard of fication of an emissions unit) that performance. would result in a change in emissions. (xiv) Federally enforceable means all (xix) Volatile organic compounds (VOC) limitations and conditions which are is as defined in § 51.100(s) of this part. enforceable by the Administrator, in- (xx) Electric utility steam generating cluding those requirements developed unit means any steam electric gener- pursuant to 40 CFR parts 60 and 61, re- ating unit that is constructed for the quirements within any applicable State purpose of supplying more than one- implementation plan, any permit re- third of its potential electric output quirements established pursuant to 40 capacity and more than 25 MW elec- CFR 52.21 or under regulations ap- trical output to any utility power dis- proved pursuant to 40 CFR part 51, sub- tribution system for sale. Any steam part I, including operating permits supplied to a steam distribution sys- issued under an EPA-approved program tem for the purpose of providing steam that is incorporated into the State im- to a steam-electric generator that plementation plan and expressly re- would produce electrical energy for quires adherence to any permit issued sale is also considered in determining under such program. the electrical energy output capacity (xv) Begin actual construction means of the affected facility. in general, initiation of physical on- (xxi) Replacement unit means an emis- site construction activities on an emissions unit for which all the criteria sions unit which are of a permanent listed in paragraphs (a)(1)(xxi)(A) nature. Such activities include, but are through (D) of this section are met. No not limited to, installation of building creditable emission reductions shall be supports and foundations, laying of un- generated from shutting down the ex- derground pipework, and construction isting emissions unit that is replaced. of permanent storage structures. With (A) The emissions unit is a recon- respect to a change in method of oper- structed unit within the meaning of ating this term refers to those on-site § 60.15(b)(1) of this chapter, or the emis- activities other than preparatory ac- sions unit completely takes the place tivities which mark the initiation of of an existing emissions unit. the change. (B) The emissions unit is identical to (xvi) Commence as applied to con- or functionally equivalent to the re- struction of a major stationary source placed emissions unit. or major modification means that the (C) The replacement does not alter owner or operator has all necessary the basic design parameters (as dis- preconstruction approvals or permits cussed in paragraph (h)(2) of this sec- and either has: tion) of the process unit. (A) Begun, or caused to begin, a con- (D) The replaced emissions unit is tinuous program of actual on-site con- permanently removed from the major struction of the source, to be com- stationary source, otherwise perma- pleted within a reasonable time; or nently disabled, or permanently barred (B) Entered into binding agreements from operation by a permit that is en- or contractual obligations, which can- forceable as a practical matter. If the not be canceled or modified without replaced emissions unit is brought substantial loss to the owner or oper- back into operation, it shall constitute ator, to undertake a program of actual a new emissions unit. construction of the source to be com- (xxii) Temporary clean coal technology pleted within a reasonable time. demonstration project means a clean (xvii) Necessary preconstruction ap- coal technology demonstration project provals or permits means those Federal that is operated for a period of 5 years air quality control laws and regula- or less, and which complies with the tions and those air quality control laws State Implementation Plan for the

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State in which the project is located tential to emit of that regulated NSR and other requirements necessary to pollutant and full utilization of the attain and maintain the national ambi- unit would result in a significant emis- ent air quality standards during the sions increase or a significant net project and after it is terminated. emissions increase at the major sta- (xxiii) Clean coal technology means tionary source. any technology, including technologies (B) In determining the projected ac- applied at the precombustion, combus- tual emissions under paragraph tion, or post combustion stage, at a (a)(1)(xxviii)(A) of this section before new or existing facility which will beginning actual construction, the achieve significant reductions in air owner or operator of the major sta- emissions of sulfur dioxide or oxides of tionary source: nitrogen associated with the utiliza- (1) Shall consider all relevant infor- tion of coal in the generation of elec- mation, including but not limited to, tricity, or process steam which was not in widespread use as of November 15, historical operational data, the com- 1990. pany’s own representations, the com- (xxiv) Clean coal technology dem- pany’s expected business activity and onstration project means a project using the company’s highest projections of funds appropriated under the heading business activity, the company’s filings ‘‘Department of Energy-Clean Coal with the State or Federal regulatory Technology,’’ up to a total amount of authorities, and compliance plans $2,500,000,000 for commercial dem- under the approved plan; and onstration of clean coal technology, or (2) Shall include fugitive emissions similar projects funded through appro- to the extent quantifiable, and emis- priations for the Environmental Pro- sions associated with startups, shut- tection Agency. The Federal contribu- downs, and malfunctions; and tion for a qualifying project shall be at (3) Shall exclude, in calculating any least 20 percent of the total cost of the increase in emissions that results from demonstration project. the particular project, that portion of (xxv) [Reserved] the unit’s emissions following the (xxvi) Pollution prevention means any project that an existing unit could activity that through process changes, have accommodated during the con- product reformulation or redesign, or secutive 24-month period used to estab- substitution of less polluting raw ma- lish the baseline actual emissions terials, eliminates or reduces the re- under paragraph (a)(1)(xxxv) of this lease of air pollutants (including fugi- section and that are also unrelated to tive emissions) and other pollutants to the particular project, including any the environment prior to recycling, increased utilization due to product de- treatment, or disposal; it does not mand growth; or, mean recycling (other than certain (4) In lieu of using the method set out ‘‘in-process recycling’’ practices), en- in paragraphs (a)(1)(xxviii)(B)(1) ergy recovery, treatment, or disposal. through (3) of this section, may elect (xxvii) Significant emissions increase means, for a regulated NSR pollutant, to use the emissions unit’s potential to an increase in emissions that is signifi- emit, in tons per year, as defined under cant (as defined in paragraph (a)(1)(x) paragraph (a)(1)(iii) of this section. of this section) for that pollutant. (xxix) [Reserved] (xxviii)(A) Projected actual emissions (xxx) Nonattainment major new source means, the maximum annual rate, in review (NSR) program means a major tons per year, at which an existing source preconstruction permit program emissions unit is projected to emit a that has been approved by the Admin- regulated NSR pollutant in any one of istrator and incorporated into the plan the 5 years (12-month period) following to implement the requirements of this the date the unit resumes regular oper- section, or a program that implements ation after the project, or in any one of part 51, appendix S, Sections I through the 10 years following that date, if the VI of this chapter. Any permit issued project involves increasing the emis- under such a program is a major NSR sions unit’s design capacity or its po- permit.

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(xxxi) Continuous emissions monitoring (1) The average rate shall include fu- system (CEMS) means all of the equip- gitive emissions to the extent quantifi- ment that may be required to meet the able, and emissions associated with data acquisition and availability re- startups, shutdowns, and malfunctions. quirements of this section, to sample, (2) The average rate shall be adjusted condition (if applicable), analyze, and downward to exclude any non-compli- provide a record of emissions on a con- ant emissions that occurred while the tinuous basis. source was operating above any emis- (xxxii) Predictive emissions monitoring sion limitation that was legally en- system (PEMS) means all of the equip- forceable during the consecutive 24- ment necessary to monitor process and month period. control device operational parameters (3) For a regulated NSR pollutant, (for example, control device secondary when a project involves multiple emis- voltages and electric currents) and sions units, only one consecutive 24- other information (for example, gas month period must be used to deter- flow rate, O2 or CO2 concentrations), mine the baseline actual emissions for and calculate and record the mass the emissions units being changed. A emissions rate (for example, lb/hr) on a different consecutive 24-month period continuous basis. can be used for each regulated NSR (xxxiii) Continuous parameter moni- pollutant. toring system (CPMS) means all of the (4) The average rate shall not be equipment necessary to meet the data based on any consecutive 24-month pe- acquisition and availability require- riod for which there is inadequate in- ments of this section, to monitor proc- formation for determining annual ess and control device operational pa- emissions, in tons per year, and for ad- rameters (for example, control device justing this amount if required by secondary voltages and electric cur- paragraph (a)(1)(xxxv)(A)(2) of this sec- rents) and other information (for exam- tion. ple, gas flow rate, O2 or CO2 concentra- (B) For an existing emissions unit tions), and to record average oper- (other than an electric utility steam ational parameter value(s) on a contin- generating unit), baseline actual emis- uous basis. sions means the average rate, in tons (xxxiv) Continuous emissions rate moni- per year, at which the emissions unit toring system (CERMS) means the total actually emitted the pollutant during equipment required for the determina- any consecutive 24-month period se- tion and recording of the pollutant lected by the owner or operator within mass emissions rate (in terms of mass the 10-year period immediately pre- per unit of time). ceding either the date the owner or op- (xxxv) Baseline actual emissions means erator begins actual construction of the rate of emissions, in tons per year, the project, or the date a complete per- of a regulated NSR pollutant, as deter- mit application is received by the re- mined in accordance with paragraphs viewing authority for a permit required (a)(1)(xxxv)(A) through (D) of this sec- either under this section or under a tion. plan approved by the Administrator, (A) For any existing electric utility whichever is earlier, except that the 10- steam generating unit, baseline actual year period shall not include any pe- emissions means the average rate, in riod earlier than November 15, 1990. tons per year, at which the unit actu- (1) The average rate shall include fu- ally emitted the pollutant during any gitive emissions to the extent quantifi- consecutive 24-month period selected able, and emissions associated with by the owner or operator within the 5- startups, shutdowns, and malfunctions. year period immediately preceding (2) The average rate shall be adjusted when the owner or operator begins ac- downward to exclude any non-compli- tual construction of the project. The ant emissions that occurred while the reviewing authority shall allow the use source was operating above an emis- of a different time period upon a deter- sion limitation that was legally en- mination that it is more representative forceable during the consecutive 24- of normal source operation. month period.

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(3) The average rate shall be adjusted (xxxvii) Regulated NSR pollutant, for downward to exclude any emissions purposes of this section, means the fol- that would have exceeded an emission lowing: limitation with which the major sta- (A) Nitrogen oxides or any volatile tionary source must currently comply, organic compounds; had such major stationary source been (B) Any pollutant for which a na- required to comply with such limita- tional ambient air quality standard has tions during the consecutive 24-month been promulgated; period. However, if an emission limita- (C) Any pollutant that is identified tion is part of a maximum achievable under this paragraph (a)(1)(xxxvii)(C) control technology standard that the as a constituent or precursor of a gen- Administrator proposed or promul- eral pollutant listed under paragraph gated under part 63 of this chapter, the (a)(1)(xxxvii)(A) or (B) of this section, baseline actual emissions need only be provided that such constituent or pre- adjusted if the State has taken credit cursor pollutant may only be regulated for such emissions reductions in an at- under NSR as part of regulation of the tainment demonstration or mainte- general pollutant. Precursors identi- nance plan consistent with the require- fied by the Administrator for purposes ments of paragraph (a)(3)(ii)(G) of this of NSR are the following: section. (1) Volatile organic compounds and (4) For a regulated NSR pollutant, nitrogen oxides are precursors to ozone when a project involves multiple emis- in all ozone nonattainment areas. sions units, only one consecutive 24- (2) Sulfur dioxide, Nitrogen oxides, month period must be used to deter- Volatile organic compounds and Am- mine the baseline actual emissions for monia are precursors to PM2.5 in any the emissions units being changed. A PM2.5 nonattainment area. different consecutive 24-month period (D) PM2.5 emissions and PM10 emis- can be used For each regulated NSR sions shall include gaseous emissions pollutant. from a source or activity which con- (5) The average rate shall not be dense to form particulate matter at based on any consecutive 24-month pe- ambient temperatures. On or after Jan- riod for which there is inadequate in- uary 1, 2011 (or any earlier date estab- formation for determining annual lished in the upcoming rulemaking emissions, in tons per year, and for ad- codifying test methods), such conden- justing this amount if required by sable particulate matter shall be ac- paragraphs (a)(1)(xxxv)(B)(2) and (3) of counted for in applicability determina- this section. tions and in establishing emissions (C) For a new emissions unit, the limitations for PM2.5 and PM10 in non- baseline actual emissions for purposes attainment major NSR permits. Com- of determining the emissions increase pliance with emissions limitations for that will result from the initial con- PM2.5 and PM10 issued prior to this date struction and operation of such unit shall not be based on condensable par- shall equal zero; and thereafter, for all ticulate matter unless required by the other purposes, shall equal the unit’s terms and conditions of the permit or potential to emit. the applicable implementation plan. (D) For a PAL for a major stationary Applicability determinations made source, the baseline actual emissions prior to this date without accounting shall be calculated for existing electric for condensable particulate matter utility steam generating units in ac- shall not be considered in violation of cordance with the procedures con- this section unless the applicable im- tained in paragraph (a)(1)(xxxv)(A) of plementation plan required conden- this section, for other existing emis- sable particulate matter to be in- sions units in accordance with the pro- cluded. cedures contained in paragraph (xxxviii) Reviewing authority means (a)(1)(xxxv)(B) of this section, and for a the State air pollution control agency, new emissions unit in accordance with local agency, other State agency, In- the procedures contained in paragraph dian tribe, or other agency authorized (a)(1)(xxxv)(C) of this section. by the Administrator to carry out a (xxxvi) [Reserved] permit program under this section and

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§ 51.166, or the Administrator in the States, the Secretary of the depart- case of EPA-implemented permit pro- ment with authority over such lands. grams under § 52.21. (xliii)(A) In general, process unit (xxxix) Project means a physical means any collection of structures and/ change in, or change in the method of or equipment that processes, assem- operation of, an existing major sta- bles, applies, blends, or otherwise uses tionary source. material inputs to produce or store an (xl) Best available control technology intermediate or a completed product. A (BACT) means an emissions limitation single stationary source may contain (including a visible emissions standard) more than one process unit, and a proc- based on the maximum degree of reduc- ess unit may contain more than one tion for each regulated NSR pollutant emissions unit. which would be emitted from any pro- (B) Pollution control equipment is posed major stationary source or major not part of the process unit, unless it modification which the reviewing au- serves a dual function as both process thority, on a case-by-case basis, taking and control equipment. Administrative into account energy, environmental, and warehousing facilities are not part and economic impacts and other costs, of the process unit. determines is achievable for such (C) For replacement cost purposes, source or modification through appli- components shared between two or cation of production processes or avail- more process units are proportionately able methods, systems, and techniques, allocated based on capacity. including fuel cleaning or treatment or (D) The following list identifies the innovative fuel combustion techniques process units at specific categories of for control of such pollutant. In no stationary sources. event shall application of best available control technology result in emis- (1) For a steam electric generating sions of any pollutant which would ex- facility, the process unit consists of ceed the emissions allowed by any ap- those portions of the plant that con- plicable standard under 40 CFR part 60 tribute directly to the production of or 61. If the reviewing authority deter- electricity. For example, at a pulver- mines that technological or economic ized coal-fired facility, the process unit limitations on the application of meas- would generally be the combination of urement methodology to a particular those systems from the coal receiving emissions unit would make the imposi- equipment through the emission stack tion of an emissions standard infeasi- (excluding post-combustion pollution ble, a design, equipment, work prac- controls), including the coal handling tice, operational standard, or combina- equipment, pulverizers or coal tion thereof, may be prescribed instead crushers, feedwater heaters, ash han- to satisfy the requirement for the ap- dling, boiler, burners, turbine-gener- plication of BACT. Such standard ator set, condenser, cooling tower, shall, to the degree possible, set forth water treatment system, air the emissions reduction achievable by preheaters, and operating control sys- implementation of such design, equip- tems. Each separate generating unit is ment, work practice or operation, and a separate process unit. shall provide for compliance by means (2) For a petroleum refinery, there which achieve equivalent results. are several categories of process units: (xli) Prevention of Significant Deterio- those that separate and/or distill petro- ration (PSD) permit means any permit leum feedstocks; those that change mo- that is issued under a major source lecular structures; petroleum treating preconstruction permit program that processes; auxiliary facilities, such as has been approved by the Adminis- steam generators and hydrogen produc- trator and incorporated into the plan tion units; and those that load, unload, to implement the requirements of blend or store intermediate or com- § 51.166 of this chapter, or under the pleted products. program in § 52.21 of this chapter. (3) For an incinerator, the process (xlii) Federal Land Manager means, unit would consist of components from with respect to any lands in the United the feed pit or refuse pit to the stack,

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including conveyors, combustion de- if the court terminates the stay. At that vices, heat exchangers and steam gen- time, EPA will publish a document in the erators, quench tanks, and fans. FEDERAL REGISTER advising the public of the termination of the stay. NOTE TO PARAGRAPH (a)(1)(xliii): By a court order on December 24, 2003, this paragraph (2) Applicability procedures. (i) Each (a)(1)(xliii) is stayed indefinitely. The stayed plan shall adopt a preconstruction re- provisions will become effective immediately view program to satisfy the require- if the court terminates the stay. At that ments of sections 172(c)(5) and 173 of time, EPA will publish a document in the FEDERAL REGISTER advising the public of the the Act for any area designated non- termination of the stay. attainment for any national ambient air quality standard under subpart C of (xliv) Functionally equivalent compo- 40 CFR part 81. Such a program shall nent means a component that serves apply to any new major stationary the same purpose as the replaced component. source or major modification that is major for the pollutant for which the NOTE TO PARAGRAPH (a)(1)(xliv): By a court area is designated nonattainment order on December 24, 2003, this paragraph under section 107(d)(1)(A)(i) of the Act, (a)(1)(xliv) is stayed indefinitely. The stayed provisions will become effective immediately if the stationary source or modifica- if the court terminates the stay. At that tion would locate anywhere in the des- time, EPA will publish a document in the ignated nonattainment area. Different FEDERAL REGISTER advising the public of the pollutants, including individual precur- termination of the stay. sors, are not summed to determine ap- (xlv) Fixed capital cost means the cap- plicability of a major stationary source ital needed to provide all the depre- or major modification. ciable components. ‘‘Depreciable com- (ii) Each plan shall use the specific ponents’’ refers to all components of provisions of paragraphs (a)(2)(ii)(A) fixed capital cost and is calculated by through (F) of this section. Deviations subtracting land and working capital from these provisions will be approved from the total capital investment, as only if the State specifically dem- defined in paragraph (a)(1)(xlvi) of this onstrates that the submitted provi- section. sions are more stringent than or at NOTE TO PARAGRAPH (a)(1)(xlv): By a court least as stringent in all respects as the order on December 24, 2003, this paragraph corresponding provisions in paragraphs (a)(1)(xlv) is stayed indefinitely. The stayed (a)(2)(ii)(A) through (F) of this section. provisions will become effective immediately (A) Except as otherwise provided in if the court terminates the stay. At that time, EPA will publish a document in the paragraphs (a)(2)(iii) and (iv) of this FEDERAL REGISTER advising the public of the section, and consistent with the defini- termination of the stay. tion of major modification contained in paragraph (a)(1)(v)(A) of this sec- (xlvi) Total capital investment means the sum of the following: All costs re- tion, a project is a major modification quired to purchase needed process for a regulated NSR pollutant (as de- equipment (purchased equipment fined in paragraph (a)(1)(xxxvii) of this costs); the costs of labor and materials section) if it causes two types of emis- for installing that equipment (direct sions increases—a significant emis- installation costs); the costs of site sions increase (as defined in paragraph preparation and buildings; other costs (a)(1)(xxvii) of this section), and a sig- such as engineering, construction and nificant net emissions increase (as de- field expenses, fees to contractors, fined in paragraphs (a)(1)(vi) and (x) of startup and performance tests, and this section). The project is not a contingencies (indirect installation major modification if it does not cause costs); land for the process equipment; a significant emissions increase. If the and working capital for the process project causes a significant emissions equipment. increase, then the project is a major modification only if it also results in a NOTE TO PARAGRAPH (a)(1)(xlvi): By a court order on December 24, 2003, this paragraph significant net emissions increase. (a)(1)(xlvi) is stayed indefinitely. The stayed (B) The procedure for calculating (be- provisions will become effective immediately fore beginning actual construction)

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whether a significant emissions in- emissions unit, for each type of emis- crease (i.e., the first step of the proc- sions unit equals or exceeds the signifi- ess) will occur depends upon the type of cant amount for that pollutant (as de- emissions units being modified, accord- fined in paragraph (a)(1)(x) of this sec- ing to paragraphs (a)(2)(ii)(C) through tion). (F) of this section. The procedure for (iii) The plan shall require that for calculating (before beginning actual any major stationary source for a PAL construction) whether a significant net for a regulated NSR pollutant, the emissions increase will occur at the major stationary source shall comply major stationary source (i.e., the sec- with requirements under paragraph (f) ond step of the process) is contained in of this section. the definition in paragraph (a)(1)(vi) of (3)(i) Each plan shall provide that for this section. Regardless of any such sources and modifications subject to preconstruction projections, a major any preconstruction review program modification results if the project adopted pursuant to this subsection causes a significant emissions increase the baseline for determining credit for and a significant net emissions in- emissions reductions is the emissions crease. limit under the applicable State Imple- (C) Actual-to-projected-actual applica- mentation Plan in effect at the time bility test for projects that only involve the application to construct is filed, existing emissions units. A significant except that the offset baseline shall be emissions increase of a regulated NSR the actual emissions of the source from pollutant is projected to occur if the which offset credit is obtained where; sum of the difference between the pro- (A) The demonstration of reasonable jected actual emissions (as defined in further progress and attainment of am- paragraph (a)(1)(xxviii) of this section) bient air quality standards is based and the baseline actual emissions (as upon the actual emissions of sources defined in paragraphs (a)(1)(xxxv)(A) located within a designated nonattain- and (B) of this section, as applicable), ment area for which the for each existing emissions unit, equals preconstruction review program was or exceeds the significant amount for adopted; or that pollutant (as defined in paragraph (B) The applicable State Implementa- (a)(1)(x) of this section). tion Plan does not contain an emis- (D) Actual-to-potential test for projects sions limitation for that source or that only involve construction of a new source category. emissions unit(s). A significant emis- (ii) The plan shall further provide sions increase of a regulated NSR pol- that: lutant is projected to occur if the sum (A) Where the emissions limit under of the difference between the potential the applicable State Implementation to emit (as defined in paragraph Plan allows greater emissions than the (a)(1)(iii) of this section) from each new potential to emit of the source, emis- emissions unit following completion of sions offset credit will be allowed only the project and the baseline actual for control below this potential; emissions (as defined in paragraph (B) For an existing fuel combustion (a)(1)(xxxv)(C) of this section) of these source, credit shall be based on the al- units before the project equals or ex- lowable emissions under the applicable ceeds the significant amount for that State Implementation Plan for the pollutant (as defined in paragraph type of fuel being burned at the time (a)(1)(x) of this section). the application to construct is filed. If (E) [Reserved] the existing source commits to switch (F) Hybrid test for projects that involve to a cleaner fuel at some future date, multiple types of emissions units. A sig- emissions offset credit based on the al- nificant emissions increase of a regu- lowable (or actual) emissions for the lated NSR pollutant is projected to fuels involved is not acceptable, unless occur if the sum of the emissions in- the permit is conditioned to require creases for each emissions unit, using the use of a specified alternative con- the method specified in paragraphs trol measure which would achieve the (a)(2)(ii)(C) through (D) of this section same degree of emissions reduction as applicable with respect to each should the source switch back to a

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dirtier fuel at some later date. The re- (E) All emission reductions claimed viewing authority should ensure that as offset credit shall be federally en- adequate long-term supplies of the new forceable; fuel are available before granting emis- (F) Procedures relating to the per- sions offset credit for fuel switches, missible location of offsetting emis- (C)(1) Emissions reductions achieved sions shall be followed which are at by shutting down an existing emission least as stringent as those set out in 40 unit or curtailing production or oper- CFR part 51 appendix S section IV.D. ating hours may be generally credited (G) Credit for an emissions reduction for offsets if they meet the require- can be claimed to the extent that the ments in paragraphs (a)(3)(ii)(C)(1)(i) reviewing authority has not relied on through (ii) of this section. it in issuing any permit under regula- (i) Such reductions are surplus, per- tions approved pursuant to 40 CFR part manent, quantifiable, and federally en- 51 subpart I or the State has not relied forceable. on it in demonstration attainment or (ii) The shutdown or curtailment oc- reasonable further progress. curred after the last day of the base (H) [Reserved] year for the SIP planning process. For (I) [Reserved] purposes of this paragraph, a reviewing (J) The total tonnage of increased authority may choose to consider a emissions, in tons per year, resulting prior shutdown or curtailment to have from a major modification that must occurred after the last day of the base be offset in accordance with section 173 year if the projected emissions inven- of the Act shall be determined by sum- tory used to develop the attainment ming the difference between the allow- demonstration explicitly includes the able emissions after the modification emissions from such previously shut- (as defined by paragraph (a)(1)(xi) of down or curtailed emission units. How- this section) and the actual emissions ever, in no event may credit be given before the modification (as defined in for shutdowns that occurred before Au- paragraph (a)(1)(xii) of this section) for gust 7, 1977. each emissions unit. (2) Emissions reductions achieved by (4) Each plan may provide that the shutting down an existing emissions provisions of this paragraph do not unit or curtailing production or oper- apply to a source or modification that ating hours and that do not meet the would be a major stationary source or requirements in paragraph major modification only if fugitive (a)(3)(ii)(C)(1)(ii) of this section may be emissions, to the extent quantifiable, generally credited only if: are considered in calculating the po- (i) The shutdown or curtailment oc- tential to emit of the stationary source curred on or after the date the con- or modification and the source does not struction permit application is filed; or belong to any of the following cat- (ii) The applicant can establish that egories: the proposed new emissions unit is a (i) Coal cleaning plants (with ther- replacement for the shutdown or cur- mal dryers); tailed emissions unit, and the emis- (ii) Kraft pulp mills; sions reductions achieved by the shut- (iii) Portland cement plants; down or curtailment met the require- (iv) Primary zinc smelters; ments of paragraph (a)(3)(ii)(C)(1)(i) of (v) Iron and steel mills; this section. (vi) Primary aluminum ore reduction (D) No emissions credit may be al- plants; lowed for replacing one hydrocarbon (vii) Primary copper smelters; compound with another of lesser reac- (viii) Municipal incinerators capable tivity, except for those compounds list- of charging more than 250 tons of ed in Table 1 of EPA’s ‘‘Recommended refuse per day; Policy on Control of Volatile Organic (ix) Hydrofluoric, sulfuric, or citric Compounds’’ (42 FR 35314, July 8, 1977; acid plants; (This document is also available from (x) Petroleum refineries; Mr. Ted Creekmore, Office of Air Qual- (xi) Lime plants; ity Planning and Standards, (MD–15) (xii) Phosphate rock processing Research Triangle Park, NC 27711.)) plants;

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(xiii) Coke oven batteries; lowing specific provisions apply with (xiv) Sulfur recovery plants; respect to any regulated NSR pollutant (xv) Carbon black plants (furnace emitted from projects at existing emis- process); sions units at a major stationary (xvi) Primary lead smelters; source (other than projects at a source (xvii) Fuel conversion plants; with a PAL) in circumstances where (xviii) Sintering plants; there is a reasonable possibility, within (xix) Secondary metal production the meaning of paragraph (a)(6)(vi) of plants; this section, that a project that is not (xx) Chemical process plants—The a part of a major modification may re- term chemical processing plant shall sult in a significant emissions increase not include ethanol production facili- of such pollutant, and the owner or op- ties that produce ethanol by natural erator elects to use the method speci- fermentation included in NAICS codes fied in paragraphs (a)(1)(xxviii)(B)(1) 325193 or 312140; through (3) of this section for calcu- (xxi) Fossil-fuel boilers (or combina- lating projected actual emissions. De- tion thereof) totaling more than 250 viations from these provisions will be million British thermal units per hour approved only if the State specifically heat input; demonstrates that the submitted provi- (xxii) Petroleum storage and transfer sions are more stringent than or at units with a total storage capacity ex- least as stringent in all respects as the ceeding 300,000 barrels; corresponding provisions in paragraphs (xxiii) Taconite ore processing (a)(6)(i) through (vi) of this section. plants; (i) Before beginning actual construc- (xxiv) Glass fiber processing plants; tion of the project, the owner or oper- (xxv) Charcoal production plants; ator shall document and maintain a (xxvi) Fossil fuel-fired steam electric record of the following information: plants of more than 250 million British (A) A description of the project; thermal units per hour heat input; (B) Identification of the emissions (xxvii) Any other stationary source category which, as of August 7, 1980, is unit(s) whose emissions of a regulated being regulated under section 111 or 112 NSR pollutant could be affected by the of the Act. project; and (5) Each plan shall include enforce- (C) A description of the applicability able procedures to provide that: test used to determine that the project (i) Approval to construct shall not re- is not a major modification for any lieve any owner or operator of the re- regulated NSR pollutant, including the sponsibility to comply fully with appli- baseline actual emissions, the pro- cable provision of the plan and any jected actual emissions, the amount of other requirements under local, State emissions excluded under paragraph or Federal law. (a)(1)(xxviii)(B)(3) of this section and (ii) At such time that a particular an explanation for why such amount source or modification becomes a was excluded, and any netting calcula- major stationary source or major tions, if applicable. modification solely by virtue of a re- (ii) If the emissions unit is an exist- laxation in any enforcement limitation ing electric utility steam generating which was established after August 7, unit, before beginning actual construc- 1980, on the capacity of the source or tion, the owner or operator shall pro- modification otherwise to emit a pol- vide a copy of the information set out lutant, such as a restriction on hours in paragraph (a)(6)(i) of this section to of operation, then the requirements of the reviewing authority. Nothing in regulations approved pursuant to this this paragraph (a)(6)(ii) shall be con- section shall apply to the source or strued to require the owner or operator modification as though construction of such a unit to obtain any determina- had not yet commenced on the source tion from the reviewing authority be- or modification; fore beginning actual construction. (6) Each plan shall provide that, ex- (iii) The owner or operator shall cept as otherwise provided in para- monitor the emissions of any regulated graph (a)(6)(vi) of this section, the fol- NSR pollutant that could increase as a

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result of the project and that is emit- (A) A projected actual emissions in- ted by any emissions units identified in crease of at least 50 percent of the paragraph (a)(6)(i)(B) of this section; amount that is a ‘‘significant emis- and calculate and maintain a record of sions increase,’’ as defined under para- the annual emissions, in tons per year graph (a)(1)(xxvii) of this section (with- on a calendar year basis, for a period of out reference to the amount that is a 5 years following resumption of regular significant net emissions increase), for operations after the change, or for a the regulated NSR pollutant; or period of 10 years following resumption (B) A projected actual emissions in- of regular operations after the change crease that, added to the amount of if the project increases the design ca- emissions excluded under paragraph pacity or potential to emit of that reg- (a)(1)(xxviii)(B)(3), sums to at least 50 ulated NSR pollutant at such emis- percent of the amount that is a ‘‘sig- sions unit. nificant emissions increase,’’ as defined (iv) If the unit is an existing electric under paragraph (a)(1)(xxvii) of this utility steam generating unit, the owner or operator shall submit a report section (without reference to the to the reviewing authority within 60 amount that is a significant net emis- days after the end of each year during sions increase), for the regulated NSR which records must be generated under pollutant. For a project for which a paragraph (a)(6)(iii) of this section set- reasonable possibility occurs only ting out the unit’s annual emissions within the meaning of paragraph during the year that preceded submis- (a)(6)(vi)(B) of this section, and not sion of the report. also within the meaning of paragraph (v) If the unit is an existing unit (a)(6)(vi)(A) of this section, then provi- other than an electric utility steam sions (a)(6)(ii) through (v) do not apply generating unit, the owner or operator to the project. shall submit a report to the reviewing (7) Each plan shall provide that the authority if the annual emissions, in owner or operator of the source shall tons per year, from the project identi- make the information required to be fied in paragraph (a)(6)(i) of this sec- documented and maintained pursuant tion, exceed the baseline actual emis- to paragraph (a)(6) of this section sions (as documented and maintained available for review upon a request for pursuant to paragraph (a)(6)(i)(C) of inspection by the reviewing authority this section, by a significant amount or the general public pursuant to the (as defined in paragraph (a)(1)(x) of this requirements contained in section) for that regulated NSR pollut- § 70.4(b)(3)(viii) of this chapter. ant, and if such emissions differ from (8) The plan shall provide that the re- the preconstruction projection as docu- quirements of this section applicable mented and maintained pursuant to to major stationary sources and major paragraph (a)(6)(i)(C) of this section. modifications of volatile organic com- Such report shall be submitted to the pounds shall apply to nitrogen oxides reviewing authority within 60 days emissions from major stationary after the end of such year. The report shall contain the following: sources and major modifications of ni- (A) The name, address and telephone trogen oxides in an ozone transport re- number of the major stationary source; gion or in any ozone nonattainment (B) The annual emissions as cal- area, except in ozone nonattainment culated pursuant to paragraph areas or in portions of an ozone trans- (a)(6)(iii) of this section; and port region where the Administrator (C) Any other information that the has granted a NOX waiver applying the owner or operator wishes to include in standards set forth under section 182(f) the report (e.g., an explanation as to of the Act and the waiver continues to why the emissions differ from the apply. preconstruction projection). (9)(i) The plan shall require that in (vi) A ‘‘reasonable possibility’’ under meeting the emissions offset require- paragraph (a)(6) of this section occurs ments of paragraph (a)(3) of this sec- when the owner or operator calculates tion, the ratio of total actual emissions the project to result in either: reductions to the emissions increase

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shall be at least 1:1 unless an alter- (10) The plan shall require that the native ratio is provided for the applica- requirements of this section applicable ble nonattainment area in paragraphs to major stationary sources and major (a)(9)(ii) through (a)(9)(iv) of this sec- modifications of PM–10 shall also apply tion. to major stationary sources and major (ii) The plan shall require that in modifications of PM–10 precursors, ex- meeting the emissions offset require- cept where the Administrator deter- ments of paragraph (a)(3) of this sec- mines that such sources do not con- tion for ozone nonattainment areas tribute significantly to PM–10 levels that are subject to subpart 2, part D, that exceed the PM–10 ambient stand- title I of the Act, the ratio of total ac- ards in the area. tual emissions reductions of VOC to (11) Interpollutant offsetting, or the emissions increase of VOC shall be interpollutant trading or interpre- as follows: cursor trading or interprecursor offset (A) In any marginal nonattainment substitution—The plan shall require area for ozone—at least 1.1:1; that in meeting the emissions offset re- (B) In any moderate nonattainment quirements of paragraph (a)(3) of this area for ozone—at least 1.15:1; section, the emissions offsets obtained (C) In any serious nonattainment shall be for the same regulated NSR area for ozone—at least 1.2:1; pollutant unless interprecursor offset- (D) In any severe nonattainment area ting is permitted for a particular pol- for ozone—at least 1.3:1 (except that lutant as specified in this paragraph. the ratio may be at least 1.2:1 if the ap- (a)(3) of this section, the emissions off- proved plan also requires all existing sets obtained shall be for the same reg- major sources in such nonattainment ulated NSR pollutant unless interpre- area to use BACT for the control of cursor offsetting is permitted for a par- VOC); and ticular pollutant as specified in this (E) In any extreme nonattainment paragraph. area for ozone—at least 1.5:1 (except (i) The plan may allow the offset re- that the ratio may be at least 1.2:1 if quirement in paragraph (a)(3) of this the approved plan also requires all ex- section for emissions of the ozone pre- isting major sources in such nonattain- cursors NOX and VOC to be satisfied, ment area to use BACT for the control where appropriate, by offsetting reduc- of VOC); and tions of actual emissions of either of (iii) Notwithstanding the require- those precursors, if all other requirements of paragraph (a)(9)(ii) of this sec- ments contained in this section for tion for meeting the requirements of such offsets are also satisfied. paragraph (a)(3) of this section, the (A) The plan shall indicate whether ratio of total actual emissions reduc- such precursor substitutions for ozone tions of VOC to the emissions increase precursors are to be based on an area- of VOC shall be at least 1.15:1 for all specific default ratio (default ratio) for areas within an ozone transport region the applicable ozone nonattainment that is subject to subpart 2, part D, area, established in regulations as part title I of the Act, except for serious, se- of the approved plan, or default IPT ra- vere, and extreme ozone nonattain- tios for an applicable ozone nonattainment areas that are subject to subpart ment area established in advance by an 2, part D, title I of the Act. air agency that are presumed to be ap- (iv) The plan shall require that in propriate for each permit application meeting the emissions offset require- in the area, absent contrary informa- ments of paragraph (a)(3) of this section in the record of an individual per- tion for ozone nonattainment areas mit application, or case-specific ratios that are subject to subpart 1, part D, established for individual permits. title I of the Act (but are not subject to (B)(1) Where a state seeks to use a de- subpart 2, part D, title I of the Act, in- fault IPT ratio that is not part of the cluding 8-hour ozone nonattainment approved plan, the plan shall include areas subject to 40 CFR 51.902(b)), the the following to authorize the develop- ratio of total actual emissions reduc- ment of a default ratio for a particular tions of VOC to the emissions increase ozone nonattainment area, including a of VOC shall be at least 1:1. revised default ratio resulting from the

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periodic review required under para- ratio established in the approved plan graph (a)(11)(i)(B)(2) of this section: for a particular nonattainment area. (i) A description of the model(s) that (12) The plan shall require that in will be used to develop any default any area designated nonattainment for ratio; the 2008 ozone NAAQS and designated (ii) A description of the approach nonattainment for the 1997 ozone that will be used to analyze modeling NAAQS on April 6, 2015 the require- data, ambient monitoring data, and ments of this section applicable to emission inventory data to determine major stationary sources and major the sensitivity of an area to emissions modifications of ozone shall include of ozone precursors in the formation of the anti-backsliding requirements con- ground-level ozone; and tained at § 51.1105. (iii) A description of the modeling (13) The plan shall require that the demonstration that will be used to control requirements of this section show that the default ratio provides an applicable to major stationary sources equivalent or greater air quality ben- and major modifications of PM2.5 shall efit with respect to ground level con- also apply to major stationary sources centrations in the ozone nonattain- and major modifications of PM2.5 pre- ment area than an offset of the emitted cursors in a PM2.5 nonattainment area, except that a reviewing authority may precursor would achieve. exempt new major stationary sources (2) The plan shall require that for and major modifications of a particular any default ratio for ozone, the review- precursor from the requirements of ing authority shall evaluate that ratio this section for PM2.5 if the NNSR pre- at least every 5 years to determine cursor demonstration submitted to and whether current conditions support the approved by the Administrator shows continued use of such ratio. that such sources do not contribute (C) The plan shall require that, for significantly to PM2.5 levels that ex- any case-specific permit ratio for ozone ceed the standard in the area. Any proposed by a permit applicant to be demonstration submitted for the Ad- used for a particular permit, the fol- ministrator’s review must meet the lowing information shall be submitted conditions for a NNSR precursor dem- to the reviewing authority to support onstration as set forth in § 51.1006(a)(3). approval of the ratio: (b)(1) Each plan shall include a (1) The description of the air quality preconstruction review permit program model(s) used to propose a case-specific or its equivalent to satisfy the require- ratio; and ments of section 110(a)(2)(D)(i) of the (2) the proposed ratio for the pre- Act for any new major stationary cursor substitution and accompanying source or major modification as de- calculations; and fined in paragraphs (a)(1) (iv) and (v) of (3) a modeling demonstration show- this section. Such a program shall ing that such ratio(s) as applied to the apply to any such source or modifica- proposed project and credit source will tion that would locate in any area des- provide an equivalent or greater air ignated as attainment or unclassifiable quality benefit with respect to ground for any national ambient air quality level concentrations in the ozone non- standard pursuant to section 107 of the attainment area than an offset of the Act, when it would cause or contribute emitted precursor would achieve. to a violation of any national ambient (ii) The plan may allow the offset re- air quality standard. quirements in paragraph (a)(3) of this (2) A major source or major modifica- section for direct PM2.5 emissions or tion will be considered to cause or con- emissions of precursors of PM2.5 to be tribute to a violation of a national am- satisfied by offsetting reductions in di- bient air quality standard when such rect PM2.5 emissions or emissions of source or modification would, at a min- any PM2.5 precursor identified under imum, exceed the following signifi- paragraph (a)(1)(xxxvii)(C) of this sec- cance levels at any locality that does tion if such offsets comply with the not or would not meet the applicable interprecursor trading hierarchy and national standard:

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Averaging time (hours) Pollutant Annual 24 8 3 1

3 3 3 SO2 ...... 1.0 μg/m 5 μg/m 25 μg/m 3 3 PM10 ...... 1.0 μg/m 5 μg/m 3 3 PM2.5 ...... 0.3 μg/m 1.2 μg/m 3 NO2 ...... 1.0 μg/m CO ...... 0.5 mg/m3 2 mg/m3

(3) Such a program may include a below the PAL level, meets the re- provision which allows a proposed quirements in paragraphs (f)(1) through major source or major modification (15) of this section, and complies with subject to paragraph (b) of this section the PAL permit: to reduce the impact of its emissions (A) Is not a major modification for upon air quality by obtaining sufficient the PAL pollutant; emission reductions to, at a minimum, (B) Does not have to be approved compensate for its adverse ambient im- through the plan’s nonattainment pact where the major source or major major NSR program; and modification would otherwise cause or (C) Is not subject to the provisions in contribute to a violation of any na- paragraph (a)(5)(ii) of this section (re- tional ambient air quality standard. strictions on relaxing enforceable The plan shall require that, in the ab- emission limitations that the major sence of such emission reductions, the stationary source used to avoid appli- State or local agency shall deny the cability of the nonattainment major proposed construction. NSR program). (4) The requirements of paragraph (b) of this section shall not apply to a (iv) Except as provided under para- major stationary source or major graph (f)(1)(iii)(C) of this section, a modification with respect to a par- major stationary source shall continue ticular pollutant if the owner or oper- to comply with all applicable Federal ator demonstrates that, as to that pol- or State requirements, emission limi- lutant, the source or modification is lo- tations, and work practice require- cated in an area designated as non- ments that were established prior to attainment pursuant to section 107 of the effective date of the PAL. the Act. (2) Definitions. The plan shall use the (c)–(e) [Reserved] definitions in paragraphs (f)(2)(i) (f) Actuals PALs. The plan shall pro- through (xi) of this section for the pur- vide for PALs according to the provi- pose of developing and implementing sions in paragraphs (f)(1) through (15) regulations that authorize the use of of this section. actuals PALs consistent with para- (1) Applicability. (i) The reviewing au- graphs (f)(1) through (15) of this sec- thority may approve the use of an tion. When a term is not defined in actuals PAL for any existing major these paragraphs, it shall have the stationary source (except as provided meaning given in paragraph (a)(1) of in paragraph (f)(1)(ii) of this section) if this section or in the Act. the PAL meets the requirements in (i) Actuals PAL for a major stationary paragraphs (f)(1) through (15) of this source means a PAL based on the base- section. The term ‘‘PAL’’ shall mean line actual emissions (as defined in ‘‘actuals PAL’’ throughout paragraph paragraph (a)(1)(xxxv) of this section) (f) of this section. of all emissions units (as defined in (ii) The reviewing authority shall not paragraph (a)(1)(vii) of this section) at allow an actuals PAL for VOC or NOX the source, that emit or have the po- for any major stationary source lo- tential to emit the PAL pollutant. cated in an extreme ozone nonattain- (ii) Allowable emissions means ‘‘allow- ment area. able emissions’’ as defined in paragraph (iii) Any physical change in or (a)(1)(xi) of this section, except as this change in the method of operation of a definition is modified according to major stationary source that main- paragraphs (f)(2)(ii)(A) through (B) of tains its total source-wide emissions this section.

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(A) The allowable emissions for any and (vi) of this section (the definitions emissions unit shall be calculated con- for major modification and net emis- sidering any emission limitations that sions increase), any physical change in are enforceable as a practical matter or change in the method of operation of on the emissions unit’s potential to the PAL source that causes it to emit emit. the PAL pollutant at a level equal to (B) An emissions unit’s potential to or greater than the PAL. emit shall be determined using the def- (ix) PAL permit means the major NSR inition in paragraph (a)(1)(iii) of this permit, the minor NSR permit, or the section, except that the words ‘‘or en- State operating permit under a pro- forceable as a practical matter’’ should gram that is approved into the plan, or be added after ‘‘federally enforceable.’’ the title V permit issued by the review- (iii) Small emissions unit means an ing authority that establishes a PAL emissions unit that emits or has the for a major stationary source. potential to emit the PAL pollutant in an amount less than the significant (x) PAL pollutant means the pollutant level for that PAL pollutant, as defined for which a PAL is established at a in paragraph (a)(1)(x) of this section or major stationary source. in the Act, whichever is lower. (xi) Significant emissions unit means (iv) Major emissions unit means: an emissions unit that emits or has the (A) Any emissions unit that emits or potential to emit a PAL pollutant in has the potential to emit 100 tons per an amount that is equal to or greater year or more of the PAL pollutant in than the significant level (as defined in an attainment area; or paragraph (a)(1)(x) of this section or in (B) Any emissions unit that emits or the Act, whichever is lower) for that has the potential to emit the PAL pol- PAL pollutant, but less than the lutant in an amount that is equal to or amount that would qualify the unit as greater than the major source thresh- a major emissions unit as defined in old for the PAL pollutant as defined by paragraph (f)(2)(iv) of this section. the Act for nonattainment areas. For (3) Permit application requirements. As example, in accordance with the defini- part of a permit application requesting tion of major stationary source in sec- a PAL, the owner or operator of a tion 182(c) of the Act, an emissions unit major stationary source shall submit would be a major emissions unit for the following information to the re- VOC if the emissions unit is located in viewing authority for approval: a serious ozone nonattainment area (i) A list of all emissions units at the and it emits or has the potential to source designated as small, significant emit 50 or more tons of VOC per year. or major based on their potential to (v) Plantwide applicability limitation emit. In addition, the owner or oper- (PAL) means an emission limitation ator of the source shall indicate which, expressed in tons per year, for a pollut- if any, Federal or State applicable re- ant at a major stationary source, that quirements, emission limitations or is enforceable as a practical matter work practices apply to each unit. and established source-wide in accordance with paragraphs (f)(1) through (ii) Calculations of the baseline ac- (f)(15) of this section. tual emissions (with supporting docu- (vi) PAL effective date generally mentation). Baseline actual emissions means the date of issuance of the PAL are to include emissions associated not permit. However, the PAL effective only with operation of the unit, but date for an increased PAL is the date also emissions associated with startup, any emissions unit which is part of the shutdown and malfunction. PAL major modification becomes oper- (iii) The calculation procedures that ational and begins to emit the PAL the major stationary source owner or pollutant. operator proposes to use to convert the (vii) PAL effective period means the monitoring system data to monthly period beginning with the PAL effec- emissions and annual emissions based tive date and ending 10 years later. on a 12-month rolling total for each (viii) PAL major modification means, month as required by paragraph notwithstanding paragraphs (a)(1)(v) (f)(13)(i) of this section.

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(4) General requirements for estab- section unless the level of the PAL is lishing PALs. (i) The plan allows the re- reduced by the amount of such emis- viewing authority to establish a PAL sions reductions and such reductions at a major stationary source, provided would be creditable in the absence of that at a minimum, the requirements the PAL. in paragraphs (f)(4)(i)(A) through (G) of (5) Public participation requirement for this section are met. PALs. PALs for existing major sta- (A) The PAL shall impose an annual tionary sources shall be established, re- emission limitation in tons per year, newed, or increased through a proce- that is enforceable as a practical mat- dure that is consistent with §§ 51.160 ter, for the entire major stationary and 51.161 of this chapter. This includes source. For each month during the the requirement that the reviewing au- PAL effective period after the first 12 thority provide the public with notice months of establishing a PAL, the of the proposed approval of a PAL per- major stationary source owner or oper- mit and at least a 30-day period for ator shall show that the sum of the submittal of public comment. The re- monthly emissions from each emis- viewing authority must address all ma- sions unit under the PAL for the pre- terial comments before taking final ac- vious 12 consecutive months is less tion on the permit. than the PAL (a 12-month average, (6) Setting the 10-year actuals PAL rolled monthly). For each month dur- level. (i) Except as provided in para- ing the first 11 months from the PAL graph (f)(6)(ii) of this section, the plan effective date, the major stationary shall provide that the actuals PAL source owner or operator shall show level for a major stationary source that the sum of the preceding monthly shall be established as the sum of the emissions from the PAL effective date baseline actual emissions (as defined in for each emissions unit under the PAL paragraph (a)(1)(xxxv) of this section) is less than the PAL. of the PAL pollutant for each emis- (B) The PAL shall be established in a sions unit at the source; plus an PAL permit that meets the public par- amount equal to the applicable signifi- ticipation requirements in paragraph cant level for the PAL pollutant under (f)(5) of this section. paragraph (a)(1)(x) of this section or (C) The PAL permit shall contain all under the Act, whichever is lower. the requirements of paragraph (f)(7) of When establishing the actuals PAL this section. level, for a PAL pollutant, only one (D) The PAL shall include fugitive consecutive 24-month period must be emissions, to the extent quantifiable, used to determine the baseline actual from all emissions units that emit or emissions for all existing emissions have the potential to emit the PAL units. However, a different consecutive pollutant at the major stationary 24-month period may be used for each source. different PAL pollutant. Emissions as- (E) Each PAL shall regulate emis- sociated with units that were perma- sions of only one pollutant. nently shut down after this 24-month (F) Each PAL shall have a PAL effec- period must be subtracted from the tive period of 10 years. PAL level. The reviewing authority (G) The owner or operator of the shall specify a reduced PAL level(s) (in major stationary source with a PAL tons/yr) in the PAL permit to become shall comply with the monitoring, rec- effective on the future compliance ordkeeping, and reporting require- date(s) of any applicable Federal or ments provided in paragraphs (f)(12) State regulatory requirement(s) that through (14) of this section for each the reviewing authority is aware of emissions unit under the PAL through prior to issuance of the PAL permit. the PAL effective period. For instance, if the source owner or op- (ii) At no time (during or after the erator will be required to reduce emis- PAL effective period) are emissions re- sions from industrial boilers in half ductions of a PAL pollutant, which from baseline emissions of 60 ppm NOX occur during the PAL effective period, to a new rule limit of 30 ppm, then the creditable as decreases for purposes of permit shall contain a future effective offsets under paragraph (a)(3)(ii) of this PAL level that is equal to the current

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PAL level reduced by half of the origi- (ix) A requirement to submit the re- nal baseline emissions of such unit(s). ports required under paragraph (f)(14) (ii) For newly constructed units of this section by the required dead- (which do not include modifications to lines. existing units) on which actual con- (x) Any other requirements that the struction began after the 24-month pe- reviewing authority deems necessary riod, in lieu of adding the baseline ac- to implement and enforce the PAL. tual emissions as specified in para- (8) PAL effective period and reopening graph (f)(6)(i) of this section, the emis- of the PAL permit. The plan shall re- sions must be added to the PAL level quire the information in paragraphs in an amount equal to the potential to (f)(8)(i) and (ii) of this section. emit of the units. (i) PAL effective period. The reviewing (7) Contents of the PAL permit. The authority shall specify a PAL effective plan shall require that the PAL permit period of 10 years. contain, at a minimum, the informa- (ii) Reopening of the PAL permit. (A) tion in paragraphs (f)(7)(i) through (x) During the PAL effective period, the of this section. plan shall require the reviewing au- (i) The PAL pollutant and the appli- thority to reopen the PAL permit to: cable source-wide emission limitation (1) Correct typographical/calculation in tons per year. errors made in setting the PAL or re- (ii) The PAL permit effective date flect a more accurate determination of and the expiration date of the PAL emissions used to establish the PAL. (PAL effective period). (2) Reduce the PAL if the owner or (iii) Specification in the PAL permit operator of the major stationary that if a major stationary source owner source creates creditable emissions re- or operator applies to renew a PAL in ductions for use as offsets under para- accordance with paragraph (f)(10) of graph (a)(3)(ii) of this section. this section before the end of the PAL (3) Revise the PAL to reflect an in- effective period, then the PAL shall crease in the PAL as provided under not expire at the end of the PAL effec- paragraph (f)(11) of this section. tive period. It shall remain in effect (B) The plan shall provide the review- until a revised PAL permit is issued by ing authority discretion to reopen the the reviewing authority. PAL permit for the following: (iv) A requirement that emission cal- (1) Reduce the PAL to reflect newly culations for compliance purposes in- applicable Federal requirements (for clude emissions from startups, shut- example, NSPS) with compliance dates downs and malfunctions. after the PAL effective date. (v) A requirement that, once the PAL (2) Reduce the PAL consistent with expires, the major stationary source is any other requirement, that is enforce- subject to the requirements of para- able as a practical matter, and that the graph (f)(9) of this section. State may impose on the major sta- (vi) The calculation procedures that tionary source under the plan. the major stationary source owner or (3) Reduce the PAL if the reviewing operator shall use to convert the moni- authority determines that a reduction toring system data to monthly emis- is necessary to avoid causing or con- sions and annual emissions based on a tributing to a NAAQS or PSD incre- 12-month rolling total for each month ment violation, or to an adverse im- as required by paragraph (f)(13)(i) of pact on an air quality related value this section. that has been identified for a Federal (vii) A requirement that the major Class I area by a Federal Land Manager stationary source owner or operator and for which information is available monitor all emissions units in accord- to the general public. ance with the provisions under para- (C) Except for the permit reopening graph (f)(12) of this section. in paragraph (f)(8)(ii)(A)(1) of this sec- (viii) A requirement to retain the tion for the correction of typo- records required under paragraph (f)(13) graphical/calculation errors that do of this section on site. Such records not increase the PAL level, all other may be retained in an electronic for- reopenings shall be carried out in ac- mat. cordance with the public participation

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requirements of paragraph (f)(5) of this multi-unit emissions cap equivalent to section. the level of the PAL emission limita- (9) Expiration of a PAL. Any PAL tion. which is not renewed in accordance (iv) Any physical change or change in with the procedures in paragraph (f)(10) the method of operation at the major of this section shall expire at the end stationary source will be subject to the of the PAL effective period, and the re- nonattainment major NSR require- quirements in paragraphs (f)(9)(i) ments if such change meets the defini- through (v) of this section shall apply. tion of major modification in para- (i) Each emissions unit (or each graph (a)(1)(v) of this section. group of emissions units) that existed (v) The major stationary source under the PAL shall comply with an al- owner or operator shall continue to lowable emission limitation under a re- comply with any State or Federal ap- vised permit established according to plicable requirements (BACT, RACT, the procedures in paragraphs (f)(9)(i)(A) NSPS, etc.) that may have applied ei- through (B) of this section. ther during the PAL effective period or (A) Within the time frame specified prior to the PAL effective period ex- for PAL renewals in paragraph cept for those emission limitations (f)(10)(ii) of this section, the major sta- that had been established pursuant to tionary source shall submit a proposed paragraph (a)(5)(ii) of this section, but allowable emission limitation for each were eliminated by the PAL in accord- emissions unit (or each group of emis- ance with the provisions in paragraph sions units, if such a distribution is (f)(1)(iii)(C) of this section. more appropriate as decided by the re- (10) Renewal of a PAL. (i) The review- viewing authority) by distributing the ing authority shall follow the proce- PAL allowable emissions for the major dures specified in paragraph (f)(5) of stationary source among each of the this section in approving any request emissions units that existed under the to renew a PAL for a major stationary PAL. If the PAL had not yet been ad- source, and shall provide both the pro- justed for an applicable requirement posed PAL level and a written ration- that became effective during the PAL ale for the proposed PAL level to the effective period, as required under public for review and comment. During paragraph (f)(10)(v) of this section, such such public review, any person may distribution shall be made as if the propose a PAL level for the source for PAL had been adjusted. consideration by the reviewing author- (B) The reviewing authority shall de- ity. cide whether and how the PAL allow- (ii) Application deadline. The plan able emissions will be distributed and shall require that a major stationary issue a revised permit incorporating al- source owner or operator shall submit lowable limits for each emissions unit, a timely application to the reviewing or each group of emissions units, as the authority to request renewal of a PAL. reviewing authority determines is ap- A timely application is one that is sub- propriate. mitted at least 6 months prior to, but (ii) Each emissions unit(s) shall com- not earlier than 18 months from, the ply with the allowable emission limita- date of permit expiration. This dead- tion on a 12-month rolling basis. The line for application submittal is to en- reviewing authority may approve the sure that the permit will not expire be- use of monitoring systems (source test- fore the permit is renewed. If the owner ing, emission factors, etc.) other than or operator of a major stationary CEMS, CERMS, PEMS or CPMS to source submits a complete application demonstrate compliance with the al- to renew the PAL within this time pe- lowable emission limitation. riod, then the PAL shall continue to be (iii) Until the reviewing authority effective until the revised permit with issues the revised permit incorporating the renewed PAL is issued. allowable limits for each emissions (iii) Application requirements. The ap- unit, or each group of emissions units, plication to renew a PAL permit shall as required under paragraph (f)(9)(i)(A) contain the information required in of this section, the source shall con- paragraphs (f)(10)(iii)(A) through (D) of tinue to comply with a source-wide, this section.

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(A) The information required in para- authority has not already adjusted for graphs (f)(3)(i) through (iii) of this sec- such requirement, the PAL shall be ad- tion. justed at the time of PAL permit re- (B) A proposed PAL level. newal or title V permit renewal, which- (C) The sum of the potential to emit ever occurs first. of all emissions units under the PAL (11) Increasing a PAL during the PAL (with supporting documentation). effective period. (i) The plan shall re- (D) Any other information the owner quire that the reviewing authority may or operator wishes the reviewing au- increase a PAL emission limitation thority to consider in determining the only if the major stationary source appropriate level for renewing the complies with the provisions in para- PAL. graphs (f)(11)(i)(A) through (D) of this (iv) PAL adjustment. In determining section. whether and how to adjust the PAL, (A) The owner or operator of the the reviewing authority shall consider major stationary source shall submit a the options outlined in paragraphs complete application to request an in- (f)(10)(iv)(A) and (B) of this section. crease in the PAL limit for a PAL However, in no case may any such ad- major modification. Such application justment fail to comply with paragraph shall identify the emissions unit(s) (f)(10)(iv)(C) of this section. contributing to the increase in emis- (A) If the emissions level calculated sions so as to cause the major stain accordance with paragraph (f)(6) of tionary source’s emissions to equal or this section is equal to or greater than exceed its PAL. 80 percent of the PAL level, the review- (B) As part of this application, the ing authority may renew the PAL at major stationary source owner or oper- the same level without considering the ator shall demonstrate that the sum of factors set forth in paragraph the baseline actual emissions of the (f)(10)(iv)(B) of this section; or small emissions units, plus the sum of (B) The reviewing authority may set the baseline actual emissions of the the PAL at a level that it determines significant and major emissions units to be more representative of the assuming application of BACT equiva- source’s baseline actual emissions, or lent controls, plus the sum of the al- that it determines to be appropriate lowable emissions of the new or modi- considering air quality needs, advances fied emissions unit(s) exceeds the PAL. in control technology, anticipated eco- The level of control that would result nomic growth in the area, desire to re- from BACT equivalent controls on each ward or encourage the source’s vol- significant or major emissions unit untary emissions reductions, or other shall be determined by conducting a factors as specifically identified by the new BACT analysis at the time the ap- reviewing authority in its written ra- plication is submitted, unless the emis- tionale. sions unit is currently required to com- (C) Notwithstanding paragraphs ply with a BACT or LAER requirement (f)(10)(iv)(A) and (B) of this section, that was established within the pre- (1) If the potential to emit of the ceding 10 years. In such a case, the as- major stationary source is less than sumed control level for that emissions the PAL, the reviewing authority shall unit shall be equal to the level of BACT adjust the PAL to a level no greater or LAER with which that emissions than the potential to emit of the unit must currently comply. source; and (C) The owner or operator obtains a (2) The reviewing authority shall not major NSR permit for all emissions approve a renewed PAL level higher unit(s) identified in paragraph than the current PAL, unless the (f)(11)(i)(A) of this section, regardless major stationary source has complied of the magnitude of the emissions in- with the provisions of paragraph (f)(11) crease resulting from them (that is, no of this section (increasing a PAL). significant levels apply). These emis- (v) If the compliance date for a State sions unit(s) shall comply with any or Federal requirement that applies to emissions requirements resulting from the PAL source occurs during the PAL the nonattainment major NSR pro- effective period, and if the reviewing gram process (for example, LAER),

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even though they have also become (ii) Minimum Performance Require- subject to the PAL or continue to be ments for Approved Monitoring Ap- subject to the PAL. proaches. The following are acceptable (D) The PAL permit shall require general monitoring approaches when that the increased PAL level shall be conducted in accordance with the min- effective on the day any emissions unit imum requirements in paragraphs that is part of the PAL major modifica- (f)(12)(iii) through (ix) of this section: tion becomes operational and begins to (A) Mass balance calculations for ac- emit the PAL pollutant. tivities using coatings or solvents; (ii) The reviewing authority shall (B) CEMS; calculate the new PAL as the sum of (C) CPMS or PEMS; and the allowable emissions for each modi- (D) Emission Factors. fied or new emissions unit, plus the (iii) Mass Balance Calculations. An sum of the baseline actual emissions of owner or operator using mass balance the significant and major emissions calculations to monitor PAL pollutant units (assuming application of BACT emissions from activities using coating equivalent controls as determined in or solvents shall meet the following re- accordance with paragraph quirements: (f)(11)(i)(B)), plus the sum of the base- (A) Provide a demonstrated means of line actual emissions of the small validating the published content of the emissions units. PAL pollutant that is contained in or (iii) The PAL permit shall be revised created by all materials used in or at to reflect the increased PAL level pur- the emissions unit; suant to the public notice require- (B) Assume that the emissions unit ments of paragraph (f)(5) of this sec- emits all of the PAL pollutant that is tion. contained in or created by any raw ma- (12) Monitoring requirements for terial or fuel used in or at the emis- PALs—(i) General requirements. (A) Each sions unit, if it cannot otherwise be ac- PAL permit must contain enforceable counted for in the process; and requirements for the monitoring sys- (C) Where the vendor of a material or tem that accurately determines fuel, which is used in or at the emis- plantwide emissions of the PAL pollut- sions unit, publishes a range of pollutant in terms of mass per unit of time. ant content from such material, the Any monitoring system authorized for owner or operator must use the highest use in the PAL permit must be based value of the range to calculate the PAL on sound science and meet generally pollutant emissions unless the review- acceptable scientific procedures for ing authority determines there is site- data quality and manipulation. Addi- specific data or a site-specific moni- tionally, the information generated by toring program to support another con- such system must meet minimum legal tent within the range. requirements for admissibility in a ju- (iv) CEMS. An owner or operator dicial proceeding to enforce the PAL using CEMS to monitor PAL pollutant permit. emissions shall meet the following re- (B) The PAL monitoring system quirements: must employ one or more of the four (A) CEMS must comply with applica- general monitoring approaches meet- ble Performance Specifications found ing the minimum requirements set in 40 CFR part 60, appendix B; and forth in paragraphs (f)(12)(ii)(A) (B) CEMS must sample, analyze and through (D) of this section and must be record data at least every 15 minutes approved by the reviewing authority. while the emissions unit is operating. (C) Notwithstanding paragraph (v) CPMS or PEMS. An owner or op- (f)(12)(i)(B) of this section, you may erator using CPMS or PEMS to mon- also employ an alternative monitoring itor PAL pollutant emissions shall approach that meets paragraph meet the following requirements: (f)(12)(i)(A) of this section if approved (A) The CPMS or the PEMS must be by the reviewing authority. based on current site-specific data (D) Failure to use a monitoring sys- demonstrating a correlation between tem that meets the requirements of the monitored parameter(s) and the this section renders the PAL invalid. PAL pollutant emissions across the

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range of operation of the emissions PAL pollutant emissions is a violation unit; and of the PAL. (B) Each CPMS or PEMS must sam- (ix) Re-validation. All data used to ple, analyze, and record data at least establish the PAL pollutant must be every 15 minutes, or at another less re-validated through performance test- frequent interval approved by the re- ing or other scientifically valid means viewing authority, while the emissions approved by the reviewing authority. unit is operating. Such testing must occur at least once (vi) Emission factors. An owner or every 5 years after issuance of the operator using emission factors to PAL. monitor PAL pollutant emissions shall (13) Recordkeeping requirements. (i) meet the following requirements: The PAL permit shall require an owner (A) All emission factors shall be ad- or operator to retain a copy of all justed, if appropriate, to account for records necessary to determine compli- the degree of uncertainty or limita- ance with any requirement of para- tions in the factors’ development; graph (f) of this section and of the (B) The emissions unit shall operate PAL, including a determination of each within the designated range of use for emissions unit’s 12-month rolling total the emission factor, if applicable; and emissions, for 5 years from the date of (C) If technically practicable, the such record. owner or operator of a significant emis- (ii) The PAL permit shall require an sions unit that relies on an emission owner or operator to retain a copy of factor to calculate PAL pollutant the following records for the duration emissions shall conduct validation of the PAL effective period plus 5 testing to determine a site-specific years: emission factor within 6 months of PAL permit issuance, unless the re- (A) A copy of the PAL permit appli- viewing authority determines that cation and any applications for revi- testing is not required. sions to the PAL; and (vii) A source owner or operator must (B) Each annual certification of com- record and report maximum potential pliance pursuant to title V and the emissions without considering enforce- data relied on in certifying the compli- able emission limitations or oper- ance. ational restrictions for an emissions (14) Reporting and notification require- unit during any period of time that ments. The owner or operator shall sub- there is no monitoring data, unless an- mit semi-annual monitoring reports other method for determining emis- and prompt deviation reports to the re- sions during such periods is specified in viewing authority in accordance with the PAL permit. the applicable title V operating permit (viii) Notwithstanding the require- program. The reports shall meet the re- ments in paragraphs (f)(12)(iii) through quirements in paragraphs (f)(14)(i) (vii) of this section, where an owner or through (iii). operator of an emissions unit cannot (i) Semi-Annual Report. The semi-an- demonstrate a correlation between the nual report shall be submitted to the monitored parameter(s) and the PAL reviewing authority within 30 days of pollutant emissions rate at all oper- the end of each reporting period. This ating points of the emissions unit, the report shall contain the information reviewing authority shall, at the time required in paragraphs (f)(14)(i)(A) of permit issuance: through (G) of this section. (A) Establish default value(s) for determining compliance with the PAL (A) The identification of owner and based on the highest potential emis- operator and the permit number. sions reasonably estimated at such op- (B) Total annual emissions (tons/ erating point(s); or year) based on a 12-month rolling total (B) Determine that operation of the for each month in the reporting period emissions unit during operating condi- recorded pursuant to paragraph tions when there is no correlation be- (f)(13)(i) of this section. tween monitored parameter(s) and the

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(C) All data relied upon, including, plicable title V operating permit pro- but not limited to, any Quality Assur- gram) certifying the truth, accuracy, ance or Quality Control data, in calcu- and completeness of the information lating the monthly and annual PAL provided in the report. pollutant emissions. (iii) Re-validation results. The owner (D) A list of any emissions units or operator shall submit to the review- modified or added to the major sta- ing authority the results of any re-vali- tionary source during the preceding 6- dation test or method within 3 months month period. after completion of such test or meth- (E) The number, duration, and cause od. of any deviations or monitoring mal- (15) Transition requirements. (i) No re- functions (other than the time associ- viewing authority may issue a PAL ated with zero and span calibration that does not comply with the require- checks), and any corrective action ments in paragraphs (f)(1) through (15) taken. of this section after the Administrator (F) A notification of a shutdown of has approved regulations incorporating any monitoring system, whether the these requirements into a plan. shutdown was permanent or tem- (ii) The reviewing authority may su- porary, the reason for the shutdown, persede any PAL which was established the anticipated date that the moni- prior to the date of approval of the toring system will be fully operational plan by the Administrator with a PAL or replaced with another monitoring that complies with the requirements of system, and whether the emissions paragraphs (f)(1) through (15) of this unit monitored by the monitoring sys- section. tem continued to operate, and the cal- (g) If any provision of this section, or culation of the emissions of the pollut- the application of such provision to ant or the number determined by any person or circumstance, is held in- method included in the permit, as pro- valid, the remainder of this section, or vided by paragraph (f)(12)(vii) of this the application of such provision to section. persons or circumstances other than (G) A signed statement by the re- those as to which it is held invalid, sponsible official (as defined by the ap- shall not be affected thereby. plicable title V operating permit pro- (h) Equipment replacement provision. gram) certifying the truth, accuracy, Without regard to other consider- and completeness of the information ations, routine maintenance, repair provided in the report. and replacement includes, but is not (ii) Deviation report. The major sta- limited to, the replacement of any tionary source owner or operator shall component of a process unit with an promptly submit reports of any devi- identical or functionally equivalent ations or exceedance of the PAL re- component(s), and maintenance and requirements, including periods where no pair activities that are part of the re- monitoring is available. A report sub- placement activity, provided that all of mitted pursuant to § 70.6(a)(3)(iii)(B) of the requirements in paragraphs (h)(1) this chapter shall satisfy this reporting through (3) of this section are met. requirement. The deviation reports (1) Capital Cost threshold for Equip- shall be submitted within the time lim- ment Replacement. (i) For an electric util- its prescribed by the applicable pro- ity steam generating unit, as defined in gram implementing § 70.6(a)(3)(iii)(B) of § 51.165(a)(1)(xx), the fixed capital cost this chapter. The reports shall contain of the replacement component(s) plus the following information: the cost of any associated maintenance (A) The identification of owner and and repair activities that are part of operator and the permit number; the replacement shall not exceed 20 (B) The PAL requirement that expe- percent of the replacement value of the rienced the deviation or that was ex- process unit, at the time the equip- ceeded; ment is replaced. For a process unit (C) Emissions resulting from the de- that is not an electric utility steam viation or the exceedance; and generating unit the fixed capital cost (D) A signed statement by the re- of the replacement component(s) plus sponsible official (as defined by the ap- the cost of any associated maintenance

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and repair activities that are part of stayed indefinitely. The stayed provisions the replacement shall not exceed 20 will become effective immediately if the percent of the replacement value of the court terminates the stay. At that time, process unit, at the time the equip- EPA will publish a document in the FEDERAL REGISTER advising the public of the termi- ment is replaced. nation of the stay. (ii) In determining the replacement value of the process unit; and, except (i) Except as provided in paragraph as otherwise allowed under paragraph (h)(2)(iii) of this section, for a process (h)(1)(iii) of this section, the owner or unit at a steam electric generating fa- operator shall determine the replace- cility, the owner or operator may se- ment value of the process unit on an lect as its basic design parameters ei- estimate of the fixed capital cost of ther maximum hourly heat input and constructing a new process unit, or on maximum hourly fuel consumption the current appraised value of the proc- rate or maximum hourly electric out- ess unit. put rate and maximum steam flow (iii) As an alternative to paragraph rate. When establishing fuel consump- (h)(1)(ii) of this section for determining tion specifications in terms of weight the replacement value of a process or volume, the minimum fuel quality unit, an owner or operator may choose based on British Thermal Units con- to use insurance value (where the intent shall be used for determining the surance value covers only complete re- basic design parameter(s) for a coal- placement), investment value adjusted fired electric utility steam generating for inflation, or another accounting unit. procedure if such procedure is based on (ii) Except as provided in paragraph Generally Accepted Accounting Prin- (h)(2)(iii) of this section, the basic de- ciples, provided that the owner or oper- sign parameter(s) for any process unit ator sends a notice to the reviewing au- that is not at a steam electric gener- thority. The first time that an owner ating facility are maximum rate of fuel or operator submits such a notice for a or heat input, maximum rate of mate- particular process unit, the notice may rial input, or maximum rate of product be submitted at any time, but any sub- output. Combustion process units will sequent notice for that process unit typically use maximum rate of fuel may be submitted only at the begin- input. For sources having multiple end ning of the process unit’s fiscal year. products and raw materials, the owner Unless the owner or operator submits a or operator should consider the pri- notice to the reviewing authority, then mary product or primary raw material paragraph (h)(1)(ii) of this section will when selecting a basic design param- be used to establish the replacement eter. value of the process unit. Once the (iii) If the owner or operator believes owner or operator submits a notice to the basic design parameter(s) in para- use an alternative accounting proce- graphs (h)(2)(i) and (ii) of this section dure, the owner or operator must con- is not appropriate for a specific indus- tinue to use that procedure for the entry or type of process unit, the owner tire fiscal year for that process unit. In or operator may propose to the review- subsequent fiscal years, the owner or ing authority an alternative basic de- operator must continue to use this se- sign parameter(s) for the source’s proc- lected procedure unless and until the ess unit(s). If the reviewing authority owner or operator sends another notice approves of the use of an alternative to the reviewing authority selecting basic design parameter(s), the review- another procedure consistent with this ing authority shall issue a permit that paragraph or paragraph (h)(1)(ii) of this is legally enforceable that records such section at the beginning of such fiscal basic design parameter(s) and requires year. the owner or operator to comply with (2) Basic design parameters. The re- such parameter(s). placement does not change the basic (iv) The owner or operator shall use design parameter(s) of the process unit credible information, such as results of to which the activity pertains. historic maximum capability tests, de- NOTE TO PARAGRAPH (h): By a court order sign information from the manufac- on December 24, 2003, this paragraph (h) is turer, or engineering calculations, in

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establishing the magnitude of the basic EFFECTIVE DATE NOTE: At 76 FR 17552, Mar. design parameter(s) specified in para- 30, 2011, § 51.165, paragraphs (a)(1)(v)(G) and graphs (h)(2)(i) and (ii) of this section. (v)(1)(vi)(C)(3) are stayed indefinitely. (v) If design information is not avail- § 51.166 Prevention of significant dete- able for a process unit, then the owner rioration of air quality. or operator shall determine the process (a)(1) Plan requirements. In accordance unit’s basic design parameter(s) using with the policy of section 101(b)(1) of the maximum value achieved by the the Act and the purposes of section 160 process unit in the five-year period im- of the Act, each applicable State Im- mediately preceding the planned activ- plementation Plan and each applicable ity. Tribal Implementation Plan shall con- (vi) Efficiency of a process unit is not tain emission limitations and such a basic design parameter. other measures as may be necessary to (3) The replacement activity shall prevent significant deterioration of air not cause the process unit to exceed quality. any emission limitation, or operational (2) Plan revisions. If a State Imple- limitation that has the effect of con- mentation Plan revision would result straining emissions, that applies to the in increased air quality deterioration process unit and that is legally en- over any baseline concentration, the forceable. plan revision shall include a dem- (i) Public participation requirements. onstration that it will not cause or The reviewing authority shall notify contribute to a violation of the appli- the public of a draft permit by a meth- cable increment(s). If a plan revision od described in either paragraph (i)(1) proposing less restrictive requirements or (2) of this section. The selected was submitted after August 7, 1977 but method, known as the ‘‘consistent noon or before any applicable baseline ticing method,’’ shall comply with the date and was pending action by the Ad- public participation procedural re- ministrator on that date, no such dem- quirements of § 51.161 of this chapter onstration is necessary with respect to and be used for all permits issued under the area for which a baseline date this section and may, when appro- would be established before final action priate, be supplemented by other notic- is taken on the plan revision. Instead, ing methods on individual permits. the assessment described in paragraph (1) Post the information in para- (a)(4) of this section, shall review the graphs (i)(1)(i) through (iii) of this sec- expected impact to the applicable in- tion, for the duration of the public crement(s). comment period, on a public Web site (3) Required plan revision. If the State identified by the reviewing authority. or the Administrator determines that a (i) A notice of availability of the plan is substantially inadequate to pre- draft permit for public comment; vent significant deterioration or that (ii) The draft permit; and an applicable increment is being vio- (iii) Information on how to access the lated, the plan shall be revised to cor- administrative record for the draft per- rect the inadequacy or the violation. mit. The plan shall be revised within 60 days (2) Publish a notice of availability of of such a finding by a State or within the draft permit for public comment in 60 days following notification by the Administrator, or by such later date as a newspaper of general circulation in prescribed by the Administrator after the area where the source is located. consultation with the State. The notice shall include information (4) Plan assessment. The State shall on how to access the draft permit and review the adequacy of a plan on a the administrative record for the draft periodic basis and within 60 days of permit. such time as information becomes [51 FR 40669, Nov. 7, 1986] available that an applicable increment is being violated. EDITORIAL NOTE: For FEDERAL REGISTER citations affecting § 51.165, see the List of CFR (5) Public participation. Any State ac- Sections Affected, which appears in the tion taken under this paragraph shall Finding Aids section of the printed volume be subject to the opportunity for public and at www.govinfo.gov. hearing in accordance with procedures

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equivalent to those established in source or major modification will meet § 51.102. those requirements. (6) Amendments. (i) Any State re- (iv) Each plan shall use the specific quired to revise its implementation provisions of paragraphs (a)(7)(iv)(a) plan by reason of an amendment to through (f) of this section. Deviations this section, with the exception of from these provisions will be approved amendments to add new maximum al- only if the State specifically dem- lowable increases or other measures onstrates that the submitted provi- pursuant to section 166(a) of the Act, sions are more stringent than or at shall adopt and submit such plan revi- least as stringent in all respects as the sion to the Administrator for approval corresponding provisions in paragraphs no later than 3 years after such amend- (a)(7)(iv)(a) through (f) of this section. ment is published in the FEDERAL REG- (a) Except as otherwise provided in ISTER. With regard to a revision to an paragraphs (a)(7)(v) and (vi) of this sec- implementation plan by reason of an tion, and consistent with the definition amendment to paragraph (c) of this of major modification contained in section to add maximum allowable in- paragraph (b)(2) of this section, a creases or other measures, the State project is a major modification for a shall submit such plan revision to the regulated NSR pollutant if it causes Administrator for approval within 21 two types of emissions increases—a sig- months after such amendment is pub- nificant emissions increase (as defined lished in the FEDERAL REGISTER. in paragraph (b)(39) of this section), (ii) Any revision to an implementa- and a significant net emissions in- tion plan that would amend the provi- crease (as defined in paragraphs (b)(3) sions for the prevention of significant and (b)(23) of this section). The project air quality deterioration in the plan is not a major modification if it does shall specify when and as to what not cause a significant emissions in- sources and modifications the revision crease. If the project causes a signifi- is to take effect. cant emissions increase, then the (iii) Any revision to an implementa- project is a major modification only if tion plan that an amendment to this it also results in a significant net emis- section required shall take effect no sions increase. later than the date of its approval and (b) The procedure for calculating (be- may operate prospectively. fore beginning actual construction) (7) Applicability. Each plan shall con- whether a significant emissions in- tain procedures that incorporate the crease (i.e., the first step of the proc- requirements in paragraphs (a)(7)(i) ess) will occur depends upon the type of through (vi) of this section. emissions units being modified, accord- (i) The requirements of this section ing to paragraphs (a)(7)(iv)(c) through apply to the construction of any new (f) of this section. The procedure for major stationary source (as defined in calculating (before beginning actual paragraph (b)(1) of this section) or any construction) whether a significant net project at an existing major stationary emissions increase will occur at the source in an area designated as attain- major stationary source (i.e., the sec- ment or unclassifiable under sections ond step of the process) is contained in 107(d)(1)(A)(ii) or (iii) of the Act. the definition in paragraph (b)(3) of (ii) The requirements of paragraphs this section. Regardless of any such (j) through (r) of this section apply to preconstruction projections, a major the construction of any new major sta- modification results if the project tionary source or the major modifica- causes a significant emissions increase tion of any existing major stationary and a significant net emissions in- source, except as this section otherwise crease. provides. (c) Actual-to-projected-actual applica- (iii) No new major stationary source bility test for projects that only involve or major modification to which the re- existing emissions units. A significant quirements of paragraphs (j) through emissions increase of a regulated NSR (r)(5) of this section apply shall begin pollutant is projected to occur if the actual construction without a permit sum of the difference between the pro- that states that the major stationary jected actual emissions (as defined in

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paragraph (b)(40) of this section) and pollutant: Fossil fuel-fired steam elec- the baseline actual emissions (as de- tric plants of more than 250 million fined in paragraphs (b)(47)(i) and (ii) of British thermal units per hour heat this section) for each existing emis- input, coal cleaning plants (with ther- sions unit, equals or exceeds the sig- mal dryers), kraft pulp mills, portland nificant amount for that pollutant (as cement plants, primary zinc smelters, defined in paragraph (b)(23) of this sec- iron and steel mill plants, primary alu- tion). minum ore reduction plants (with ther- (d) Actual-to-potential test for projects mal dryers), primary copper smelters, that only involve construction of a new municipal incinerators capable of emissions unit(s). A significant emis- charging more than 250 tons of refuse sions increase of a regulated NSR pol- per day, hydrofluoric, sulfuric, and ni- lutant is projected to occur if the sum tric acid plants, petroleum refineries, of the difference between the potential lime plants, phosphate rock processing to emit (as defined in paragraph (b)(4) plants, coke oven batteries, sulfur re- of this section) from each new emis- covery plants, carbon black plants (fur- sions unit following completion of the nace process), primary lead smelters, project and the baseline actual emis- fuel conversion plants, sintering sions (as defined in paragraph plants, secondary metal production (b)(47)(iii) of this section) of these units plants, chemical process plants (which before the project equals or exceeds the does not include ethanol production fa- significant amount for that pollutant cilities that produce ethanol by nat- (as defined in paragraph (b)(23) of this ural fermentation included in NAICS section). codes 325193 or 312140), fossil-fuel boil- (e) [Reserved] ers (or combinations thereof) totaling (f) Hybrid test for projects that involve more than 250 million British thermal multiple types of emissions units. A sig- units per hour heat input, petroleum nificant emissions increase of a regu- storage and transfer units with a total lated NSR pollutant is projected to storage capacity exceeding 300,000 bar- occur if the sum of the emissions in- rels, taconite ore processing plants, creases for each emissions unit, using glass fiber processing plants, and char- the method specified in paragraphs coal production plants; (a)(7)(iv)(c) through (d) of this section (b) Notwithstanding the stationary as applicable with respect to each source size specified in paragraph emissions unit, for each type of emis- (b)(1)(i)(a) of this section, any sta- sions unit equals or exceeds the signifi- tionary source which emits, or has the cant amount for that pollutant (as de- potential to emit, 250 tons per year or fined in paragraph (b)(23) of this sec- more of a regulated NSR pollutant; or tion). (c) Any physical change that would (v) The plan shall require that for occur at a stationary source not other- any major stationary source for a PAL wise qualifying under paragraph (b)(1) for a regulated NSR pollutant, the of this section, as a major stationary major stationary source shall comply source if the change would constitute a with requirements under paragraph (w) major stationary source by itself. of this section. (ii) A major source that is major for (b) Definitions. All State plans shall volatile organic compounds or NOX use the following definitions for the shall be considered major for ozone. purposes of this section. Deviations (iii) The fugitive emissions of a sta- from the following wording will be ap- tionary source shall not be included in proved only if the State specifically determining for any of the purposes of demonstrates that the submitted defi- this section whether it is a major sta- nition is more stringent, or at least as tionary source, unless the source be- stringent, in all respects as the cor- longs to one of the following categories responding definitions below: of stationary sources: (1)(i) Major stationary source means: (a) Coal cleaning plants (with ther- (a) Any of the following stationary mal dryers); sources of air pollutants which emits, (b) Kraft pulp mills; or has the potential to emit, 100 tons (c) Portland cement plants; per year or more of any regulated NSR (d) Primary zinc smelters;

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(e) Iron and steel mills; fined in paragraph (b)(3) of this sec- (f) Primary aluminum ore reduction tion) at a major stationary source that plants; is significant for volatile organic com- (g) Primary copper smelters; pounds or NOX shall be considered sig- (h) Municipal incinerators capable of nificant for ozone. charging more than 250 tons of refuse (iii) A physical change or change in per day; the method of operation shall not in- (i) Hydrofluoric, sulfuric, or nitric clude: acid plants; (a) Routine maintenance, repair and (j) Petroleum refineries; replacement. Routine maintenance, re- (k) Lime plants; pair and replacement shall include, but (l) Phosphate rock processing plants; not be limited to, any activity(s) that (m) Coke oven batteries; meets the requirements of the equip- (n) Sulfur recovery plants; ment replacement provisions contained (o) Carbon black plants (furnace in paragraph (y) of this section; process); NOTE TO PARAGRAPH (b)(2)(iii)(a): On De- (p) Primary lead smelters; cember 24, 2003, the second sentence of this (q) Fuel conversion plants; paragraph (b)(2)(iii)(a) is stayed indefinitely (r) Sintering plants; by court order. The stayed provisions will (s) Secondary metal production become effective immediately if the court plants; terminates the stay. At that time, EPA will (t) Chemical process plants—The publish a document in the FEDERAL REG- term chemical processing plant shall ISTER advising the public of the termination not include ethanol production facili- of the stay. ties that produce ethanol by natural (b) Use of an alternative fuel or raw fermentation included in NAICS codes material by reason of any order under 325193 or 312140; section 2 (a) and (b) of the Energy Sup- (u) Fossil-fuel boilers (or combina- ply and Environmental Coordination tion thereof) totaling more than 250 Act of 1974 (or any superseding legisla- million British thermal units per hour tion) or by reason of a natural gas cur- heat input; tailment plan pursuant to the Federal (v) Petroleum storage and transfer Power Act; units with a total storage capacity ex- (c) Use of an alternative fuel by rea- ceeding 300,000 barrels; son of an order or rule under section (w) Taconite ore processing plants; 125 of the Act; (x) Glass fiber processing plants; (d) Use of an alternative fuel at a (y) Charcoal production plants; steam generating unit to the extent (z) Fossil fuel-fired steam electric that the fuel is generated from munic- plants of more that 250 million British ipal solid waste; thermal units per hour heat input; (e) Use of an alternative fuel or raw (aa) Any other stationary source cat- material by a stationary source which: egory which, as of August 7, 1980, is (1) The source was capable of accom- being regulated under section 111 or 112 modating before January 6, 1975, unless of the Act. such change would be prohibited under (2)(i) Major modification means any any federally enforceable permit condi- physical change in or change in the tion which was established after Janu- method of operation of a major sta- ary 6, 1975 pursuant to 40 CFR 52.21 or tionary source that would result in: a under regulations approved pursuant to significant emissions increase (as de- 40 CFR subpart I or § 51.166; or fined in paragraph (b)(39) of this sec- (2) The source is approved to use tion) of a regulated NSR pollutant (as under any permit issued under 40 CFR defined in paragraph (b)(49) of this sec- 52.21 or under regulations approved tion); and a significant net emissions pursuant to 40 CFR 51.166; increase of that pollutant from the (f) An increase in the hours of oper- major stationary source. ation or in the production rate, unless (ii) Any significant emissions in- such change would be prohibited under crease (as defined at paragraph (b)(39) any federally enforceable permit condi- of this section) from any emissions tion which was established after Janu- units or net emissions increase (as de- ary 6, 1975, pursuant to 40 CFR 52.21 or

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under regulations approved pursuant to (b) Any other increases and decreases 40 CFR subpart I or § 51.166. in actual emissions at the major sta- (g) Any change in ownership at a stationary source that are contempora- tionary source. neous with the particular change and (h) [Reserved] are otherwise creditable. Baseline ac- (i) The installation, operation, ces- tual emissions for calculating in- sation, or removal of a temporary creases and decreases under this para- clean coal technology demonstration graph (b)(3)(i)(b) shall be determined as project, provided that the project com- provided in paragraph (b)(47), except plies with: that paragraphs (b)(47)(i)(c) and (1) The State implementation plan (b)(47)(ii)(d) of this section shall not for the State in which the project is lo- apply. cated; and (ii) An increase or decrease in actual (2) Other requirements necessary to emissions is contemporaneous with the attain and maintain the national ambi- increase from the particular change ent air quality standards during the only if it occurs within a reasonable project and after it is terminated. period (to be specified by the State) be- (j) The installation or operation of a fore the date that the increase from permanent clean coal technology dem- the particular change occurs. onstration project that constitutes (iii) An increase or decrease in actual repowering, provided that the project emissions is creditable only if: does not result in an increase in the po- (a) It occurs within a reasonable pe- tential to emit of any regulated pollut- riod (to be specified by the reviewing ant emitted by the unit. This exemp- authority); and tion shall apply on a pollutant-by-pol- (b) The reviewing authority has not lutant basis. relied on it in issuing a permit for the ( ) The reactivation of a very clean k source under regulations approved pur- coal-fired electric utility steam gener- suant to this section, which permit is ating unit. in effect when the increase in actual (iv) This definition shall not apply emissions from the particular change with respect to a particular regulated occurs; and NSR pollutant when the major stationary source is complying with the (c) The increase or decrease in emis- requirements under paragraph (w) of sions did not occur at a Clean Unit, ex- this section for a PAL for that pollut- cept as provided in paragraphs (t)(8) ant. Instead, the definition at para- and (u)(10) of this section. graph (w)(2)(viii) of this section shall (d) As it pertains to an increase or apply. decrease in fugitive emissions (to the (v) Fugitive emissions shall not be extent quantifiable), it occurs at an included in determining for any of the emissions unit that is part of one of purposes of this section whether a the source categories listed in para- physical change in or change in the graph (b)(1)(iii) of this section or it oc- method of operation of a major sta- curs at an emission unit that is located tionary source is a major modification, at a major stationary source that be- unless the source belongs to one of the longs to one of the listed source cat- source categories listed in paragraph egories. Fugitive emission increases or (b)(1)(iii) of this section. decreases are not included for those (3)(i) Net emissions increase means, emissions units located at a facility with respect to any regulated NSR pol- whose primary activity is not rep- lutant emitted by a major stationary resented by one of the source cat- source, the amount by which the sum egories listed in paragraph (b)(1)(iii) of of the following exceeds zero: this section and that are not, by them- (a) The increase in emissions from a selves, part of a listed source category. particular physical change or change in (iv) An increase or decrease in actual the method of operation at a sta- emissions of sulfur dioxide, particulate tionary source as calculated pursuant matter, or nitrogen oxides that occurs to paragraph (a)(7)(iv) of this section; before the applicable minor source and baseline date is creditable only if it is

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required to be considered in calcu- properties, and are under the control of lating the amount of maximum allow- the same person (or persons under com- able increases remaining available. mon control) except the activities of (v) An increase in actual emissions is any vessel. Pollutant-emitting activi- creditable only to the extent that the ties shall be considered as part of the new level of actual emissions exceeds same industrial grouping if they belong the old level. to the same Major Group (i.e., which (vi) A decrease in actual emissions is have the same two-digit code) as de- creditable only to the extent that: scribed in the Standard Industrial Clas- (a) The old level of actual emissions sification Manual, 1972, as amended by or the old level of allowable emissions, the 1977 Supplement (U.S. Government whichever is lower, exceeds the new Printing Office stock numbers 4101–0066 level of actual emissions; and 003–005–00176–0, respectively). (b) It is enforceable as a practical (ii) The plan may include the fol- matter at and after the time that ac- lowing provision: Notwithstanding the tual construction on the particular change begins; provisions of paragraph (b)(6)(i) of this (c) It has approximately the same section, building, structure, facility, or qualitative significance for public installation means, for onshore activi- health and welfare as that attributed ties under SIC Major Group 13: Oil and to the increase from the particular Gas Extraction, all of the pollutant- change; and emitting activities included in Major (vii) An increase that results from a Group 13 that are located on one or physical change at a source occurs more contiguous or adjacent prop- when the emissions unit on which con- erties, and are under the control of the struction occurred becomes oper- same person (or persons under common ational and begins to emit a particular control). Pollutant emitting activities pollutant. Any replacement unit that shall be considered adjacent if they are requires shakedown becomes oper- located on the same surface site; or if ational only after a reasonable shake- they are located on surface sites that down period, not to exceed 180 days. are located within 1⁄4 mile of one an- (viii) Paragraph (b)(21)(ii) of this sec- other (measured from the center of the tion shall not apply for determining equipment on the surface site) and creditable increases and decreases. they share equipment. Shared equip- (4) Potential to emit means the max- ment includes, but is not limited to, imum capacity of a stationary source produced fluids storage tanks, phase to emit a pollutant under its physical separators, natural gas dehydrators or and operational design. Any physical emissions control devices. Surface site, or operational limitation on the capac- as used in this paragraph (b)(6)(ii), has ity of the source to emit a pollutant, the same meaning as in 40 CFR 63.761. including air pollution control equip- (7) Emissions unit means any part of a ment and restrictions on hours of oper- stationary source that emits or would ation or on the type or amount of ma- have the potential to emit any regu- terial combusted, stored, or processed, lated NSR pollutant and includes an shall be treated as part of its design if electric utility steam generating unit the limitation or the effect it would have on emissions is federally enforce- as defined in paragraph (b)(30) of this able. Secondary emissions do not count section. For purposes of this section, in determining the potential to emit of there are two types of emissions units a stationary source. as described in paragraphs (b)(7)(i) and (5) Stationary source means any build- (ii) of this section. ing, structure, facility, or installation (i) A new emissions unit is any emis- which emits or may emit a regulated sions unit that is (or will be) newly NSR pollutant. constructed and that has existed for (6)(i) Building, structure, facility, or in- less than 2 years from the date such stallation means all of the pollutant- emissions unit first operated. emitting activities which belong to the (ii) An existing emissions unit is any same industrial grouping, are located emissions unit that does not meet the on one or more contiguous or adjacent requirements in paragraph (b)(7)(i) of

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this section. A replacement unit, as de- source or modification through appli- fined in paragraph (b)(32) of this sec- cation of production processes or avail- tion, is an existing emissions unit. able methods, systems, and techniques, (8) Construction means any physical including fuel cleaning or treatment or change or change in the method of op- innovative fuel combination tech- eration (including fabrication, erec- niques for control of such pollutant. In tion, installation, demolition, or modi- no event shall application of best avail- fication of an emissions unit) that able control technology result in emis- would result in a change in emissions. sions of any pollutant which would ex- (9) Commence as applied to construc- ceed the emissions allowed by any ap- tion of a major stationary source or plicable standard under 40 CFR parts 60 major modification means that the and 61. If the reviewing authority de- owner or operator has all necessary termines that technological or eco- preconstruction approvals or permits nomic limitations on the application of and either has: measurement methodology to a par- (i) Begun, or caused to begin, a con- ticular emissions unit would make the tinuous program of actual on-site con- imposition of an emissions standard instruction of the source, to be com- feasible, a design, equipment, work pleted within a reasonable time; or practice, operational standard or com- (ii) Entered into binding agreements bination thereof, may be prescribed in- or contractual obligations, which can- stead to satisfy the requirement for the not be cancelled or modified without application of best available control substantial loss to the owner or oper- technology. Such standard shall, to the ator, to undertake a program of actual degree possible, set forth the emissions construction of the source to be com- reduction achievable by implementa- pleted within a reasonable time. tion of such design, equipment, work (10) Necessary preconstruction approv- practice or operation, and shall provide als or permits means those permits or for compliance by means which achieve approvals required under Federal air equivalent results. quality control laws and regulations (13)(i) Baseline concentration means and those air quality control laws and that ambient concentration level that regulations which are part of the appli- exists in the baseline area at the time cable State Implementation Plan. of the applicable minor source baseline (11) means, Begin actual construction date. A baseline concentration is deter- in general, initiation of physical on- mined for each pollutant for which a site construction activities on an emis- minor source baseline date is estab- sions unit which are of a permanent lished and shall include: nature. Such activities include, but are not limited to, installation of building (a) The actual emissions, as defined supports and foundations, laying of un- in paragraph (b)(21) of this section, rep- derground pipework, and construction resentative of sources in existence on of permanent storage structures. With the applicable minor source baseline respect to a change in method of oper- date, except as provided in paragraph ation this term refers to those on-site (b)(13)(ii) of this section; activities, other than preparatory ac- (b) The allowable emissions of major tivities, which mark the initiation of stationary sources that commenced the change. construction before the major source (12) Best available control technology baseline date, but were not in oper- means an emissions limitation (includ- ation by the applicable minor source ing a visible emissions standard) based baseline date. on the maximum degree of reduction (ii) The following will not be included for each a regulated NSR pollutant in the baseline concentration and will which would be emitted from any pro- affect the applicable maximum allow- posed major stationary source or major able increase(s): modification which the reviewing au- (a) Actual emissions, as defined in thority, on a case-by-case basis, taking paragraph (b)(21) of this section, from into account energy, environmental, any major stationary source on which and economic impacts and other costs, construction commenced after the determines is achievable for such major source baseline date; and

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(b) Actual emissions increases and sible for triggering that date did not decreases, as defined in paragraph result in a significant amount of PM–10 (b)(21) of this section, at any sta- emissions. tionary source occurring after the (15)(i) Baseline area means any intra- minor source baseline date. state area (and every part thereof) des- (14)(i) Major source baseline date ignated as attainment or unclassifiable means: under section 107(d)(1)(A)(ii) or (iii) of (a) In the case of PM10 and sulfur di- the Act in which the major source or oxide, January 6, 1975; major modification establishing the (b) In the case of nitrogen dioxide, minor source baseline date would con- February 8, 1988; and struct or would have an air quality im- (c) In the case of PM2.5, October 20, pact for the pollutant for which the 2010. baseline date is established, as follows: (ii) Minor source baseline date means Equal to or greater than 1 μg/m3 (an- the earliest date after the trigger date nual average) for SO2, NO2, or PM10; or on which a major stationary source or equal or greater than 0.3 μg/m3 (annual a major modification subject to 40 CFR average) for PM2.5. 52.21 or to regulations approved pursu- (ii) Area redesignations under section ant to 40 CFR 51.166 submits a complete 107(d)(1)(A)(ii) or (iii) of the Act cannot application under the relevant regula- intersect or be smaller than the area of tions. The trigger date is: impact of any major stationary source (a) In the case of PM10 and sulfur di- or major modification which: oxide, August 7, 1977; (a) Establishes a minor source base- (b) In the case of nitrogen dioxide, line date; or February 8, 1988; and (b) Is subject to 40 CFR 52.21 or under (c) In the case of PM , October 20, 2.5 regulations approved pursuant to 40 2011. CFR 51.166, and would be constructed in (iii) The baseline date is established the same State as the State proposing for each pollutant for which incre- the redesignation. ments or other equivalent measures have been established if: (iii) Any baseline area established originally for the TSP increments shall (a) The area in which the proposed source or modification would construct remain in effect and shall apply for is designated as attainment or purposes of determining the amount of unclassifiable under section available PM–10 increments, except 107(d)(1)(A)(ii) or (iii) of the Act for the that such baseline area shall not re- pollutant on the date of its complete main in effect if the permit authority application under 40 CFR 52.21 or under rescinds the corresponding minor regulations approved pursuant to 40 source baseline date in accordance with CFR 51.166; and paragraph (b)(14)(iv) of this section. (b) In the case of a major stationary (16) Allowable emissions means the source, the pollutant would be emitted emissions rate of a stationary source in significant amounts, or, in the case calculated using the maximum rated of a major modification, there would be capacity of the source (unless the a significant net emissions increase of source is subject to federally enforce- the pollutant. able limits which restrict the operating (iv) Any minor source baseline date rate, or hours of operation, or both) established originally for the TSP in- and the most stringent of the fol- crements shall remain in effect and lowing: shall apply for purposes of determining (i) The applicable standards as set the amount of available PM–10 incre- forth in 40 CFR parts 60 and 61; ments, except that the reviewing au- (ii) The applicable State Implementa- thority may rescind any such minor tion Plan emissions limitation, includ- source baseline date where it can be ing those with a future compliance shown, to the satisfaction of the re- date; or viewing authority, that the emissions (iii) The emissions rate specified as a increase from the major stationary federally enforceable permit condition. source, or the net emissions increase (17) Federally enforceable means all from the major modification, respon- limitations and conditions which are

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enforceable by the Administrator, in- a significant emissions increase has oc- cluding those requirements developed curred, or for establishing a PAL under pursuant to 40 CFR parts 60 and 61, re- paragraph (w) of this section. Instead, quirements within any applicable State paragraphs (b)(40) and (b)(47) of this implementation plan, any permit re- section shall apply for those purposes. quirements established pursuant to 40 (ii) In general, actual emissions as of CFR 52.21 or under regulations ap- a particular date shall equal the aver- proved pursuant to 40 CFR part 51, sub- age rate, in tons per year, at which the part I, including operating permits unit actually emitted the pollutant issued under an EPA-approved program during a consecutive 24-month period that is incorporated into the State im- which precedes the particular date and plementation plan and expressly re- which is representative of normal quires adherence to any permit issued source operation. The reviewing au- under such program. thority shall allow the use of a dif- (18) Secondary emissions means emis- ferent time period upon a determina- sions which occur as a result of the tion that it is more representative of construction or operation of a major normal source operation. Actual emis- stationary source or major modifica- sions shall be calculated using the tion, but do not come from the major unit’s actual operating hours, produc- stationary source or major modification rates, and types of materials proc- tion itself. For the purposes of this sec- essed, stored, or combusted during the tion, secondary emissions must be spe- selected time period. cific, well defined, quantifiable, and (iii) The reviewing authority may impact the same general areas the sta- presume that source-specific allowable tionary source modification which emissions for the unit are equivalent to causes the secondary emissions. Sec- the actual emissions of the unit. ondary emissions include emissions (iv) For any emissions unit that has from any offsite support facility which not begun normal operations on the would not be constructed or increase particular date, actual emissions shall its emissions except as a result of the equal the potential to emit of the unit construction or operation of the major on that date. stationary source or major modifica- (22) Complete means, in reference to tion. Secondary emissions do not in- an application for a permit, that the clude any emissions which come di- application contains all the informa- rectly from a mobile source, such as tion necessary for processing the appli- emissions from the tailpipe of a motor cation. Designating an application vehicle, from a train, or from a vessel. complete for purposes of permit proc- (19) Innovative control technology essing does not preclude the reviewing means any system of air pollution con- authority from requesting or accepting trol that has not been adequately dem- any additional information. onstrated in practice, but would have a (23)(i) Significant means, in reference substantial likelihood of achieving to a net emissions increase or the po- greater continuous emissions reduction tential of a source to emit any of the than any control system in current following pollutants, a rate of emis- practice or of achieving at least com- sions that would equal or exceed any of parable reductions at lower cost in the following rates: terms of energy, economics, or nonair POLLUTANT AND EMISSIONS RATE quality environmental impacts. Carbon monoxide: 100 tons per year (tpy) (20) Fugitive emissions means those Nitrogen oxides: 40 tpy emissions which could not reasonably Sulfur dioxide: 40 tpy pass through a stack, chimney, vent, or Particulate matter: 25 tpy of particulate other functionally equivalent opening. matter emissions. 15 tpy of PM10 emissions (21)(i) Actual emissions means the ac- PM2.5: 10 tpy of direct PM2.5 emissions; 40 tpy tual rate of emissions of a regulated of sulfur dioxide emissions; 40 tpy of nitro- NSR pollutant from an emissions unit, gen oxide emissions unless demonstrated not to be a PM2.5 precursor under para- as determined in accordance with paragraph (b)(49) of this section graphs (b)(21)(ii) through (iv) of this Ozone: 40 tpy of volatile organic compounds section, except that this definition or nitrogen oxides shall not apply for calculating whether Lead: 0.6 tpy

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Fluorides: 3 tpy ating unit that is constructed for the Sulfuric acid mist: 7 tpy purpose of supplying more than one- Hydrogen sulfide (H2S): 10 tpy third of its potential electric output Total reduced sulfur (including H2S): 10 tpy capacity and more than 25 MW elec- Reduced sulfur compounds (including H2S): 10 tpy trical output to any utility power dis- Municipal waste combustor organics (meas- tribution system for sale. Any steam ured as total tetra-through octa- supplied to a steam distribution sys- chlorinated dibenzo-p-dioxins and tem for the purpose of providing steam dibenzofurans): 3.2 × 10–¥6 megagrams per to a steam-electric generator that year (3.5 × 10¥6 tons per year) would produce electrical energy for Municipal waste combustor metals (meas- sale is also considered in determining ured as particulate matter): 14 megagrams the electrical energy output capacity per year (15 tons per year) Municipal waste combustor acid gases of the affected facility. (measured as sulfur dioxide and hydrogen (31) [Reserved] chloride): 36 megagrams per year (40 tons (32) Replacement unit means an emis- per year) sions unit for which all the criteria Municipal solid waste landfill emissions listed in paragraphs (b)(32)(i) through (measured as nonmethane organic com- (iv) of this section are met. No cred- pounds): 45 megagrams per year (50 tons itable emission reductions shall be gen- per year) erated from shutting down the existing (ii) Significant means, in reference to emissions unit that is replaced. a net emissions increase or the poten- (i) The emissions unit is a recon- tial of a source to emit a regulated structed unit within the meaning of NSR pollutant that paragraph (b)(23)(i) § 60.15(b)(1) of this chapter, or the emis- of this section, does not list, any emissions unit completely takes the place sions rate. of an existing emissions unit. (iii) Notwithstanding paragraph (ii) The emissions unit is identical to (b)(23)(i) of this section, significant or functionally equivalent to the re- means any emissions rate or any net placed emissions unit. emissions increase associated with a (iii) The replacement does not change major stationary source or major the basic design parameter(s) (as dis- modification, which would construct cussed in paragraph (y)(2) of this sec- within 10 kilometers of a Class I area, tion) of the process unit. and have an impact on such area equal (iv) The replaced emissions unit is to or greater than 1 μg/m3 (24-hour av- permanently removed from the major erage). stationary source, otherwise perma- (24) Federal Land Manager means, nently disabled, or permanently barred with respect to any lands in the United from operation by a permit that is en- States, the Secretary of the depart- forceable as a practical matter. If the ment with authority over such lands. replaced emissions unit is brought (25) High terrain means any area hav- back into operation, it shall constitute ing an elevation 900 feet or more above a new emissions unit. the base of the stack of a source. (33) Clean coal technology means any (26) Low terrain means any area other technology, including technologies ap- than high terrain. plied at the precombustion, combus- (27) Indian Reservation means any fed- tion, or post combustion stage, at a erally recognized reservation estab- new or existing facility which will lished by Treaty, Agreement, Execu- achieve significant reductions in air tive Order, or Act of Congress. emissions of sulfur dioxide or oxides of (28) Indian Governing Body means the nitrogen associated with the utiliza- governing body of any tribe, band, or tion of coal in the generation of elec- group of Indians subject to the jurisdic- tricity, or process steam which was not tion of the United States and recog- in widespread use as of November 15, nized by the United States as pos- 1990. sessing power of self-government. (34) Clean coal technology demonstra- (29) Volatile organic compounds (VOC) tion project means a project using funds is as defined in § 51.100(s) of this part. appropriated under the heading ‘‘De- (30) Electric utility steam generating partment of Energy—Clean Coal Tech- unit means any steam electric gener- nology’’, up to a total amount of

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$2,500,000,000 for commercial dem- (i) Has not been in operation for the onstration of clean coal technology, or two-year period prior to the enactment similar projects funded through appro- of the Clean Air Act Amendments of priations for the Environmental Pro- 1990, and the emissions from such unit tection Agency. The Federal contribu- continue to be carried in the permit- tion for a qualifying project shall be at ting authority’s emissions inventory at least 20 percent of the total cost of the the time of enactment; demonstration project. (ii) Was equipped prior to shutdown (35) Temporary clean coal technology with a continuous system of emissions demonstration project means a clean control that achieves a removal effi- coal technology demonstration project ciency for sulfur dioxide of no less than that is operated for a period of 5 years 85 percent and a removal efficiency for or less, and which complies with the particulates of no less than 98 percent; State implementation plan for the (iii) Is equipped with low-NOX burn- State in which the project is located ers prior to the time of commencement and other requirements necessary to of operations following reactivation; attain and maintain the national ambi- and ent air quality standards during and (iv) Is otherwise in compliance with after the project is terminated. the requirements of the Clean Air Act. (36)(i) Repowering means replacement (38) Pollution prevention means any of an existing coal-fired boiler with one activity that through process changes, of the following clean coal tech- product reformulation or redesign, or nologies: atmospheric or pressurized substitution of less polluting raw ma- fluidized bed combustion, integrated terials, eliminates or reduces the re- gasification combined cycle, magneto- lease of air pollutants (including fugi- hydrodynamics, direct and indirect tive emissions) and other pollutants to the environment prior to recycling, coal-fired turbines, integrated gasifi- treatment, or disposal; it does not cation fuel cells, or as determined by mean recycling (other than certain the Administrator, in consultation ‘‘in-process recycling’’ practices), en- with the Secretary of Energy, a deriva- ergy recovery, treatment, or disposal. tive of one or more of these tech- (39) Significant emissions increase nologies, and any other technology ca- means, for a regulated NSR pollutant, pable of controlling multiple combus- an increase in emissions that is signifi- tion emissions simultaneously with im- cant (as defined in paragraph (b)(23) of proved boiler or generation efficiency this section) for that pollutant. and with significantly greater waste (40)(i) Projected actual emissions means reduction relative to the performance the maximum annual rate, in tons per of technology in widespread commer- year, at which an existing emissions cial use as of November 15, 1990. unit is projected to emit a regulated (ii) Repowering shall also include any NSR pollutant in any one of the 5 years oil and/or gas-fired unit which has been (12-month period) following the date awarded clean coal technology dem- the unit resumes regular operation onstration funding as of January 1, after the project, or in any one of the 1991, by the Department of Energy. 10 years following that date, if the (iii) The reviewing authority shall project involves increasing the emis- give expedited consideration to permit sions unit’s design capacity or its po- applications for any source that satis- tential to emit that regulated NSR pol- fies the requirements of this subsection lutant, and full utilization of the unit and is granted an extension under sec- would result in a significant emissions tion 409 of the Clean Air Act. increase, or a significant net emissions (37) Reactivation of a very clean coal- increase at the major stationary fired electric utility steam generating unit source. means any physical change or change (ii) In determining the projected ac- in the method of operation associated tual emissions under paragraph with the commencement of commercial (b)(40)(i) of this section (before begin- operations by a coal-fired utility unit ning actual construction), the owner or after a period of discontinued operation operator of the major stationary where the unit: source:

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(a) Shall consider all relevant infor- flow rate, O2 or CO2 concentrations), mation, including but not limited to, and calculate and record the mass historical operational data, the com- emissions rate (for example, lb/hr) on a pany’s own representations, the com- continuous basis. pany’s expected business activity and (45) Continuous parameter monitoring the company’s highest projections of system (CPMS) means all of the equip- business activity, the company’s filings ment necessary to meet the data acqui- with the State or Federal regulatory sition and availability requirements of authorities, and compliance plans this section, to monitor process and under the approved plan; and control device operational parameters (b) Shall include fugitive emissions (for example, control device secondary to the extent quantifiable, and emis- voltages and electric currents) and sions associated with startups, shut- other information (for example, gas downs, and malfunctions; and flow rate, O2 or CO2 concentrations), (c) Shall exclude, in calculating any and to record average operational pa- increase in emissions that results from rameter value(s) on a continuous basis. the particular project, that portion of (46) Continuous emissions rate moni- the unit’s emissions following the toring system (CERMS) means the total project that an existing unit could equipment required for the determina- have accommodated during the con- tion and recording of the pollutant secutive 24-month period used to estab- mass emissions rate (in terms of mass lish the baseline actual emissions per unit of time). under paragraph (b)(47) of this section (47) Baseline actual emissions means and that are also unrelated to the par- the rate of emissions, in tons per year, ticular project, including any increased of a regulated NSR pollutant, as deter- utilization due to product demand mined in accordance with paragraphs growth; or, (b)(47)(i) through (iv) of this section. (d) In lieu of using the method set (i) For any existing electric utility out in paragraphs (b)(40)(ii)(a) through steam generating unit, baseline actual (c) of this section, may elect to use the emissions means the average rate, in emissions unit’s potential to emit, in tons per year, at which the unit actu- tons per year, as defined under para- ally emitted the pollutant during any graph (b)(4) of this section. consecutive 24-month period selected (41) [Reserved] by the owner or operator within the 5- (42) Prevention of Significant Deteriora- year period immediately preceding tion Program (PSD) program means a when the owner or operator begins ac- major source preconstruction permit tual construction of the project. The program that has been approved by the reviewing authority shall allow the use Administrator and incorporated into of a different time period upon a deter- the plan to implement the require- mination that it is more representative ments of this section, or the program of normal source operation. in § 52.21 of this chapter. Any permit (a) The average rate shall include fu- issued under such a program is a major gitive emissions to the extent quantifi- NSR permit. able, and emissions associated with (43) Continuous emissions monitoring startups, shutdowns, and malfunctions. system (CEMS) means all of the equip- (b) The average rate shall be adjusted ment that may be required to meet the downward to exclude any non-compli- data acquisition and availability re- ant emissions that occurred while the quirements of this section, to sample, source was operating above an emis- condition (if applicable), analyze, and sion limitation that was legally en- provide a record of emissions on a con- forceable during the consecutive 24- tinuous basis. month period. (44) Predictive emissions monitoring sys- (c) For a regulated NSR pollutant, tem (PEMS) means all of the equipment when a project involves multiple emis- necessary to monitor process and con- sions units, only one consecutive 24- trol device operational parameters (for month period must be used to deter- example, control device secondary mine the baseline actual emissions for voltages and electric currents) and the emissions units being changed. A other information (for example, gas different consecutive 24-month period

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can be used For each regulated NSR (d) For a regulated NSR pollutant, pollutant. when a project involves multiple emis- (d) The average rate shall not be sions units, only one consecutive 24- based on any consecutive 24-month pe- month period must be used to deter- riod for which there is inadequate in- mine the baseline actual emissions for formation for determining annual the emissions units being changed. A emissions, in tons per year, and for ad- different consecutive 24-month period justing this amount if required by can be used For each regulated NSR paragraph (b)(47)(i)(b) of this section. pollutant. (ii) For an existing emissions unit (e) The average rate shall not be (other than an electric utility steam based on any consecutive 24-month pe- generating unit), baseline actual emis- riod for which there is inadequate in- sions means the average rate, in tons formation for determining annual per year, at which the emissions unit emissions, in tons per year, and for ad- actually emitted the pollutant during justing this amount if required by any consecutive 24-month period se- paragraphs (b)(47)(ii)(b) and (c) of this lected by the owner or operator within section. the 10-year period immediately pre- (iii) For a new emissions unit, the ceding either the date the owner or op- baseline actual emissions for purposes erator begins actual construction of of determining the emissions increase the project, or the date a complete per- that will result from the initial con- mit application is received by the re- struction and operation of such unit viewing authority for a permit required shall equal zero; and thereafter, for all either under this section or under a other purposes, shall equal the unit’s plan approved by the Administrator, potential to emit. whichever is earlier, except that the 10- (iv) For a PAL for a stationary year period shall not include any pe- source, the baseline actual emissions shall be calculated for existing electric riod earlier than November 15, 1990. utility steam generating units in ac- (a) The average rate shall include fu- cordance with the procedures con- gitive emissions to the extent quantifi- tained in paragraph (b)(47)(i) of this able, and emissions associated with section, for other existing emissions startups, shutdowns, and malfunctions. units in accordance with the proce- (b) The average rate shall be adjusted dures contained in paragraph (b)(47)(ii) downward to exclude any non-compli- of this section, and for a new emissions ant emissions that occurred while the unit in accordance with the procedures source was operating above an emis- contained in paragraph (b)(47)(iii) of sion limitation that was legally en- this section. forceable during the consecutive 24- (48) Subject to regulation means, for month period. any air pollutant, that the pollutant is (c) The average rate shall be adjusted subject to either a provision in the downward to exclude any emissions Clean Air Act, or a nationally-applica- that would have exceeded an emission ble regulation codified by the Adminis- limitation with which the major sta- trator in subchapter C of this chapter, tionary source must currently comply, that requires actual control of the had such major stationary source been quantity of emissions of that pollut- required to comply with such limita- ant, and that such a control require- tions during the consecutive 24-month ment has taken effect and is operative period. However, if an emission limita- to control, limit or restrict the quan- tion is part of a maximum achievable tity of emissions of that pollutant re- control technology standard that the leased from the regulated activity. Ex- Administrator proposed or promul- cept that: gated under part 63 of this chapter, the (i) Greenhouse gases (GHGs), the air baseline actual emissions need only be pollutant defined in § 86.1818–12(a) of adjusted if the State has taken credit this chapter as the aggregate group of for such emissions reductions in an at- six greenhouse gases: Carbon dioxide, tainment demonstration or mainte- nitrous oxide, methane, nance plan consistent with the require- hydrofluorocarbons, perfluorocarbons, ments of § 51.165(a)(3)(ii)(G). and sulfur hexafluoride, shall not be

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subject to regulation except as pro- also will emit or will have the poten- vided in paragraphs (b)(48)(iv) through tial to emit 75,000 tpy CO2e or more; or (v) of this section. (b) The stationary source is an exist- (ii) For purposes of paragraphs ing major stationary source for a regu- (b)(48)(iii) through (v) of this section, lated NSR pollutant that is not GHGs, the term tpy CO2 equivalent emissions and also will have an emissions in- (CO2e) shall represent an amount of crease of a regulated NSR pollutant, GHGs emitted, and shall be computed and an emissions increase of 75,000 tpy as follows: CO2e or more; and, (a) Multiplying the mass amount of (49) Regulated NSR pollutant, for pur- emissions (tpy), for each of the six poses of this section, means the fol- greenhouse gases in the pollutant lowing: GHGs, by the gas’s associated global (i) Any pollutant for which a na- warming potential published at Table tional ambient air quality standard has A–1 to subpart A of part 98 of this chap- been promulgated. This includes, but is ter—Global Warming Potentials. For not limited to, the following: purposes of this paragraph (b)(48)(ii)(a), (a) PM2.5 emissions and PM10 emis- prior to July 21, 2014, the mass of the sions shall include gaseous emissions greenhouse gas carbon dioxide shall from a source or activity which con- not include carbon dioxide emissions dense to form particulate matter at resulting from the combustion or de- ambient temperatures. On or after Jan- composition of non-fossilized and bio- uary 1, 2011, such condensable particu- degradable organic material origi- late matter shall be accounted for in nating from plants, animals, or micro- organisms (including products, by- applicability determinations and in es- products, residues and waste from agri- tablishing emissions limitations for culture, forestry and related industries PM2.5 and PM10 in PSD permits. Com- as well as the non-fossilized and bio- pliance with emissions limitations for degradable organic fractions of indus- PM2.5 and PM10 issued prior to this date trial and municipal wastes, including shall not be based on condensable par- gases and liquids recovered from the ticulate matter unless required by the decomposition of non-fossilized and terms and conditions of the permit or biodegradable organic material). the applicable implementation plan. (b) Sum the resultant value from Applicability determinations made paragraph (b)(48)(ii)(a) of this section prior to this date without accounting for each gas to compute a tpy CO e. for condensable particulate matter 2 shall not be considered in violation of (iii) The term emissions increase as used in paragraphs (b)(48)(iv) through this section unless the applicable im- (v) of this section shall mean that both plementation plan required conden- a significant emissions increase (as cal- sable particulate matter to be in- culated using the procedures in cluded; (a)(7)(iv) of this section) and a signifi- (b) Any pollutant identified under cant net emissions increase (as defined this paragraph (b)(49)(i)(b) as a con- in paragraphs (b)(3) and (b)(23) of this stituent or precursor to a pollutant for section) occur. For the pollutant which a national ambient air quality GHGs, an emissions increase shall be standard has been promulgated. Pre- cursors identified by the Administrator based on tpy CO2e, and shall be calculated assuming the pollutant GHGs for purposes of NSR are the following: is a regulated NSR pollutant, and (1) Volatile organic compounds and ‘‘significant’’ is defined as 75,000 tpy nitrogen oxides are precursors to ozone CO2e instead of applying the value in in all attainment and unclassifiable paragraph (b)(23)(ii) of this section. areas. (iv) Beginning January 2, 2011, the (2) Sulfur dioxide is a precursor to pollutant GHGs is subject to regulation PM2.5 in all attainment and if: unclassifiable areas. (a) The stationary source is a new (3) Nitrogen oxides are presumed to major stationary source for a regulated be precursors to PM2.5 in all attain- NSR pollutant that is not GHGs, and ment and unclassifiable areas, unless

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the State demonstrates to the Admin- rial inputs to produce or store an inter- istrator’s satisfaction or EPA dem- mediate or a completed product. A sin- onstrates that emissions of nitrogen gle stationary source may contain oxides from sources in a specific area more than one process unit, and a proc- are not a significant contributor to ess unit may contain more than one that area’s ambient PM2.5 concentra- emissions unit. tions. (ii) Pollution control equipment is (4) Volatile organic compounds are not part of the process unit, unless it presumed not to be precursors to PM2.5 serves a dual function as both process in any attainment or unclassifiable and control equipment. Administrative area, unless the State demonstrates to and warehousing facilities are not part the Administrator’s satisfaction or of the process unit. EPA demonstrates that emissions of (iii) For replacement cost purposes, volatile organic compounds from components shared between two or sources in a specific area are a signifi- more process units are proportionately cant contributor to that area’s ambi- allocated based on capacity. ent PM2.5 concentrations. (iv) The following list identifies the (ii) Any pollutant that is subject to process units at specific categories of any standard promulgated under sec- stationary sources. tion 111 of the Act; (a) For a steam electric generating (iii) Any Class I or II substance sub- facility, the process unit consists of ject to a standard promulgated under those portions of the plant that con- or established by title VI of the Act; tribute directly to the production of (iv) Any pollutant that otherwise is electricity. For example, at a pulver- subject to regulation under the Act as ized coal-fired facility, the process unit defined in paragraph (b)(48) of this sec- would generally be the combination of tion. those systems from the coal receiving (v) Notwithstanding paragraphs equipment through the emission stack (b)(49)(i) through (iv) of this section, (excluding post-combustion pollution the term regulated NSR pollutant shall controls), including the coal handling not include any or all hazardous air equipment, pulverizers or coal pollutants either listed in section 112 of crushers, feedwater heaters, ash han- the Act, or added to the list pursuant dling, boiler, burners, turbine-gener- to section 112(b)(2) of the Act, and ator set, condenser, cooling tower, which have not been delisted pursuant water treatment system, air to section 112(b)(3) of the Act, unless preheaters, and operating control sys- the listed hazardous air pollutant is tems. Each separate generating unit is also regulated as a constituent or pre- a separate process unit. cursor of a general pollutant listed (b) For a petroleum refinery, there under section 108 of the Act. are several categories of process units: (50) Reviewing authority means the those that separate and/or distill petro- State air pollution control agency, leum feedstocks; those that change mo- local agency, other State agency, In- lecular structures; petroleum treating dian tribe, or other agency authorized processes; auxiliary facilities, such as by the Administrator to carry out a steam generators and hydrogen produc- permit program under § 51.165 and this tion units; and those that load, unload, section, or the Administrator in the blend or store intermediate or com- case of EPA-implemented permit pro- pleted products. grams under § 52.21 of this chapter. (c) For an incinerator, the process (51) Project means a physical change unit would consist of components from in, or change in method of operation of, the feed pit or refuse pit to the stack, an existing major stationary source. including conveyors, combustion de- (52) Lowest achievable emission rate vices, heat exchangers and steam gen- (LAER) is as defined in erators, quench tanks, and fans. § 51.165(a)(1)(xiii). NOTE TO PARAGRAPH (b)(53): By a court (53)(i) In general, process unit means order on December 24, 2003, this paragraph any collection of structures and/or (b)(53) is stayed indefinitely. The stayed pro- equipment that processes, assembles, visions will become effective immediately if applies, blends, or otherwise uses mate- the court terminates the stay. At that time,

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EPA will publish a document in the FEDERAL (56) Total capital investment means the REGISTER advising the public of the termi- sum of the following: all costs required nation of the stay. to purchase needed process equipment (54) Functionally equivalent component (purchased equipment costs); the costs means a component that serves the of labor and materials for installing same purpose as the replaced compo- that equipment (direct installation nent. costs); the costs of site preparation and NOTE TO PARAGRAPH (b)(54): By a court buildings; other costs such as engineer- order on December 24, 2003, this paragraph ing, construction and field expenses, (b)(54) is stayed indefinitely. The stayed pro- fees to contractors, startup and per- visions will become effective immediately if formance tests, and contingencies (in- the court terminates the stay. At that time, direct installation costs); land for the EPA will publish a document in the FEDERAL process equipment; and working cap- REGISTER advising the public of the termination of the stay. ital for the process equipment. (55) Fixed capital cost means the cap- NOTE TO PARAGRAPH (b)(56): By a court ital needed to provide all the depre- order on December 24, 2003, this paragraph ciable components. ‘‘Depreciable com- (b)(56) is stayed indefinitely. The stayed provisions will become effective immediately if ponents’’ refers to all components of the court terminates the stay. At that time, fixed capital cost and is calculated by EPA will publish a document in the FEDERAL subtracting land and working capital REGISTER advising the public of the termi- from the total capital investment, as nation of the stay. defined in paragraph (b)(56) of this section. (c) Ambient air increments and other measures. (1) The plan shall contain NOTE TO PARAGRAPH (b)(55): By a court emission limitations and such other order on December 24, 2003, this paragraph measures as may be necessary to as- (b)(55) is stayed indefinitely. The stayed pro- sure that in areas designated as Class I, visions will become effective immediately if the court terminates the stay. At that time, II, or III, increases in pollutant con- EPA will publish a document in the FEDERAL centrations over the baseline con- REGISTER advising the public of the termi- centration shall be limited to the fol- nation of the stay. lowing:

Maximum allowable increase Pollutant (micrograms per cubic meter)

Class I Area

PM2.5: Annual arithmetic mean ...... 1 24-hr maximum ...... 2 PM10: Annual arithmetic mean ...... 4 24-hr maximum ...... 8 Sulfur dioxide: Annual arithmetic mean ...... 2 24-hr maximum ...... 5 3-hr maximum ...... 25 Nitrogen dioxide: Annual arithmetic mean ...... 2.5

Class II Area

PM2.5: Annual arithmetic mean ...... 4 24-hr maximum ...... 9 PM10: Annual arithmetic mean ...... 17 24-hr maximum ...... 30 Sulfur dioxide: Annual arithmetic mean ...... 20 24-hr maximum ...... 91 3-hr maximum ...... 512 Nitrogen dioxide:

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Maximum allowable increase Pollutant (micrograms per cubic meter)

Annual arithmetic mean ...... 25

Class III Area

PM2.5: Annual arithmetic mean ...... 8 24-hr maximum ...... 18 PM10: Annual arithmetic mean ...... 34 24-hr maximum ...... 60 Sulfur dioxide: Annual arithmetic mean ...... 40 24-hr maximum ...... 182 3-hr maximum ...... 700 Nitrogen dioxide: Annual arithmetic mean ...... 50

For any period other than an annual shall be Class I areas and may not be period, the applicable maximum allow- redesignated: able increase may be exceeded during (i) International parks, one such period per year at any one lo- (ii) National wilderness areas which cation. exceed 5,000 acres in size, (2) Where the State can demonstrate (iii) National memorial parks which that it has alternative measures in its exceed 5,000 acres in size, and plan other than maximum allowable (iv) National parks which exceed 6,000 increases as defined under paragraph acres in size. (c)(1) of this section, that satisfy the (2) Areas which were redesignated as requirements in sections 166(c) and Class I under regulations promulgated 166(d) of the Clean Air Act for a regu- before August 7, 1977, shall remain lated NSR pollutant for which the Ad- Class I, but may be redesignated as ministrator has established maximum provided in this section. allowable increases pursuant to section (3) Any other area, unless otherwise 166(a) of the Act, the requirements for specified in the legislation creating maximum allowable increases for that such an area, is initially designated pollutant under paragraph (c)(1) of this Class II, but may be redesignated as section shall not apply upon approval provided in this section. of the plan by the Administrator. The (4) The following areas may be redes- following regulated NSR pollutants are ignated only as Class I or II: eligible for such treatment: (i) An area which as of August 7, 1977, (i) Nitrogen dioxide. exceeded 10,000 acres in size and was a (ii) PM2.5. national monument, a national primi- (d) Ambient air ceilings. The plan shall tive area, a national preserve, a na- provide that no concentration of a pol- tional recreational area, a national lutant shall exceed: wild and scenic river, a national wild- (1) The concentration permitted life refuge, a national lakeshore or sea- under the national secondary ambient shore; and air quality standard, or (ii) A national park or national wil- (2) The concentration permitted derness area established after August 7, under the national primary ambient 1977, which exceeds 10,000 acres in size. air quality standard, whichever con- (f) Exclusions from increment consump- centration is lowest for the pollutant tion. (1) The plan may provide that the for a period of exposure. following concentrations shall be ex- (e) Restrictions on area classifications. cluded in determining compliance with The plan shall provide that— a maximum allowable increase: (1) All of the following areas which (i) Concentrations attributable to the were in existence on August 7, 1977, increase in emissions from stationary

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sources which have converted from the gen oxides would occur. Such time is use of petroleum products, natural gas, not to exceed 2 years in duration unless or both by reason of an order in effect a longer time is approved by the Ad- under section 2 (a) and (b) of the En- ministrator. ergy Supply and Environmental Co- (ii) Specifies that the time period for ordination Act of 1974 (or any super- excluding certain contributions in ac- seding legislation) over the emissions cordance with paragraph (f)(4)(i) of this from such sources before the effective section, is not renewable; date of such an order; (iii) Allows no emissions increase (ii) Concentrations attributable to from a stationary source which would: the increase in emissions from sources (a) Impact a Class I area or an area which have converted from using nat- where an applicable increment is ural gas by reason of natural gas cur- known to be violated; or tailment plan in effect pursuant to the (b) Cause or contribute to the viola- Federal Power Act over the emissions tion of a national ambient air quality from such sources before the effective standard; date of such plan; (iii) Concentrations of particulate (iv) Requires limitations to be in ef- matter attributable to the increase in fect the end of the time period speci- emissions from construction or other fied in accordance with paragraph temporary emission-related activities (f)(4)(i) of this section, which would en- of new or modified sources; sure that the emissions levels from sta- (iv) The increase in concentrations tionary sources affected by the plan re- attributable to new sources outside the vision would not exceed those levels United States over the concentrations occurring from such sources before the attributable to existing sources which plan revision was approved. are included in the baseline concentra- (g) Redesignation. (1) The plan shall tion; and provide that all areas of the State (ex- (v) Concentrations attributable to cept as otherwise provided under para- the temporary increase in emissions of graph (e) of this section) shall be des- sulfur dioxide, particulate matter, or ignated either Class I, Class II, or Class nitrogen oxides from stationary III. Any designation other than Class II sources which are affected by plan revi- shall be subject to the redesignation sions approved by the Administrator as procedures of this paragraph. Redesig- meeting the criteria specified in para- nation (except as otherwise precluded graph (f)(4) of this section. by paragraph (e) of this section) may (2) If the plan provides that the con- be proposed by the respective States or centrations to which paragraph (f)(1) (i) Indian Governing Bodies, as provided or (ii) of this section, refers shall be ex- below, subject to approval by the Ad- cluded, it shall also provide that no ex- ministrator as a revision to the appli- clusion of such concentrations shall cable State implementation plan. apply more than five years after the ef- (2) The plan may provide that the fective date of the order to which para- State may submit to the Adminis- graph (f)(1)(i) of this section, refers or trator a proposal to redesignate areas the plan to which paragraph (f)(1)(ii) of of the State Class I or Class II: Pro- this section, refers, whichever is appli- vided, That: cable. If both such order and plan are (i) At least one public hearing has applicable, no such exclusion shall been held in accordance with proce- apply more than five years after the dures established in § 51.102. later of such effective dates. (ii) Other States, Indian Governing (3) [Reserved] Bodies, and Federal Land Managers (4) For purposes of excluding con- whose lands may be affected by the centrations pursuant to paragraph proposed redesignation were notified at (f)(1)(v) of this section, the Adminis- least 30 days prior to the public hear- trator may approve a plan revision ing; that: (iii) A discussion of the reasons for (i) Specifies the time over which the the proposed redesignation, including a temporary emissions increase of sulfur satisfactory description and analysis of dioxide, particulate matter, or nitro- the health, environmental, economic,

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social, and energy effects of the pro- tion of any air pollutant which would posed redesignation, was prepared and exceed any maximum allowable in- made available for public inspection at crease permitted under the classifica- least 30 days prior to the hearing and tion of any other area or any national the notice announcing the hearing con- ambient air quality standard; and tained appropriate notification of the (iv) Any permit application for any availability of such discussion; major stationary source or major (iv) Prior to the issuance of notice re- modification subject to provisions es- specting the redesignation of an area tablished in accordance with paragraph that includes any Federal lands, the (l) of this section which could receive a State has provided written notice to permit only if the area in question the appropriate Federal Land Manager were redesignated as Class III, and any and afforded adequate opportunity (not material submitted as part of that ap- in excess of 60 days) to confer with the plication, were available, insofar as State respecting the redesignation and was practicable, for public inspection to submit written comments and rec- prior to any public hearing on redesig- ommendations. In redesignating any nation of any area as Class III. area with respect to which any Federal (4) The plan shall provide that lands Land Manager had submitted written within the exterior boundaries of In- comments and recommendations, the dian Reservations may be redesignated State shall have published a list of any only by the appropriate Indian Gov- inconsistency between such redesigna- erning Body. The appropriate Indian tion and such comments and rec- Governing Body may submit to the Ad- ommendations (together with the rea- ministrator a proposal to redesignate sons for making such redesignation areas Class I, Class II, or Class III: Pro- against the recommendation of the vided, That: Federal Land Manager); and (i) The Indian Governing Body has (v) The State has proposed the redes- followed procedures equivalent to ignation after consultation with the those required of a State under para- elected leadership of local and other substate general purpose governments graphs (g) (2), (3)(iii), and (3)(iv) of this in the area covered by the proposed re- section; and designation. (ii) Such redesignation is proposed (3) The plan may provide that any after consultation with the State(s) in area other than an area to which para- which the Indian Reservation is lo- graph (e) of this section refers may be cated and which border the Indian Res- redesignated as Class III if— ervation. (i) The redesignation would meet the (5) The Administrator shall dis- requirements of provisions established approve, within 90 days of submission, in accordance with paragraph (g)(2) of a proposed redesignation of any area this section; only if he finds, after notice and oppor- (ii) The redesignation, except any es- tunity for public hearing, that such re- tablished by an Indian Governing Body, designation does not meet the proce- has been specifically approved by the dural requirements of this section or is Governor of the State, after consulta- inconsistent with paragraph (e) of this tion with the appropriate committees section. If any such disapproval occurs, of the legislature, if it is in session, or the classification of the area shall be with the leadership of the legislature, that which was in effect prior to the re- if it is not in session (unless State law designation which was disapproved. provides that such redesignation must (6) If the Administrator disapproves be specifically approved by State legis- any proposed area designation, the lation) and if general purpose units of State or Indian Governing Body, as ap- local government representing a ma- propriate, may resubmit the proposal jority of the residents of the area to be after correcting the deficiencies noted redesignated enact legislation (includ- by the Administrator. ing resolutions where appropriate) con- (h) Stack heights. The plan shall pro- curring in the redesignation; vide, as a minimum, that the degree of (iii) The redesignation would not emission limitation required for con- cause, or contribute to, a concentra- trol of any air pollutant under the plan

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shall not be affected in any manner (u) Fossil-fuel boilers (or combina- by— tion thereof) totaling more than 250 (1) So much of a stack height, not in million British thermal units per hour existence before December 31, 1970, as heat input; exceeds good engineering practice, or (v) Petroleum storage and transfer (2) Any other dispersion technique units with a total storage capacity ex- not implemented before then. ceeding 300,000 barrels; (i) Exemptions. (1) The plan may pro- (w) Taconite ore processing plants; vide that requirements equivalent to (x) Glass fiber processing plants; those contained in paragraphs (j) (y) Charcoal production plants; through (r) of this section do not apply (z) Fossil fuel-fired steam electric to a particular major stationary source plants of more than 250 million British or major modification if: thermal units per hour heat input; (i) The major stationary source (aa) Any other stationary source cat- would be a nonprofit health or non- egory which, as of August 7, 1980, is profit educational institution or a being regulated under section 111 or 112 major modification that would occur at of the Act; or such an institution; or (iii) The source or modification is a (ii) The source or modification would portable stationary source which has be a major stationary source or major previously received a permit under re- modification only if fugitive emissions, quirements equivalent to those con- to the extent quantifiable, are consid- tained in paragraphs (j) through (r) of ered in calculating the potential to this section, if: emit of the stationary source or modi- (a) The source proposes to relocate fication and such source does not be- and emissions of the source at the new long to any of the following categories: location would be temporary; and (a) Coal cleaning plants (with ther- (b) The emissions from the source mal dryers); would not exceed its allowable emis- (b) Kraft pulp mills; sions; and (c) Portland cement plants; (c) The emissions from the source ( ) Primary zinc smelters; d would impact no Class I area and no (e) Iron and steel mills; area where an applicable increment is (f) Primary aluminum ore reduction known to be violated; and plants; (d) Reasonable notice is given to the (g) Primary copper smelters; reviewing authority prior to the relo- (h) Municipal incinerators capable of cation identifying the proposed new lo- charging more than 250 tons of refuse cation and the probable duration of op- per day; eration at the new location. Such no- (i) Hydrofluoric, sulfuric, or nitric tice shall be given to the reviewing au- acid plants; thority not less than 10 days in ad- (j) Petroleum refineries; vance of the proposed relocation unless (k) Lime plants; a different time duration is previously (l) Phosphate rock processing plants; approved by the reviewing authority. (m) Coke oven batteries; (2) The plan may provide that re- (n) Sulfur recovery plants; quirements equivalent to those con- (o) Carbon black plants (furnace tained in paragraphs (j) through (r) of process); this section do not apply to a major (p) Primary lead smelters; stationary source or major modifica- (q) Fuel conversion plants; tion with respect to a particular pol- (r) Sintering plants; lutant if the owner or operator dem- (s) Secondary metal production onstrates that, as to that pollutant, plants; the source or modification is located in (t) Chemical process plants—The an area designated as nonattainment term chemical processing plant shall under section 107 of the Act. Non- not include ethanol production facili- attainment designations for revoked ties that produce ethanol by natural NAAQS, as contained in part 81 of this fermentation included in NAICS codes chapter, shall not be viewed as current 325193 or 312140; designations under section 107 of the

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Act for purposes of determining the ap- (f) Ozone; 1 plicability of requirements equivalent (g) Lead—0.1 μg/m3, 3-month average. to those contained in paragraphs (j) (h) Fluorides—0.25 μg/m3, 24-hour av- through (r) of this section to a major erage; stationary source or major modifica- (i) Total reduced sulfur—10 μg/m3, 1- tion after the revocation of that hour average NAAQS is effective. (j) Hydrogen sulfide—0.2 μg/m3, 1-hour (3) The plan may provide that re- average; quirements equivalent to those con- (k) Reduced sulfur compounds—10 μg/ tained in paragraphs (k), (m), and (o) of m3, 1-hour average; or this section do not apply to a proposed (ii) The concentrations of the pollut- major stationary source or major ant in the area that the source or modification with respect to a par- modification would affect are less than ticular pollutant, if the allowable the concentrations listed in paragraph emissions of that pollutant from a new (i)(5)(i) of this section; or source, or the net emissions increase of (iii) The pollutant is not listed in that pollutant from a modification, paragraph (i)(5)(i) of this section. would be temporary and impact no (6) If EPA approves a plan revision Class I area and no area where an ap- under 40 CFR 51.166 as in effect before plicable increment is known to be vio- August 7, 1980, any subsequent revision lated. which meets the requirements of this (4) The plan may provide that re- section may contain transition provi- quirements equivalent to those con- sions which parallel the transition pro- tained in paragraphs (k), (m), and (o) of visions of 40 CFR 52.21(i)(9), (i)(10) and this section as they relate to any max- (m)(1)(v) as in effect on that date, imum allowable increase for a Class II which provisions relate to require- area do not apply to a modification of ments for best available control tech- a major stationary source that was in nology and air quality analyses. Any existence on March 1, 1978, if the net such subsequent revision may not con- increase in allowable emissions of each tain any transition provision which in a regulated NSR pollutant from the the context of the revision would oper- modification after the application of ate any less stringently than would its best available control technology counterpart in 40 CFR 52.21. would be less than 50 tons per year. (7) If EPA approves a plan revision (5) The plan may provide that the re- under § 51.166 as in effect [before July viewing authority may exempt a pro- 31, 1987], any subsequent revision which posed major stationary source or major meets the requirements of this section modification from the requirements of may contain transition provisions paragraph (m) of this section, with re- which parallel the transition provi- spect to monitoring for a particular sions of § 52.21 (i)(11), and (m)(1) (vii) pollutant, if: and (viii) of this chapter as in effect on (i) The emissions increase of the pol- that date, these provisions being re- lutant from a new stationary source or lated to monitoring requirements for the net emissions increase of the pol- particulate matter. Any such subse- lutant from a modification would quent revision may not contain any cause, in any area, air quality impacts transition provision which in the con- less than the following amounts: text of the revision would operate any (a) Carbon monoxide—575 ug/m3, 8- less stringently than would its coun- hour average; terpart in § 52.21 of this chapter. (b) Nitrogen dioxide—14 ug/m3, an- (8) The plan may provide that the nual average; permitting requirements equivalent to 3 (c) PM2.5—0 μg/m ; those contained in paragraph (k)(1)(ii) NOTE TO PARAGRAPH (i)(5)(i)(c): In accordance with Sierra Club v. EPA, 706 F.3d 428 1 No de minimis air quality level is provided (D.C. Cir. 2013), no exemption is available for ozone. However, any net emissions in- with regard to PM2.5. crease of 100 tons per year or more of volatile organic compounds or nitrogen oxides sub- 3 (d) PM10–10 μg/m , 24-hour average; ject to PSD would be required to perform an (e) Sulfur dioxide—13 ug/m3, 24-hour ambient impact analysis, including the gath- average; ering of air quality data.

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of this section do not apply to a stain paragraph (k)(1) of this section shall tionary source or modification with re- apply with respect to the national am- spect to any maximum allowable in- bient air quality standards for PM2.5 in crease for nitrogen oxides if the owner effect at the time of first publication of or operator of the source or modifica- a public notice on the preliminary de- tion submitted an application for a per- termination. mit under the applicable permit pro- (11) The plan may provide that the gram approved or promulgated under requirements of paragraph (k)(1) of this the Act before the provisions embody- section shall not apply to a permit ap- ing the maximum allowable increase plication for a stationary source or took effect as part of the plan and the modification with respect to the re- permitting authority subsequently de- vised national ambient air quality termined that the application as sub- standards for ozone published on Octo- mitted before that date was complete. ber 26, 2015 if: (9) The plan may provide that the (i) The reviewing authority has de- permitting requirements equivalent to termined the permit application sub- those contained in paragraph (k)(1)(ii) ject to this section to be complete on of this section shall not apply to a sta- or before October 1, 2015. Instead, the tionary source or modification with re- requirements in paragraph (k)(1) of this spect to any maximum allowable in- section shall apply with respect to the crease for PM–10 if (i) the owner or op- national ambient air quality standards erator of the source or modification for ozone in effect at the time the resubmitted an application for a permit viewing authority determined the per- under the applicable permit program mit application to be complete; or approved under the Act before the pro- (ii) The reviewing authority has first visions embodying the maximum al- published before December 28, 2015 a lowable increases for PM–10 took effect public notice of a preliminary deter- as part of the plan, and (ii) the permit- mination or draft permit for the permit ting authority subsequently deter- application subject to this section. In- mined that the application as sub- stead, the requirements in paragraph mitted before that date was complete. (k)(1) of this section shall apply with Instead, the applicable requirements respect to the national ambient air equivalent to paragraph (k)(1)(ii) shall quality standards for ozone in effect at apply with respect to the maximum al- the time of first publication of a public lowable increases for TSP as in effect notice of the preliminary determina- on the date the application was sub- tion or draft permit. mitted. (j) Control technology review. The plan (10) The plan may provide that the shall provide that: requirements of paragraph (k)(1) of this (1) A major stationary source or section shall not apply to a stationary major modification shall meet each ap- source or modification with respect to plicable emissions limitation under the the national ambient air quality stand- State Implementation Plan and each ards for PM2.5 in effect on March 18, applicable emission standards and 2013 if: standard of performance under 40 CFR (i) The reviewing authority has de- parts 60 and 61. termined a permit application subject (2) A new major stationary source to this section to be complete on or be- shall apply best available control tech- fore December 14, 2012. Instead, the re- nology for each a regulated NSR pol- quirements in paragraph (k)(1) of this lutant that it would have the potential section shall apply with respect to the to emit in significant amounts. national ambient air quality standards (3) A major modification shall apply for PM2.5 in effect at the time the re- best available control technology for viewing authority determined the per- each a regulated NSR pollutant for mit application to be complete; or which it would be a significant net (ii) The reviewing authority has first emissions increase at the source. This published before March 18, 2013 a public requirement applies to each proposed notice of a preliminary determination emissions unit at which a net emis- for the permit application subject to sions increase in the pollutant would this section. Instead, the requirements occur as a result of a physical change

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or change in the method of operation (m) Air quality analysis—(1) in the unit. Preapplication analysis. (i) The plan (4) For phased construction projects, shall provide that any application for a the determination of best available permit under regulations approved pur- control technology shall be reviewed suant to this section shall contain an and modified as appropriate at the analysis of ambient air quality in the least reasonable time which occurs no area that the major stationary source later than 18 months prior to com- or major modification would affect for mencement of construction of each each of the following pollutants: independent phase of the project. At (a) For the source, each pollutant such time, the owner or operator of the that it would have the potential to applicable stationary source may be re- emit in a significant amount; quired to demonstrate the adequacy of (b) For the modification, each pollut- any previous determination of best ant for which it would result in a sig- available control technology for the nificant net emissions increase. source. (ii) The plan shall provide that, with (k) Source impact analysis—(1) Re- respect to any such pollutant for which quired demonstration. The plan shall no National Ambient Air Quality provide that the owner or operator of Standard exists, the analysis shall con- the proposed source or modification tain such air quality monitoring data shall demonstrate that allowable emis- as the reviewing authority determines sion increases from the proposed source is necessary to assess ambient air qual- or modification, in conjunction with ity for that pollutant in any area that all other applicable emissions increases the emissions of that pollutant would or reduction (including secondary affect. emissions), would not cause or contribute to air pollution in violation of: (iii) The plan shall provide that with (i) Any national ambient air quality respect to any such pollutant (other standard in any air quality control re- than nonmethane hydrocarbons) for gion; or which such a standard does exist, the (ii) Any applicable maximum allow- analysis shall contain continuous air able increase over the baseline con- quality monitoring data gathered for centration in any area. purposes of determining whether emis- (2) [Reserved] sions of that pollutant would cause or (l) Air quality models. The plan shall contribute to a violation of the stand- provide for procedures which specify ard or any maxiumum allowable in- that— crease. (1) All applications of air quality (iv) The plan shall provide that, in modeling involved in this subpart shall general, the continuous air monitoring be based on the applicable models, data data that is required shall have been bases, and other requirements specified gathered over a period of one year and in appendix W of this part (Guideline shall represent the year preceding re- on Air Quality Models). ceipt of the application, except that, if (2) Where an air quality model speci- the reviewing authority determines fied in appendix W of this part (Guide- that a complete and adequate analysis line on Air Quality Models) is inappro- can be accomplished with monitoring priate, the model may be modified or data gathered over a period shorter another model substituted. Such a than one year (but not to be less than modification or substitution of a model four months), the data that is required may be made on a case-by-case basis shall have been gathered over at least or, where appropriate, on a generic that shorter period. basis for a specific State program. (v) The plan may provide that the Written approval of the Administrator owner or operator of a proposed major must be obtained for any modification stationary source or major modifica- or substitution. In addition, use of a tion of volatile organic compounds who modified or substituted model must be satisfies all conditions of 40 CFR part subject to notice and opportunity for 51 appendix S, section IV may provide public comment under procedures set postapproval monitoring data for ozone forth in § 51.102. in lieu of providing preconstruction

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data as required under paragraph (m)(1) and other growth which has occurred of this section. since August 7, 1977, in the area the (2) Post-construction monitoring. The source or modification would affect. plan shall provide that the owner or (o) Additional impact analyses. The operator of a major stationary source plan shall provide that— or major modification shall, after con- (1) The owner or operator shall pro- struction of the stationary source or vide an analysis of the impairment to modification, conduct such ambient visibility, soils, and vegetation that monitoring as the reviewing authority would occur as a result of the source or determines is necessary to determine modification and general commercial, the effect emissions from the sta- residential, industrial, and other tionary source or modification may growth associated with the source or have, or are having, on air quality in modification. The owner or operator any area. need not provide an analysis of the im- (3) Operation of monitoring stations. pact on vegetation having no signifi- The plan shall provide that the owner cant commercial or recreational value. or operator of a major stationary (2) The owner or operator shall pro- source or major modification shall vide an analysis of the air quality im- meet the requirements of appendix B to pact projected for the area as a result part 58 of this chapter during the oper- of general commercial, residential, in- ation of monitoring stations for pur- dustrial, and other growth associated poses of satisfying paragraph (m) of with the source or modification. this section. (p) Sources impacting Federal Class I (n) Source information. (1) The plan areas—additional requirements—(1) No- shall provide that the owner or oper- tice to EPA. The plan shall provide that ator of a proposed source or modifica- the reviewing authority shall transmit tion shall submit all information nec- to the Administrator a copy of each essary to perform any analysis or make permit application relating to a major any determination required under pro- stationary source or major modifica- cedures established in accordance with tion and provide notice to the Adminis- this section. trator of every action related to the (2) The plan may provide that such consideration of such permit. information shall include: (2) Federal Land Manager. The Fed- (i) A description of the nature, loca- eral Land Manager and the Federal of- tion, design capacity, and typical oper- ficial charged with direct responsi- ating schedule of the source or modi- bility for management of Class I lands fication, including specifications and have an affirmative responsibility to drawings showing its design and plant protect the air quality related values layout; (including visibility) of any such lands (ii) A detailed schedule for construc- and to consider, in consultation with tion of the source or modification; the Administrator, whether a proposed (iii) A detailed description as to what source or modification would have an system of continuous emission reduc- adverse impact on such values. tion is planned by the source or modi- (3) Denial—impact on air quality re- fication, emission estimates, and any lated values. The plan shall provide a other information as necessary to de- mechanism whereby a Federal Land termine that best available control Manager of any such lands may present technology as applicable would be ap- to the State, after the reviewing plied; authority’s preliminary determination (3) The plan shall provide that upon required under procedures developed in request of the State, the owner or oper- accordance with paragraph (r) of this ator shall also provide information on: section, a demonstration that the (i) The air quality impact of the emissions from the proposed source or source or modification, including mete- modification would have an adverse orological and topographical data nec- impact on the air quality-related val- essary to estimate such impact; and ues (including visibility) of any Fed- (ii) The air quality impacts and the eral mandatory Class I lands, notwith- nature and extent of any or all general standing that the change in air quality commercial, residential, industrial, resulting from emissions from such

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source or modification would not cause such source or modification would or contribute to concentrations which cause or contribute to concentrations would exceed the maximum allowable which would exceed the maximum al- increases for a Class I area. If the State lowable increases for a Class I area. If concurs with such demonstration, the the Federal land manager concurs with reviewing authority shall not issue the such demonstration and so certifies to permit. the State, the reviewing authority (4) Class I Variances. The plan may may: Provided, That applicable require- provide that the owner or operator of a ments are otherwise met, issue the per- proposed source or modification may mit with such emission limitations as demonstrate to the Federal Land Man- may be necessary to assure that emis- ager that the emissions from such source would have no adverse impact sions of sulfur dioxide, PM2.5, PM10, and on the air quality related values of nitrogen oxides would not exceed the such lands (including visibility), not- following maximum allowable in- withstanding that the change in air creases over minor source baseline con- quality resulting from emissions from centration for such pollutants:

Maximum allowable increase Pollutant (micrograms per cubic meter)

(5) Sulfur dioxide variance by Governor hearing, a variance from such max- with Federal Land Manager’s concur- imum allowable increase; and rence. The plan may provide that— (iii) If such variance is granted, the (i) The owner or operator of a pro- reviewing authority may issue a per- posed source or modification which mit to such source or modification in cannot be approved under procedures accordance with provisions developed developed pursuant to paragraph (q)(4) pursuant to paragraph (q)(7) of this sec- of this section may demonstrate to the tion: Provided, That the applicable re- Governor that the source or modifica- quirements of the plan are otherwise met. tion cannot be constructed by reason of (6) Variance by the Governor with the any maximum allowable increase for President’s concurrence. The plan may sulfur dioxide for periods of twenty- provide that— four hours or less applicable to any (i) The recommendations of the Gov- Class I area and, in the case of Federal ernor and the Federal Land Manager mandatory Class I areas, that a vari- shall be transferred to the President in ance under this clause would not ad- any case where the Governor rec- versely affect the air quality related ommends a variance in which the Fed- values of the area (including visi- eral Land Manager does not concur; bility); (ii) The President may approve the (ii) The Governor, after consideration Governor’s recommendation if he finds of the Federal Land Manager’s rec- that such variance is in the national ommendation (if any) and subject to interest; and his concurrence, may grant, after no- (iii) If such a variance is approved, tice and an opportunity for a public the reviewing authority may issue a

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permit in accordance with provisions (ii) Make available in at least one lo- developed pursuant to the require- cation in each region in which the pro- ments of paragraph (q)(7) of this sec- posed source would be constructed, a tion: Provided, That the applicable re- copy of all materials the applicant sub- quirements of the plan are otherwise mitted, a copy of the preliminary de- met. termination, and a copy or summary of (7) Emission limitations for Presidential other materials, if any, considered in or gubernatorial variance. The plan shall making the preliminary determina- provide that in the case of a permit tion. This requirement may be met by issued under procedures developed pur- making these materials available at a suant to paragraph (q) (5) or (6) of this physical location or on a public Web section, the source or modification site identified by the reviewing author- shall comply with emission limitations ity. as may be necessary to assure that (iii) Notify the public, by advertise- emissions of sulfur dioxide from the ment in a newspaper of general circula- source or modification would not (dur- tion in each region in which the pro- ing any day on which the otherwise ap- posed source would be constructed, of plicable maximum allowable increases the application, the preliminary deter- are exceeded) cause or contribute to mination, the degree of increment con- concentrations which would exceed the sumption that is expected from the following maximum allowable in- source or modification, and of the op- creases over the baseline concentration portunity for comment at a public and to assure that such emissions hearing as well as through written pub- would not cause or contribute to con- lic comment. Alternatively, these noti- centrations which exceed the otherwise fications may be made on a public Web applicable maximum allowable in- site identified by the reviewing author- creases for periods of exposure of 24 ity. However, the reviewing authority’s hours or less for more than 18 days, not selected notification method (i.e., ei- necessarily consecutive, during any an- ther newspaper or Web site), known as nual period: the ‘‘consistent noticing method,’’ shall be used for all permits subject to MAXIMUM ALLOWABLE INCREASE notice under this section and may, [Micrograms per cubic meter] when appropriate, be supplemented by Terrain areas other noticing methods on individual Period of exposure permits. If the reviewing authority se- Low High lects Web site notice as its consistent 24-hr maximum ...... 36 62 noticing method, the notice shall be 3-hr maximum ...... 130 221 available for the duration of the public comment period and shall include the (q) Public participation. The plan shall notice of public comment, the draft provide that— permit, information on how to access (1) The reviewing authority shall no- the administrative record for the draft tify all applicants within a specified permit and how to request and/or at- time period as to the completeness of tend a public hearing on the draft per- the application or any deficiency in the mit. application or information submitted. (iv) Send a copy of the notice of pub- In the event of such a deficiency, the lic comment to the applicant, the Ad- date of receipt of the application shall ministrator and to officials and agen- be the date on which the reviewing au- cies having cognizance over the loca- thority received all required information where the proposed construction tion. would occur as follows: Any other (2) Within one year after receipt of a State or local air pollution control complete application, the reviewing agencies, the chief executives of the authority shall: city and county where the source (i) Make a preliminary determination would be located; any comprehensive whether construction should be ap- regional land use planning agency, and proved, approved with conditions, or any State, Federal Land Manager, or disapproved. Indian Governing body whose lands

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may be affected by emissions from the (6) Each plan shall provide that, ex- source or modification. cept as otherwise provided in para- (v) Provide opportunity for a public graph (r)(6)(vi) of this section, the fol- hearing for interested persons to ap- lowing specific provisions apply with pear and submit written or oral com- respect to any regulated NSR pollutant ments on the air quality impact of the emitted from projects at existing emis- source, alternatives to it, the control sions units at a major stationary technology required, and other appro- source (other than projects at a source priate considerations. with a PAL) in circumstances where (vi) Consider all written comments there is a reasonable possibility, within submitted within a time specified in the meaning of paragraph (r)(6)(vi) of the notice of public comment and all this section, that a project that is not comments received at any public hear- a part of a major modification may re- ing in making a final decision on the sult in a significant emissions increase approvability of the application. The of such pollutant, and the owner or op- reviewing authority shall make all erator elects to use the method speci- comments available for public inspec- fied in paragraphs (b)(40)(ii)(a) through tion at the same physical location or (c) of this section for calculating pro- on the same Web site where the review- jected actual emissions. Deviations ing authority made available from these provisions will be approved preconstruction information relating only if the State specifically dem- to the proposed source or modification. onstrates that the submitted provi- (vii) Make a final determination sions are more stringent than or at whether construction should be ap- least as stringent in all respects as the proved, approved with conditions, or corresponding provisions in paragraphs disapproved. (r)(6)(i) through (vi) of this section. (viii) Notify the applicant in writing (i) Before beginning actual construc- of the final determination and make tion of the project, the owner or oper- such notification available for public ator shall document and maintain a inspection at the same location or on record of the following information: the same Web site where the reviewing (a) A description of the project; authority made available preconstruction information and public (b) Identification of the emissions comments relating to the proposed unit(s) whose emissions of a regulated source or modification. NSR pollutant could be affected by the (r) Source obligation. (1) The plan shall project; and include enforceable procedures to pro- (c) A description of the applicability vide that approval to construct shall test used to determine that the project not relieve any owner or operator of is not a major modification for any the responsibility to comply fully with regulated NSR pollutant, including the applicable provisions of the plan and baseline actual emissions, the pro- any other requirements under local, jected actual emissions, the amount of State or Federal law. emissions excluded under paragraph (2) The plan shall provide that at (b)(40)(ii)(c) of this section and an ex- such time that a particular source or planation for why such amount was ex- modification becomes a major sta- cluded, and any netting calculations, if tionary source or major modification applicable. solely by virtue of a relaxation in any (ii) If the emissions unit is an exist- enforceable limitation which was es- ing electric utility steam generating tablished after August 7, 1980, on the unit, before beginning actual construc- capacity of the source or modification tion, the owner or operator shall pro- otherwise to emit a pollutant, such as vide a copy of the information set out a restriction on hours of operation, in paragraph (r)(6)(i) of this section to then the requirements of paragraphs (j) the reviewing authority. Nothing in through (s) of this section shall apply this paragraph (r)(6)(ii) shall be con- to the source or modification as though strued to require the owner or operator construction had not yet commenced of such a unit to obtain any determina- on the source or modification. tion from the reviewing authority be- (3)–(5) [Reserved] fore beginning actual construction.

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(iii) The owner or operator shall (vi) A ‘‘reasonable possibility’’ under monitor the emissions of any regulated paragraph (r)(6) of this section occurs NSR pollutant that could increase as a when the owner or operator calculates result of the project and that is emit- the project to result in either: ted by any emissions unit identified in (a) A projected actual emissions in- paragraph (r)(6)(i)(b) of this section; crease of at least 50 percent of the and calculate and maintain a record of amount that is a ‘‘significant emis- the annual emissions, in tons per year sions increase,’’ as defined under para- on a calendar year basis, for a period of graph (b)(39) of this section (without 5 years following resumption of regular reference to the amount that is a sig- operations after the change, or for a nificant net emissions increase), for period of 10 years following resumption the regulated NSR pollutant; or of regular operations after the change (b) A projected actual emissions in- if the project increases the design ca- crease that, added to the amount of pacity or potential to emit of that reg- emissions excluded under paragraph ulated NSR pollutant at such emis- (b)(40)(ii)(c), sums to at least 50 percent sions unit. of the amount that is a ‘‘significant (iv) If the unit is an existing electric emissions increase,’’ as defined under utility steam generating unit, the paragraph (b)(39) of this section (with- owner or operator shall submit a report out reference to the amount that is a to the reviewing authority within 60 significant net emissions increase), for days after the end of each year during the regulated NSR pollutant. For a which records must be generated under project for which a reasonable possi- paragraph (r)(6)(iii) of this section set- bility occurs only within the meaning ting out the unit’s annual emissions of paragraph (r)(6)(vi)(b) of this section, during the calendar year that preceded and not also within the meaning of submission of the report. paragraph (a)(6)(vi)(a) of this section, (v) If the unit is an existing unit then provisions (a)(6)(ii) through (v) do other than an electric utility steam not apply to the project. generating unit, the owner or operator (7) Each plan shall provide that the shall submit a report to the reviewing owner or operator of the source shall authority if the annual emissions, in make the information required to be tons per year, from the project identi- documented and maintained pursuant fied in paragraph (r)(6)(i) of this sec- to paragraph (r)(6) of this section avail- tion, exceed the baseline actual emis- able for review upon request for inspec- sions (as documented and maintained tion by the reviewing authority or the pursuant to paragraph (r)(6)(i)(c) of this general public pursuant to the require- section) by a significant amount (as de- ments contained in § 70.4(b)(3)(viii) of fined in paragraph (b)(23) of this sec- this chapter. tion) for that regulated NSR pollutant, (s) Innovative control technology. (1) and if such emissions differ from the The plan may provide that an owner or preconstruction projection as docu- operator of a proposed major sta- mented and maintained pursuant to tionary source or major modification paragraph (r)(6)(i)(c) of this section. may request the reviewing authority to Such report shall be submitted to the approve a system of innovative control reviewing authority within 60 days technology. after the end of such year. The report (2) The plan may provide that the re- shall contain the following: viewing authority may, with the con- (a) The name, address and telephone sent of the Governor(s) of other af- number of the major stationary source; fected State(s), determine that the (b) The annual emissions as cal- source or modification may employ a culated pursuant to paragraph (r)(6)(iii) system of innovative control tech- of this section; and nology, if: (c) Any other information that the (i) The proposed control system owner or operator wishes to include in would not cause or contribute to an un- the report (e.g., an explanation as to reasonable risk to public health, wel- why the emissions differ from the fare, or safety in its operation or func- preconstruction projection). tion;

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(ii) The owner or operator agrees to thority may allow the source or modi- achieve a level of continuous emissions fication up to an additional 3 years to reduction equivalent to that which meet the requirement for the applica- would have been required under para- tion of best available control tech- graph (j)(2) of this section, by a date nology through use of a demonstrated specified by the reviewing authority. system of control. Such date shall not be later than 4 (t)–(v) [Reserved] years from the time of startup or 7 (w) Actuals PALs. The plan shall pro- years from permit issuance; vide for PALs according to the provi- (iii) The source or modification sions in paragraphs (w)(1) through (15) would meet the requirements equiva- of this section. lent to those in paragraphs (j) and (k) (1) Applicability. (i) The reviewing au- of this section, based on the emissions thority may approve the use of an rate that the stationary source em- actuals PAL for any existing major ploying the system of innovative con- stationary source if the PAL meets the trol technology would be required to requirements in paragraphs (w)(1) meet on the date specified by the re- through (15) of this section. The term viewing authority; ‘‘PAL’’ shall mean ‘‘actuals PAL’’ (iv) The source or modification would throughout paragraph (w) of this sec- not before the date specified by the re- tion. viewing authority: (ii) Any physical change in or change (a) Cause or contribute to any viola- in the method of operation of a major tion of an applicable national ambient air quality standard; or stationary source that maintains its total source-wide emissions below the (b) Impact any area where an applicable increment is known to be violated; PAL level, meets the requirements in (v) All other applicable requirements paragraphs (w)(1) through (15) of this including those for public participation section, and complies with the PAL have been met. permit: (vi) The provisions of paragraph (p) of (a) Is not a major modification for this section (relating to Class I areas) the PAL pollutant; have been satisfied with respect to all (b) Does not have to be approved periods during the life of the source or through the plan’s major NSR pro- modification. gram; and (3) The plan shall provide that the re- (c) Is not subject to the provisions in viewing authority shall withdraw any paragraph (r)(2) of this section (restric- approval to employ a system of innova- tions on relaxing enforceable emission tive control technology made under limitations that the major stationary this section, if: source used to avoid applicability of (i) The proposed system fails by the the major NSR program). specified date to achieve the required (iii) Except as provided under para- continuous emissions reduction rate; graph (w)(1)(ii)(c) of this section, a or major stationary source shall continue (ii) The proposed system fails before to comply with all applicable Federal the specified date so as to contribute to or State requirements, emission limi- an unreasonable risk to public health, tations, and work practice require- welfare, or safety; or ments that were established prior to (iii) The reviewing authority decides the effective date of the PAL. at any time that the proposed system (2) Definitions. The plan shall use the is unlikely to achieve the required definitions in paragraphs (w)(2)(i) level of control or to protect the public through (xi) of this section for the pur- health, welfare, or safety. pose of developing and implementing (4) The plan may provide that if a regulations that authorize the use of source or modification fails to meet actuals PALs consistent with para- the required level of continuous emis- graphs (w)(1) through (15) of this sec- sions reduction within the specified tion. When a term is not defined in time period, or if the approval is with- these paragraphs, it shall have the drawn in accordance with paragraph meaning given in paragraph (b) of this (s)(3) of this section, the reviewing au- section or in the Act.

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(i) Actuals PAL for a major stationary ance with paragraphs (w)(1) through source means a PAL based on the base- (15) of this section. line actual emissions (as defined in (vi) PAL effective date generally paragraph (b)(47) of this section) of all means the date of issuance of the PAL emissions units (as defined in para- permit. However, the PAL effective graph (b)(7) of this section) at the date for an increased PAL is the date source, that emit or have the potential any emissions unit that is part of the to emit the PAL pollutant. PAL major modification becomes oper- (ii) Allowable emissions means ‘‘allow- ational and begins to emit the PAL able emissions’’ as defined in paragraph pollutant. (b)(16) of this section, except as this (vii) PAL effective period means the definition is modified according to period beginning with the PAL effec- paragraphs (w)(2)(ii)(a) and (b) of this tive date and ending 10 years later. section. (viii) PAL major modification means, (a) The allowable emissions for any notwithstanding paragraphs (b)(2) and emissions unit shall be calculated con- (b)(3) of this section (the definitions for sidering any emission limitations that major modification and net emissions are enforceable as a practical matter increase), any physical change in or on the emissions unit’s potential to change in the method of operation of emit. the PAL source that causes it to emit the PAL pollutant at a level equal to (b) An emissions unit’s potential to or greater than the PAL. emit shall be determined using the def- (ix) PAL permit means the major NSR inition in paragraph (b)(4) of this sec- permit, the minor NSR permit, or the tion, except that the words ‘‘or en- State operating permit under a pro- forceable as a practical matter’’ should gram that is approved into the plan, or be added after ‘‘federally enforceable.’’ the title V permit issued by the review- (iii) Small emissions unit means an ing authority that establishes a PAL emissions unit that emits or has the for a major stationary source. potential to emit the PAL pollutant in (x) PAL pollutant means the pollutant an amount less than the significant for which a PAL is established at a level for that PAL pollutant, as defined major stationary source. in paragraph (b)(23) of this section or in (xi) Significant emissions unit means the Act, whichever is lower. an emissions unit that emits or has the (iv) Major emissions unit means: potential to emit a PAL pollutant in (a) Any emissions unit that emits or an amount that is equal to or greater has the potential to emit 100 tons per than the significant level (as defined in year or more of the PAL pollutant in paragraph (b)(23) of this section or in an attainment area; or the Act, whichever is lower) for that (b) Any emissions unit that emits or PAL pollutant, but less than the has the potential to emit the PAL pol- amount that would qualify the unit as lutant in an amount that is equal to or a major emissions unit as defined in greater than the major source thresh- paragraph (w)(2)(iv) of this section. old for the PAL pollutant as defined by (3) Permit application requirements. As the Act for nonattainment areas. For part of a permit application requesting example, in accordance with the defini- a PAL, the owner or operator of a tion of major stationary source in sec- major stationary source shall submit tion 182(c) of the Act, an emissions unit the following information in para- would be a major emissions unit for graphs (w)(3)(i) through (iii) of this sec- VOC if the emissions unit is located in tion to the reviewing authority for ap- a serious ozone nonattainment area proval. and it emits or has the potential to (i) A list of all emissions units at the emit 50 or more tons of VOC per year. source designated as small, significant (v) Plantwide applicability limitation or major based on their potential to (PAL) means an emission limitation emit. In addition, the owner or oper- expressed in tons per year, for a pollut- ator of the source shall indicate which, ant at a major stationary source, that if any, Federal or State applicable re- is enforceable as a practical matter quirements, emission limitations, or and established source-wide in accord- work practices apply to each unit.

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(ii) Calculations of the baseline ac- (f) Each PAL shall have a PAL effec- tual emissions (with supporting docu- tive period of 10 years. mentation). Baseline actual emissions (g) The owner or operator of the are to include emissions associated not major stationary source with a PAL only with operation of the unit, but shall comply with the monitoring, rec- also emissions associated with startup, ordkeeping, and reporting require- shutdown, and malfunction. ments provided in paragraphs (w)(12) (iii) The calculation procedures that through (14) of this section for each the major stationary source owner or emissions unit under the PAL through operator proposes to use to convert the the PAL effective period. monitoring system data to monthly (ii) At no time (during or after the emissions and annual emissions based PAL effective period) are emissions re- on a 12-month rolling total for each ductions of a PAL pollutant that occur month as required by paragraph during the PAL effective period cred- (w)(13)(i) of this section. itable as decreases for purposes of off- (4) General requirements for estab- sets under § 51.165(a)(3)(ii) of this chap- lishing PALs. (i) The plan allows the re- ter unless the level of the PAL is reviewing authority to establish a PAL duced by the amount of such emissions at a major stationary source, provided reductions and such reductions would that at a minimum, the requirements be creditable in the absence of the in paragraphs (w)(4)(i)(a) through (g) of PAL. this section are met. (5) Public participation requirements for PALs. PALs for existing major sta- (a) The PAL shall impose an annual tionary sources shall be established, re- emission limitation in tons per year, newed, or increased, through a proce- that is enforceable as a practical mat- dure that is consistent with §§ 51.160 ter, for the entire major stationary and 51.161 of this chapter. This includes source. For each month during the the requirement that the reviewing au- PAL effective period after the first 12 thority provide the public with notice months of establishing a PAL, the of the proposed approval of a PAL per- major stationary source owner or oper- mit and at least a 30-day period for ator shall show that the sum of the submittal of public comment. The re- monthly emissions from each emis- viewing authority must address all ma- sions unit under the PAL for the pre- terial comments before taking final ac- vious 12 consecutive months is less tion on the permit. than the PAL (a 12-month average, (6) Setting the 10-year actuals PAL rolled monthly). For each month dur- level. (i) Except as provided in para- ing the first 11 months from the PAL graph (w)(6)(ii) of this section, the plan effective date, the major stationary shall provide that the actuals PAL source owner or operator shall show level for a major stationary source that the sum of the preceding monthly shall be established as the sum of the emissions from the PAL effective date baseline actual emissions (as defined in for each emissions unit under the PAL paragraph (b)(47) of this section) of the is less than the PAL. PAL pollutant for each emissions unit (b) The PAL shall be established in a at the source; plus an amount equal to PAL permit that meets the public par- the applicable significant level for the ticipation requirements in paragraph PAL pollutant under paragraph (b)(23) (w)(5) of this section. of this section or under the Act, which- (c) The PAL permit shall contain all ever is lower. When establishing the the requirements of paragraph (w)(7) of actuals PAL level, for a PAL pollutant, this section. only one consecutive 24-month period (d) The PAL shall include fugitive must be used to determine the baseline emissions, to the extent quantifiable, actual emissions for all existing emis- from all emissions units that emit or sions units. However, a different con- have the potential to emit the PAL secutive 24-month period may be used pollutant at the major stationary for each different PAL pollutant. Emis- source. sions associated with units that were (e) Each PAL shall regulate emis- permanently shut down after this 24- sions of only one pollutant. month period must be subtracted from

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the PAL level. The reviewing authority toring system data to monthly emis- shall specify a reduced PAL level(s) (in sions and annual emissions based on a tons/yr) in the PAL permit to become 12-month rolling total for each month effective on the future compliance as required by paragraph (w)(3)(i) of date(s) of any applicable Federal or this section. State regulatory requirement(s) that (vii) A requirement that the major the reviewing authority is aware of stationary source owner or operator prior to issuance of the PAL permit. monitor all emissions units in accord- For instance, if the source owner or op- ance with the provisions under para- erator will be required to reduce emis- graph (w)(13) of this section. sions from industrial boilers in half (viii) A requirement to retain the from baseline emissions of 60 ppm NOX records required under paragraph to a new rule limit of 30 ppm, then the (w)(13) of this section on site. Such permit shall contain a future effective records may be retained in an elec- PAL level that is equal to the current tronic format. PAL level reduced by half of the origi- (ix) A requirement to submit the re- nal baseline emissions of such unit(s). ports required under paragraph (w)(14) (ii) For newly constructed units of this section by the required dead- (which do not include modifications to lines. existing units) on which actual con- (x) Any other requirements that the struction began after the 24-month pe- reviewing authority deems necessary riod, in lieu of adding the baseline ac- to implement and enforce the PAL. tual emissions as specified in para- (8) PAL effective period and reopening graph (w)(6)(i) of this section, the emis- of the PAL permit. The plan shall re- sions must be added to the PAL level quire the information in paragraphs in an amount equal to the potential to (w)(8)(i) and (ii) of this section. emit of the units. (i) PAL effective period. The reviewing (7) Contents of the PAL permit. The authority shall specify a PAL effective plan shall require that the PAL permit period of 10 years. contain, at a minimum, the informa- (ii) Reopening of the PAL permit. (a) tion in paragraphs (w)(7)(i) through (x) During the PAL effective period, the of this section. plan shall require the reviewing au- (i) The PAL pollutant and the appli- thority to reopen the PAL permit to: cable source-wide emission limitation (1) Correct typographical/calculation in tons per year. errors made in setting the PAL or re- (ii) The PAL permit effective date flect a more accurate determination of and the expiration date of the PAL emissions used to establish the PAL; (PAL effective period). (2) Reduce the PAL if the owner or (iii) Specification in the PAL permit operator of the major stationary that if a major stationary source owner source creates creditable emissions re- or operator applies to renew a PAL in ductions for use as offsets under accordance with paragraph (w)(10) of § 51.165(a)(3)(ii) of this chapter; and this section before the end of the PAL (3) Revise the PAL to reflect an in- effective period, then the PAL shall crease in the PAL as provided under not expire at the end of the PAL effec- paragraph (w)(11) of this section. tive period. It shall remain in effect (b) The plan shall provide the review- until a revised PAL permit is issued by ing authority discretion to reopen the the reviewing authority. PAL permit for the following: (iv) A requirement that emission cal- (1) Reduce the PAL to reflect newly culations for compliance purposes in- applicable Federal requirements (for clude emissions from startups, shut- example, NSPS) with compliance dates downs and malfunctions. after the PAL effective date; (v) A requirement that, once the PAL (2) Reduce the PAL consistent with expires, the major stationary source is any other requirement, that is enforce- subject to the requirements of para- able as a practical matter, and that the graph (w)(9) of this section. State may impose on the major sta- (vi) The calculation procedures that tionary source under the plan; and the major stationary source owner or (3) Reduce the PAL if the reviewing operator shall use to convert the moni- authority determines that a reduction

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is necessary to avoid causing or con- tion on a 12-month rolling basis. The tributing to a NAAQS or PSD incre- reviewing authority may approve the ment violation, or to an adverse im- use of monitoring systems (source test- pact on an AQRV that has been identi- ing,emission factors, etc.) other than fied for a Federal Class I area by a Fed- CEMS, CERMS, PEMS or CPMS to eral Land Manager and for which infor- demonstrate compliance with the al- mation is available to the general pub- lowable emission limitation. lic. (iii) Until the reviewing authority (c) Except for the permit reopening in issues the revised permit incorporating paragraph (w)(8)(ii)(a)(1) of this section allowable limits for each emissions for the correction of typographical/cal- unit, or each group of emissions units, culation errors that do not increase the as required under paragraph (w)(9)(i)(b) PAL level, all reopenings shall be car- of this section, the source shall con- ried out in accordance with the public tinue to comply with a source-wide, participation requirements of para- multi-unit emissions cap equivalent to graph (w)(5) of this section. the level of the PAL emission limita- (9) Expiration of a PAL. Any PAL that tion. is not renewed in accordance with the (iv) Any physical change or change in procedures in paragraph (w)(10) of this the method of operation at the major section shall expire at the end of the stationary source will be subject to PAL effective period, and the require- major NSR requirements if such ments in paragraphs (w)(9)(i) through change meets the definition of major (v) of this section shall apply. modification in paragraph (b)(2) of this (i) Each emissions unit (or each section. group of emissions units) that existed (v) The major stationary source under the PAL shall comply with an al- owner or operator shall continue to lowable emission limitation under a re- comply with any State or Federal ap- vised permit established according to plicable requirements (BACT, RACT, the procedures in paragraphs NSPS, etc.) that may have applied ei- (w)(9)(i)(a) and (b) of this section. ther during the PAL effective period or (a) Within the time frame specified for PAL renewals in paragraph prior to the PAL effective period ex- (w)(10)(ii) of this section, the major cept for those emission limitations stationary source shall submit a pro- that had been established pursuant to posed allowable emission limitation for paragraph (r)(2) of this section, but each emissions unit (or each group of were eliminated by the PAL in accord- emissions units, if such a distribution ance with the provisions in paragraph is more appropriate as decided by the (w)(1)(ii)(c) of this section. reviewing authority) by distributing (10) Renewal of a PAL. (i) The review- the PAL allowable emissions for the ing authority shall follow the proce- major stationary source among each of dures specified in paragraph (w)(5) of the emissions units that existed under this section in approving any request the PAL. If the PAL had not yet been to renew a PAL for a major stationary adjusted for an applicable requirement source, and shall provide both the pro- that became effective during the PAL posed PAL level and a written ration- effective period, as required under ale for the proposed PAL level to the paragraph (w)(10)(v) of this section, public for review and comment. During such distribution shall be made as if such public review, any person may the PAL had been adjusted. propose a PAL level for the source for (b) The reviewing authority shall de- consideration by the reviewing author- cide whether and how the PAL allow- ity. able emissions will be distributed and (ii) Application deadline. The plan issue a revised permit incorporating al- shall require that a major stationary lowable limits for each emissions unit, source owner or operator shall submit or each group of emissions units, as the a timely application to the reviewing reviewing authority determines is ap- authority to request renewal of a PAL. propriate. A timely application is one that is sub- (ii) Each emissions unit(s) shall committed at least 6 months prior to, but ply with the allowable emission limita- not earlier than 18 months from, the

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date of permit expiration. This dead- (1) If the potential to emit of the line for application submittal is to en- major stationary source is less than sure that the permit will not expire be- the PAL, the reviewing authority shall fore the permit is renewed. If the owner adjust the PAL to a level no greater or operator of a major stationary than the potential to emit of the source submits a complete application source; and to renew the PAL within this time pe- (2) The reviewing authority shall not riod, then the PAL shall continue to be approve a renewed PAL level higher effective until the revised permit with than the current PAL, unless the the renewed PAL is issued. major stationary source has complied (iii) Application requirements. The ap- with the provisions of paragraph (w)(11) plication to renew a PAL permit shall of this section (increasing a PAL). contain the information required in (v) If the compliance date for a State paragraphs (w)(10)(iii) (a) through (d) of or Federal requirement that applies to this section. the PAL source occurs during the PAL (a) The information required in para- effective period, and if the reviewing graphs (w)(3)(i) through (iii) of this sec- authority has not already adjusted for tion. such requirement, the PAL shall be ad- (b) A proposed PAL level. justed at the time of PAL permit renewal or title V permit renewal, which- (c) The sum of the potential to emit ever occurs first. of all emissions units under the PAL (11) Increasing a PAL during the PAL (with supporting documentation). effective period. (i) The plan shall re- (d) Any other information the owner quire that the reviewing authority may or operator wishes the reviewing au- increase a PAL emission limitation thority to consider in determining the only if the major stationary source appropriate level for renewing the complies with the provisions in para- PAL. graphs (w)(11)(i) (a) through (d) of this (iv) PAL adjustment. In determining section. whether and how to adjust the PAL, (a) The owner or operator of the the reviewing authority shall consider major stationary source shall submit a the options outlined in paragraphs complete application to request an in- (w)(10)(iv) (a) and (b) of this section. crease in the PAL limit for a PAL However, in no case may any such ad- major modification. Such application justment fail to comply with paragraph shall identify the emissions unit(s) (w)(10)(iv)(c) of this section. contributing to the increase in emis- (a) If the emissions level calculated sions so as to cause the major stain accordance with paragraph (w)(6) of tionary source’s emissions to equal or this section is equal to or greater than exceed its PAL. 80 percent of the PAL level, the review- (b) As part of this application, the ing authority may renew the PAL at major stationary source owner or oper- the same level without considering the ator shall demonstrate that the sum of factors set forth in paragraph the baseline actual emissions of the (w)(10)(iv)(b) of this section; or small emissions units, plus the sum of (b) The reviewing authority may set the baseline actual emissions of the the PAL at a level that it determines significant and major emissions units to be more representative of the assuming application of BACT equiva- source’s baseline actual emissions, or lent controls, plus the sum of the al- that it determines to be appropriate lowable emissions of the new or modi- considering air quality needs, advances fied emissions unit(s), exceeds the in control technology, anticipated eco- PAL. The level of control that would nomic growth in the area, desire to re- result from BACT equivalent controls ward or encourage the source’s vol- on each significant or major emissions untary emissions reductions, or other unit shall be determined by conducting factors as specifically identified by the a new BACT analysis at the time the reviewing authority in its written ra- application is submitted, unless the tionale. emissions unit is currently required to (c) Notwithstanding paragraphs comply with a BACT or LAER require- (w)(10)(iv) (a) and (b) of this section: ment that was established within the

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preceding 10 years. In such a case, the (b) The PAL monitoring system must assumed control level for that emis- employ one or more of the four general sions unit shall be equal to the level of monitoring approaches meeting the BACT or LAER with which that emis- minimum requirements set forth in sions unit must currently comply. paragraphs (w)(12)(ii) (a) through (d) of (c) The owner or operator obtains a this section and must be approved by major NSR permit for all emissions the reviewing authority. unit(s) identified in paragraph (c) Notwithstanding paragraph (w)(11)(i)(a) of this section, regardless (w)(12)(i)(b) of this section, you may of the magnitude of the emissions in- also employ an alternative monitoring crease resulting from them (that is, no approach that meets paragraph significant levels apply). These emis- (w)(12)(i)(a) of this section if approved sions unit(s) shall comply with any by the reviewing authority. emissions requirements resulting from (d) Failure to use a monitoring sys- the major NSR process (for example, tem that meets the requirements of BACT), even though they have also be- this section renders the PAL invalid. come subject to the PAL or continue to (ii) Minimum performance require- be subject to the PAL. ments for approved monitoring ap- (d) The PAL permit shall require proaches. The following are acceptable that the increased PAL level shall be general monitoring approaches when effective on the day any emissions unit conducted in accordance with the min- that is part of the PAL major modifica- imum requirements in paragraphs tion becomes operational and begins to (w)(12)(iii) through (ix) of this section: emit the PAL pollutant. (a) Mass balance calculations for ac- (ii) The reviewing authority shall tivities using coatings or solvents; calculate the new PAL as the sum of (b) CEMS; the allowable emissions for each modi- (c) CPMS or PEMS; and fied or new emissions unit, plus the (d) Emission factors. sum of the baseline actual emissions of (iii) Mass balance calculations. An the significant and major emissions owner or operator using mass balance units (assuming application of BACT calculations to monitor PAL pollutant equivalent controls as determined in emissions from activities using coating accordance with paragraph (w)(11)(i)(b) or solvents shall meet the following re- of this section), plus the sum of the quirements: baseline actual emissions of the small (a) Provide a demonstrated means of emissions units. validating the published content of the (iii) The PAL permit shall be revised PAL pollutant that is contained in or to reflect the increased PAL level pur- created by all materials used in or at suant to the public notice require- the emissions unit; ments of paragraph (w)(5) of this sec- (b) Assume that the emissions unit tion. emits all of the PAL pollutant that is (12) Monitoring requirements for contained in or created by any raw ma- PALs—(i) General requirements. (a) Each terial or fuel used in or at the emis- PAL permit must contain enforceable sions unit, if it cannot otherwise be ac- requirements for the monitoring sys- counted for in the process; and tem that accurately determines (c) Where the vendor of a material or plantwide emissions of the PAL pollut- fuel, which is used in or at the emis- ant in terms of mass per unit of time. sions unit, publishes a range of pollut- Any monitoring system authorized for ant content from such material, the use in the PAL permit must be based owner or operator must use the highest on sound science and meet generally value of the range to calculate the PAL acceptable scientific procedures for pollutant emissions unless the review- data quality and manipulation. Addi- ing authority determines there is site- tionally, the information generated by specific data or a site-specific moni- such system must meet minimum legal toring program to support another con- requirements for admissibility in a ju- tent within the range. dicial proceeding to enforce the PAL (iv) CEMS. An owner or operator permit. using CEMS to monitor PAL pollutant

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emissions shall meet the following re- owner or operator of an emissions unit quirements: cannot demonstrate a correlation be- (a) CEMS must comply with applica- tween the monitored parameter(s) and ble Performance Specifications found the PAL pollutant emissions rate at all in 40 CFR part 60, appendix B; and operating points of the emissions unit, (b) CEMS must sample, analyze, and the reviewing authority shall, at the record data at least every 15 minutes time of permit issuance: while the emissions unit is operating. (a) Establish default value(s) for de- (v) CPMS or PEMS. An owner or op- termining compliance with the PAL erator using CPMS or PEMS to mon- based on the highest potential emis- itor PAL pollutant emissions shall sions reasonably estimated at such op- meet the following requirements: erating point(s); or (a) The CPMS or the PEMS must be (b) Determine that operation of the based on current site-specific data emissions unit during operating condi- demonstrating a correlation between tions when there is no correlation be- the monitored parameter(s) and the tween monitored parameter(s) and the PAL pollutant emissions across the PAL pollutant emissions is a violation range of operation of the emissions of the PAL. unit; and (ix) Re-validation. All data used to (b) Each CPMS or PEMS must sam- establish the PAL pollutant must be ple, analyze, and record data at least re-validated through performance test- every 15 minutes, or at another less ing or other scientifically valid means frequent interval approved by the re- approved by the reviewing authority. viewing authority, while the emissions Such testing must occur at least once unit is operating. every 5 years after issuance of the (vi) Emission factors. An owner or PAL. operator using emission factors to (13) Recordkeeping requirements. (i) monitor PAL pollutant emissions shall The PAL permit shall require an owner meet the following requirements: or operator to retain a copy of all (a) All emission factors shall be ad- records necessary to determine compli- justed, if appropriate, to account for ance with any requirement of para- the degree of uncertainty or limita- graph (w) of this section and of the tions in the factors’ development; PAL, including a determination of each (b) The emissions unit shall operate emissions unit’s 12-month rolling total within the designated range of use for emissions, for 5 years from the date of the emission factor, if applicable; and such record. (c) If technically practicable, the (ii) The PAL permit shall require an owner or operator of a significant emis- owner or operator to retain a copy of sions unit that relies on an emission the following records, for the duration factor to calculate PAL pollutant of the PAL effective period plus 5 emissions shall conduct validation years: testing to determine a site-specific (a) A copy of the PAL permit applica- emission factor within 6 months of tion and any applications for revisions PAL permit issuance, unless the re- to the PAL; and viewing authority determines that (b) Each annual certification of com- testing is not required. pliance pursuant to title V and the (vii) A source owner or operator must data relied on in certifying the compli- record and report maximum potential ance. emissions without considering enforce- (14) Reporting and notification require- able emission limitations or oper- ments. The owner or operator shall sub- ational restrictions for an emissions mit semi-annual monitoring reports unit during any period of time that and prompt deviation reports to the re- there is no monitoring data, unless an- viewing authority in accordance with other method for determining emis- the applicable title V operating permit sions during such periods is specified in program. The reports shall meet the re- the PAL permit. quirements in paragraphs (w)(14)(i) (viii) Notwithstanding the require- through (iii) of this section. ments in paragraphs (w)(12)(iii) (i) Semi-annual report. The semi-an- through (vii) of this section, where an nual report shall be submitted to the

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reviewing authority within 30 days of gram implementing § 70.6(a)(3)(iii)(B) of the end of each reporting period. This this chapter. The reports shall contain report shall contain the information the following information: required in paragraphs (w)(14)(i)(a) (a) The identification of owner and through (g) of this section. operator and the permit number; (a) The identification of owner and (b) The PAL requirement that experi- operator and the permit number. enced the deviation or that was exceed- (b) Total annual emissions (tons/ ed; year) based on a 12-month rolling total (c) Emissions resulting from the devi- for each month in the reporting period ation or the exceedance; and recorded pursuant to paragraph (d) A signed statement by the respon- (w)(13)(i) of this section. sible official (as defined by the applica- (c) All data relied upon, including, ble title V operating permit program) but not limited to, any Quality Assur- certifying the truth, accuracy, and ance or Quality Control data, in calcu- completeness of the information pro- lating the monthly and annual PAL vided in the report. pollutant emissions. (iii) Re-validation results. The owner (d) A list of any emissions units or operator shall submit to the review- modified or added to the major sta- ing authority the results of any re-vali- tionary source during the preceding 6- dation test or method within three month period. months after completion of such test (e) The number, duration, and cause or method. of any deviations or monitoring mal- (15) Transition requirements. (i) No re- functions (other than the time associ- viewing authority may issue a PAL ated with zero and span calibration that does not comply with the require- checks), and any corrective action ments in paragraphs (w)(1) through (15) taken. of this section after the Administrator (f) A notification of a shutdown of has approved regulations incorporating any monitoring system, whether the these requirements into a plan. shutdown was permanent or tem- (ii) The reviewing authority may su- porary, the reason for the shutdown, persede any PAL which was established the anticipated date that the moni- prior to the date of approval of the toring system will be fully operational plan by the Administrator with a PAL or replaced with another monitoring that complies with the requirements of system, and whether the emissions paragraphs (w)(1) through (15) of this unit monitored by the monitoring sys- section. tem continued to operate, and the cal- (x) If any provision of this section, or culation of the emissions of the pollut- the application of such provision to ant or the number determined by any person or circumstance, is held in- method included in the permit, as pro- valid, the remainder of this section, or vided by paragraph (w)(12)(vii) of this the application of such provision to section. persons or circumstances other than (g) A signed statement by the respon- those as to which it is held invalid, sible official (as defined by the applica- shall not be affected thereby. ble title V operating permit program) (y) Equipment replacement provision. certifying the truth, accuracy, and Without regard to other consider- completeness of the information pro- ations, routine maintenance, repair vided in the report. and replacement includes, but is not (ii) Deviation report. The major sta- limited to, the replacement of any tionary source owner or operator shall component of a process unit with an promptly submit reports of any devi- identical or functionally equivalent ations or exceedance of the PAL re- component(s), and maintenance and requirements, including periods where no pair activities that are part of the re- monitoring is available. A report sub- placement activity, provided that all of mitted pursuant to § 70.6(a)(3)(iii)(B) of the requirements in paragraphs (y)(1) this chapter shall satisfy this reporting through (3) of this section are met. requirement. The deviation reports (1) Capital Cost threshold for Equip- shall be submitted within the time lim- ment Replacement. (i) For an electric util- its prescribed by the applicable pro- ity steam generating unit, as defined in

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§ 51.166(b)(30), the fixed capital cost of owner or operator sends another notice the replacement component(s) plus the to the reviewing authority selecting cost of any associated maintenance and another procedure consistent with this repair activities that are part of the re- paragraph or paragraph (y)(1)(ii) of this placement shall not exceed 20 percent section at the beginning of such fiscal of the replacement value of the process year. unit, at the time the equipment is re- (2) Basic design parameters. The replaced. For a process unit that is not placement does not change the basic an electric utility steam generating design parameter(s) of the process unit unit the fixed capital cost of the re- to which the activity pertains. placement component(s) plus the cost (i) Except as provided in paragraph of any associated maintenance and re- (y)(2)(iii) of this section, for a process pair activities that are part of the re- unit at a steam electric generating fa- placement shall not exceed 20 percent cility, the owner or operator may se- of the replacement value of the process lect as its basic design parameters ei- unit, at the time the equipment is re- ther maximum hourly heat input and placed. maximum hourly fuel consumption (ii) In determining the replacement rate or maximum hourly electric out- value of the process unit; and, except put rate and maximum steam flow as otherwise allowed under paragraph rate. When establishing fuel consump- (y)(1)(iii) of this section, the owner or tion specifications in terms of weight operator shall determine the replace- or volume, the minimum fuel quality ment value of the process unit on an based on British Thermal Units con- estimate of the fixed capital cost of tent shall be used for determining the constructing a new process unit, or on basic design parameter(s) for a coal- the current appraised value of the proc- fired electric utility steam generating ess unit. unit. (iii) As an alternative to paragraph (y)(1)(ii) of this section for determining (ii) Except as provided in paragraph the replacement value of a process (y)(2)(iii) of this section, the basic de- unit, an owner or operator may choose sign parameter(s) for any process unit to use insurance value (where the in- that is not at a steam electric gener- surance value covers only complete re- ating facility are maximum rate of fuel placement), investment value adjusted or heat input, maximum rate of mate- for inflation, or another accounting rial input, or maximum rate of product procedure if such procedure is based on output. Combustion process units will Generally Accepted Accounting Prin- typically use maximum rate of fuel ciples, provided that the owner or oper- input. For sources having multiple end ator sends a notice to the reviewing au- products and raw materials, the owner thority. The first time that an owner or operator should consider the pri- or operator submits such a notice for a mary product or primary raw material particular process unit, the notice may when selecting a basic design param- be submitted at any time, but any sub- eter. sequent notice for that process unit (iii) If the owner or operator believes may be submitted only at the begin- the basic design parameter(s) in para- ning of the process unit’s fiscal year. graphs (y)(2)(i) and (ii) of this section Unless the owner or operator submits a is not appropriate for a specific indus- notice to the reviewing authority, then try or type of process unit, the owner paragraph (y)(1)(ii) of this section will or operator may propose to the review- be used to establish the replacement ing authority an alternative basic de- value of the process unit. Once the sign parameter(s) for the source’s proc- owner or operator submits a notice to ess unit(s). If the reviewing authority use an alternative accounting proce- approves of the use of an alternative dure, the owner or operator must con- basic design parameter(s), the review- tinue to use that procedure for the en- ing authority shall issue a permit that tire fiscal year for that process unit. In is legally enforceable that records such subsequent fiscal years, the owner or basic design parameter(s) and requires operator must continue to use this se- the owner or operator to comply with lected procedure unless and until the such parameter(s).

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(iv) The owner or operator shall use plan are located in subpart C of part 58 credible information, such as results of of this chapter. historic maximum capability tests, de- [44 FR 27569, May 10, 1979] sign information from the manufacturer, or engineering calculations, in establishing the magnitude of the basic Subpart K—Source Surveillance design parameter(s) specified in paragraphs (y)(2)(i) and (ii) of this section. SOURCE: 51 FR 40673, Nov. 7, 1986, unless (v) If design information is not avail- otherwise noted. able for a process unit, then the owner or operator shall determine the process § 51.210 General. unit’s basic design parameter(s) using Each plan must provide for moni- the maximum value achieved by the toring the status of compliance with process unit in the five-year period im- any rules and regulations that set forth mediately preceding the planned activ- any portion of the control strategy. ity. Specifically, the plan must meet the (vi) Efficiency of a process unit is not requirements of this subpart. a basic design parameter. (3) The replacement activity shall § 51.211 Emission reports and record- not cause the process unit to exceed keeping. any emission limitation, or operational The plan must provide for legally en- limitation that has the effect of con- forceable procedures for requiring own- straining emissions, that applies to the ers or operators of stationary sources process unit and that is legally en- to maintain records of and periodically forceable. report to the State— (a) Information on the nature and NOTE TO PARAGRAPH (y): By a court order on December 24, 2003, this paragraph (y) is amount of emissions from the sta- stayed indefinitely. The stayed provisions tionary sources; and will become effective immediately if the (b) Other information as may be nec- court terminates the stay. At that time, essary to enable the State to determine EPA will publish a document in the FEDERAL whether the sources are in compliance REGISTER advising the public of the termi- with applicable portions of the control nation of the stay. strategy. (Secs. 101(b)(1), 110, 160–169, 171–178, and 301(a), Clean Air Act, as amended (42 U.S.C. § 51.212 Testing, inspection, enforce- 7401(b)(1), 7410, 7470–7479, 7501–7508, and ment, and complaints. 7601(a)); sec. 129(a), Clean Air Act Amend- The plan must provide for— ments of 1977 (Pub. L. 95–95, 91 Stat. 685 (Aug. 7, 1977))) (a) Periodic testing and inspection of stationary sources; and [43 FR 26382, June 19, 1978] (b) Establishment of a system for de- EDITORIAL NOTE: For FEDERAL REGISTER ci- tecting violations of any rules and reg- tations affecting § 51.166, see the List of CFR ulations through the enforcement of Sections Affected, which appears in the appropriate visible emission limita- Finding Aids section of the printed volume tions and for investigating complaints. and at www.govinfo.gov. (c) Enforceable test methods for each EFFECTIVE DATE NOTE: At 76 FR 17553, Mar. emission limit specified in the plan. 30, 2011, § 51.166 paragraphs (b)(2)(v) and For the purpose of submitting compli- (b)(3)(iii)(d) are stayed indefinitely. ance certifications or establishing whether or not a person has violated or Subpart J—Ambient Air Quality is in violation of any standard in this Surveillance part, the plan must not preclude the use, including the exclusive use, of any AUTHORITY: Secs. 110, 301(a), 313, 319, Clean credible evidence or information, rel- Air Act (42 U.S.C. 7410, 7601(a), 7613, 7619). evant to whether a source would have been in compliance with applicable re- § 51.190 Ambient air quality moni- quirements if the appropriate perform- toring requirements. ance or compliance test or procedure The requirements for monitoring am- had been performed. As an enforceable bient air quality for purposes of the method, States may use:

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(1) Any of the appropriate methods in cording requirements to maintain a appendix M to this part, Recommended file of all pertinent information for at Test Methods for State Implementa- least two years following the date of tion Plans; or collection of that information. (2) An alternative method following (2) The information must include review and approval of that method by emission measurements, continuous the Administrator; or monitoring system performance test- (3) Any appropriate method in appen- ing measurements, performance eval- dix A to 40 CFR part 60. uations, calibration checks, and adjust- [51 FR 40673, Nov. 7, 1986, as amended at 55 ments and maintenance performed on FR 14249, Apr. 17, 1990; 62 FR 8328, Feb. 24, such monitoring systems and other re- 1997] ports and records required by appendix P of this part. § 51.213 Transportation control meas- (e) The procedures must require the ures. source owner or operator to submit in- (a) The plan must contain procedures formation relating to emissions and op- for obtaining and maintaining data on eration of the emission monitors to the actual emissions reductions achieved State to the extent described in appen- as a result of implementing transpor- dix P at least as frequently as de- tation control measures. scribed therein. (b) In the case of measures based on (f)(1) The procedures must provide traffic flow changes or reductions in that sources subject to the require- vehicle use, the data must include ob- ments of paragraph (c) of this section served changes in vehicle miles trav- must have installed all necessary eled and average speeds. equipment and shall have begun moni- (c) The data must be maintained in toring and recording within 18 months such a way as to facilitate comparison after either— of the planned and actual efficacy of (i) The approval of a State plan re- the transportation control measures. quiring monitoring for that source; or [61 FR 30163, June 14, 1996] (ii) Promulgation by the Agency of monitoring requirements for that § 51.214 Continuous emission moni- source. toring. (2) The State may grant reasonable (a) The plan must contain legally en- extensions of this period to sources forceable procedures to— that— (1) Require stationary sources sub- (i) Have made good faith efforts to ject to emission standards as part of an purchases, install, and begin the moni- applicable plan to install, calibrate, toring and recording of emission data; maintain, and operate equipment for and continuously monitoring and recording (ii) Have been unable to complete the emissions; and installation within the period. (2) Provide other information as specified in appendix P of this part. (b) The procedures must— Subpart L—Legal Authority (1) Identify the types of sources, by source category and capacity, that SOURCE: 51 FR 40673, Nov. 7, 1986, unless must install the equipment; and otherwise noted. (2) Identify for each source category the pollutants which must be mon- § 51.230 Requirements for all plans. itored. Each plan must show that the State (c) The procedures must, as a min- has legal authority to carry out the imum, require the types of sources set plan, including authority to: forth in appendix P of this part to meet (a) Adopt emission standards and the applicable requirements set forth limitations and any other measures therein. necessary for attainment and mainte- (d)(1) The procedures must contain nance of national standards. provisions that require the owner or (b) Enforce applicable laws, regula- operator of each source subject to con- tions, and standards, and seek injunc- tinuous emission monitoring and re- tive relief.

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(c) Abate pollutant emissions on an thority necessary to carry out the por- emergency basis to prevent substantial tion of plan. endangerment to the health of persons, (b) The State may authorize a local i.e., authority comparable to that agency to carry out a plan, or portion available to the Administrator under thereof, within such local agency’s ju- section 305 of the Act. risdiction if— (d) Prevent construction, modifica- (1) The plan demonstrates to the Ad- tion, or operation of a facility, build- ministrator’s satisfaction that the ing, structure, or installation, or com- local agency has the legal authority bination thereof, which directly or in- necessary to implement the plan or directly results or may result in emis- portion of it; and sions of any air pollutant at any location which will prevent the attainment (2) This authorization does not re- or maintenance of a national standard. lieve the State of responsibility under (e) Obtain information necessary to the Act for carrying out such plan, or determine whether air pollution portion thereof. sources are in compliance with applicable laws, regulations, and standards, Subpart M—Intergovernmental including authority to require record- Consultation keeping and to make inspections and conduct tests of air pollution sources. (f) Require owners or operators of AUTHORITY: Secs. 110, 121, 174(a), 301(a), Clean Air Act, as amended (42 U.S.C. 7410, stationary sources to install, maintain, 7421, 7504, and 7601(a)). and use emission monitoring devices and to make periodic reports to the SOURCE: 44 FR 35179, June 18, 1979, unless State on the nature and amounts of otherwise noted. emissions from such stationary sources; also authority for the State to AGENCY DESIGNATION make such data available to the public § 51.240 General plan requirements. as reported and as correlated with any applicable emission standards or limi- Each State implementation plan tations. must identify organizations, by official title, that will participate in devel- § 51.231 Identification of legal author- oping, implementing, and enforcing the ity. plan and the responsibilities of such or- (a) The provisions of law or regula- ganizations. The plan shall include any tion which the State determines pro- related agreements or memoranda of vide the authorities required under this understanding among the organiza- section must be specifically identified, tions. and copies of such laws or regulations be submitted with the plan. § 51.241 Nonattainment areas for car- (b) The plan must show that the legal bon monoxide and ozone. authorities specified in this subpart are (a) For each AQCR or portion of an available to the State at the time of AQCR in which the national primary submission of the plan. (c) Legal authority adequate to ful- standard for carbon monoxide or ozone fill the requirements of § 51.230 (e) and will not be attained by July 1, 1979, the (f) of this subpart may be delegated to Governor (or Governors for interstate the State under section 114 of the Act. areas) shall certify, after consultation with local officials, the organization § 51.232 Assignment of legal authority responsible for developing the revised to local agencies. implementation plan or portions there- (a) A State government agency other of for such AQCR. than the State air pollution control (b)–(f) [Reserved] agency may be assigned responsibility [44 FR 35179, June 18, 1979, as amended at 48 for carrying out a portion of a plan if FR 29302, June 24, 1983; 60 FR 33922, June 29, the plan demonstrates to the Adminis- 1995; 61 FR 16060, Apr. 11, 1996] trator’s satisfaction that the State governmental agency has the legal au-

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§ 51.242 [Reserved] and effective supervision of progress toward timely compliance. Subpart N—Compliance (b) [Reserved] Schedules Subpart O—Miscellaneous Plan

SOURCE: 51 FR 40673, Nov. 7, 1986, unless Content Requirements otherwise noted. AUTHORITY: Secs. 110, 301(a), 313, 319, Clean § 51.260 Legally enforceable compli- Air Act (42 U.S.C. 7410, 7601(a), 7613, 7619). ance schedules. (a) Each plan shall contain legally § 51.280 Resources. enforceable compliance schedules set- Each plan must include a description ting forth the dates by which all sta- of the resources available to the State tionary and mobile sources or cat- and local agencies at the date of sub- egories of such sources must be in commission of the plan and of any addi- pliance with any applicable require- tional resources needed to carry out ment of the plan. the plan during the 5-year period fol- (b) The compliance schedules must lowing its submission. The description contain increments of progress re- must include projections of the extent quired by § 51.262 of this subpart. to which resources will be acquired at 1-, 3-, and 5-year intervals. § 51.261 Final compliance schedules. [51 FR 40674, Nov. 7, 1986] (a) Unless EPA grants an extension under subpart R, compliance schedules § 51.281 Copies of rules and regula- designed to provide for attainment of a tions. primary standard must— Emission limitations and other meas- (1) Provide for compliance with the ures necessary for attainment and applicable plan requirements as soon as maintenance of any national standard, practicable; or including any measures necessary to (2) Provide for compliance no later implement the requirements of subpart than the date specified for attainment L must be adopted as rules and regula- of the primary standard under; tions enforceable by the State agency. (b) Unless EPA grants an extension Copies of all such rules and regulations under subpart R, compliance schedules must be submitted with the plan. Sub- designed to provide for attainment of a mittal of a plan setting forth proposed secondary standard must— rules and regulations will not satisfy (1) Provide for compliance with the the requirements of this section nor applicable plan requirements in a rea- will it be considered a timely sub- sonable time; or mittal. (2) Provide for compliance no later than the date specified for the attain- [51 FR 40674, Nov. 7, 1986] ment of the secondary standard under § 51.110(c). § 51.285 Public notification. By March 1, 1980, the State shall sub- § 51.262 Extension beyond one year. mit a plan revision that contains provi- (a) Any compliance schedule or revisions for: sion of it extending over a period of (a) Notifying the public on a regular more than one year from the date of its basis of instances or areas in which any adoption by the State agency must primary standard was exceeded during provide for legally enforceable incre- any portion of the preceding calendar ments of progress toward compliance year, by each affected source or category of (b) Advising the public of the health sources. The increments of progress hazards associated with such an ex- must include— ceedance of a primary standard, and (1) Each increment of progress speci- (c) Increasing public awareness of: fied in § 51.100(q); and (1) Measures which can be taken to (2) Additional increments of progress prevent a primary standard from being as may be necessary to permit close exceeded, and

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(2) Ways in which the public can par- § 51.301 Definitions. ticipate in regulatory and other efforts For purposes of this subpart: to improve air quality. Adverse impact on visibility means, for [44 FR 27569, May 10, 1979] purposes of section 307, visibility impairment which interferes with the § 51.286 Electronic reporting. management, protection, preservation, States that wish to receive electronic or enjoyment of the visitor’s visual ex- documents must revise the State Im- perience of the Federal Class I area. plementation Plan to satisfy the re- This determination must be made on a quirements of 40 CFR Part 3—(Elec- case-by-case basis taking into account tronic reporting). the geographic extent, intensity, duration, frequency and time of visibility [70 FR 59887, Oct. 13, 2005] impairments, and how these factors correlate with (1) times of visitor use Subpart P—Protection of Visibility of the Federal Class I area, and (2) the frequency and timing of natural conditions that reduce visibility. This term AUTHORITY: Secs. 110, 114, 121, 160–169, 169A, does not include effects on integral vis- and 301 of the Clean Air Act, (42 U.S.C. 7410, tas. 7414, 7421, 7470–7479, and 7601). Agency means the U.S. Environ- SOURCE: 45 FR 80089, Dec. 2, 1980, unless mental Protection Agency. otherwise noted. BART-eligible source means an existing stationary facility as defined in this sec- § 51.300 Purpose and applicability. tion. (a) Purpose. The primary purposes of Baseline visibility condition means the this subpart are to require States to average of the five annual averages of develop programs to assure reasonable the individual values of daily visibility progress toward meeting the national for the period 2000–2004 unique to each goal of preventing any future, and rem- Class I area for either the most im- edying any existing, impairment of vis- paired days or the clearest days. ibility in mandatory Class I Federal Best Available Retrofit Technology areas which impairment results from (BART) means an emission limitation manmade air pollution; and to estab- based on the degree of reduction lish necessary additional procedures achievable through the application of for new source permit applicants, the best system of continuous emission States and Federal Land Managers to reduction for each pollutant which is use in conducting the visibility impact emitted by an existing stationary facil- analysis required for new sources under ity. The emission limitation must be § 51.166. This subpart sets forth require- established, on a case-by-case basis, ments addressing visibility impairment taking into consideration the tech- in its two principal forms: ‘‘reasonably nology available, the costs of compli- attributable’’ impairment (i.e., impair- ance, the energy and nonair quality en- ment attributable to a single source/ vironmental impacts of compliance, small group of sources) and regional any pollution control equipment in use haze (i.e., widespread haze from a mul- or in existence at the source, the re- titude of sources which impairs visi- maining useful life of the source, and the degree of improvement in visibility bility in every direction over a large which may reasonably be anticipated area). to result from the use of such tech- (b) Applicability The provisions of this nology. subpart are applicable to all States as Building, structure, or facility means defined in section 302(d) of the Clean all of the pollutant-emitting activities Air Act (CAA) except Guam, Puerto which belong to the same industrial Rico, American Samoa, and the North- grouping, are located on one or more ern Mariana Islands. contiguous or adjacent properties, and [45 FR 80089, Dec. 2, 1980, as amended at 64 are under the control of the same per- FR 35763, July 1, 1999; 82 FR 3122, Jan. 10, son (or persons under common control). 2017] Pollutant-emitting activities must be

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considered as part of the same indus- Fossil-fuel fired steam electric plants trial grouping if they belong to the of more than 250 million British ther- same Major Group (i.e., which have the mal units per hour heat input, same two-digit code) as described in Coal cleaning plants (thermal dry- the Standard Industrial Classification ers), Manual, 1972 as amended by the 1977 Kraft pulp mills, Supplement (U.S. Government Printing Portland cement plants, Office stock numbers 4101–0066 and 003– Primary zinc smelters, 005–00176–0 respectively). Iron and steel mill plants, Clearest days means the twenty per- Primary aluminum ore reduction cent of monitored days in a calendar plants, year with the lowest values of the Primary copper smelters, deciview index. Municipal incinerators capable of Current visibility condition means the charging more than 250 tons of refuse average of the five annual averages of per day, individual values of daily visibility for Hydrofluoric, sulfuric, and nitric acid the most recent period for which data plants, are available unique to each Class I Petroleum refineries, area for either the most impaired days Lime plants, or the clearest days. Phosphate rock processing plants, Deciview is the unit of measurement Coke oven batteries, on the deciview index scale for quanti- Sulfur recovery plants, fying in a standard manner human per- Carbon black plants (furnace proc- ceptions of visibility. ess), Deciview index means a value for a Primary lead smelters, day that is derived from calculated or Fuel conversion plants, measured light extinction, such that Sintering plants, uniform increments of the index cor- Secondary metal production facili- respond to uniform incremental ties, changes in perception across the entire Chemical process plants, range of conditions, from pristine to Fossil-fuel boilers of more than 250 very obscured. The deciview index is million British thermal units per hour calculated based on the following equa- heat input, tion (for the purposes of calculating Petroleum storage and transfer fa- deciview using IMPROVE data, the at- cilities with a capacity exceeding mospheric light extinction coefficient 300,000 barrels, must be calculated from aerosol meas- Taconite ore processing facilities, urements and an estimate of Rayleigh Glass fiber processing plants, and scattering): Charcoal production facilities. ¥1 Deciview index = 10 ln (bext/10 Mm ). Federal Class I area means any Fed- bext = the atmospheric light extinc- eral land that is classified or reclassi- tion coefficient, expressed in inverse fied Class I. megameters (Mm¥1). Federal Land Manager means the Sec- End of the applicable implementation retary of the department with author- period means December 31 of the year ity over the Federal Class I area (or the in which the next periodic comprehen- Secretary’s designee) or, with respect sive implementation plan revision is to Roosevelt-Campobello International due under § 51.308(f). Park, the Chairman of the Roosevelt- Existing stationary facility means any Campobello International Park Com- of the following stationary sources of mission. air pollutants, including any recon- Federally enforceable means all limi- structed source, which was not in oper- tations and conditions which are en- ation prior to August 7, 1962, and was forceable by the Administrator under in existence on August 7, 1977, and has the Clean Air Act including those re- the potential to emit 250 tons per year quirements developed pursuant to or more of any air pollutant. In deter- parts 60 and 61 of this title, require- mining potential to emit, fugitive ments within any applicable State Im- emissions, to the extent quantifiable, plementation Plan, and any permit re- must be counted. quirements established pursuant to

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§ 52.21 of this chapter or under regula- endar year with the lowest amounts of tions approved pursuant to part 51, 52, visibility impairment. or 60 of this title. Major stationary source and major Fixed capital cost means the capital modification mean major stationary needed to provide all of the depreciable source and major modification, respec- components. tively, as defined in § 51.166. Fugitive Emissions means those emis- Mandatory Class I Federal Area or sions which could not reasonably pass Mandatory Federal Class I Area means through a stack, chimney, vent, or any area identified in part 81, subpart other functionally equivalent opening. D of this title. Geographic enhancement for the pur- Most impaired days means the twenty pose of § 51.308 means a method, proce- percent of monitored days in a cal- dure, or process to allow a broad regional strategy, such as an emissions endar year with the highest amounts of trading program designed to achieve anthropogenic visibility impairment. greater reasonable progress than BART Natural conditions reflect naturally for regional haze, to accommodate occurring phenomena that reduce visi- BART for reasonably attributable im- bility as measured in terms of light ex- pairment. tinction, visual range, contrast, or col- Implementation plan means, for the oration, and may refer to the condi- purposes of this part, any State Imple- tions on a single day or a set of days. mentation Plan, Federal Implementa- These phenomena include, but are not tion Plan, or Tribal Implementation limited to, humidity, fire events, dust Plan. storms, volcanic activity, and biogenic Indian tribe or tribe means any Indian emissions from soils and trees. These tribe, band, nation, or other organized phenomena may be near or far from a group or community, including any Class I area and may be outside the Alaska Native village, which is feder- United States. ally recognized as eligible for the spe- Natural visibility means visibility cial programs and services provided by (contrast, coloration, and texture) on a the United States to Indians because of day or days that would have existed their status as Indians. under natural conditions. Natural visi- In existence means that the owner or bility varies with time and location, is operator has obtained all necessary estimated or inferred rather than di- preconstruction approvals or permits rectly measured, and may have long- required by Federal, State, or local air term trends due to long-term trends in pollution emissions and air quality natural conditions. laws or regulations and either has (1) Natural visibility condition means the begun, or caused to begin, a continuous average of individual values of daily program of physical on-site construc- natural visibility unique to each Class tion of the facility or (2) entered into binding agreements or contractual ob- I area for either the most impaired ligations, which cannot be cancelled or days or the clearest days. modified without substantial loss to Potential to emit means the maximum the owner or operator, to undertake a capacity of a stationary source to emit program of construction of the facility a pollutant under its physical and oper- to be completed in a reasonable time. ational design. Any physical or oper- In operation means engaged in activ- ational limitation on the capacity of ity related to the primary design func- the source to emit a pollutant includ- tion of the source. ing air pollution control equipment Installation means an identifiable and restrictions on hours of operation piece of process equipment. or on the type or amount of material Integral vista means a view perceived combusted, stored, or processed, shall from within the mandatory Class I be treated as part of its design if the Federal area of a specific landmark or limitation or the effect it would have panorama located outside the boundary on emissions is federally enforceable. of the mandatory Class I Federal area. Secondary emissions do not count in Least impaired days means the twenty determining the potential to emit of a percent of monitored days in a cal- stationary source.

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Prescribed fire means any fire inten- Stationary Source means any building, tionally ignited by management ac- structure, facility, or installation tions in accordance with applicable which emits or may emit any air pol- laws, policies, and regulations to meet lutant. specific land or resource management Visibility means the degree of per- objectives. ceived clarity when viewing objects at Reasonably attributable means attrib- a distance. Visibility includes per- utable by visual observation or any ceived changes in contrast, coloration, other appropriate technique. and texture elements in a scene. Reasonably attributable visibility im- Visibility impairment or anthropogenic pairment means visibility impairment visibility impairment means any hu- that is caused by the emission of air manly perceptible difference due to air pollutants from one, or a small number pollution from anthropogenic sources of sources. between actual visibility and natural Reconstruction will be presumed to visibility on one or more days. Because have taken place where the fixed cap- natural visibility can only be esti- ital cost of the new component exceeds mated or inferred, visibility impair- 50 percent of the fixed capital cost of a ment also is estimated or inferred rath- comparable entirely new source. Any er than directly measured. final decision as to whether reconstruc- Visibility in any mandatory Class I Fed- tion has occurred must be made in ac- eral area includes any integral vista as- cordance with the provisions of § 60.15 sociated with that area. (f) (1) through (3) of this title. Wildfire means any fire started by an Regional haze means visibility im- unplanned ignition caused by light- pairment that is caused by the emis- ning; volcanoes; other acts of nature; sion of air pollutants from numerous unauthorized activity; or accidental, anthropogenic sources located over a human-caused actions, or a prescribed wide geographic area. Such sources in- fire that has developed into a wildfire. clude, but are not limited to, major A wildfire that predominantly occurs and minor stationary sources, mobile on wildland is a natural event. sources, and area sources. Wildland means an area in which Secondary emissions means emissions human activity and development is es- which occur as a result of the construc- sentially non-existent, except for tion or operation of an existing sta- roads, railroads, power lines, and simi- tionary facility but do not come from lar transportation facilities. Struc- the existing stationary facility. Sec- tures, if any, are widely scattered. ondary emissions may include, but are not limited to, emissions from ships or [45 FR 80089, Dec. 2, 1980, as amended at 64 trains coming to or from the existing FR 35763, 35774, July 1, 1999; 82 FR 3122, Jan. stationary facility. 10, 2017] Significant impairment means, for purposes of § 51.303, visibility impairment § 51.302 Reasonably attributable visi- which, in the judgment of the Adminis- bility impairment. trator, interferes with the manage- (a) The affected Federal Land Man- ment, protection, preservation, or en- ager may certify, at any time, that joyment of the visitor’s visual experi- there exists reasonably attributable ence of the mandatory Class I Federal visibility impairment in any manda- area. This determination must be made tory Class I Federal area and identify on a case-by-case basis taking into ac- which single source or small number of count the geographic extent, intensity, sources is responsible for such impair- duration, frequency and time of the ment. The affected Federal Land Man- visibility impairment, and how these ager will provide the certification to factors correlate with (1) times of vis- the State in which the impairment oc- itor use of the mandatory Class I Fed- curs and the State(s) in which the eral area, and (2) the frequency and source(s) is located. The affected Fed- timing of natural conditions that re- eral Land Manager shall provide the duce visibility. State(s) in which the source(s) is lo- State means ‘‘State’’ as defined in cated an opportunity to consult on the section 302(d) of the CAA. basis of the planned certification, in

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person and at least 60 days prior to pro- Federal Land Manager certifies to the viding the certification to the State(s). State(s) under paragraph (a) of this (b) The State(s) in which the section, the State(s) shall submit a resource(s) is located shall revise its revision to its regional haze implementa- gional haze implementation plan, in tion plan that includes the elements accordance with the schedule set forth described in paragraphs (b) and (c) of in paragraph (d) of this section, to in- this section no later than 3 years after clude for each source or small number the date of the certification. The of sources that the Federal Land Man- State(s) is not required at that time to ager has identified in whole or in part also revise its reasonable progress for reasonably attributable visibility goals to reflect any additional emis- impairment as part of a certification sion reductions required from the under paragraph (a) of this section: source or sources. In no case shall such (1) A determination, based on the fac- a revision in response to a reasonably tors set forth in § 51.308(f)(2), of the con- attributable visibility impairment cer- trol measures, if any, that are nec- tification be due before July 31, 2021. essary with respect to the source or sources in order for the plan to make [82 FR 3123, Jan. 10, 2017] reasonable progress toward natural vis- § 51.303 Exemptions from control. ibility conditions in the affected Class I Federal area; (a)(1) Any existing stationary facility (2) Emission limitations that reflect subject to the requirement under the degree of emission reduction § 51.302(c) or § 51.308(e) to install, oper- achievable by such control measures ate, and maintain BART may apply to and schedules for compliance as expedi- the Administrator for an exemption tiously as practicable; and from that requirement. (3) Monitoring, recordkeeping, and (2) An application under this section reporting requirements sufficient to must include all available documenta- ensure the enforceability of the emis- tion relevant to the impact of the sion limitations. source’s emissions on visibility in any (c) If a source that the Federal Land mandatory Class I Federal area and a Manager has identified as responsible demonstration by the existing stain whole or in part for reasonably at- tionary facility that it does not or will tributable visibility impairment as not, by itself or in combination with part of a certification under paragraph other sources, emit any air pollutant (a) of this section is a BART-eligible which may be reasonably anticipated source, and if there is not in effect as to cause or contribute to a significant of the date of the certification a fully impairment of visibility in any manda- or conditionally approved implementa- tory Class I Federal area. tion plan addressing the BART require- (b) Any fossil-fuel fired power plant ment for that source (which existing with a total generating capacity of 750 plan may incorporate either source- megawatts or more may receive an ex- specific emission limitations reflecting emption from BART only if the owner the emission control performance of or operator of such power plant dem- BART, an alternative program to ad- onstrates to the satisfaction of the Ad- dress the BART requirement under ministrator that such power plant is § 51.308(e)(2) through (4), or for sources located at such a distance from all of SO2, a program approved under para- mandatory Class I Federal areas that graph § 51.309(d)(4)), then the State such power plant does not or will not, shall revise its regional haze imple- by itself or in combination with other mentation plan to meet the require- sources, emit any air pollutant which ments of § 51.308(e) with respect to that may reasonably be anticipated to cause source, taking into account current or contribute to significant impair- conditions related to the factors listed ment of visibility in any such manda- in § 51.308(e)(1)(ii)(A). This requirement tory Class I Federal area. is in addition to the requirement of (c) Application under this § 51.303 paragraph (b) of this section. must be accompanied by a written con- (d) For any existing reasonably at- currence from the State with regu- tributable visibility impairment the latory authority over the source.

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(d) The existing stationary facility (c) The State must list in its imple- must give prior written notice to all af- mentation plan any integral vista list- fected Federal Land Managers of any ed in paragraph (b) of this section. application for exemption under this [82 FR 3123, Jan. 10, 2017] § 51.303. (e) The Federal Land Manager may § 51.305 Monitoring for reasonably at- provide an initial recommendation or tributable visibility impairment. comment on the disposition of such ap- For the purposes of addressing rea- plication. Such recommendation, sonably attributable visibility impair- where provided, must be part of the ex- ment, if the Administrator, Regional emption application. This rec- Administrator, or the affected Federal ommendation is not to be construed as Land Manager has advised a State con- the concurrence required under para- taining a mandatory Class I Federal graph (h) of this section. area of a need for monitoring to assess (f) The Administrator, within 90 days reasonably attributable visibility im- of receipt of an application for exemp- pairment at the mandatory Class I tion from control, will provide notice Federal area in addition to the moni- of receipt of an exemption application toring currently being conducted to and notice of opportunity for public meet the requirements of § 51.308(d)(4), hearing on the application. the State must include in the next im- (g) After notice and opportunity for plementation plan revision to meet the public hearing, the Administrator may requirement of § 51.308(f) an appropriate grant or deny the exemption. For pur- strategy for evaluating reasonably at- poses of judicial review, final EPA ac- tributable visibility impairment in the tion on an application for an exemp- mandatory Class I Federal area by vis- tion under this § 51.303 will not occur ual observation or other appropriate until EPA approves or disapproves the monitoring techniques. Such strategy State Implementation Plan revision. must take into account current and an- (h) An exemption granted by the Ad- ticipated visibility monitoring re- ministrator under this § 51.303 will be search, the availability of appropriate effective only upon concurrence by all monitoring techniques, and such guid- affected Federal Land Managers with ance as is provided by the Agency. the Administrator’s determination. [82 FR 3124, Jan. 10, 2017] [45 FR 80089, Dec. 2, 1980, as amended at 64 FR 35774, July 1, 1999; 82 FR 3123, Jan. 10, § 51.306 [Reserved] 2017] § 51.307 New source review. § 51.304 Identification of integral vis- (a) For purposes of new source review tas. of any new major stationary source or (a) Federal Land Managers were re- major modification that would be con- quired to identify any integral vistas structed in an area that is designated on or before December 31, 1985, accord- attainment or unclassified under sec- ing to criteria the Federal Land Man- tion 107(d) of the CAA, the State plan agers developed. These criteria must must, in any review under § 51.166 with have included, but were not limited to, respect to visibility protection and whether the integral vista was impor- analyses, provide for: tant to the visitor’s visual experience (1) Written notification of all af- of the mandatory Class I Federal area. fected Federal Land Managers of any (b) The following integral vistas were proposed new major stationary source identified by Federal Land Managers: or major modification that may affect At Roosevelt Campobello International visibility in any Federal Class I area. Park, from the observation point of Such notification must be made in Roosevelt cottage and beach area, the writing and include a copy of all infor- viewing angle from 244 to 256 degrees; mation relevant to the permit applica- and at Roosevelt Campobello Inter- tion within 30 days of receipt of and at national Park, from the observation least 60 days prior to public hearing by point of Friar’s Head, the viewing the State on the application for permit angle from 154 to 194 degrees. to construct. Such notification must

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include an analysis of the anticipated (d) The State may require moni- impacts on visibility in any Federal toring of visibility in any Federal Class Class I area, I area near the proposed new sta- (2) Where the State requires or re- tionary source or major modification ceives advance notification (e.g. early for such purposes and by such means as consultation with the source prior to the State deems necessary and appro- submission of the application or notifi- priate. cation of intent to monitor under [45 FR 80089, Dec. 2, 1980, as amended at 64 § 51.166) of a permit application of a FR 35765, 35774, July 1, 1999; 82 FR 3124, Jan. source that may affect visibility the 10, 2017] State must notify all affected Federal Land Managers within 30 days of such § 51.308 Regional haze program re- advance notification, and quirements. (3) Consideration of any analysis per- (a) What is the purpose of this section? formed by the Federal Land Manager, This section establishes requirements provided within 30 days of the notifica- for implementation plans, plan revi- tion and analysis required by para- sions, and periodic progress reviews to graph (a)(1) of this section, that such address regional haze. proposed new major stationary source (b) When are the first implementation or major modification may have an ad- plans due under the regional haze pro- verse impact on visibility in any Fed- gram? Except as provided in § 51.309(c), eral Class I area. Where the State finds each State identified in § 51.300(b) must that such an analysis does not dem- submit, for the entire State, an imple- onstrate to the satisfaction of the mentation plan for regional haze meet- State that an adverse impact will re- ing the requirements of paragraphs (d) sult in the Federal Class I area, the and (e) of this section no later than De- State must, in the notice of public cember 17, 2007. hearing, either explain its decision or (c) [Reserved] give notice as to where the explanation (d) What are the core requirements for can be obtained. the implementation plan for regional haze? The State must address regional (b) The plan shall also provide for the haze in each mandatory Class I Federal review of any new major stationary area located within the State and in source or major modification: each mandatory Class I Federal area (1) That may have an impact on any located outside the State which may be integral vista of a mandatory Class I affected by emissions from within the Federal area listed in § 51.304(b), or State. To meet the core requirements (2) That proposes to locate in an area for regional haze for these areas, the classified as nonattainment under sec- State must submit an implementation tion 107(d)(1) of the Clean Air Act that plan containing the following plan ele- may have an impact on visibility in ments and supporting documentation any mandatory Class I Federal area. for all required analyses: (c) Review of any major stationary (1) Reasonable progress goals. For each source or major modification under mandatory Class I Federal area located paragraph (b) of this section, shall be within the State, the State must estab- conducted in accordance with para- lish goals (expressed in deciviews) that graph (a) of this section, and § 51.166(o), provide for reasonable progress towards (p)(1) through (2), and (q). In con- achieving natural visibility conditions. ducting such reviews the State must The reasonable progress goals must ensure that the source’s emissions will provide for an improvement in visi- be consistent with making reasonable bility for the most impaired days over progress toward the national visibility the period of the implementation plan goal referred to in § 51.300(a). The State and ensure no degradation in visibility may take into account the costs of for the least impaired days over the compliance, the time necessary for same period. compliance, the energy and nonair (i) In establishing a reasonable quality environmental impacts of com- progress goal for any mandatory Class pliance, and the useful life of the I Federal area within the State, the source. State must:

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(A) Consider the costs of compliance, with those States which may reason- the time necessary for compliance, the ably be anticipated to cause or con- energy and non-air quality environ- tribute to visibility impairment in the mental impacts of compliance, and the mandatory Class I Federal area. In any remaining useful life of any potentially situation in which the State cannot affected sources, and include a dem- agree with another such State or group onstration showing how these factors of States that a goal provides for rea- were taken into consideration in se- sonable progress, the State must de- lecting the goal. scribe in its submittal the actions (B) Analyze and determine the rate of taken to resolve the disagreement. In progress needed to attain natural visi- reviewing the State’s implementation bility conditions by the year 2064. To plan submittal, the Administrator will calculate this rate of progress, the take this information into account in State must compare baseline visibility determining whether the State’s goal conditions to natural visibility condi- for visibility improvement provides for tions in the mandatory Federal Class I reasonable progress towards natural area and determine the uniform rate of visibility conditions. visibility improvement (measured in (v) The reasonable progress goals es- deciviews) that would need to be main- tablished by the State are not directly tained during each implementation pe- enforceable but will be considered by riod in order to attain natural visi- the Administrator in evaluating the bility conditions by 2064. In estab- adequacy of the measures in the imple- lishing the reasonable progress goal, mentation plan to achieve the progress the State must consider the uniform goal adopted by the State. rate of improvement in visibility and (vi) The State may not adopt a rea- the emission reduction measures need- sonable progress goal that represents ed to achieve it for the period covered less visibility improvement than is ex- by the implementation plan. pected to result from implementation (ii) For the period of the implementa- of other requirements of the CAA dur- tion plan, if the State establishes a ing the applicable planning period. reasonable progress goal that provides (2) Calculations of baseline and natural for a slower rate of improvement in visibility conditions. For each manda- visibility than the rate that would be tory Class I Federal area located with- needed to attain natural conditions by in the State, the State must determine 2064, the State must demonstrate, the following visibility conditions (ex- based on the factors in paragraph pressed in deciviews): (d)(1)(i)(A) of this section, that the rate (i) Baseline visibility conditions for of progress for the implementation the most impaired and least impaired plan to attain natural conditions by days. The period for establishing base- 2064 is not reasonable; and that the line visibility conditions is 2000 to 2004. progress goal adopted by the State is Baseline visibility conditions must be reasonable. The State must provide to calculated, using available monitoring the public for review as part of its im- data, by establishing the average de- plementation plan an assessment of the gree of visibility impairment for the number of years it would take to at- most and least impaired days for each tain natural conditions if visibility im- calendar year from 2000 to 2004. The provement continues at the rate of baseline visibility conditions are the progress selected by the State as rea- average of these annual values. For sonable. mandatory Class I Federal areas with- (iii) In determining whether the out onsite monitoring data for 2000– State’s goal for visibility improvement 2004, the State must establish baseline provides for reasonable progress to- values using the most representative wards natural visibility conditions, the available monitoring data for 2000–2004, Administrator will evaluate the dem- in consultation with the Administrator onstrations developed by the State pur- or his or her designee; suant to paragraphs (d)(1)(i) and (ii) For an implementation plan that (d)(1)(ii) of this section. is submitted by 2003, the period for es- (iv) In developing each reasonable tablishing baseline visibility condi- progress goal, the State must consult tions for the period of the first long-

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term strategy is the most recent 5-year pairment in any mandatory Class I period for which visibility monitoring Federal area within the State. data are available for the mandatory (ii) Where other States cause or con- Class I Federal areas addressed by the tribute to impairment in a mandatory plan. For mandatory Class I Federal Class I Federal area, the State must areas without onsite monitoring data, demonstrate that it has included in its the State must establish baseline val- implementation plan all measures nec- ues using the most representative essary to obtain its share of the emis- available monitoring data, in consulta- sion reductions needed to meet the tion with the Administrator or his or progress goal for the area. If the State her designee; has participated in a regional planning (iii) Natural visibility conditions for process, the State must ensure it has the most impaired and least impaired included all measures needed to days. Natural visibility conditions achieve its apportionment of emission must be calculated by estimating the reduction obligations agreed upon degree of visibility impairment exist- through that process. ing under natural conditions for the (iii) The State must document the most impaired and least impaired days, technical basis, including modeling, based on available monitoring informa- monitoring and emissions information, tion and appropriate data analysis techniques; and on which the State is relying to determine its apportionment of emission re- (iv) For the first implementation plan addressing the requirements of duction obligations necessary for paragraphs (d) and (e) of this section, achieving reasonable progress in each the number of deciviews by which base- mandatory Class I Federal area it af- line conditions exceed natural visi- fects. The State may meet this require- bility conditions for the most impaired ment by relying on technical analyses and least impaired days. developed by the regional planning or- (3) Long-term strategy for regional ganization and approved by all State haze. Each State listed in § 51.300(b) participants. The State must identify must submit a long-term strategy that the baseline emissions inventory on addresses regional haze visibility im- which its strategies are based. The pairment for each mandatory Class I baseline emissions inventory year is Federal area within the State and for presumed to be the most recent year of each mandatory Class I Federal area the consolidate periodic emissions in- located outside the State that may be ventory. affected by emissions from the State. (iv) The State must identify all an- The long-term strategy must include thropogenic sources of visibility im- enforceable emissions limitations, pairment considered by the State in de- compliance schedules, and other meas- veloping its long-term strategy. The ures as necessary to achieve the rea- State should consider major and minor sonable progress goals established by stationary sources, mobile sources, and States having mandatory Class I Fed- area sources. eral areas. In establishing its long- (v) The State must consider, at a term strategy for regional haze, the minimum, the following factors in de- State must meet the following require- veloping its long-term strategy: ments: (A) Emission reductions due to ongo- (i) Where the State has emissions ing air pollution control programs, in- that are reasonably anticipated to concluding measures to address reasonably tribute to visibility impairment in any attributable visibility impairment; mandatory Class I Federal area located (B) Measures to mitigate the impacts in another State or States, the State of construction activities; must consult with the other State(s) in order to develop coordinated emission (C) Emissions limitations and sched- management strategies. The State ules for compliance to achieve the rea- must consult with any other State hav- sonable progress goal; ing emissions that are reasonably an- (D) Source retirement and replace- ticipated to contribute to visibility im- ment schedules;

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(E) Smoke management techniques (v) A statewide inventory of emis- for agricultural and forestry manage- sions of pollutants that are reasonably ment purposes including plans as cur- anticipated to cause or contribute to rently exist within the State for these visibility impairment in any manda- purposes; tory Class I Federal area. The inven- (F) Enforceability of emissions limi- tory must include emissions for a base- tations and control measures; and line year, emissions for the most re- (G) The anticipated net effect on visi- cent year for which data are available, bility due to projected changes in and estimates of future projected emis- point, area, and mobile source emissions. The State must also include a sions over the period addressed by the commitment to update the inventory long-term strategy. periodically. (4) Monitoring strategy and other imple- (vi) Other elements, including report- mentation plan requirements. The State ing, recordkeeping, and other meas- must submit with the implementation ures, necessary to assess and report on plan a monitoring strategy for meas- visibility. uring, characterizing, and reporting of (e) Best Available Retrofit Technology regional haze visibility impairment (BART) requirements for regional haze that is representative of all mandatory visibility impairment. The State must Class I Federal areas within the State. submit an implementation plan con- This monitoring strategy must be co- taining emission limitations rep- ordinated with the monitoring strategy resenting BART and schedules for com- required in § 51.305 for reasonably at- pliance with BART for each BART-eli- tributable visibility impairment. Com- gible source that may reasonably be pliance with this requirement may be anticipated to cause or contribute to met through participation in the Inter- any impairment of visibility in any agency Monitoring of Protected Visual mandatory Class I Federal area, unless Environments network. The implemen- the State demonstrates that an emis- tation plan must also provide for the sions trading program or other alter- following: native will achieve greater reasonable (i) The establishment of any addi- progress toward natural visibility con- tional monitoring sites or equipment ditions. needed to assess whether reasonable (1) To address the requirements for progress goals to address regional haze BART, the State must submit an im- for all mandatory Class I Federal areas plementation plan containing the fol- within the State are being achieved. lowing plan elements and include docu- (ii) Procedures by which monitoring mentation for all required analyses: data and other information are used in (i) A list of all BART-eligible sources determining the contribution of emis- within the State. sions from within the State to regional (ii) A determination of BART for haze visibility impairment at manda- each BART-eligible source in the State tory Class I Federal areas both within that emits any air pollutant which and outside the State. may reasonably be anticipated to cause (iii) For a State with no mandatory or contribute to any impairment of vis- Class I Federal areas, procedures by ibility in any mandatory Class I Fed- which monitoring data and other infor- eral area. All such sources are subject mation are used in determining the to BART. contribution of emissions from within (A) The determination of BART must the State to regional haze visibility be based on an analysis of the best sys- impairment at mandatory Class I Fed- tem of continuous emission control eral areas in other States. technology available and associated (iv) The implementation plan must emission reductions achievable for provide for the reporting of all visi- each BART-eligible source that is sub- bility monitoring data to the Adminis- ject to BART within the State. In this trator at least annually for each man- analysis, the State must take into con- datory Class I Federal area in the sideration the technology available, State. To the extent possible, the State the costs of compliance, the energy and should report visibility monitoring nonair quality environmental impacts data electronically. of compliance, any pollution control

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equipment in use at the source, the re- achieved through the installation and maining useful life of the source, and operation of BART. For all such emis- the degree of improvement in visibility sion trading programs or other alter- which may reasonably be anticipated native measures, the State must sub- to result from the use of such tech- mit an implementation plan con- nology. taining the following plan elements (B) The determination of BART for and include documentation for all re- fossil-fuel fired power plants having a quired analyses: total generating capacity greater than (i) A demonstration that the emis- 750 megawatts must be made pursuant sions trading program or other alter- to the guidelines in appendix Y of this native measure will achieve greater part (Guidelines for BART Determina- reasonable progress than would have tions Under the Regional Haze Rule). resulted from the installation and op- (C) Exception. A State is not required eration of BART at all sources subject to make a determination of BART for to BART in the State and covered by SO2 or for NOX if a BART-eligible the alternative program. This dem- source has the potential to emit less onstration must be based on the fol- than 40 tons per year of such pollut- lowing: ant(s), or for PM10 if a BART-eligible (A) A list of all BART-eligible source has the potential to emit less sources within the State. than 15 tons per year of such pollutant. (B) A list of all BART-eligible (iii) If the State determines in estab- sources and all BART source categories lishing BART that technological or covered by the alternative program. economic limitations on the applica- The State is not required to include bility of measurement methodology to every BART source category or every a particular source would make the im- BART-eligible source within a BART position of an emission standard infea- source category in an alternative pro- sible, it may instead prescribe a design, gram, but each BART-eligible source in equipment, work practice, or other the State must be subject to the re- operational standard, or combination quirements of the alternative program, thereof, to require the application of have a federally enforceable emission BART. Such standard, to the degree limitation determined by the State and possible, is to set forth the emission re- approved by EPA as meeting BART in duction to be achieved by implementa- accordance with section 302(c) or para- tion of such design, equipment, work graph (e)(1) of this section, or other- practice or operation, and must provide wise addressed under paragraphs (e)(1) for compliance by means which achieve or (e)(4)of this section. equivalent results. (C) An analysis of the best system of (iv) A requirement that each source continuous emission control tech- subject to BART be required to install nology available and associated emis- and operate BART as expeditiously as sion reductions achievable for each practicable, but in no event later than source within the State subject to 5 years after approval of the implemen- BART and covered by the alternative tation plan revision. program. This analysis must be con- (v) A requirement that each source ducted by making a determination of subject to BART maintain the control BART for each source subject to BART equipment required by this subpart and and covered by the alternative program establish procedures to ensure such as provided for in paragraph (e)(1) of equipment is properly operated and this section, unless the emissions trad- maintained. ing program or other alternative meas- (2) A State may opt to implement or ure has been designed to meet a re- require participation in an emissions quirement other than BART (such as trading program or other alternative the core requirement to have a long- measure rather than to require sources term strategy to achieve the reason- subject to BART to install, operate, able progress goals established by and maintain BART. Such an emis- States). In this case, the State may de- sions trading program or other alter- termine the best system of continuous native measure must achieve greater emission control technology and asso- reasonable progress than would be ciated emission reductions for similar

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types of sources within a source cat- tors of sources and other entities to egory based on both source-specific and purchase, sell, and transfer allowances, category-wide information, as appro- the following elements are required priate. concerning the emissions covered by (D) An analysis of the projected emis- the cap: sions reductions achievable through (A) Applicability provisions defining the trading program or other alter- the sources subject to the program. native measure. The State must demonstrate that the (E) A determination under paragraph applicability provisions (including the (e)(3) of this section or otherwise based size criteria for including sources in on the clear weight of evidence that the program) are designed to prevent the trading program or other alter- any significant potential shifting with- native measure achieves greater rea- in the State of production and emis- sonable progress than would be sions from sources in the program to achieved through the installation and sources outside the program. In the operation of BART at the covered case of a program covering sources in sources. multiple States, the States must dem- (ii) [Reserved] onstrate that the applicability provi- (iii) A requirement that all necessary sions in each State cover essentially emission reductions take place during the same size facilities and, if source the period of the first long-term strat- categories are specified, cover the same egy for regional haze. To meet this resource categories and prevent any sig- quirement, the State must provide a nificant, potential shifting within such detailed description of the emissions States of production and emissions to trading program or other alternative sources outside the program. measure, including schedules for imple- (B) Allowance provisions ensuring mentation, the emission reductions re- that the total value of allowances (in quired by the program, all necessary tons) issued each year under the pro- administrative and technical proce- gram will not exceed the emissions cap dures for implementing the program, (in tons) on total annual emissions rules for accounting and monitoring from the sources in the program. emissions, and procedures for enforce- (C) Monitoring provisions providing ment. for consistent and accurate measure- (iv) A demonstration that the emis- ments of emissions from sources in the sion reductions resulting from the program to ensure that each allowance emissions trading program or other al- actually represents the same specified ternative measure will be surplus to tonnage of emissions and that emis- those reductions resulting from meas- sions are measured with similar accu- ures adopted to meet requirements of racy at all sources in the program. The the CAA as of the baseline date of the monitoring provisions must require SIP. that boilers, combustion turbines, and (v) At the State’s option, a provision cement kilns in the program allowed to that the emissions trading program or sell or transfer allowances must com- other alternative measure may include ply with the requirements of part 75 of a geographic enhancement to the pro- this chapter. The monitoring provi- gram to address the requirement under sions must require that other sources § 51.302(b) or (c) related to reasonably in the program allowed to sell or trans- attributable impairment from the pol- fer allowances must provide emissions lutants covered under the emissions information with the same precision, trading program or other alternative reliability, accessibility, and timeli- measure. ness as information provided under (vi) For plans that include an emis- part 75 of this chapter. sions trading program that establishes (D) Recordkeeping provisions that a cap on total annual emissions of SO2 ensure the enforceability of the emis- or NOX from sources subject to the pro- sions monitoring provisions and other gram, requires the owners and opera- program requirements. The record- tors of sources to hold allowances or keeping provisions must require that authorizations to emit equal to emis- boilers, combustion turbines, and ce- sions, and allows the owners and opera- ment kilns in the program allowed to

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sell or transfer allowances must com- the operation of the allowance market, ply with the recordkeeping provisions and ensure that such procedures apply of part 75 of this chapter. The record- uniformly to all sources and other po- keeping provisions must require that tential participants in the allowance other sources in the program allowed market. to sell or transfer allowances must (I) Compliance provisions prohibiting comply with recordkeeping require- a source from emitting a total tonnage ments that, as compared with the rec- of a pollutant that exceeds the tonnage ordkeeping provisions under part 75 of value of its allowance holdings, includ- this chapter, are of comparable strin- ing the methods and procedures for de- gency and require recording of com- termining whether emissions exceed al- parable types of information and reten- lowance holdings. Such method and tion of the records for comparable peri- procedures shall apply consistently ods of time. from source to source. (E) Reporting provisions requiring (J) Penalty provisions providing for timely reporting of monitoring data mandatory allowance deductions for with sufficient frequency to ensure the excess emissions that apply consist- enforceability of the emissions moni- ently from source to source. The ton- toring provisions and other program nage value of the allowances deducted requirements and the ability to audit shall equal at least three times the the program. The reporting provisions tonnage of the excess emissions. must require that boilers, combustion (K) For a trading program that al- turbines, and cement kilns in the pro- lows banking of allowances, provisions gram allowed to sell or transfer allow- clarifying any restrictions on the use ances must comply with the reporting of these banked allowances. provisions of part 75 of this chapter, except that, if the Administrator is not (L) Program assessment provisions the tracking system administrator for providing for periodic program evalua- the program, emissions may be re- tion to assess whether the program is ported to the tracking system adminis- accomplishing its goals and whether trator, rather than to the Adminis- modifications to the program are need- trator. The reporting provisions must ed to enhance performance of the pro- require that other sources in the program. gram allowed to sell or transfer allow- (3) A State which opts under 40 CFR ances must comply with reporting re- 51.308(e)(2) to implement an emissions quirements that, as compared with the trading program or other alternative reporting provisions under part 75 of measure rather than to require sources this chapter, are of comparable strin- subject to BART to install, operate, gency and require reporting of com- and maintain BART may satisfy the parable types of information and re- final step of the demonstration require comparable timeliness and fre- quired by that section as follows: If the quency of reporting. distribution of emissions is not sub- (F) Tracking system provisions stantially different than under BART, which provide for a tracking system and the alternative measure results in that is publicly available in a secure, greater emission reductions, then the centralized database to track in a con- alternative measure may be deemed to sistent manner all allowances and achieve greater reasonable progress. If emissions in the program. the distribution of emissions is signifi- (G) Authorized account representa- cantly different, the State must con- tive provisions ensuring that the own- duct dispersion modeling to determine ers and operators of a source designate differences in visibility between BART one individual who is authorized to and the trading program for each im- represent the owners and operators in pacted Class I area, for the worst and all matters pertaining to the trading best 20 percent of days. The modeling program. would demonstrate ‘‘greater reasonable (H) Allowance transfer provisions progress’’ if both of the following two providing procedures that allow timely criteria are met: transfer and recording of allowances, (i) Visibility does not decline in any minimize administrative barriers to Class I area, and

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(ii) There is an overall improvement mandatory Class I Federal area located in visibility, determined by comparing within the State and in each manda- the average differences between BART tory Class I Federal area located out- and the alternative over all affected side the State that may be affected by Class I areas. emissions from within the State. To (4) A State whose sources are subject meet the core requirements for re- to a trading program established under gional haze for these areas, the State part 97 of this chapter in accordance must submit an implementation plan with a federal implementation plan set containing the following plan elements forth in § 52.38 or § 52.39 of this chapter and supporting documentation for all or a trading program established under required analyses: a SIP revision approved by the Admin- (1) Calculations of baseline, current, istrator as meeting the requirements of and natural visibility conditions; progress § 52.38 or § 52.39 of this chapter need not to date; and the uniform rate of progress. require BART-eligible fossil fuel-fired For each mandatory Class I Federal steam electric plants in the State to area located within the State, the install, operate, and maintain BART State must determine the following: for the pollutant covered by such trad- (i) Baseline visibility conditions for the ing program in the State. A State may most impaired and clearest days. The pe- adopt provisions, consistent with the riod for establishing baseline visibility requirements applicable to the State’s conditions is 2000 to 2004. The State sources for such trading program, for a must calculate the baseline visibility geographic enhancement to the trading conditions for the most impaired days program to address any requirement and the clearest days using available under § 51.302(b) or (c) related to rea- monitoring data. To determine the sonably attributable impairment from baseline visibility condition, the State the pollutant covered by such trading must calculate the average of the an- program in that State. nual deciview index values for the most (5) After a State has met the require- impaired days and for the clearest days ments for BART or implemented an for the calendar years from 2000 to 2004. emissions trading program or other al- The baseline visibility condition for ternative measure that achieves more the most impaired days or the clearest reasonable progress than the installa- days is the average of the respective tion and operation of BART, BART-eli- annual values. For purposes of calcu- gible sources will be subject to the relating the uniform rate of progress, the quirements of paragraphs (d) and (f) of baseline visibility condition for the this section, as applicable, in the same most impaired days must be associated manner as other sources. with the last day of 2004. For manda- (6) Any BART-eligible facility sub- tory Class I Federal areas without on- ject to the requirement under para- site monitoring data for 2000–2004, the graph (e) of this section to install, op- State must establish baseline values erate, and maintain BART may apply using the most representative avail- to the Administrator for an exemption able monitoring data for 2000–2004, in from that requirement. An application consultation with the Administrator or for an exemption will be subject to the his or her designee. For mandatory requirements of § 51.303(a)(2)–(h). Class I Federal areas with incomplete (f) Requirements for periodic com- monitoring data for 2000–2004, the State prehensive revisions of implementation must establish baseline values using plans for regional haze. Each State iden- the 5 complete years of monitoring tified in § 51.300(b) must revise and sub- data closest in time to 2000–2004. mit its regional haze implementation (ii) Natural visibility conditions for the plan revision to EPA by July 31, 2021, most impaired and clearest days. A State July 31, 2028, and every 10 years there- must calculate natural visibility condi- after. The plan revision due on or be- tion by estimating the average fore July 31, 2021, must include a com- deciview index existing under natural mitment by the State to meet the re- conditions for the most impaired days quirements of paragraph (g) of this sec- or the clearest days based on available tion. In each plan revision, the State monitoring information and appro- must address regional haze in each priate data analysis techniques; and

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(iii) Current visibility conditions for the count for impacts from wildland pre- most impaired and clearest days. The pe- scribed fires that were conducted with riod for calculating current visibility the objective to establish, restore, and/ conditions is the most recent 5-year pe- or maintain sustainable and resilient riod for which data are available. The wildland ecosystems, to reduce the risk State must calculate the current visi- of catastrophic wildfires, and/or to pre- bility conditions for the most impaired serve endangered or threatened species days and the clearest days using avail- during which appropriate basic smoke able monitoring data. To calculate management practices were applied. To each current visibility condition, the calculate the proposed adjustment(s), State must calculate the average of the the State must add the estimated im- annual deciview index values for the pact(s) to the natural visibility condi- years in the most recent 5-year period. tion and compare the baseline visi- The current visibility condition for the bility condition for the most impaired most impaired or the clearest days is days to the resulting sum. If the Ad- the average of the respective annual ministrator determines that the State values. has estimated the impact(s) from an- (iv) Progress to date for the most im- thropogenic sources outside the United paired and clearest days. Actual States and/or wildland prescribed fires progress made towards the natural vis- using scientifically valid data and ibility condition since the baseline pe- methods, the Administrator may ap- riod, and actual progress made during prove the proposed adjustment(s) to the previous implementation period up the uniform rate of progress. to and including the period for calcu- (2) Long-term strategy for regional lating current visibility conditions, for haze. Each State must submit a long- the most impaired and for the clearest term strategy that addresses regional days. haze visibility impairment for each (v) Differences between current visi- mandatory Class I Federal area within bility condition and natural visibility con- the State and for each mandatory Class dition. The number of deciviews by I Federal area located outside the which the current visibility condition State that may be affected by emis- exceeds the natural visibility condi- sions from the State. The long-term tion, for the most impaired and for the strategy must include the enforceable clearest days. emissions limitations, compliance (vi) Uniform rate of progress. (A) The schedules, and other measures that are uniform rate of progress for each man- necessary to make reasonable progress, datory Class I Federal area in the as determined pursuant to (f)(2)(i) State. To calculate the uniform rate of through (iv). In establishing its long- progress, the State must compare the term strategy for regional haze, the baseline visibility condition for the State must meet the following require- most impaired days to the natural visi- ments: bility condition for the most impaired (i) The State must evaluate and de- days in the mandatory Class I Federal termine the emission reduction meas- area and determine the uniform rate of ures that are necessary to make rea- visibility improvement (measured in sonable progress by considering the deciviews of improvement per year) costs of compliance, the time nec- that would need to be maintained dur- essary for compliance, the energy and ing each implementation period in non-air quality environmental impacts order to attain natural visibility condi- of compliance, and the remaining use- tions by the end of 2064. ful life of any potentially affected an- (B) As part of its implementation thropogenic source of visibility impair- plan submission, the State may pro- ment. The State should consider evalu- pose (1) an adjustment to the uniform ating major and minor stationary rate of progress for a mandatory Class sources or groups of sources, mobile I Federal area to account for impacts sources, and area sources. The State from anthropogenic sources outside the must include in its implementation United States and/or (2) an adjustment plan a description of the criteria it to the uniform rate of progress for the used to determine which sources or mandatory Class I Federal area to ac- groups of sources it evaluated and how

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the four factors were taken into con- affects. The State may meet this re- sideration in selecting the measures for quirement by relying on technical inclusion in its long-term strategy. In analyses developed by a regional plan- considering the time necessary for ning process and approved by all State compliance, if the State concludes that participants. The emissions informa- a control measure cannot reasonably tion must include, but need not be lim- be installed and become operational ited to, information on emissions in a until after the end of the implementa- year at least as recent as the most re- tion period, the State may not consider cent year for which the State has sub- this fact in determining whether the mitted emission inventory information measure is necessary to make reason- to the Administrator in compliance able progress. with the triennial reporting require- (ii) The State must consult with ments of subpart A of this part. How- those States that have emissions that ever, if a State has made a submission are reasonably anticipated to con- for a new inventory year to meet the tribute to visibility impairment in the requirements of subpart A in the period mandatory Class I Federal area to de- 12 months prior to submission of the velop coordinated emission manage- SIP, the State may use the inventory ment strategies containing the emis- year of its prior submission. sion reductions necessary to make rea- (iv) The State must consider the fol- sonable progress. lowing additional factors in developing (A) The State must demonstrate that its long-term strategy: it has included in its implementation (A) Emission reductions due to ongo- plan all measures agreed to during ing air pollution control programs, in- state-to-state consultations or a re- cluding measures to address reasonably gional planning process, or measures attributable visibility impairment; that will provide equivalent visibility (B) Measures to mitigate the impacts improvement. of construction activities; (B) The State must consider the (C) Source retirement and replace- emission reduction measures identified ment schedules; by other States for their sources as (D) Basic smoke management prac- being necessary to make reasonable tices for prescribed fire used for agri- progress in the mandatory Class I Fed- cultural and wildland vegetation man- eral area. agement purposes and smoke manage- (C) In any situation in which a State ment programs; and cannot agree with another State on the (E) The anticipated net effect on visi- emission reduction measures necessary bility due to projected changes in to make reasonable progress in a man- point, area, and mobile source emis- datory Class I Federal area, the State sions over the period addressed by the must describe the actions taken to re- long-term strategy. solve the disagreement. In reviewing (3) Reasonable progress goals. (i) A the State’s implementation plan, the state in which a mandatory Class I Administrator will take this informa- Federal area is located must establish tion into account in determining reasonable progress goals (expressed in whether the plan provides for reason- deciviews) that reflect the visibility able progress at each mandatory Class conditions that are projected to be I Federal area that is located in the achieved by the end of the applicable State or that may be affected by emis- implementation period as a result of sions from the State. All substantive those enforceable emissions limita- interstate consultations must be docu- tions, compliance schedules, and other mented. measures required under paragraph (iii) The State must document the (f)(2) of this section that can be fully technical basis, including modeling, implemented by the end of the applica- monitoring, cost, engineering, and ble implementation period, as well as emissions information, on which the the implementation of other require- State is relying to determine the emis- ments of the CAA. The long-term strat- sion reduction measures that are nec- egy and the reasonable progress goals essary to make reasonable progress in must provide for an improvement in each mandatory Class I Federal area it visibility for the most impaired days

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since the baseline period and ensure no ures for inclusion in its long-term degradation in visibility for the clear- strategy. est days since the baseline period. (iii) The reasonable progress goals es- (ii)(A) If a State in which a manda- tablished by the State are not directly tory Class I Federal area is located es- enforceable but will be considered by tablishes a reasonable progress goal for the Administrator in evaluating the the most impaired days that provides adequacy of the measures in the imple- for a slower rate of improvement in mentation plan in providing for reason- visibility than the uniform rate of able progress towards achieving nat- progress calculated under paragraph ural visibility conditions at that area. (f)(1)(vi) of this section, the State must (iv) In determining whether the demonstrate, based on the analysis re- State’s goal for visibility improvement quired by paragraph (f)(2)(i) of this sec- provides for reasonable progress to- tion, that there are no additional emis- wards natural visibility conditions, the sion reduction measures for anthropo- Administrator will also evaluate the genic sources or groups of sources in demonstrations developed by the State the State that may reasonably be an- pursuant to paragraphs (f)(2) and ticipated to contribute to visibility im- (f)(3)(ii)(A) of this section and the dem- pairment in the Class I area that would onstrations provided by other States be reasonable to include in the long- pursuant to paragraphs (f)(2) and term strategy. The State must provide (f)(3)(ii)(B) of this section. a robust demonstration, including doc- (4) If the Administrator, Regional umenting the criteria used to deter- Administrator, or the affected Federal mine which sources or groups or Land Manager has advised a State of a sources were evaluated and how the need for additional monitoring to as- four factors required by paragraph sess reasonably attributable visibility (f)(2)(i) were taken into consideration impairment at the mandatory Class I in selecting the measures for inclusion Federal area in addition to the moni- in its long-term strategy. The State toring currently being conducted, the must provide to the public for review State must include in the plan revision as part of its implementation plan an an appropriate strategy for evaluating assessment of the number of years it reasonably attributable visibility im- would take to attain natural visibility pairment in the mandatory Class I Fed- conditions if visibility improvement eral area by visual observation or other were to continue at the rate of progress appropriate monitoring techniques. selected by the State as reasonable for (5) So that the plan revision will the implementation period. serve also as a progress report, the (B) If a State contains sources which State must address in the plan revision are reasonably anticipated to con- the requirements of paragraphs (g)(1) tribute to visibility impairment in a through (5) of this section. However, mandatory Class I Federal area in an- the period to be addressed for these ele- other State for which a demonstration ments shall be the period since the by the other State is required under most recent progress report. (f)(3)(ii)(A), the State must dem- (6) Monitoring strategy and other imple- onstrate that there are no additional mentation plan requirements. The State emission reduction measures for an- must submit with the implementation thropogenic sources or groups of plan a monitoring strategy for meas- sources in the State that may reason- uring, characterizing, and reporting of ably be anticipated to contribute to regional haze visibility impairment visibility impairment in the Class I that is representative of all mandatory area that would be reasonable to in- Class I Federal areas within the State. clude in its own long-term strategy. Compliance with this requirement may The State must provide a robust dem- be met through participation in the onstration, including documenting the Interagency Monitoring of Protected criteria used to determine which Visual Environments network. The im- sources or groups or sources were eval- plementation plan must also provide uated and how the four factors required for the following: by paragraph (f)(2)(i) were taken into (i) The establishment of any addi- consideration in selecting the meas- tional monitoring sites or equipment

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needed to assess whether reasonable revisions that comply with the proce- progress goals to address regional haze dural requirements of § 51.102 and for all mandatory Class I Federal areas § 51.103. Subsequent progress reports within the State are being achieved. are due by January 31, 2025, July 31, (ii) Procedures by which monitoring 2033, and every 10 years thereafter. data and other information are used in Subsequent progress reports must be determining the contribution of emis- made available for public inspection sions from within the State to regional and comment for at least 30 days prior haze visibility impairment at manda- to submission to EPA and all com- tory Class I Federal areas both within ments received from the public must be and outside the State. submitted to EPA along with the sub- (iii) For a State with no mandatory sequent progress report, along with an Class I Federal areas, procedures by explanation of any changes to the which monitoring data and other infor- progress report made in response to mation are used in determining the these comments. Periodic progress re- contribution of emissions from within ports must contain at a minimum the the State to regional haze visibility following elements: impairment at mandatory Class I Fed- (1) A description of the status of im- eral areas in other States. plementation of all measures included (iv) The implementation plan must in the implementation plan for achiev- provide for the reporting of all visi- ing reasonable progress goals for man- bility monitoring data to the Adminis- datory Class I Federal areas both with- trator at least annually for each man- in and outside the State. datory Class I Federal area in the (2) A summary of the emissions re- State. To the extent possible, the State ductions achieved throughout the should report visibility monitoring State through implementation of the data electronically. measures described in paragraph (g)(1) (v) A statewide inventory of emis- of this section. sions of pollutants that are reasonably (3) For each mandatory Class I Fed- anticipated to cause or contribute to visibility impairment in any manda- eral area within the State, the State tory Class I Federal area. The inven- must assess the following visibility tory must include emissions for the conditions and changes, with values for most recent year for which data are most impaired, least impaired and/or available, and estimates of future pro- clearest days as applicable expressed in jected emissions. The State must also terms of 5-year averages of these an- include a commitment to update the nual values. The period for calculating inventory periodically. current visibility conditions is the (vi) Other elements, including report- most recent 5-year period preceding the ing, recordkeeping, and other meas- required date of the progress report for ures, necessary to assess and report on which data are available as of a date 6 visibility. months preceding the required date of (g) Requirements for periodic reports de- the progress report. scribing progress towards the reasonable (i)(A) Progress reports due before progress goals. Each State identified in January 31, 2025. The current visibility § 51.300(b) must periodically submit a conditions for the most impaired and report to the Administrator evaluating least impaired days. progress towards the reasonable (B) Progress reports due on and after progress goal for each mandatory Class January 31, 2025. The current visibility I Federal area located within the State conditions for the most impaired and and in each mandatory Class I Federal clearest days; area located outside the State that (ii)(A) Progress reports due before may be affected by emissions from January 31, 2025. The difference be- within the State. The first progress re- tween current visibility conditions for port is due 5 years from submittal of the most impaired and least impaired the initial implementation plan ad- days and baseline visibility conditions. dressing paragraphs (d) and (e) of this (B) Progress reports due on and after section. The first progress reports must January 31, 2025. The difference be- be in the form of implementation plan tween current visibility conditions for

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the most impaired and clearest days thropogenic emissions were anticipated and baseline visibility conditions. in that most recent plan and whether (iii)(A) Progress reports due before they have limited or impeded progress January 31, 2025. The change in visi- in reducing pollutant emissions and bility impairment for the most im- improving visibility. paired and least impaired days over the (6) An assessment of whether the cur- period since the period addressed in the rent implementation plan elements most recent plan required under para- and strategies are sufficient to enable graph (f) of this section. the State, or other States with manda- (B) Progress reports due on and after tory Class I Federal areas affected by January 31, 2025. The change in visi- emissions from the State, to meet all bility impairment for the most im- established reasonable progress goals paired and clearest days over the pe- for the period covered by the most re- riod since the period addressed in the cent plan required under paragraph (f) most recent plan required under para- of this section. graph (f) of this section. (7) For progress reports for the first (4) An analysis tracking the change implementation period only, a review over the period since the period ad- of the State’s visibility monitoring dressed in the most recent plan re- strategy and any modifications to the quired under paragraph (f) of this sec- strategy as necessary. tion in emissions of pollutants contrib- (8) For a state with a long-term uting to visibility impairment from all strategy that includes a smoke man- sources and activities within the State. agement program for prescribed fires Emissions changes should be identified on wildland that conducts a periodic by type of source or activity. With re- program assessment, a summary of the spect to all sources and activities, the most recent periodic assessment of the analysis must extend at least through smoke management program including the most recent year for which the conclusions if any that were reached in state has submitted emission inventory the assessment as to whether the pro- information to the Administrator in compliance with the triennial report- gram is meeting its goals regarding im- ing requirements of subpart A of this proving ecosystem health and reducing part as of a date 6 months preceding the damaging effects of catastrophic the required date of the progress re- wildfires. port. With respect to sources that re- (h) Determination of the adequacy of port directly to a centralized emissions existing implementation plan. At the data system operated by the Adminis- same time the State is required to sub- trator, the analysis must extend mit any progress report to EPA in ac- through the most recent year for which cordance with paragraph (g) of this sec- the Administrator has provided a tion, the State must also take one of State-level summary of such reported the following actions based upon the data or an internet-based tool by which information presented in the progress the State may obtain such a summary report: as of a date 6 months preceding the re- (1) If the State determines that the quired date of the progress report. The existing implementation plan requires State is not required to backcast pre- no further substantive revision at this viously reported emissions to be con- time in order to achieve established sistent with more recent emissions es- goals for visibility improvement and timation procedures, and may draw at- emissions reductions, the State must tention to actual or possible inconsist- provide to the Administrator a declara- encies created by changes in esti- tion that revision of the existing im- mation procedures. plementation plan is not needed at this (5) An assessment of any significant time. changes in anthropogenic emissions (2) If the State determines that the within or outside the State that have implementation plan is or may be inad- occurred since the period addressed in equate to ensure reasonable progress the most recent plan required under due to emissions from sources in an- paragraph (f) of this section including other State(s) which participated in a whether or not these changes in an- regional planning process, the State

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must provide notification to the Ad- tunity for consultation on an imple- ministrator and to the other State(s) mentation plan (or plan revision) or on which participated in the regional a progress report must be provided no planning process with the States. The less than 60 days prior to said public State must also collaborate with the hearing or public comment oppor- other State(s) through the regional tunity. This consultation must include planning process for the purpose of de- the opportunity for the affected Fed- veloping additional strategies to ad- eral Land Managers to discuss their: dress the plan’s deficiencies. (i) Assessment of impairment of visi- (3) Where the State determines that bility in any mandatory Class I Federal the implementation plan is or may be area; and inadequate to ensure reasonable (ii) Recommendations on the devel- progress due to emissions from sources opment and implementation of strate- in another country, the State shall gies to address visibility impairment. provide notification, along with avail- (3) In developing any implementation able information, to the Adminis- plan (or plan revision) or progress re- trator. port, the State must include a descrip- (4) Where the State determines that tion of how it addressed any comments the implementation plan is or may be provided by the Federal Land Man- inadequate to ensure reasonable agers. progress due to emissions from sources (4) The plan (or plan revision) must within the State, the State shall revise provide procedures for continuing con- its implementation plan to address the sultation between the State and Fed- plan’s deficiencies within one year. eral Land Manager on the implementa- (i) What are the requirements for State tion of the visibility protection pro- and Federal Land Manager coordination? gram required by this subpart, includ- (1) By November 29, 1999, the State ing development and review of imple- must identify in writing to the Federal mentation plan revisions and progress Land Managers the title of the official reports, and on the implementation of to which the Federal Land Manager of other programs having the potential to any mandatory Class I Federal area contribute to impairment of visibility can submit any recommendations on in mandatory Class I Federal areas. the implementation of this subpart in- [64 FR 35765, July 1, 1999, as amended at 70 cluding, but not limited to: FR 39156, July 6, 2005; 71 FR 60631, Oct. 13, (i) Identification of impairment of 2006; 77 FR 33656, June 7, 2012; 82 FR 3124, visibility in any mandatory Class I Jan. 10, 2017] Federal area(s); and (ii) Identification of elements for in- § 51.309 Requirements related to the clusion in the visibility monitoring Grand Canyon Visibility Transport strategy required by § 51.305 and this Commission. section. (a) What is the purpose of this sec- (2) The State must provide the Fed- tion? This section establishes the re- eral Land Manager with an oppor- quirements for the first regional haze tunity for consultation, in person at a implementation plan to address re- point early enough in the State’s pol- gional haze visibility impairment in icy analyses of its long-term strategy the 16 Class I areas covered by the emission reduction obligation so that Grand Canyon Visibility Transport information and recommendations pro- Commission Report. For the period vided by the Federal Land Manager can through 2018, certain States (defined in meaningfully inform the State’s deci- paragraph (b) of this section as Trans- sions on the long-term strategy. The port Region States) may choose to im- opportunity for consultation will be plement the Commission’s rec- deemed to have been early enough if ommendations within the framework the consultation has taken place at of the national regional haze program least 120 days prior to holding any pub- and applicable requirements of the Act lic hearing or other public comment by complying with the provisions of opportunity on an implementation this section. If a Transport Region plan (or plan revision) for regional haze State submits an implementation plan required by this subpart. The oppor- which is approved by EPA as meeting

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the requirements of this section, it will (6) Continuous decline in total mobile be deemed to comply with the require- source emissions means that the pro- ments for reasonable progress with rejected level of emissions from mobile spect to the 16 Class I areas for the pe- sources of each listed pollutant in 2008, riod from approval of the plan through 2013, and 2018, are less than the pro- 2018. Any Transport Region State jected level of emissions from mobile electing not to submit an implementa- sources of each listed pollutant for the tion plan under this section is subject previous period (i.e., 2008 less than 2003; to the requirements of § 51.308 in the 2013 less than 2008; and 2018 less than same manner and to the same extent as 2013). any State not included within the (7) Base year means the year for Transport Region. Except as provided which data for a source included within in paragraph (g) of this section, each the program were used by the WRAP to Transport Region State is also subject calculate emissions as a starting point to the requirements of § 51.308 with refor development of the milestone respect to any other Federal mandatory quired by paragraph (d)(4)(i) of this sec- Class I areas within the State or af- tion. fected by emissions from the State. (8)–(12) [Reserved] (b) Definitions. For the purposes of (13) Eligible renewable energy resource, this section: for purposes of 40 CFR 51.309, means (1) 16 Class I areas means the fol- electricity generated by non-nuclear lowing mandatory Class I Federal areas and non-fossil low or no air emission on the Colorado Plateau: Grand Can- technologies. yon National Park, Sycamore Canyon (c) Implementation Plan Schedule. Wilderness, Petrified Forest National Each Transport Region State electing Park, Mount Baldy Wilderness, San to submit an implementation plan under this section must submit such a Pedro Parks Wilderness, Mesa Verde plan no later than December 17, 2007. National Park, Weminuche Wilderness, Indian Tribes may submit implementa- Black Canyon of the Gunnison Wilder- tion plans after this deadline. ness, West Elk Wilderness, Maroon (d) Requirements of the first implemen- Bells Wilderness, Flat Tops Wilderness, tation plan for States electing to adopt all Arches National Park, Canyonlands of the recommendations of the Commission National Park, Capital Reef National Report. Except as provided for in para- Park, Bryce Canyon National Park, graph (e) of this section, each Trans- and Zion National Park. port Region State must submit an im- (2) Transport Region State means one plementation plan that meets the fol- of the States that is included within lowing requirements: the Transport Region addressed by the (1) Time period covered. The imple- Grand Canyon Visibility Transport mentation plan must be effective Commission (Arizona, California, Colo- through December 31, 2018 and continue rado, Idaho, Nevada, New Mexico, Or- in effect until an implementation plan egon, Utah, and Wyoming). revision is approved by EPA in accord- (3) Commission Report means the re- ance with § 51.308(f). port of the Grand Canyon Visibility (2) Projection of visibility improvement. Transport Commission entitled ‘‘Rec- For each of the 16 mandatory Class I ommendations for Improving Western areas located within the Transport Re- Vistas,’’ dated June 10, 1996. gion State, the plan must include a (4) Fire means wildfire, wildland fire, projection of the improvement in visi- prescribed fire, and agricultural burn- bility conditions (expressed in ing conducted and occurring on Fed- deciviews, and in any additional ambi- eral, State, and private wildlands and ent visibility metrics deemed appro- farmlands. priate by the State) expected through (5) Milestone means the maximum the year 2018 for the most impaired and level of annual regional SO2 emissions, least impaired days, based on the im- in tons per year, for a given year, as- plementation of all measures as re- sessed annually, through the year 2018, quired in the Commission report and consistent with paragraph (d)(4) of this the provisions in this section. The pro- section. jection must be made in consultation

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with other Transport Region States tains quantitative emissions mile- with sources which may be reasonably stones for stationary source SO2 emis- anticipated to contribute to visibility sions for each year through 2018. After impairment in the relevant Class I the first two years of the program, area. The projection may be based on a compliance with the annual milestones satisfactory regional analysis. may be measured by comparing a (3) Treatment of clean-air corridors. three-year rolling average of actual The plan must describe and provide for emissions with a rolling average of the implementation of comprehensive emissions milestones for the same emission tracking strategies for clean- three years. During the first two years air corridors to ensure that the visi- of the program, compliance with the bility does not degrade on the least-im- milestones may be measured by a paired days at any of the 16 Class I methodology of the States’ choosing, areas. The strategy must include: so long as all States in the program use (i) An identification of clean-air cor- the same methodology. Compliance ridors. The EPA will evaluate the with the 2018 milestone shall be meas- State’s identification of such corridors ured by comparing actual emissions based upon the reports of the Commis- from the year 2018 with the 2018 mile- sion’s Meteorology Subcommittee and stone. The milestones must provide for any future updates by a successor orga- steady and continuing emissions reduc- nization; tions through 2018 consistent with the (ii) Within areas that are clean-air Commission’s definition of reasonable corridors, an identification of patterns progress, its goal of 50 to 70 percent re- of growth or specific sites of growth duction in SO emissions from 1990 ac- that could cause, or are causing, sig- 2 tual emission levels by 2040, applicable nificant emissions increases that could requirements under the CAA, and the have, or are having, visibility impair- timing of implementation plan assessment at one or more of the 16 Class I ments of progress and identification of areas. any deficiencies which will be due in (iii) In areas outside of clean-air cor- the years 2013 and 2018. The milestones ridors, an identification of significant must be shown to provide for greater emissions growth that could begin, or reasonable progress than would be is beginning, to impair the quality of air in the corridor and thereby lead to achieved by application of BART pur- visibility degradation for the least-im- suant to § 51.308(e)(2). paired days in one or more of the 16 (ii) Documentation of emissions cal- Class I areas. culation methods for SO2. The plan (iv) If impairment of air quality in submission must include documenta- clean air corridors is identified pursu- tion of the specific methodology used ant to paragraphs (d)(3)(ii) and (iii) of to calculate SO2 emissions during the this section, an analysis of the effects base year for each emitting unit in- of increased emissions, including provi- cluded in the program. The implemen- sions for the identification of the need tation plan must also provide for docu- for additional emission reductions mentation of any change to the specific measures, and implementation of the methodology used to calculate emis- additional measures where necessary. sions at any emitting unit for any year (v) A determination of whether other after the base year. clean air corridors exist for any of the (iii) Monitoring, recordkeeping, and 16 Class I areas. For any such clean air reporting of SO2 emissions. The plan corridors, an identification of the nec- submission must include provisions re- essary measures to protect against fu- quiring the monitoring, recordkeeping, ture degradation of air quality in any and annual reporting of actual sta- of the 16 Class I areas. tionary source SO2 emissions within (4) Implementation of stationary source the State. The monitoring, record- reductions. The first implementation keeping, and reporting data must be plan submission must include: sufficient to determine annually (i) Provisions for stationary source whether the milestone for each year emissions of SO2. The plan submission through 2018 is achieved. The plan sub- must include a SO2 program that con- mission must provide for reporting of 322

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these data by the State to the Admin- less stringent than the 2018 milestone, istrator and to the regional planning unless the milestones are replaced by a organization. The plan must provide different program approved by EPA as for retention of records for at least 10 meeting the BART and reasonable years from the establishment of the progress requirements established in record. § 51.308. (iv) Criteria and Procedures for a (B) The implementation plan must Market Trading Program. The plan provide a framework, including finan- must include the criteria and proce- cial penalties for excess emissions dures for conducting an annual evalua- based on the 2018 milestone, sufficient tion of whether the milestone is to ensure that the 2018 milestone will achieved and, in accordance with para- be met even if the implementation of graph (d)(4)(v) of this section, for acti- the market trading program in para- vating a market trading program in graph (d)(4)(v) of this section has not the event the milestone is not yet been triggered, or the source allow- achieved. A draft of the annual report ance compliance provision of the trad- evaluating whether the milestone for ing program is not yet in effect. each year is achieved shall be com- (vii) Provisions for stationary source pleted no later than 12 months from emissions of NOX and PM. The imple- the end of each milestone year. The mentation plan must contain any nec- plan must also provide for assessments essary long term strategies and BART of the program in the years 2013 and requirements for stationary source PM 2018. and NOX emissions. Any such BART (v) Market trading program. The im- provisions may be submitted pursuant plementation plan must include re- to either § 51.308(e)(1) or ’51.308(e)(2). quirements for a market trading pro- (5) Mobile sources. The plan submis- gram to be implemented in the event sion must provide for: that a milestone is not achieved. The (i) Statewide inventories of onroad plan shall require that the market and nonroad mobile source emissions of trading program be activated begin- VOC, NOX, SO2, PM2.5, elemental car- ning no later than 15 months after the bon, and organic carbon for the years end of the first year in which the mile- 2003, 2008, 2013, and 2018. stone is not achieved. The plan shall (A) The inventories must dem- also require that sources comply, as onstrate a continuous decline in total soon as practicable, with the require- mobile source emissions (onroad plus ment to hold allowances covering their nonroad; tailpipe and evaporative) of emissions. Such market trading pro- VOC, NOX, PM2.5, elemental carbon, gram must be sufficient to achieve the and organic carbon, evaluated sepa- milestones in paragraph (d)(4)(i) of this rately. If the inventories show a con- section, and must be consistent with tinuous decline in total mobile source the elements for such programs out- emissions of each of these pollutants lined in § 51.308(e)(2)(vi). Such a pro- over the period 2003–2018, no further ac- gram may include a geographic en- tion is required as part of this plan to hancement to the program to address address mobile source emissions of the requirement under § 51.302(b) re- these pollutants. If the inventories do lated to reasonably attributable im- not show a continuous decline in mo- pairment from the pollutants covered bile source emissions of one or more of under the program. these pollutants over the period 2003– (vi) Provision for the 2018 milestone. 2018, the plan submission must provide (A) Unless and until a revised imple- for an implementation plan revision by mentation plan is submitted in accord- no later than December 31, 2008 con- ance with § 51.308(f) and approved by taining any necessary long-term strat- EPA, the implementation plan shall egies to achieve a continuous decline prohibit emissions from covered stain total mobile source emissions of the tionary sources in any year beginning pollutant(s), to the extent practicable, in 2018 that exceed the year 2018 mile- considering economic and techno- stone. In no event shall a market-based logical reasonableness and federal pre- program approved under § 51.308(f) emption of vehicle standards and fuel allow an emissions cap for SO2 that is standards under title II of the CAA. 323

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(B) The plan submission must also will minimize emission increases from provide for an implementation plan re- fire to the maximum extent feasible vision by no later than December 31, and that are established in cooperation 2008 containing any long-term strate- with States, tribes, Federal land man- gies necessary to reduce emissions of agement agencies, and private entities. SO2 from nonroad mobile sources, con- (7) Area sources of dust emissions from sistent with the goal of reasonable paved and unpaved roads. The plan progress. In assessing the need for such must include an assessment of the im- long-term strategies, the State may pact of dust emissions from paved and consider emissions reductions achieved unpaved roads on visibility conditions or anticipated from any new Federal in the 16 Class I Areas. If such dust standards for sulfur in nonroad diesel emissions are determined to be a sig- fuel. nificant contributor to visibility im- (ii) Interim reports to EPA and the pairment in the 16 Class I areas, the public in years 2003, 2008, 2013, and 2018 State must implement emissions man- on the implementation status of the re- agement strategies to address the im- gional and local strategies rec- pact as necessary and appropriate. ommended by the Commission Report (8) Pollution prevention. The plan to address mobile source emissions. must provide for: (6) Programs related to fire. The plan (i) An initial summary of all pollu- must provide for: tion prevention programs currently in (i) Documentation that all Federal, place, an inventory of all renewable en- State, and private prescribed fire pro- ergy generation capacity and produc- grams within the State evaluate and tion in use, or planned as of the year address the degree visibility impair- 2002 (expressed in megawatts and mega- ment from smoke in their planning and watt-hours), the total energy genera- application. In addition the plan must tion capacity and production for the include smoke management programs State, the percent of the total that is that include all necessary components renewable energy, and the State’s an- including, but not limited to, actions ticipated contribution toward the re- to minimize emissions, evaluation of newable energy goals for 2005 and 2015, smoke dispersion, alternatives to fire, as provided in paragraph (d)(8)(vi) of public notification, air quality moni- this section. toring, surveillance and enforcement, (ii) Programs to provide incentives and program evaluation. that reward efforts that go beyond (ii) A statewide inventory and emis- compliance and/or achieve early com- sions tracking system (spatial and pliance with air-pollution related re- temporal) of VOC, NOX, elemental and quirements. organic carbon, and fine particle emis- (iii) Programs to preserve and expand sions from fire. In reporting and track- energy conservation efforts. ing emissions from fire from within the (iv) The identification of specific State, States may use information areas where renewable energy has the from regional data-gathering and potential to supply power where it is tracking initiatives. now lacking and where renewable en- (iii) Identification and removal wher- ergy is most cost-effective. ever feasible of any administrative bar- (v) Projections of the short- and long- riers to the use of alternatives to burn- term emissions reductions, visibility ing in Federal, State, and private pre- improvements, cost savings, and sec- scribed fire programs within the State. ondary benefits associated with the re- (iv) Enhanced smoke management newable energy goals, energy efficiency programs for fire that consider visi- and pollution prevention activities. bility effects, not only health and nui- (vi) A description of the programs re- sance objectives, and that are based on lied on to achieve the State’s contribu- the criteria of efficiency, economics, tion toward the Commission’s goal law, emission reduction opportunities, that renewable energy will comprise 10 land management objectives, and re- percent of the regional power needs by duction of visibility impact. 2005 and 20 percent by 2015, and a dem- (v) Establishment of annual emission onstration of the progress toward goals for fire, excluding wildfire, that achievement of the renewable energy

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goals in the years 2003, 2008, 2013, and (A) A description of the status of im- 2018. This description must include doc- plementation of all measures included umentation of the potential for renew- in the implementation plan for achievable energy resources, the percentage ing reasonable progress goals for man- of renewable energy associated with datory Class I Federal areas both with- new power generation projects imple- in and outside the State. mented or planned, and the renewable (B) A summary of the emissions re- energy generation capacity and produc- ductions achieved throughout the tion in use and planned in the State. State through implementation of the To the extent that it is not feasible for measures described in paragraph a State to meet its contribution to the (d)(10)(i)(A) of this section. regional renewable energy goals, the (C) For each mandatory Class I Fed- State must identify in the progress re- eral area within the State, an assess- ports the measures implemented to ment of the following: the current visi- achieve its contribution and explain bility conditions for the most impaired why meeting the State’s contribution and least impaired days; the difference was not feasible. between current visibility conditions (9) Implementation of additional rec- for the most impaired and least im- ommendations. The plan must provide paired days and baseline visibility con- for implementation of all other rec- ditions; the change in visibility impair- ommendations in the Commission re- ment for the most impaired and least port that can be practicably included impaired days over the past 5 years. (D) An analysis tracking the change as enforceable emission limits, sched- over the past 5 years in emissions of ules of compliance, or other enforce- pollutants contributing to visibility able measures (including economic in- impairment from all sources and ac- centives) to make reasonable progress tivities within the State. Emissions toward remedying existing and pre- changes should be identified by type of venting future regional haze in the 16 source or activity. The analysis must Class I areas. The State must provide a be based on the most recent updated report to EPA and the public in 2003, emissions inventory, with estimates 2008, 2013, and 2018 on the progress to- projected forward as necessary and ap- ward developing and implementing pol- propriate, to account for emissions icy or strategy options recommended changes during the applicable 5-year in the Commission Report. period. (10) Periodic implementation plan revi- (E) An assessment of any significant sions and progress reports. Each Trans- changes in anthropogenic emissions port Region State must submit to the within or outside the State that have Administrator periodic reports in the occurred over the past 5 years that years 2013 and as specified for subse- have limited or impeded progress in re- quent progress reports in § 51.308(g). ducing pollutant emissions and improv- The progress report due in 2013 must be ing visibility. in the form of an implementation plan (F) An assessment of whether the revision that complies with the proce- current implementation plan elements dural requirements of §§ 51.102 and and strategies are sufficient to enable 51.103. the State, or other States with manda- (i) The report due in 2013 will assess tory Federal Class I areas affected by the area for reasonable progress as pro- emissions from the State, to meet all vided in this section for mandatory established reasonable progress goals. Class I Federal area(s) located within (G) A review of the State’s visibility the State and for mandatory Class I monitoring strategy and any modifica- Federal area(s) located outside the tions to the strategy as necessary. State that may be affected by emis- (ii) At the same time the State is re- sions from within the State. This dem- quired to submit the 5-year progress re- onstration may be based on assess- port due in 2013 to EPA in accordance ments conducted by the States and/or a with paragraph (d)(10)(i) of this section, regional planning body. The progress the State must also take one of the fol- report due in 2013 must contain at a lowing actions based upon the informa- minimum the following elements: tion presented in the progress report:

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(A) If the State determines that the include emission reductions strategies existing implementation plan requires that are based on coordinated imple- no further substantive revision at this mentation with other States. Examples time in order to achieve established of these strategies include economic goals for visibility improvement and incentive programs and transboundary emissions reductions, the State must emissions trading programs. The im- provide to the Administrator a nega- plementation plan must include docu- tive declaration that further revision mentation of the technical and policy of the existing implementation plan is basis for the individual State appor- not needed at this time. tionment (or the procedures for appor- (B) If the State determines that the tionment throughout the trans-bound- implementation plan is or may be inad- ary region), the contribution addressed equate to ensure reasonable progress by the State’s plan, how it coordinates due to emissions from sources in an- with other State plans, and compliance other State(s) which participated in a with any other appropriate implemen- regional planning process, the State tation plan approvability criteria. must provide notification to the Ad- States may rely on the relevant tech- ministrator and to the other State(s) which participated in the regional nical, policy and other analyses devel- planning process with the States. The oped by a regional entity (such as the State must also collaborate with the Western Regional Air Partnership) in other State(s) through the regional providing such documentation. Con- planning process for the purpose of de- versely, States may elect to develop veloping additional strategies to ad- their own programs without relying on dress the plan’s deficiencies. work products from a regional entity. (C) Where the State determines that (12) Tribal implementation. Consistent the implementation plan is or may be with 40 CFR Part 49, tribes within the inadequate to ensure reasonable Transport Region may implement the progress due to emissions from sources required visibility programs for the 16 in another country, the State shall Class I areas, in the same manner as provide notification, along with avail- States, regardless of whether such able information, to the Adminis- tribes have participated as members of trator. a visibility transport commission. (D) Where the State determines that (e) States electing not to implement the the implementation plan is or may be commission recommendations. Any Trans- inadequate to ensure reasonable port Region State may elect not to im- progress due to emissions from within plement the Commission recommenda- the State, the State shall develop additions set forth in paragraph (d) of this tional strategies to address the plan section. Such States are required to deficiencies and revise the implementa- comply with the timelines and require- tion plan no later than one year from ments of § 51.308. Any Transport Region the date that the progress report was State electing not to implement the due. Commission recommendations must (iii) The requirements of § 51.308(g) advise the other States in the Trans- regarding requirements for periodic report Region of the nature of the pro- ports describing progress towards the reasonable progress goals apply to gram and the effect of the program on States submitting plans under this sec- visibility-impairing emissions, so that tion, with respect to subsequent other States can take this information progress reports due after 2013. into account in developing programs (iv) The requirements of § 51.308(h) re- under this section. garding determinations of the ade- (f) [Reserved] quacy of existing implementation (g) Additional Class I areas. Each plans apply to States submitting plans Transport Region State implementing under this section, with respect to sub- the provisions of this section as the sequent progress reports due after 2013. basis for demonstrating reasonable (11) State planning and interstate co- progress for mandatory Class I Federal ordination. In complying with the re- areas other than the 16 Class I areas quirements of this section, States may must include the following provisions

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in its implementation plan. If a Trans- mental impacts of compliance, or the port Region State submits an imple- remaining useful life of any existing mentation plan which is approved by source subject to such requirements. EPA as meeting the requirements of [64 FR 35769, July 1, 1999, as amended at 68 this section, it will be deemed to com- FR 33784, June 5, 2003; 68 FR 39846, July 3, ply with the requirements for reason- 2003; 68 FR 61369, Oct. 28, 2003; 68 FR 71014, able progress for the period from ap- Dec. 22, 2003; 71 FR 60632, Oct. 13, 2006; 82 FR proval of the plan to 2018. 3128, Jan. 10, 2017] (1) A demonstration of expected visibility conditions for the most impaired Subpart Q—Reports and least impaired days at the additional mandatory Class I Federal AUTHORITY: Secs. 110, 301(a), 313, 319, Clean area(s) based on emissions projections Air Act (42 U.S.C. 7410, 7601(a), 7613, 7619). from the long-term strategies in the SOURCE: 44 FR 27569, May 10, 1979, unless implementation plan. This demonstra- otherwise noted. tion may be based on assessments conducted by the States and/or a regional AIR QUALITY DATA REPORTING planning body. (2) Provisions establishing reasonable § 51.320 Annual air quality data re- progress goals and implementing any port. additional measures necessary to dem- The requirements for reporting air onstrate reasonable progress for the quality data collected for purposes of additional mandatory Federal Class I the plan are located in subpart C of areas. These provisions must comply part 58 of this chapter. with the provisions of § 51.308(d)(1) through (4). SOURCE EMISSIONS AND STATE ACTION (i) In developing long-term strategies REPORTING pursuant to § 51.308(d)(3), the State may build upon the strategies implemented § 51.321 Annual source emissions and State action report. under paragraph (d) of this section, and take full credit for the visibility im- The State agency shall report to the provement achieved through these Administrator (through the appro- strategies. priate Regional Office) information as (ii) The requirement under § 51.308(e) specified in §§ 51.322 through 51.326. related to Best Available Retrofit [67 FR 39615, June 10, 2002] Technology for regional haze is deemed to be satisfied for pollutants addressed § 51.322 Sources subject to emissions by the milestones and backstop trading reporting. program if, in establishing the emis- The requirements for reporting emission reductions milestones under para- sions data under the plan are in sub- graph (d)(4) of this section, it is shown part A of this part 51. that greater reasonable progress will be achieved for these additional Class I [67 FR 39615, June 10, 2002] areas than would be achieved through § 51.323 Reportable emissions data and the application of source-specific information. BART emission limitations under The requirements for reportable § 51.308(e)(1). emissions data and information under (iii) The Transport Region State may the plan are in subpart A of this part consider whether any strategies nec- 51. essary to achieve the reasonable progress goals required by paragraph [67 FR 39615, June 10, 2002] (g)(2) of this section are incompatible with the strategies implemented under § 51.324 Progress in plan enforcement. paragraph (d) of this section to the ex- (a) For each point source, the State tent the State adequately dem- shall report any achievement made onstrates that the incompatibility is during the reporting period of any in- related to the costs of the compliance, crement of progress of compliance the time necessary for compliance, the schedules required by: energy and nonair quality environ- (1) The applicable plan, or

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(2) Any enforcement order or other ceeding those which can be achieved State action required to be submitted through the application of reasonably pursuant to § 51.327. available control technology. (b) For each point source, the State (c) Any such request for extension of shall report any enforcement action the deadline with respect to any taken during the reporting period and State’s portion of an interstate region not submitted under § 51.327 which re- must be submitted jointly with results in civil or criminal penalties. quests for such extensions from all other States within the region or must § 51.326 Reportable revisions. show that all such States have been no- The State shall identify and describe tified of such request. all substantive plan revisions during (d) Any such request must be sub- the reporting period of the applicable mitted sufficiently early to permit de- plan other than revisions to rules and velopment of a plan prior to the dead- regulations or compliance schedules line in the event that such request is submitted in accordance with § 51.6(d). denied. Substantive revisions shall include but are not limited to changes in stack- [51 FR 40675, Nov. 7, 1986] test procedures for determining compliance with applicable regulations, Subpart S—Inspection/Mainte- modifications in the projected total nance Program Require- manpower needs to carry out the ap- ments proved plan, and all changes in responsibilities given to local agencies to carry out various portions of the plan. SOURCE: 57 FR 52987, Nov. 5, 1992, unless otherwise noted. § 51.327 Enforcement orders and other State actions. § 51.350 Applicability. (a) Any State enforcement order, in- Inspection/maintenance (I/M) pro- cluding any State court order, must be grams are required in both ozone and submitted to the Administrator within carbon monoxide (CO) nonattainment 60 days of its issuance or adoption by areas, depending upon population and the State. nonattainment classification or design (b) A State enforcement order or value. other State action must be submitted (a) Nonattainment area classification as a revision to the applicable imple- and population criteria. (1) States or mentation plan pursuant to § 51.104 and areas within an ozone transport region approved by the Administrator in order shall implement enhanced I/M pro- to be considered a revision to such grams in any metropolitan statistical plan. area (MSA), or portion of an MSA, [36 FR 22398, Nov. 25, 1971, as amended at 51 within the State or area with a 1990 FR 40675, Nov. 7, 1986] population of 100,000 or more as defined by the Office of Management and Budg- § 51.328 [Reserved] et (OMB) regardless of the area’s attainment classification. In the case of Subpart R—Extensions a multi-state MSA, enhanced I/M shall be implemented in all ozone transport § 51.341 Request for 18-month exten- region portions if the sum of these por- sion. tions has a population of 100,000 or (a) Upon request of the State made in more, irrespective of the population of accordance with this section, the Ad- the portion in the individual ozone ministrator may, whenever he deter- transport region State or area. mines necessary, extend, for a period (2) Apart from those areas described not to exceed 18 months, the deadline in paragraph (a)(1) of this section, any for submitting that portion of a plan area classified as serious or worse that implements a secondary standard. ozone nonattainment, or as moderate (b) Any such request must show that or serious CO nonattainment with a de- attainment of the secondary standards sign value greater than 12.7 ppm, and will require emission reductions ex- having a 1980 Bureau of Census-defined

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(Census-defined) urbanized area popu- erate, a basic I/M program shall be im- lation of 200,000 or more, shall imple- plemented in the 1990 Census-defined ment enhanced I/M in the 1990 Census- urbanized area(s) with a population of defined urbanized area. 200,000 or more. If the area is reclassi- (3) Any area classified, as of Novem- fied to serious or worse, an enhanced I/ ber 5, 1992, as marginal ozone non- M program shall be implemented in the attainment or moderate CO nonattain- 1990 Census-defined urbanized area, if ment with a design value of 12.7 ppm or the 1980 Census-defined urban area pop- less shall continue operating I/M pro- ulation is 200,000 or more. grams that were part of an approved (9) If a moderate ozone or CO non- State Implementation Plan (SIP) as of attainment area is reclassified to seri- November 15, 1990, and shall update ous or worse, an enhanced I/M program those programs as necessary to meet shall be implemented in the 1990 Cen- the basic I/M program requirements of sus-defined urbanized area, if the 1980 this subpart. Any such area required by Census-defined population is 200,000 or the Clean Air Act, as in effect prior to more. November 15, 1990, as interpreted in (b) Extent of area coverage. (1) In an EPA guidance, to have an I/M program ozone transport region, the program shall also implement a basic I/M pro- shall cover all counties within subject gram. Serious, severe and extreme MSAs or subject portions of MSAs, as ozone areas and CO areas over 12.7 ppm defined by OMB in 1990, except largely shall also continue operating existing rural counties having a population den- I/M programs and shall upgrade such sity of less than 200 persons per square programs, as appropriate, pursuant to mile based on the 1990 Census and this subpart. counties with less than 1% of the popu- (4) Any area classified as moderate lation in the MSA may be excluded ozone nonattainment, and not required provided that at least 50% of the MSA to implement enhanced I/M under para- population is included in the program. graph (a)(1) of this section, shall imple- This provision does not preclude the ment basic I/M in any 1990 Census-de- voluntary inclusion of portions of an fined urbanized area with a population excluded county. Non-urbanized islands of 200,000 or more. not connected to the mainland by (5) [Reserved] roads, bridges, or tunnels may be ex- (6) If the boundaries of a moderate cluded without regard to population. ozone nonattainment area are changed (2) Outside of ozone transport re- pursuant to section 107(d)(4)(A)(i)-(ii) of gions, programs shall nominally cover the Clean Air Act, such that the area at least the entire urbanized area, includes additional urbanized areas based on the 1990 census. Exclusion of with a population of 200,000 or more, some urban population is allowed as then a basic I/M program shall be im- long as an equal number of non-urban plemented in these additional urban- residents of the MSA containing the ized areas. subject urbanized area are included to (7) If the boundaries of a serious or compensate for the exclusion. worse ozone nonattainment area or of a (3) Emission reduction benefits from moderate or serious CO nonattainment expanding coverage beyond the min- area with a design value greater than imum required urban area boundaries 12.7 ppm are changed any time after en- can be applied toward the reasonable actment pursuant to section further progress requirements or can 107(d)(4)(A) such that the area includes be used for offsets, provided the cov- additional urbanized areas, then an en- ered vehicles are operated in the non- hanced I/M program shall be imple- attainment area, but not toward the mented in the newly included 1990 Cen- enhanced I/M performance standard re- sus-defined urbanized areas, if the 1980 quirement. Census-defined urban area population (4) In a multi-state urbanized area is 200,000 or more. with a population of 200,000 or more (8) If a marginal ozone nonattain- that is required under paragraph (a) of ment area, not required to implement this section to implement I/M, any enhanced I/M under paragraph (a)(1) of State with a portion of the area having this section, is reclassified to mod- a 1990 Census-defined population of

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50,000 or more shall implement an I/M (b) On-road testing. The performance program. The other coverage require- standard shall include on-road testing ments in paragraph (b) of this section (including out-of-cycle repairs in the shall apply in multi-state areas as well. case of confirmed failures) of at least (5) Notwithstanding the limitation in 0.5% of the subject vehicle population, paragraph (b)(3) of this section, in an or 20,000 vehicles whichever is less, as a ozone transport region, States which supplement to the periodic inspection opt for a program which meets the per- required in paragraphs (f), (g), and (h) formance standard described in of this section. Specific requirements § 51.351(h) and claim in their SIP less are listed in § 51.371 of this subpart. emission reduction credit than the (c) On-board diagnostics (OBD). For basic performance standard for one or those areas required to implement an more pollutants, may apply a geo- enhanced I/M program prior to the ef- graphic bubble covering areas in the fective date of designation and classi- State not otherwise subject to an I/M fications under the 8-hour ozone stand- requirement to achieve emission reduc- ard, the performance standard shall in- tions from other measures equal to or clude inspection of all model year 1996 greater than what would have been and later light-duty vehicles and light- achieved if the low enhanced perform- duty trucks equipped with certified on- ance standard were met in the subject board diagnostic systems, and repair of I/M areas. Emissions reductions from malfunctions or system deterioration non-I/M measures shall not be counted identified by or affecting OBD systems towards the OTR low enhanced per- as specified in § 51.357, and assuming a formance standard. start date of 2002 for such testing. For (c) Requirements after attainment. All areas required to implement enhanced I/M programs shall provide that the I/M as a result of designation and clas- program will remain effective, even if sification under the 8-hour ozone the area is redesignated to attainment standard, the performance standard de- status or the standard is otherwise ren- fined in paragraph (i) of this section dered no longer applicable, until the shall include inspection of all model State submits and EPA approves a SIP year 2001 and later light-duty vehicles revision which convincingly dem- and light-duty trucks equipped with onstrates that the area can maintain certified on-board diagnostic systems, the relevant standard(s) without ben- and repair of malfunctions or system efit of the emission reductions attrib- deterioration identified by or affecting utable to the I/M program. The State OBD systems as specified in § 51.357, shall commit to fully implement and and assuming a start date of 4 years enforce the program until such a dem- after the effective date of designation onstration can be made and approved and classification under the 8-hour by EPA. At a minimum, for the pur- ozone standard. poses of SIP approval, legislation au- (d) Modeling requirements. Equiva- thorizing the program shall not sunset lency of the emission levels which will prior to the attainment deadline for be achieved by the I/M program design the applicable National Ambient Air in the SIP to those of the model pro- Quality Standards (NAAQS). gram described in this section shall be demonstrated using the most current (d) SIP requirements. The SIP shall de- version of EPA’s mobile source emis- scribe the applicable areas in detail sion model, or an alternative approved and, consistent with § 51.372 of this sub- by the Administrator, using EPA guid- part, shall include the legal authority ance to aid in the estimation of input or rules necessary to establish program parameters. States may adopt alter- boundaries. native approaches that meet this per- [57 FR 52987, Nov. 5, 1992, as amended at 60 formance standard. States may do so FR 48034, Sept. 18, 1995; 61 FR 39036, July 25, through program design changes that 1996; 65 FR 45532, July 24, 2000] affect normal I/M input parameters to the mobile source emission factor § 51.351 Enhanced I/M performance model, or through program changes standard. (such as the accelerated retirement of (a) [Reserved] high emitting vehicles) that reduce in-

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use mobile source emissions. If the Ad- (6) Exhaust emission test type. Tran- ministrator finds, under section sient mass-emission testing on 1986 and 182(b)(1)(A)(i) of the Act pertaining to later model year vehicles using the reasonable further progress demonstra- IM240 driving cycle, two-speed testing tions or section 182(f)(1) of the Act per- (as described in appendix B of this sub- taining to provisions for major sta- part S) of 1981–1985 vehicles, and idle tionary sources, that NOX emission retesting (as described in appendix B of ductions are not beneficial in a given this subpart S) of pre-1981 vehicles is ozone nonattainment area, then NOX assumed. emission reductions are not required of (7) Emission standards. (i) Emission the enhanced I/M program, but the pro- standards for 1986 through 1993 model gram shall be designed to offset NOX year light duty vehicles, and 1994 and increases resulting from the repair of 1995 light-duty vehicles not meeting HC and CO failures. Tier 1 emission standards, of 0.80 gpm (e) [Reserved] hydrocarbons (HC), 20 gpm CO, and 2.0 (f) High Enhanced Performance Stand- gpm NOX; ard. Enhanced I/M programs shall be (ii) Emission standards for 1986 designed and implemented to meet or through 1993 light duty trucks less exceed a minimum performance stand- than 6000 pounds gross vehicle weight ard, which is expressed as emission lev- rating (GVWR), and 1994 and 1995 els in area-wide average grams per mile trucks not meeting Tier 1 emission (gpm), achieved from highway mobile standards, of 1.2 gpm HC, 20 gpm CO, sources as a result of the program. The and 3.5 gpm NOX; emission levels achieved by the State’s (iii) Emission standards for 1986 program design shall be calculated through 1993 light duty trucks greater using the most current version, at the than 6000 pounds GVWR, and 1994 and 1995 trucks not meeting the Tier 1 time of submittal, of the EPA mobile emission standards, of 1.2 gpm HC, 20 source emission factor model or an al- gpm CO, and 3.5 gpm NO ; ternative model approved by the Ad- X (iv) Emission standards for 1994 and ministrator, and shall meet the min- later light duty vehicles meeting Tier 1 imum performance standard both in emission standards of 0.70 gpm HC, 15 operation and for SIP approval. Areas gpm CO, and 1.4 gpm NO ; shall meet the performance standard X (v) Emission standards for 1994 and for the pollutants which cause them to later light duty trucks under 6000 be subject to enhanced I/M require- pounds GVWR and meeting Tier 1 emis- ments. In the case of ozone nonattain- sion standards of 0.70 gpm HC, 15 gpm ment areas subject to enhanced I/M and CO, and 2.0 gpm NOX; subject areas in the Ozone Transport (vi) Emission standards for 1994 and Region, the performance standard must later light duty trucks greater than be met for both oxides of nitrogen 6000 pounds GVWR and meeting Tier 1 (NOx) and volatile organic compounds emission standards of 0.80 gpm HC, 15 (VOCs), except as provided in para- gpm CO and 2.5 gpm NOX; graph (d) of this section. Except as pro- (vii) Emission standards for 1981–1985 vided in paragraphs (g) and (h) of this model year vehicles of 1.2% CO, and 220 section, the model program elements gpm HC for the idle, two-speed tests for the enhanced I/M performance and loaded steady-state tests (as de- standard shall be as follows: scribed in appendix B of this subpart (1) Network type. Centralized testing. S); and (2) Start date. For areas with existing (viii) Maximum exhaust dilution I/M programs, 1983. For areas newly measured as no less than 6% CO plus subject, 1995. carbon dioxide (CO2) on vehicles sub- (3) Test frequency. Annual testing. ject to a steady-state test (as described (4) Model year coverage. Testing of in appendix B of this subpart S); and 1968 and later vehicles. (viii) Maximum exhaust dilution (5) Vehicle type coverage. Light duty measured as no less than 6% CO plus vehicles, and light duty trucks, rated carbon dioxide (CO2) on vehicles sub- up to 8,500 pounds Gross Vehicle ject to a steady-state test (as described Weight Rating (GVWR). in appendix B of this subpart S).

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(8) Emission control device inspections. (4) Model year coverage. Testing of (i) Visual inspection of the catalyst 1968 and newer vehicles. and fuel inlet restrictor on all 1984 and (5) Vehicle type coverage. Light duty later model year vehicles. vehicles, and light duty trucks, rated (ii) Visual inspection of the positive up to 8,500 pounds GVWR. crankcase ventilation valve on 1968 (6) Exhaust emission test type. Idle through 1971 model years, inclusive, testing of all covered vehicles (as de- and of the exhaust gas recirculation scribed in appendix B of subpart S). valve on 1972 through 1983 model year (7) Emission standards. Those specified vehicles, inclusive. in 40 CFR part 85, subpart W. (9) Evaporative system function checks. (8) Emission control device inspections. Evaporative system integrity (pres- Visual inspection of the positive crank- sure) test on 1983 and later model year case ventilation valve on all 1968 vehicles and an evaporative system through 1971 model year vehicles, in- transient purge test on 1986 and later clusive, and of the exhaust gas recir- model year vehicles. culation valve on all 1972 and newer (10) Stringency. A 20% emission test model year vehicles. failure rate among pre-1981 model year (9) Evaporative system function checks. vehicles. None. (11) Waiver rate. A 3% waiver rate, as (10) Stringency. A 20% emission test a percentage of failed vehicles. failure rate among pre-1981 model year (12) Compliance rate. A 96% compli- vehicles. ance rate. (11) Waiver rate. A 3% waiver rate, as (13) Evaluation date. Enhanced I/M a percentage of failed vehicles. program areas subject to the provisions (12) Compliance rate. A 96% compli- of this paragraph shall be shown to ob- ance rate. tain the same or lower emission levels (13) Evaluation date. Enhanced I/M as the model program described in this program areas subject to the provisions paragraph by January 1, 2002 to within of this paragraph (g) shall be shown to ±0.02 gpm. Subject programs shall dem- obtain the same or lower emission lev- onstrate through modeling the ability els as the model program described in to maintain this level of emission re- this paragraph by January 1, 2002 to duction (or better) through their at- within ±0.02 gpm. Subject programs tainment deadline for the applicable shall demonstrate through modeling NAAQS standard(s). the ability to maintain this level of (g) Alternate Low Enhanced I/M Per- emission reduction (or better) through formance Standard. An enhanced I/M their attainment deadline for the ap- area which is either not subject to or plicable NAAQS standard(s). has an approved State Implementation (h) Ozone Transport Region Low-En- Plan pursuant to the requirements of hanced Performance Standard. An at- the Clean Air Act Amendments of 1990 tainment area, marginal ozone area, or for Reasonable Further Progress in moderate ozone area with a 1980 Census 1996, and does not have a disapproved population of less than 200,000 in the plan for Reasonable Further Progress urbanized area, in an ozone transport for the period after 1996 or a dis- region, that is required to implement approved plan for attainment of the air enhanced I/M under section 184(b)(1)(A) quality standards for ozone or CO, may of the Clean Air Act, but was not pre- select the alternate low enhanced I/M viously required to or did not in fact performance standard described below implement basic I/M under the Clean in lieu of the standard described in Air Act as enacted prior to 1990 and is paragraph (f) of this section. The model not subject to the requirements for program elements for this alternate basic I/M programs in this subpart, low enhanced I/M performance stand- may select the performance standard ard are: described below in lieu of the standard (1) Network type. Centralized testing. described in paragraph (f) or (g) of this (2) Start date. For areas with existing section as long as the difference in I/M programs, 1983. For areas newly emission reductions between the pro- subject, 1995. gram described in paragraph (g) and (3) Test frequency. Annual testing. this paragraph are made up with other

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measures, as provided in § 51.350(b)(5). emission reductions achieved by the Offsetting measures shall not include model program defined as follows: those otherwise required by the Clean (1) Network type. Centralized testing. Air Act in the areas from which credit (2) Start date. 4 years after the effec- is bubbled. The program elements for tive date of designation and classifica- this alternate OTR enhanced I/M per- tion under the 8-hour ozone standard. formance standard are: (3) Test frequency. Annual testing. (1) Network type. Centralized testing. (4) Model year coverage. Testing of (2) Start date. January 1, 1999. 1968 and newer vehicles. (3) Test frequency. Annual testing. (5) Vehicle type coverage. Light duty (4) Model year coverage. Testing of vehicles, and light duty trucks, rated 1968 and newer vehicles. up to 8,500 pounds GVWR. (5) Vehicle type coverage. Light duty (6) Emission test type. Idle testing (as vehicles, and light duty trucks, rated described in appendix B of this subpart) up to 8,500 pounds GVWR. for 1968–2000 vehicles; onboard diag- (6) Exhaust emission test type. Remote nostic checks on 2001 and newer vehi- sensing measurements on 1968–1995 ve- cles. hicles; on-board diagnostic system (7) Emission standards. Those specified checks on 1996 and newer vehicles. in 40 CFR part 85, subpart W. (7) Emission standards. For remote sensing measurements, a carbon mon- (8) Emission control device inspections. oxide standard of 7.5% (with at least Visual inspection of the positive crank- two separate readings above this level case ventilation valve on all 1968 to establish a failure). through 1971 model year vehicles, in- (8) Emission control device inspections. clusive, and of the exhaust gas recir- Visual inspection of the catalytic con- culation valve on all 1972 and newer verter on 1975 and newer vehicles and model year vehicles. visual inspection of the positive crank- (9) Evaporative system function checks. case ventilation valve on 1968–1974 ve- None, with the exception of those per- hicles. formed by the OBD system on vehicles (9) Waiver rate. A 3% waiver rate, as a so-equipped and only for model year percentage of failed vehicles. 2001 and newer vehicles. (10) Compliance rate. A 96% compli- (10) Stringency. A 20% emission test ance rate. failure rate among pre-1981 model year (11) Evaluation date. Enhanced I/M vehicles. program areas subject to the provisions (11) Waiver rate. A 3% waiver rate, as of this paragraph shall be shown to ob- a percentage of failed vehicles. tain the same or lower VOC and NOx (12) Compliance rate. A 96% compli- emission levels as the model program ance rate. described in this paragraph (h) by Jan- (13) Evaluation date. Enhanced I/M ± uary 1, 2002 to within 0.02 gpm. Sub- program areas subject to the provisions ject programs shall demonstrate of this paragraph (i) shall be shown to through modeling the ability to main- obtain the same or lower emission lev- tain this level of emission reduction els for HC and NO as the model pro- (or better) through their attainment X deadline for the applicable NAAQS gram described in this paragraph as- standard(s). Equality of substituted suming an evaluation date set 6 years emission reductions to the benefits of after the effective date of designation the low enhanced performance stand- and classification under the 8-hour ard must be demonstrated for the same ozone standard (rounded to the nearest evaluation date. July) to within ±0.02 gpm. Subject pro- (i) Enhanced performance standard for grams shall demonstrate through mod- areas designated and classified under the eling the ability to maintain this per- 8-hour ozone standard. Areas required to cent level of emission reduction (or implement an enhanced I/M program as a result of being designated and classified under the 8-hour ozone standard, must meet or exceed the HC and NOX 333

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better) through their applicable attain- each applicable milestone and attainment date for the 8-hour ozone stand- ment deadline, thereafter. ard, also rounded to the nearest July. (b) Oxides of nitrogen. Basic I/M testing in ozone nonattainment areas shall [57 FR 52987, Nov. 5, 1992, as amended at 58 FR 59367, Nov. 9, 1993; 59 FR 32343, June 23, be designed such that no increase in 1994; 60 FR 48035, Sept. 18, 1995; 61 FR 39036, NOX emissions occurs as a result of the July 25, 1996; 61 FR 40945, Aug. 6, 1996; 63 FR program. If the Administrator finds, 24433, May 4, 1998; 65 FR 45532, July 24, 2000; under section 182(b)(1)(A)(i) of the Act 66 FR 18176, Apr. 5, 2001; 71 FR 17710, Apr. 7, pertaining to reasonable further 2006] progress demonstrations or section 182(f)(1) of the Act pertaining to provi- § 51.352 Basic I/M performance stand- sions for major stationary sources, ard. that NOX emission reductions are not (a) Basic I/M programs shall be de- beneficial in a given ozone nonattain- signed and implemented to meet or ex- ment area, then the basic I/M NOX re- ceed a minimum performance standard, quirement may be omitted. States which is expressed as emission levels shall implement any required NOX con- achieved from highway mobile sources trols within 12 months of implementa- as a result of the program. The per- tion of the program deadlines required formance standard shall be established in § 51.373 of this subpart, except that using the following model I/M program newly implemented I/M programs shall inputs and local characteristics, such include NOX controls from the start. as vehicle mix and local fuel controls. (c) On-board diagnostics (OBD). For Similarly, the emission reduction ben- those areas required to implement a efits of the State’s program design basic I/M program prior to the effective shall be estimated using the most cur- date of designation and classification rent version of the EPA mobile source under the 8-hour ozone standard, the emission model, and shall meet the performance standard shall include in- minimum performance standard both spection of all model year 1996 and in operation and for SIP approval. later light-duty vehicles equipped with (1) Network type. Centralized testing. certified on-board diagnostic systems, (2) Start date. For areas with existing and repair of malfunctions or system I/M programs, 1983. For areas newly deterioration identified by or affecting subject, 1994. OBD systems as specified in § 51.357, (3) Test frequency. Annual testing. and assuming a start date of 2002 for (4) Model year coverage. Testing of such testing. For areas required to im- 1968 and later model year vehicles. plement basic I/M as a result of des- (5) Vehicle type coverage. Light duty ignation and classification under the 8- vehicles. hour ozone standard, the performance (6) Exhaust emission test type. Idle standard defined in paragraph (e) of test. this section shall include inspection of (7) Emission standards. No weaker all model year 2001 and later light-duty than specified in 40 CFR part 85, sub- vehicles equipped with certified on- part W. board diagnostic systems, and repair of (8) Emission control device inspections. malfunctions or system deterioration None. identified by or affecting OBD systems (9) Stringency. A 20% emission test as specified in § 51.357, and assuming a failure rate among pre-1981 model year start date of 4 years after the effective vehicles. date of designation and classification (10) Waiver rate. A 0% waiver rate. under the 8-hour ozone standard. (11) Compliance rate. A 100% compli- (d) Modeling requirements. Equiva- ance rate. lency of emission levels which will be (12) Evaluation date. Basic I/M pro- achieved by the I/M program design in grams shall be shown to obtain the the SIP to those of the model program same or lower emission levels as the described in this section shall be dem- model inputs by 1997 for ozone non- onstrated using the most current attainment areas and 1996 for CO non- version of EPA’s mobile source emis- attainment areas; and, for serious or sion model and EPA guidance on the worse ozone nonattainment areas, on estimation of input parameters. Areas

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required to implement basic I/M pro- nearest July) for the applicable ozone grams shall meet the performance precursor(s). standard for the pollutants which [57 FR 52987, Nov. 5, 1992, as amended at 61 cause them to be subject to basic re- FR 40945, Aug. 6, 1996; 63 FR 24433, May 4, quirements. Areas subject as a result of 1998; 66 FR 18177, Apr. 5, 2001; 71 FR 17711, ozone nonattainment shall meet the Apr. 7, 2006] standard for VOCs and shall dem- § 51.353 Network type and program onstrate no NOX increase, as required in paragraph (b) of this section. evaluation. (e) Basic performance standard for Basic and enhanced I/M programs can areas designated non-attainment for the be centralized, decentralized, or a hy- 8-hour ozone standard. Areas required to brid of the two at the State’s discre- implement a basic I/M program as a re- tion, but shall be demonstrated to sult of being designated and classified achieve the same (or better) level of under the 8-hour ozone standard, must emission reduction as the applicable meet or exceed the emission reductions performance standard described in ei- achieved by the model program defined ther § 51.351 or 51.352 of this subpart. for the applicable ozone precursor(s): For decentralized programs other than those meeting the design characteris- (1) Network type. Centralized testing. tics described in paragraph (a) of this (2) Start date. 4 years after the effec- section, the State must demonstrate tive date of designation and classifica- that the program is achieving the level tion under the 8-hour ozone standard. of effectiveness claimed in the plan (3) Test frequency. Annual testing. within 12 months of the plan’s final (4) Model year coverage. Testing of conditional approval before EPA can 1968 and newer vehicles. convert that approval to a final full ap- (5) Vehicle type coverage. Light duty proval. The adequacy of these dem- vehicles. onstrations will be judged by the Ad- (6) Emission test type. Idle testing (as ministrator on a case-by-case basis described in appendix B of this subpart) through notice-and-comment rule- for 1968–2000 vehicles; onboard diag- making. nostic checks on 2001 and newer vehi- (a) Presumptive equivalency. A decen- cles. tralized network consisting of stations (7) Emission standards. Those specified that only perform official I/M testing in 40 CFR part 85, subpart W. (which may include safety-related in- (8) Emission control device inspections. spections) and in which owners and em- None. ployees of those stations, or companies owning those stations, are contrac- (9) Evaporative system function checks. tually or legally barred from engaging None, with the exception of those per- in motor vehicle repair or service, formed by the OBD system on vehicles motor vehicle parts sales, and motor so-equipped and only for model year vehicle sale and leasing, either directly 2001 and newer vehicles. or indirectly, and are barred from re- (10) Stringency. A 20% emission test ferring vehicle owners to particular failure rate among pre-1981 model year providers of motor vehicle repair serv- vehicles. ices (except as provided in § 51.369(b)(1) (11) Waiver rate. A 0% waiver rate, as of this subpart) shall be considered pre- a percentage of failed vehicles. sumptively equivalent to a centralized, (12) Compliance rate. A 100% compli- test-only system including comparable ance rate. test elements. States may allow such (13) Evaluation date. Basic I/M pro- stations to engage in the full range of gram areas subject to the provisions of sales not covered by the above prohibi- this paragraph (e) shall be shown to ob- tion, including self-serve gasoline, pre- tain the same or lower emission levels packaged oil, or other, non-auto- as the model program described in this motive, convenience store items. At paragraph by an evaluation date set 6 the State’s discretion, such stations years after the effective date of des- may also fulfill other functions typi- ignation and classification under the 8- cally carried out by the State such as hour ozone standard (rounded to the renewal of vehicle registration and

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driver’s licenses, or tax and fee collec- through (c)(4) of this section. The re- tions. ports required under § 51.366 of this part (b) [Reserved] shall be sufficient in these areas to sat- (c) Program evaluation. Enhanced I/M isfy the requirements of Clean Air Act programs shall include an ongoing for program reporting. evaluation to quantify the emission re- (d) SIP requirements. (1) The SIP shall duction benefits of the program, and to include a description of the network to determine if the program is meeting be employed, the required legal author- the requirements of the Clean Air Act ity, and, in the case of areas making and this subpart. claims under paragraph (b) of this sec- (1) The State shall report the results tion, the required demonstration. of the program evaluation on a bien- (2) The SIP shall include a descrip- nial basis, starting two years after the tion of the evaluation schedule and initial start date of mandatory testing protocol, the sampling methodology, as required in § 51.373 of this subpart. the data collection and analysis sys- (2) The evaluation shall be considered tem, the resources and personnel for in establishing actual emission reduc- evaluation, and related details of the tions achieved from I/M for the pur- evaluation program, and the legal au- poses of satisfying the requirements of thority enabling the evaluation pro- sections 182(g)(1) and 182(g)(2) of the gram. Clean Air Act, relating to reductions in [57 FR 52987, Nov. 5, 1992, as amended at 58 emissions and compliance demonstra- FR 59367, Nov. 9, 1993; 61 FR 39037, July 25, tion. 1996; 63 FR 1368, Jan. 9, 1998; 65 FR 45532, July (3) The evaluation program shall con- 24, 2000; 71 FR 17711, Apr. 7, 2006] sist, at a minimum, of those items described in paragraph (b)(1) of this sec- § 51.354 Adequate tools and resources. tion and program evaluation data (a) Administrative resources. The pro- using a sound evaluation methodology, gram shall maintain the administra- as approved by EPA, and evaporative tive resources necessary to perform all system checks, specified in § 51.357(a) of the program functions including (9) and (10) of this subpart, for model quality assurance, data analysis and years subject to those evaporative sys- reporting, and the holding of hearings tem test procedures. The test data and adjudication of cases. A portion of shall be obtained from a representa- the test fee or a separately assessed per tive, random sample, taken at the time vehicle fee shall be collected, placed in of initial inspection (before repair) on a a dedicated fund and retained, to be minimum of 0.1 percent of the vehicles used to finance program oversight, subject to inspection in a given year. management, and capital expenditures. Such vehicles shall receive a State ad- Alternatives to this approach shall be ministered or monitored test, as speci- acceptable if the State can dem- fied in this paragraph (c)(3), prior to onstrate that adequate funding of the the performance of I/M-triggered re- program can be maintained in some pairs during the inspection cycle under other fashion (e.g., through contrac- consideration. tual obligation along with dem- (4) The program evaluation test data onstrated past performance). Reliance shall be submitted to EPA and shall be on future uncommitted annual or bien- capable of providing accurate informa- nial appropriations from the State or tion about the overall effectiveness of local General Fund is not acceptable, an I/M program, such evaluation to unless doing otherwise would be a vio- begin no later than 1 year after pro- lation of the State’s constitution. This gram start-up. section shall in no way require the es- (5) Areas that qualify for and choose tablishment of a test fee if the State to implement an OTR low enhanced I/M chooses to fund the program in some program, as established in § 51.351(h), other manner. and that claim in their SIP less emis- (b) Personnel. The program shall em- sion reduction credit than the basic ploy sufficient personnel to effectively performance standard for one or more carry out the duties related to the pro- pollutants, are exempt from the re- gram, including but not limited to ad- quirements of paragraphs (c)(1) ministrative audits, inspector audits,

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data analysis, program oversight, pro- (b) In enhanced I/M programs, test gram evaluation, public education and systems shall be designed in such a assistance, and enforcement against way as to provide convenient service to stations and inspectors as well as motorists required to get their vehicles against motorists who are out of com- tested. The SIP shall demonstrate that pliance with program regulations and the network of stations providing test requirements. services is sufficient to insure short (c) Equipment. The program shall pos- waiting times to get a test and short sess equipment necessary to achieve driving distances. Stations shall be re- the objectives of the program and meet quired to adhere to regular testing program requirements, including but hours and to test any subject vehicle not limited to a steady supply of vehi- presented for a test during its test pe- cles for covert auditing, test equipment riod. and facilities for program evaluation, and computers capable of data proc- § 51.356 Vehicle coverage. essing, analysis, and reporting. Equip- The performance standard for en- ment or equivalent services may be hanced I/M programs assumes coverage contractor supplied or owned by the of all 1968 and later model year light State or local authority. duty vehicles and light duty trucks up (d) SIP requirements. The SIP shall in- to 8,500 pounds GVWR, and includes ve- clude a description of the resources hicles operating on all fuel types. The that will be used for program oper- standard for basic I/M programs does ation, and discuss how the performance not include light duty trucks. Other standard will be met. levels of coverage may be approved if (1) The SIP shall include a detailed the necessary emission reductions are budget plan which describes the source achieved. Vehicles registered or re- of funds for personnel, program admin- quired to be registered within the I/M istration, program enforcement, pur- program area boundaries and fleets pri- chase of necessary equipment (such as vehicles for undercover audits), and marily operated within the I/M pro- any other requirements discussed gram area boundaries and belonging to throughout, for the period prior to the the covered model years and vehicle next biennial self-evaluation required classes comprise the subject vehicles. in § 51.366 of this subpart. (a) Subject vehicles. (1) All vehicles of (2) The SIP shall include a descrip- a covered model year and vehicle type tion of personnel resources. The plan shall be tested according to the appli- shall include the number of personnel cable test schedule, including leased dedicated to overt and covert auditing, vehicles whose registration or titling is data analysis, program administration, in the name of an equity owner other enforcement, and other necessary func- than the lessee or user. tions and the training attendant to (2) All subject fleet vehicles shall be each function. inspected. Fleets may be officially inspected outside of the normal I/M pro- § 51.355 Test frequency and conven- gram test facilities, if such alter- ience. natives are approved by the program (a) The performance standards for I/ administration, but shall be subject to M programs assume an annual test fre- the same test requirements using the quency; other schedules may be ap- same quality control standards as non- proved if the required emission targets fleet vehicles. If all vehicles in a par- are achieved. The SIP shall describe ticular fleet are tested during one part the test schedule in detail, including of the cycle, then the quality control the test year selection scheme if test- requirements shall be met during the ing is other than annual. The SIP shall time of testing only. Any vehicle avail- include the legal authority necessary able for rent in the I/M area or for use to implement and enforce the test fre- in the I/M area shall be subject. Fleet quency requirement and explain how vehicles not being tested in normal I/M the test frequency will be integrated test facilities in enhanced I/M pro- with the enforcement process. grams, however, shall be inspected in

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independent, test-only facilities, ac- any program whose enforcement is not cording to the requirements of through registration denial. § 51.353(a) of this subpart. (iii) Another method approved by the (3) Subject vehicles which are reg- State or local I/M program adminis- istered in the program area but are pri- trator. marily operated in another I/M area (5) Special exemptions may be per- shall be tested, either in the area of mitted for certain subject vehicles pro- primary operation, or in the area of vided a demonstration is made that the registration. Alternate schedules may performance standard will be met. be established to permit convenient (6) States may also exempt MY 1996 testing of these vehicles (e.g., vehicles and newer OBD-equipped vehicles that belonging to students away at college receive an OBD-I/M inspection from the should be rescheduled for testing dur- tailpipe, purge, and fill-neck pressure ing a visit home). I/M programs shall tests (where applicable) without any make provisions for providing official loss of emission reduction credit. testing to vehicles registered else- (b) SIP requirements. (1) The SIP shall where. include a detailed description of the (4) Vehicles which are operated on number and types of vehicles to be cov- Federal installations located within an ered by the program, and a plan for I/M program area shall be tested, re- how those vehicles are to be identified, gardless of whether the vehicles are including vehicles that are routinely registered in the State or local I/M operated in the area but may not be area. This requirement applies to all registered in the area. employee-owned or leased vehicles (in- (2) The SIP shall include a descrip- cluding vehicles owned, leased, or oper- tion of any special exemptions which ated by civilian and military personnel will be granted by the program, and an on Federal installations) as well as estimate of the percentage and number agency-owned or operated vehicles, ex- of subject vehicles which will be im- cept tactical military vehicles, oper- pacted. Such exemptions shall be ac- ated on the installation. This require- counted for in the emission reduction ment shall not apply to visiting agen- analysis. cy, employee, or military personnel ve- (3) The SIP shall include the legal au- hicles as long as such visits do not ex- thority or rule necessary to implement ceed 60 calendar days per year. In areas and enforce the vehicle coverage re- without test fees collected in the lane, quirement. arrangements shall be made by the in- [57 FR 52987, Nov. 5, 1992, as amended at 66 stallation with the I/M program for re- FR 18177, Apr. 5, 2001] imbursement of the costs of tests provided for agency vehicles, at the discre- § 51.357 Test procedures and stand- tion of the I/M agency. The installation ards. shall provide documentation of proof of Written test procedures and pass/fail compliance to the I/M agency. The doc- standards shall be established and fol- umentation shall include a list of sub- lowed for each model year and vehicle ject vehicles and shall be updated peri- type included in the program. odically, as determined by the I/M pro- (a) Test procedure requirements. Emis- gram administrator, but no less fre- sion tests and functional tests shall be quently than each inspection cycle. conducted according to good engineer- The installation shall use one of the ing practices to assure test accuracy. following methods to establish proof of (1) Initial tests (i.e., those occurring compliance: for the first time in a test cycle) shall (i) Presentation of a valid certificate be performed without repair or adjust- of compliance from the local I/M pro- ment at the inspection facility, prior gram, from any other I/M program at to the test, except as provided in para- least as stringent as the local program, graph (a)(10)(i) of this section. or from any program deemed accept- (2) The vehicle owner or driver shall able by the I/M program administrator. have access to the test area such that (ii) Presentation of proof of vehicle observation of the entire official in- registration within the geographic area spection process on the vehicle is per- covered by the I/M program, except for mitted. Such access may be limited but

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shall in no way prevent full observation shall also be retested. Evaporative tion. system repairs shall trigger an exhaust (3) An official test, once initiated, emissions retest (in programs which shall be performed in its entirety re- conduct an exhaust emission test as gardless of intermediate outcomes ex- part of the initial inspection). cept in the case of invalid test condi- (7) Steady-state testing. Steady-state tion, unsafe conditions, fast pass/fail tests shall be performed in accordance algorithms, or, in the case of the on- with the procedures contained in ap- board diagnostic (OBD) system check, pendix B to this subpart. unset readiness codes. (8) Emission control device inspection. (4) Tests involving measurement Visual emission control device checks shall be performed with program-approved equipment that has been cali- shall be performed through direct ob- brated according to the quality proce- servation or through indirect observa- dures contained in appendix A to this tion using a mirror, video camera or subpart. other visual aid. These inspections (5) Vehicles shall be rejected from shall include a determination as to testing if the exhaust system is miss- whether each subject device is present ing or leaking, or if the vehicle is in an and appears to be properly connected unsafe condition for testing. Coinci- and appears to be the correct type for dent with mandatory OBD-I/M testing the certified vehicle configuration. and repair of vehicles so equipped, MY (9) Evaporative system purge test proce- 1996 and newer vehicles shall be re- dure. The purge test procedure shall jected from testing if a scan of the OBD consist of measuring the total purge system reveals a ‘‘not ready’’ code for flow (in standard liters) occurring in any component of the OBD system. At the vehicle’s evaporative system dur- a state’s option it may choose altering the transient dynamometer emis- natively to reject MY 1996–2000 vehicles sion test specified in paragraph (a)(11) only if three or more ‘‘not ready’’ codes of this section. The purge flow meas- are present and to reject MY 2001 and urement system shall be connected to later model years only if two or more the purge portion of the evaporative ‘‘not ready’’ codes are present. This system in series between the canister provision does not release manufactur- and the engine, preferably near the ers from the obligations regarding canister. The inspector shall be respon- readiness status set forth in 40 CFR 86.094–17(e)(1): ‘‘Control of Air Pollu- sible for ensuring that all items that tion From New Motor Vehicles and are disconnected in the conduct of the New Motor Vehicle Engines: Regula- test procedure are properly re-con- tions RequiringOn-Board Diagnostic nected at the conclusion of the test Systems on 1994 and Later Model Year procedure. Alternative procedures may Light-Duty Vehicles and Light-Duty be used if they are shown to be equiva- Trucks.’’ Once the cause for rejection lent or better to the satisfaction of the has been corrected, the vehicle must Administrator. Except in the case of return for testing to continue the test- government-run test facilities claiming ing process. Failure to return for test- sovereign immunity, any damage done ing in a timely manner after rejection to the evaporative emission control shall be considered non-compliance system during this test shall be re- with the program, unless the motorist paired at the expense of the inspection can prove that the vehicle has been facility. sold, scrapped, or is otherwise no (10) Evaporative system integrity test longer in operation within the program procedure. The test sequence shall con- area. sist of the following steps: (6) Vehicles shall be retested after re- (i) Test equipment shall be connected pair for any portion of the inspection to the fuel tank canister hose at the that is failed on the previous test to canister end. The gas cap shall be determine if repairs were effective. To the extent that repair to correct a pre- checked to ensure that it is properly, vious failure could lead to failure of but not excessively tightened, and another portion of the test, that por- shall be tightened if necessary.

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(ii) The system shall be pressurized may elect to phase-in OBD-I/M testing to 14 ±0.5 inches of water without ex- for one test cycle by using the OBD-I/ ceeding 26 inches of water system pres- M check to screen clean vehicles from sure. tailpipe testing and require repair and (iii) Close off the pressure source, retest for only those vehicles which seal the evaporative system and mon- proceed to fail the tailpipe test. An ad- itor pressure decay for up to two min- ditional alternative is also available to utes. states with regard to the deadline for (iv) Loosen the gas cap after a max- mandatory testing, repair, and re- imum of two minutes and monitor for testing of vehicles based upon the OBD- a sudden pressure drop, indicating that I/M check. Under this third option, if a the fuel tank was pressurized. state can show good cause (and the Ad- (v) The inspector shall be responsible ministrator takes notice-and-comment for ensuring that all items that are dis- action to approve this good cause connected in the conduct of the test showing as a revision to the State’s procedure are properly re-connected at Implementation Plan), up to an addi- the conclusion of the test procedure. tional 12 months’ extensionmay be (vi) Alternative procedures may be granted, establishing an alternative used if they are shown to be equivalent start date for such states of no later or better to the satisfaction of the Ad- than January 1, 2003. States choosing ministrator. Except in the case of gov- to make this showing will also have ernment-run test facilities claiming available to them the phase-in ap- sovereign immunity, any damage done proach described in this section, with to the evaporative emission control the one-cycle time limit to begin coin- system during this test shall be re- cident with the alternative start date paired at the expense of the inspection established by Administrator approval facility. of the showing, but no later than Janu- (11) Transient emission test. The tran- ary 1, 2003. The showing of good cause sient emission test shall consist of (and its approval or disapproval) will mass emission measurement using a be addressed on a case-by-case basis by constant volume sampler (or an Ad- the Administrator. ministrator-approved alternative (13) Approval of alternative tests. Al- methodology for accounting for ex- ternative test procedures may be ap- haust volume) while the vehicle is driv- proved if the Administrator finds that en through a computer-monitored driv- such procedures show a reasonable cor- ing cycle on a dynamometer. The driv- relation with the Federal Test Proce- ing cycle shall include acceleration, de- dure and are capable of identifying celeration, and idle operating modes as comparable emission reductions from specified in appendix E to this subpart the I/M program as a whole, in com- (or an approved alternative). The driv- bination with other program elements, ing cycle may be ended earlier using as would be identified by the test(s) approved fast pass or fast fail algo- which they are intended to replace. rithms and multiple pass/fail algo- (b) Test standards—(1) Emissions stand- rithms may be used during the test ards. HC, CO, and CO + CO2 (or CO2 cycle to eliminate false failures. The alone) emission standards shall be ap- transient test procedure, including al- plicable to all vehicles subject to the gorithms and other procedural details, program with the exception of MY 1996 shall be approved by the Administrator and newer OBD-equipped light-duty ve- prior to use in an I/M program. hicles and light-duty trucks, which will (12) On-board diagnostic checks. Begin- be held to the requirements of 40 CFR ning January 1, 2002, inspection of the 85.2207, at a minimum. Repairs shall be on-board diagnostic (OBD) system on required for failure of any standard re- MY 1996 and newer light-duty vehicles gardless of the attainment status of and light-duty trucks shall be con- the area. NOX emission standards shall ducted according to the procedure de- be applied to vehicles subject to a load- scribed in 40 CFR 85.2222, at a mined mode test in ozone nonattainment imum. This inspection may be used in areas and in an ozone transport region, lieu of tailpipe, purge, and fill-neck unless a waiver of NOX controls is pro- pressure testing. Alternatively, states vided to the State under § 51.351(d).

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(2) Visual equipment inspection stand- vehicles which proceed to fail the tail- ards. (i) Vehicles shall fail visual in- pipe test. An additional alternative is spections of subject emission control also available to states with regard to devices if such devices are part of the the deadline for mandatory testing, re- original certified configuration and are pair, and retesting of vehicles based found to be missing, modified, discon- upon the OBD-I/M check. Under this nected, or improperly connected. third option, if a state can show good (ii) Vehicles shall fail visual inspec- cause (and the Administrator takes no- tions of subject emission control de- tice-and-comment action to approve vices if such devices are found to be in- this good cause showing), up to an ad- correct for the certified vehicle conditional 12 months’ extension may be figuration under inspection. granted, establishing an alternative Aftermarket parts, as well as original start date for such states of no later equipment manufacture parts, may be than January 1, 2003. States choosing considered correct if they are proper to make this showing will also have for the certified vehicle configuration. available to them the phase-in ap- Where an EPA aftermarket approval or proach described in this section, with self-certification program exists for a the one-cycle time limit to begin coin- particular class of subject parts, vehi- cident with the alternative start date cles shall fail visual equipment inspec- established by Administrator approval tions if the part is neither original of the showing, but no later than Janu- equipment manufacture nor from an ary 1, 2003. The showing of good cause approved or self-certified aftermarket (and its approval or disapproval) will manufacturer. be addressed on a case-by-case basis. (3) Functional test standards—(i) Evap- (c) Fast test algorithms and standards. orative system integrity test. Vehicles Special test algorithms and pass/fail shall fail the evaporative system pres- algorithms may be employed to reduce sure test if the system cannot main- test time when the test outcome is pre- tain a system pressure above eight dictable with near certainty, if the Ad- inches of water for up to two minutes ministrator approves by letter the after being pressurized to 14 ±0.5 inches equivalency to full procedure testing. of water or if no pressure drop is de- (d) Applicability. In general, section tected when the gas cap is loosened as 203(a)(3)(A) of the Clean Air Act pro- described in paragraph (a)(10)(iv) of hibits altering a vehicle’s configura- this section. Additionally, vehicles tion such that it changes from a cer- shall fail the evaporative test if the tified to a non-certified configuration. canister is missing or obviously dam- In the inspection process, vehicles that aged, if hoses are missing or obviously have been altered from their original disconnected, or if the gas cap is miss- certified configuration are to be tested ing. in the same manner as other subject (ii) Evaporative canister purge test. Ve- vehicles with the exception of MY 1996 hicles with a total purge system flow and newer, OBD-equipped vehicles on measuring less than one liter, over the which the data link connector is miss- course of the transient test required in ing, has been tampered with or which paragraph (a)(9) of this section, shall has been altered in such a way as to fail the evaporative purge test. make OBD system testing impossible. (4) On-board diagnostic test standards. Such vehicles shall be failed for the on- Vehicles shall fail the on-board diag- board diagnostics portion of the test nostic test if they fail to meet the re- and are expected to be repaired so that quirements of 40 CFR 85.2207, at a min- the vehicle is testable. Failure to re- imum. Failure of the on-board diag- turn for retesting in a timely manner nostic test need not result in failure of after failure and repair shall be consid- the vehicle inspection/maintenance ered non-compliance with the program, test until January 1, 2002. Alter- unless the motorist can prove that the natively, states may elect to phase-in vehicle has been sold, scrapped, or is OBD-I/M testing for one test cycle by otherwise no longer in operation with- using the OBD- I/M check to screen in the program area. clean vehicles from tailpipe testing and (1) Vehicles with engines other than require repair and retest for only those the engine originally installed by the

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manufacturer or an identical replace- compliance with program specifica- ment of such engine shall be subject to tions. the test procedures and standards for (1) Emission test equipment shall be the chassis type and model year includ- capable of testing all subject vehicles ing visual equipment inspections for and shall be updated from time to time all parts that are part of the original to accommodate new technology vehi- or now-applicable certified configura- cles as well as changes to the program. tion and part of the normal inspection. In the case of OBD-based testing, the States may choose to require vehicles equipment used to access the onboard with such engines to be subject to the computer shall be capable of testing all test procedures and standards for the MY 1996 and newer, OBD-equipped engine model year if it is newer than light-duty vehicles and light-duty the chassis model year. trucks. (2) Vehicles that have been switched (2) At a minimum, emission test from an engine of one fuel type to an- equipment: other fuel type that is subject to the (i) Shall make automatic pass/fail de- program (e.g., from a diesel engine to a cisions; gasoline engine) shall be subject to the (ii) Shall be secured from tampering test procedures and standards for the and/or abuse; current fuel type, and to the require- (iii) Shall be based upon written ments of paragraph (d)(1) of this sec- specifications; and tion. (iv) Shall be capable of simulta- (3) Vehicles that are switched to a neously sampling dual exhaust vehicles fuel type for which there is no certified in the case of tailpipe-based emission configuration shall be tested according test equipment. to the most stringent emission stand- (3) The vehicle owner or driver shall ards established for that vehicle type be provided with a record of test re- and model year. Emission control de- sults, including all of the items listed vice requirements may be waived if the in 40 CFR part 85, subpart W as being program determines that the alter- required on the test record (as applica- natively fueled vehicle configuration ble). The test report shall include: would meet the new vehicle standards for that model year without such de- (i) A vehicle description, including li- vices. cense plate number, vehicle identifica- (4) Mixing vehicle classes (e.g., light- tion number, and odometer reading; duty with heavy-duty) and certifi- (ii) The date and time of test; cation types (e.g., California with Fed- (iii) The name or identification num- eral) within a single vehicle configura- ber of the individual(s) performing the tion shall be considered tampering. tests and the location of the test sta- (e) SIP requirements. The SIP shall in- tion and lane; clude a description of each test proce- (iv) The type(s) of test(s) performed; dure used. The SIP shall include the (v) The applicable test standards; rule, ordinance or law describing and (vi) The test results, by test, and, establishing the test procedures. where applicable, by pollutant; (vii) A statement indicating the [57 FR 52987, Nov. 5, 1992, as amended at 61 FR 40945, Aug. 6, 1996; 63 FR 24433, May 4, availability of warranty coverage as re- 1998; 65 FR 45533, July 24, 2000; 66 FR 18178, quired in section 207 of the Clean Air Apr. 5, 2001] Act; (viii) Certification that tests were § 51.358 Test equipment. performed in accordance with the regu- Computerized emission test systems lations and, in the case of decentralized are required for performing an official programs, the signature of the indi- emissions test on subject vehicles. vidual who performed the test; and (a) Performance features of computer- (ix) For vehicles that fail the emis- ized emission test systems. The emission sion test, information on the possible test equipment shall be certified by the cause(s) of the failure. program, and newly acquired emission (b) Functional characteristics of com- test systems shall be subjected to ac- puterized emission test systems. The test ceptance test procedures to ensure system is composed of motor vehicle

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test equipment controlled by a comput- (2) Preventive maintenance on all in- erized processor and shall make auto- spection equipment necessary to insure matic pass/fail decisions. accurate and repeatable operation (1) [Reserved] shall be performed on a periodic basis. (2) Test systems in enhanced I/M pro- (3) [Reserved] grams shall include a real-time data (b) Requirements for steady-state emis- link to a host computer that prevents sions testing equipment. (1) Equipment unauthorized multiple initial tests on shall be maintained according to dem- the same vehicle in a test cycle and to onstrated good engineering practices to insure test record accuracy. For areas assure test accuracy. The calibration which have demonstrated the ability to and adjustment requirements in appen- meet their other, non-I/M Clean Air dix A to this subpart shall apply to all Act requirements without relying on steady-state test equipment. States emission reductions from the I/M pro- may adjust calibration schedules and gram (and which have also elected to other quality control frequencies by employ stand-alone test equipment as using statistical process control to part of the I/M program), such areas monitor equipment performance on an may adopt alternative methods for pre- ongoing basis. venting multiple initial tests, subject (2) For analyzers that use ambient to approval by the Administrator. air as zero air, provision shall be made (3) [Reserved] to draw the air from outside the in- (4) On-board diagnostic test equipment spection bay or lane in which the ana- requirements. The test equipment used lyzer is situated. to perform on-board diagnostic inspec- (3) The analyzer housing shall be con- tions shall function as specified in 40 structed to protect the analyzer bench CFR 85.2231. and electrical components from ambi- (c) SIP requirements. The SIP shall in- ent temperature and humidity fluctua- clude written technical specifications tions that exceed the range of the ana- for all test equipment used in the pro- lyzer’s design specifications. gram and shall address each of the (4) Analyzers shall automatically above requirements (as applicable). purge the analytical system after each The specifications shall describe the test. testing process, the necessary test (c) Requirements for transient exhaust equipment, the required features, and emission test equipment. Equipment shall written acceptance testing criteria and be maintained according to dem- procedures. onstrated good engineering practices to [57 FR 52987, Nov. 5, 1992, as amended at 61 assure test accuracy. Computer control FR 40945, Aug. 6, 1996; 65 FR 45533, July 24, of quality assurance checks and qual- 2000; 66 FR 18178, Apr. 5, 2001] ity control charts shall be used whenever possible. Exceptions to the proce- § 51.359 Quality control. dures and the frequency of the checks Quality control measures shall insure described in appendix A of this subpart that emission testing equipment is may be approved by the Administrator calibrated and maintained properly, based on a demonstration of com- and that inspection, calibration parable performance. records, and control charts are accu- (d) Requirements for evaporative system rately created, recorded and main- functional test equipment. Equipment tained (where applicable). shall be maintained according to dem- (a) General requirements. (1) The prac- onstrated good engineering practices to tices described in this section and in assure test accuracy. Computer control appendix A to this subpart shall be fol- of quality assurance checks and qual- lowed for those tests (or portions of ity control charts shall be used when- tests) which fall into the testing cat- ever possible. Exceptions to the proce- egories identified. Alternatives or ex- dures and the frequency of the checks ceptions to these procedures or fre- described in appendix A of this subpart quencies may be approved by the Ad- may be approved by the Administrator ministrator based on a demonstration based on a demonstration of com- of comparable performance. parable performance.

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(e) Document security. Measures shall (2) Any available warranty coverage be taken to maintain the security of shall be used to obtain needed repairs all documents by which compliance before expenditures can be counted to- with the inspection requirement is es- wards the cost limits in paragraphs tablished including, but not limited to (a)(5) and (a)(6) of this section. The op- inspection certificates, waiver certifi- erator of a vehicle within the statutory cates, license plates, license tabs, and age and mileage coverage under section stickers. This section shall in no way 207(b) of the Clean Air Act shall require the use of paper documents but present a written denial of warranty shall apply if they are used by the pro- coverage from the manufacturer or au- gram for these purposes. thorized dealer for this provision to be (1) Compliance documents shall be waived for approved tests applicable to counterfeit resistant. Such measures as the vehicle. the use of special fonts, water marks, (3) Waivers shall not be issued to ve- ultra-violet inks, encoded magnetic hicles for tampering-related repairs. strips, unique bar-coded identifiers, The cost of tampering-related repairs and difficult to acquire materials may shall not be applicable to the minimum be used to accomplish this require- expenditure in paragraphs (a)(5) and ment. (a)(6) of this section. States may issue (2) All inspection certificates, waiver exemptions for tampering-related re- certificates, and stickers shall be pairs if it can be verified that the part printed with a unique serial number in question or one similar to it is no and an official program seal. longer available for sale. (3) Measures shall be taken to ensure (4) Repairs shall be appropriate to that compliance documents cannot be the cause of the test failure, and a vis- stolen or removed without being dam- ual check shall be made to determine if aged. repairs were actually made if, given (f) SIP requirements. The SIP shall in- the nature of the repair, it can be vis- clude a description of quality control ually confirmed. Receipts shall be sub- and record keeping procedures. The mitted for review to further verify that SIP shall include the procedure man- qualifying repairs were performed. ual, rule, ordinance or law describing (5) General repairs shall be performed and establishing the quality control by a recognized repair technician (i.e., procedures and requirements. one professionally engaged in vehicle repair, employed by a going concern [57 FR 52987, Nov. 5, 1992, as amended at 58 whose purpose is vehicle repair, or pos- FR 59367, Nov. 9, 1993; 65 FR 45533, July 24, sessing nationally recognized certifi- 2000] cation for emission-related diagnosis and repair) in order to qualify for a § 51.360 Waivers and compliance via waiver. I/M programs may allow the diagnostic inspection. cost of parts (not labor) utilized by The program may allow the issuance non-technicians (e.g., owners) to apply of a waiver, which is a form of compli- toward the waiver limit. The waiver ance with the program requirements would apply to the cost of parts for the that allows a motorist to comply with- repair or replacement of the following out meeting the applicable test stand- list of emission control components: ards, as long as the prescribed criteria oxygen sensor, catalytic converter, described below are met. thermal reactor, EGR valve, fuel filler (a) Waiver issuance criteria. The waiv- cap, evaporative canister, PCV valve, er criteria shall include the following air pump, distributor, ignition wires, at a minimum. coil, and spark plugs. The cost of any (1) Waivers shall be issued only after hoses, gaskets, belts, clamps, brackets a vehicle has failed a retest performed or other accessories directly associated after all qualifying repairs have been with these components may also be ap- completed. Qualifying repairs include plied to the waiver limit. repairs of the emission control compo- (6) In basic programs, a minimum of nents, listed in paragraph (a)(5) of this $75 for pre-81 vehicles and $200 for 1981 section, performed within 60 days of and newer vehicles shall be spent in the test date. order to qualify for a waiver. These

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model year cutoffs and the associated for a vehicle shall be tracked and re- dollar limits shall be in full effect by ported by the program. January 1, 1998, or coincident with pro- (b) Compliance via diagnostic inspec- gram start-up, whichever is later. Prior tion. Vehicles subject to a transient to January 1, 1998, States may adopt IM240 emission test at the cutpoints es- any minimum expenditure commensu- tablished in §§ 51.351 (f)(7) and (g)(7) of rate with the waiver rate committed to this subpart may be issued a certificate for the purposes of modeling compli- of compliance without meeting the pre- ance with the basic I/M performance scribed emission cutpoints, if, after standard. failing a retest on emissions, a com- (7) Beginning on January 1, 1998, en- plete, documented physical and func- hanced I/M programs shall require the tional diagnosis and inspection per- motorist to make an expenditure of at formed by the I/M agency or a con- least $450 in repairs to qualify for a tractor to the I/M agency show that no waiver. The I/M program shall provide additional emission-related repairs are that the $450 minimum expenditure needed. Any such exemption policy and shall be adjusted in January of each procedures shall be subject to approval year by the percentage, if any, by by the Administrator. which the Consumer Price Index for (c) Quality control of waiver issuance. the preceding calendar year differs (1) Enhanced programs shall control from the Consumer Price Index of 1989. waiver issuance and processing by es- Prior to January 1, 1998, States may tablishing a system of agency-issued adopt any minimum expenditure com- waivers. The State may delegate this mensurate with the waiver rate com- authority to a single contractor but in- mitted to for the purposes of modeling spectors in stations and lanes shall not compliance with the relevant enhanced issue waivers. Basic programs may per- I/M performance standard. mit inspector-issued waivers as long as (i) The Consumer Price Index for any quality assurance efforts include a calendar year is the average of the comprehensive review of waiver Consumer Price Index for all-urban issuance. consumers published by the Depart- (2) The program shall include meth- ment of Labor, as of the close of the 12- ods of informing vehicle owners or les- month period ending on August 31 of sors of potential warranty coverage, each calendar year. A copy of the cur- and ways to obtain warranty repairs. rent Consumer Price Index may be ob- (3) The program shall insure that retained from the Emission Planning and pair receipts are authentic and cannot Strategies Division, U.S. Environ- be revised or reused. mental Protection Agency, 2565 Plym- (4) The program shall insure that outh Road, Ann Arbor, Michigan 48105. waivers are only valid for one test (ii) The revision of the Consumer cycle. Price Index which is most consistent (5) The program shall track, manage, with the Consumer Price Index for cal- and account for time extensions or ex- endar year 1989 shall be used. emptions so that owners or lessors can- (8) States may establish lower min- not receive or retain a waiver improp- imum expenditures if a program is es- erly. tablished to scrap vehicles that do not (d) SIP requirements. (1) The SIP shall meet standards after the lower expe include a maximum waiver rate ex- nditure is made. pressed as a percentage of initially (9) A time extension, not to exceed failed vehicles. This waiver rate shall the period of the inspection frequency, be used for estimating emission reduc- may be granted to obtain needed re- tion benefits in the modeling analysis. pairs on a vehicle in the case of eco- (2) The State shall take corrective nomic hardship when waiver require- action if the waiver rate exceeds that ments have not been met. After having committed to in the SIP or revise the received a time extension, a vehicle SIP and the emission reductions must fully pass the applicable test claimed. standards before becoming eligible for (3) The SIP shall describe the waiver another time extension. The extension criteria and procedures, including cost

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limits, quality assurance methods and strued to require that new vehicles measures, and administration. shall receive emission testing prior to (4) The SIP shall include the nec- initial retail sale. In designing its en- essary legal authority, ordinance, or forcement program, the State shall: rules to issue waivers, set and adjust (1) Provide an external, readily visi- cost limits as required in paragraph ble means of determining vehicle com- (a)(5) of this section, and carry out any pliance with the registration require- other functions necessary to admin- ment to facilitate enforcement of the ister the waiver system, including en- program; forcement of the waiver provisions. (2) Adopt a schedule of testing (either [57 FR 52987, Nov. 5, 1992, as amended at 58 annual or biennial) that clearly deter- FR 59367, Nov. 9, 1993; 60 FR 48036, Sept. 18, mines when a vehicle shall comply 1995; 71 FR 17711, Apr. 7, 2006] prior to registration; (3) Design a testing certification § 51.361 Motorist compliance enforce- mechanism (either paper-based or elec- ment. tronic) that shall be used for registra- Compliance shall be ensured through tion purposes and clearly indicates the denial of motor vehicle registra- whether the certification is valid for tion in enhanced I/M programs unless purposes of registration, including: an exception for use of an existing al- (i) Expiration date of the certificate; ternative is approved. An enhanced I/M (ii) Unambiguous vehicle identifica- area may use an existing alternative if tion information; and it demonstrates that the alternative (iii) Whether the vehicle passed or re- has been more effective than registra- ceived a waiver; tion denial. An enforcement mecha- (4) Routinely issue citations to mo- nism may be considered an ‘‘existing torists with expired or missing license alternative’’ only in States that, for plates, with either no registration or some area in the State, had an I/M pro- an expired registration, and with no li- gram with that mechanism in oper- cense plate decals or expired decals, ation prior to passage of the 1990 and provide for enforcement officials Amendments to the Act. A basic I/M other than police to issue citations area may use an alternative enforce- (e.g., parking meter attendants) to ment mechanism if it demonstrates parked vehicles in noncompliance; that the alternative will be as effective (5) Structure the penalty system to as registration denial. Two other types deter non-compliance with the reg- of enforcement programs may qualify istration requirement through the use for enhanced I/M programs if dem- of mandatory minimum fines (meaning onstrated to have been more effective civil, monetary penalties, in this sub- than enforcement of the registration part) constituting a meaningful deter- requirement in the past: Sticker-based rent and through a requirement that enforcement programs and computer- compliance be demonstrated before a matching programs. States that did case can be closed; not adopt an I/M program for any area (6) Ensure that evidence of testing is of the State before November 15, 1990, available and checked for validity at may not use an enforcement alter- the time of a new registration of a used native in connection with an enhanced vehicle or registration renewal; I/M program required to be adopted (7) Prevent owners or lessors from after that date. avoiding testing through manipulation (a) Registration denial. Registration of the title or registration system; title denial enforcement is defined as reject- transfers may re-start the clock on the ing an application for initial registra- inspection cycle only if proof of cur- tion or reregistration of a used vehicle rent compliance is required at title (i.e., a vehicle being registered after transfer; the initial retail sale and associated (8) Prevent the fraudulent initial registration) unless the vehicle has classification or reclassification of a complied with the I/M requirement vehicle from subject to non-subject or prior to granting the application. Pur- exempt by requiring proof of address suant to section 207(g)(3) of the Act, changes prior to registration record nothing in this subpart shall be con- modification, and documentation from

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the testing program (or delegate) certi- cise definition of late registration fying based on a physical inspection versus a non-complying vehicle shall that the vehicle is exempt; be explained and justified in the SIP; (9) Limit and track the use of time (iii) An alternative mechanism shall extensions of the registration require- be considered more effective if the frac- ment to prevent repeated extensions; tion of vehicles complying with the ex- (10) Provide for meaningful penalties isting program, as determined accord- for cases of registration fraud; ing to the requirements of this section, (11) Limit and track exemptions to is greater than the fraction of vehicles prevent abuse of the exemption policy complying with the registration refor vehicles claimed to be out-of-state; quirement. An alternative mechanism and is as effective if the fraction complying (12) Encourage enforcement of vehi- with the program is at least equal to cle registration transfer requirements the fraction complying with the reg- when vehicle owners move into the I/M istration requirement. area by coordinating with local and (2) Sticker-based enforcement. In addi- State enforcement agencies and struction to the general requirements, a turing other activities (e.g., drivers li- sticker-based enforcement program cense issuance) to effect registration shall demonstrate that the enforce- transfers. ment mechanism will swiftly and effec- (b) Alternative enforcement mecha- tively prevent operation of subject ve- nisms—(1) General requirements. The pro- hicles that fail to comply. Such dem- gram shall demonstrate that a non-reg- onstration shall include the following: istration-based enforcement program is (i) An assessment of the current ex- currently more effective than registra- tent of the following forms of non-com- tion-denial enforcement in enhanced I/ pliance and demonstration that mecha- M programs or, prospectively, as effec- nisms exist to keep such non-compli- tive as registration denial in basic pro- ance within acceptable limits: grams. The following general require- (A) Use of stolen, counterfeit, or ments shall apply: fraudulently obtained stickers; (i) For enhanced I/M programs, the (B) In States with safety inspections, area in question shall have had an op- the use of ‘‘Safety Inspection Only’’ erating I/M program using the alter- stickers on vehicles that should be sub- native mechanism prior to enactment ject to the I/M requirement as well; and of the Clean Air Act Amendments of (C) Operation of vehicles with expired 1990. While modifications to improve stickers, including a stratification of compliance may be made to the pro- non-compliance by length of non- gram that was in effect at the time of compliance and model year. enactment, the expected change in ef- (ii) The program as currently imple- fectiveness cannot be considered in de- mented or as proposed to be improved termining acceptability; shall also: (ii) The State shall assess the alter- (A) Require an easily observed exter- native program’s effectiveness, as well nal identifier such as the county name as the current effectiveness of the reg- on the license plate, an obviously istration system, including the fol- unique license plate tab, or other lowing: means that shows whether or not a ve- (A) Determine the number and per- hicle is subject to the I/M requirement; centage of vehicles subject to the I/M (B) Require an easily observed exter- program that were in compliance with nal identifier, such as a windshield the program over the course of at least sticker or license plate tab that shows one test cycle; and whether a subject vehicle is in compli- (B) Determine the number and frac- ance with the inspection requirement; tion of the same group of vehicles as in (C) Impose monetary fines at least as paragraph (b)(1)(ii)(A) of this section great as the estimated cost of compli- that were in compliance with the reg- ance with I/M requirements (e.g., test istration requirement over the same fee plus minimum waiver expenditure) period. Late registration shall not be for the absence of such identifiers; considered non-compliance for the pur- (D) Require that such identifiers be poses of this determination. The pre- of a quality that makes them difficult

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to counterfeit, difficult to remove (vi) Track each vehicle through the without destroying once installed, and steps taken to ensure compliance, in- durable enough to last until the next cluding: inspection without fading, peeling, or (A) The compliance deadline; other deterioration; (B) The date of initial notification; (E) Perform surveys in a variety of (C) The dates warning letters are locations and at different times for the sent to non-complying vehicle owners; presence of the required identifiers (D) The dates notices of violation or such that at least 10% of the vehicles other penalty notices are sent; and or 10,000 vehicles (whichever is less) in the subject vehicle population are sam- (E) The dates and outcomes of other pled each year; steps in the process, including the final (F) Track missing identifiers for all compliance date; inspections performed at each station, (vii) Compile and report monthly with stations being held accountable summaries including statistics on the for all such identifiers they are issued; percentage of vehicles at each stage in and the enforcement process; and (G) Assess and collect significant (viii) Track the number and percent- fines for each identifier that is unac- age of vehicles initially identified as counted for by a station. requiring testing but which are never (3) Computer matching. In addition to tested as a result of being junked, sold the general requirements, computer- to a motorist in a non-I/M program matching programs shall demonstrate area, or for some other reason. that the enforcement mechanism will (c) SIP requirements. (1) The SIP shall swiftly and effectively prevent oper- provide information concerning the en- ation of subject vehicles that fail to forcement process, including: comply. Such demonstration shall: (i) A description of the existing com- (i) Require an expeditious system pliance mechanism if it is to be used in that results in at least 90% of the subject vehicles in compliance within 4 the future and the demonstration that months of the compliance deadline; it is as effective or more effective than (ii) Require that subject vehicles be registration-denial enforcement; given compliance deadlines based on (ii) An identification of the agencies the regularly scheduled test date, not responsible for performing each of the the date of previous compliance; applicable activities in this section; (iii) Require that motorists pay mon- (iii) A description of and accounting etary fines at least as great as the esti- for all classes of exempt vehicles; and mated cost of compliance with I/M re- (iv) A description of the plan for test- quirements (e.g., test fee plus mining fleet vehicles, rental car fleets, imum waiver expenditure) for the con- leased vehicles, and any other subject tinued operation of a noncomplying ve- vehicles, e.g., those operated in (but hicle beyond 4 months of the deadline; not necessarily registered in) the pro- (iv) Require that continued non-com- gram area. pliance will eventually result in pre- (2) The SIP shall include a deter- venting operation of the non-com- mination of the current compliance plying vehicle (no later than the date rate based on a study of the system of the next test cycle) through, at a that includes an estimate of compli- minimum, suspension of vehicle reg- ance losses due to loopholes, counter- istration and subsequent denial of reregistration; feiting, and unregistered vehicles. Esti- (v) Demonstrate that the computer mates of the effect of closing such system currently in use is adequate to loopholes and otherwise improving the store and manipulate the I/M vehicle enforcement mechanism shall be sup- database, generate computerized no- ported with detailed analyses. tices, and provide regular backup to (3) The SIP shall include the legal au- said system while maintaining auxil- thority to implement and enforce the iary storage devices to insure ongoing program. operation of the system and prevent (4) The SIP shall include a commit- data losses; ment to an enforcement level to be

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used for modeling purposes and to be (9) Enforcement procedures for dis- maintained, at a minimum, in practice. ciplining, retraining, or removing enforcement personnel who deviate from [57 FR 52987, Nov. 5, 1992, as amended at 61 FR 49682, Sept. 23, 1996] established requirements, or in the case of non-government entities that § 51.362 Motorist compliance enforce- process registrations, for ment program oversight. defranchising, revoking or otherwise The enforcement program shall be discontinuing the activity of the entity audited regularly and shall follow ef- issuing registrations; and fective program management prac- (10) The prevention of fraudulent pro- tices, including adjustments to im- curement or use of inspection docu- prove operation when necessary. ments by controlling and tracking doc- (a) Quality assurance and quality con- ument distribution and handling, and trol. A quality assurance program shall making stations financially liable for be implemented to insure effective missing or unaccounted for documents overall performance of the enforcement by assessing monetary fines reflecting system. Quality control procedures are the ‘‘street value’’ of these documents required to instruct individuals in the (i.e., the test fee plus the minimum enforcement process regarding how to waiver expenditure). properly conduct their activities. At a (b) Information management. In estab- minimum, the quality control and lishing an information base to be used quality assurance program shall in- in characterizing, evaluating, and en- clude: forcing the program, the State shall: (1) Verification of exempt vehicle (1) Determine the subject vehicle status by inspecting and confirming population; such vehicles by the program or its del- (2) Permit EPA audits of the enforce- egate; ment process; (2) Facilitation of accurate critical (3) Assure the accuracy of registra- test data and vehicle identifier collection and other program document files; tion through the use of automatic data (4) Maintain and ensure the accuracy capture systems such as bar-code scan- of the testing database through peri- ners or optical character readers, or odic internal and/or third-party review; through redundant data entry (where (5) Compare the testing database to applicable); the registration database to determine (3) Maintenance of an audit trail to program effectiveness, establish com- allow for the assessment of enforce- pliance rates, and to trigger potential ment effectiveness; enforcement action against non-com- (4) Establishment of written proce- plying motorists; and dures for personnel directly engaged in (6) Sample the fleet as a determina- I/M enforcement activities; tion of compliance through parking lot (5) Establishment of written proce- surveys, road-side pull-overs, or other dures for personnel engaged in I/M doc- in-use vehicle measurements. ument handling and processing, such as (c) SIP requirements. The SIP shall in- registration clerks or personnel include a description of enforcement pro- volved in sticker dispensing and waiver gram oversight and information man- processing, as well as written proce- agement activities. dures for the auditing of their performance; [57 FR 52987, Nov. 5, 1992, as amended at 65 (6) Follow-up validity checks on out- FR 45534, July 24, 2000] of-area or exemption-triggering registration changes; § 51.363 Quality assurance. (7) Analysis of registration-change An ongoing quality assurance pro- applications to target potential viola- gram shall be implemented to discover, tors; correct and prevent fraud, waste, and (8) A determination of enforcement abuse and to determine whether proce- program effectiveness through periodic dures are being followed, are adequate, audits of test records and program whether equipment is measuring accu- compliance documentation; rately, and whether other problems

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might exist which would impede pro- subsequent retesting if the vehicle is gram performance. The quality assur- initially failed for tailpipe emissions ance and quality control procedures (this activity may be accomplished in shall be periodically evaluated to as- conjunction with paragraph (a)(4)(ii) of sess their effectiveness and relevance this section but must involve each stain achieving program goals. tion at least once per year); (a) Performance audits. Performance (iv) Documentation of the audit, in- audits shall be conducted on a regular cluding vehicle condition and prepara- basis to determine whether inspectors tion, sufficient for building a legal case are correctly performing all tests and and establishing a performance record; other required functions. Performance (v) Covert vehicles covering the audits shall be of two types: overt and range of vehicle technology groups covert, and shall include: (e.g., carbureted and fuel-injected vehi- (1) Performance audits based upon cles) included in the program, includ- written procedures and results shall be ing a full range of introduced malfunc- reported using either electronic or tions covering the emission test, the written forms to be retained in the in- evaporative system tests, and emission spector and station history files, with control component checks (as applica- sufficient detail to support either an ble); administrative or civil hearing; (vi) Sufficient numbers of covert ve- (2) Performance audits in addition to hicles and auditors to allow for fre- regularly programmed audits for sta- quent rotation of both to prevent de- tions employing inspectors suspected tection by station personnel; and of violating regulations as a result of (vii) Where applicable, access to on- audits, data analysis, or consumer line inspection databases by State per- complaints; sonnel to permit the creation and (3) Overt performance audits shall be maintenance of covert vehicle records. performed at least twice per year for (b) Record audits. Station and inspec- each lane or test bay and shall include: tor records shall be reviewed or (i) A check for the observance of ap- screened at least monthly to assess propriate document security; station performance and identify prob- (ii) A check to see that required lems that may indicate potential fraud record keeping practices are being fol- or incompetence. Such review shall in- lowed; clude: (iii) A check for licenses or certificates and other required display infor- (1) Automated record analysis to mation; and identify statistical inconsistencies, un- (iv) Observation and written evalua- usual patterns, and other discrep- tion of each inspector’s ability to prop- ancies; erly perform an inspection; (2) Visits to inspection stations to re- (4) Covert performance audits shall view records not already covered in the include: electronic analysis (if any); and (i) Remote visual observation of in- (3) Comprehensive accounting for all spector performance, which may in- official forms that can be used to dem- clude the use of aids such as binoculars onstrate compliance with the program. or video cameras, at least once per (c) Equipment audits. During overt year per inspector in high-volume sta- site visits, auditors shall conduct qual- tions (i.e., those performing more than ity control evaluations of the required 4000 tests per year); test equipment, including (where appli- (ii) Site visits at least once per year cable): per number of inspectors using covert (1) A gas audit using gases of known vehicles set to fail (this requirement concentrations at least as accurate as sets a minimum level of activity, not a those required for regular equipment requirement that each inspector be in- quality control and comparing these volved in a covert audit); concentrations to actual readings; (iii) For stations that conduct both (2) A check for tampering, worn in- testing and repairs, at least one covert strumentation, blocked filters, and vehicle visit per station per year in- other conditions that would impede ac- cluding the purchase of repairs and curate sampling;

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(3) A check for critical flow in crit- strategies that would ultimately ham- ical flow CVS units; per the enforcement process. (4) A check of the Constant Volume [57 FR 52987, Nov. 5, 1992, as amended at 65 Sampler flow calibration; FR 45534, July 24, 2000] (5) A check for the optimization of the Flame Ionization Detection fuel-air § 51.364 Enforcement against contrac- ratio using methane; tors, stations and inspectors. (6) A leak check; Enforcement against licensed sta- (7) A check to determine that station tions or contractors, and inspectors gas bottles used for calibration pur- shall include swift, sure, effective, and poses are properly labelled and within consistent penalties for violation of the relevant tolerances; program requirements. (8) Functional dynamometer checks (a) Imposition of penalties. A penalty addressing coast-down, roll speed and schedule shall be developed that estab- roll distance, inertia weight selection, lishes minimum penalties for viola- and power absorption; tions of program rules and procedures. (9) A check of the system’s ability to (1) The schedule shall categorize and accurately detect background pollut- list violations and the minimum pen- ant concentrations; alties to be imposed for first, second, (10) A check of the pressure moni- and subsequent violations and for mul- toring devices used to perform the tiple violation of different require- evaporative canister pressure test(s); ments. In the case of contracted sys- and tems, the State may use compensation (11) A check of the purge flow meter- retainage in lieu of penalties. ing system. (2) Substantial penalties or retainage (d) Auditor training and proficiency. (1) shall be imposed on the first offense for Auditors shall be formally trained and violations that directly affect emission knowledgeable in: reduction benefits. At a minimum, in (i) The use of test equipment and/or test-and-repair programs inspector and procedures; station license suspension shall be im- (ii) Program rules and regulations; posed for at least 6 months whenever a (iii) The basics of air pollution con- vehicle is intentionally improperly trol; passed for any required portion of the (iv) Basic principles of motor vehicle test. In test-only programs, inspectors engine repair, related to emission per- shall be removed from inspector duty formance; for at least 6 months (or a retainage (v) Emission control systems; penalty equivalent to the inspector’s (vi) Evidence gathering; salary for that period shall be im- (vii) State administrative procedures posed). laws; (3) All findings of serious violations (viii) Quality assurance practices; of rules or procedural requirements and shall result in mandatory fines or (ix) Covert audit procedures. retainage. In the case of gross neglect, (2) Auditors shall themselves be au- a first offense shall result in a fine or dited at least once annually. retainage of no less than $100 or 5 times (3) The training and knowledge re- the inspection fee, whichever is great- quirements in paragraph (d)(1) of this er, for the contractor or the licensed section may be waived for temporary station, and the inspector if involved. auditors engaged solely for the purpose (4) Any finding of inspector incom- of conducting covert vehicle runs. petence shall result in mandatory (e) SIP requirements. The SIP shall in- training before inspection privileges clude a description of the quality as- are restored. surance program, and written proce- (5) License or certificate suspension dures manuals covering both overt and or revocation shall mean the individual covert performance audits, record au- is barred from direct or indirect in- dits, and equipment audits. This re- volvement in any inspection operation quirement does not include materials during the term of the suspension or or discussion of details of enforcement revocation.

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(b) Legal authority. (1) The quality as- ments, the resources to be allocated to surance officer shall have the author- this function, and the source of those ity to temporarily suspend station and funds. In States without immediate inspector licenses or certificates (after suspension authority, the SIP shall approval of a superior) immediately demonstrate that sufficient resources, upon finding a violation or equipment personnel, and systems are in place to failure that directly affects emission meet the three day case management reduction benefits, pending a hearing requirement for violations that di- when requested. In the case of imme- rectly affect emission reductions. diate suspension, a hearing shall be (e) Alternative quality assurance pro- held within fourteen calendar days of a cedures or frequencies that achieve written request by the station licensee equivalent or better results may be ap- or the inspector. Failure to hold a proved by the Administrator. Statis- hearing within 14 days when requested tical process control shall be used shall cause the suspension to lapse. In whenever possible to demonstrate the the event that a State’s constitution efficacy of alternatives. precludes such a temporary license sus- (f) Areas that qualify for and choose pension, the enforcement system shall to implement an OTR low enhanced I/M be designed with adequate resources program, as established in § 51.351(h), and mechanisms to hold a hearing to and that claim in their SIP less emis- suspend or revoke the station or in- sion reduction credit than the basic spector license within three station performance standard for one or more business days of the finding. pollutants, are not required to meet (2) The oversight agency shall have the oversight specifications of this sec- the authority to impose penalties tion. against the licensed station or con- [57 FR 52987, Nov. 5, 1992, as amended at 61 tractor, as well as the inspector, even FR 39037, July 25, 1996] if the licensee or contractor had no direct knowledge of the violation but was § 51.365 Data collection. found to be careless in oversight of in- Accurate data collection is essential spectors or has a history of violations. to the management, evaluation, and Contractors and licensees shall be held enforcement of an I/M program. The fully responsible for inspector perform- program shall gather test data on indi- ance in the course of duty. vidual vehicles, as well as quality con- (c) Recordkeeping. The oversight trol data on test equipment (with the agency shall maintain records of all exception of test procedures for which warnings, civil fines, suspensions, rev- either no testing equipment is required ocations, and violations and shall com- or those test procedures relying upon a pile statistics on violations and pen- vehicle’s OBD system). alties on an annual basis. (a) Test data. The goal of gathering (d) SIP requirements. (1) The SIP shall test data is to unambiguously link spe- include the penalty schedule and the cific test results to a specific vehicle, I/ legal authority for establishing and im- M program registrant, test site, and in- posing penalties, civil fines, license spector, and to determine whether or suspension, and revocations. not the correct testing parameters (2) In the case of State constitutional were observed for the specific vehicle impediments to immediate suspension in question. In turn, these data can be authority, the State Attorney General used to distinguish complying and non- shall furnish an official opinion for the complying vehicles as a result of ana- SIP explaining the constitutional im- lyzing the data collected and com- pediment as well as relevant case law. paring it to the registration database, (3) The SIP shall describe the admin- to screen inspection stations and in- istrative and judicial procedures and spectors for investigation as to possible responsibilities relevant to the enforce- irregularities, and to help establish the ment process, including which agen- overall effectiveness of the program. cies, courts, and jurisdictions are in- At a minimum, the program shall col- volved; who will prosecute and adju- lect the following with respect to each dicate cases; and other aspects of the test conducted: enforcement of the program require- (1) Test record number;

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(2) Inspection station and inspector (b) Quality control data. At a min- numbers; imum, the program shall gather and re- (3) Test system number (where appli- port the results of the quality control cable); checks required under § 51.359 of this (4) Date of the test; subpart, identifying each check by sta- (5) Emission test start time and the tion number, system number, date, and time final emission scores are deter- start time. The data report shall also mined; contain the concentration values of the (6) Vehicle Identification Number; calibration gases used to perform the (7) License plate number; gas characterization portion of the (8) Test certificate number; quality control checks (where applica- (9) Gross Vehicle Weight Rating ble). (GVWR); [57 FR 52987, Nov. 5, 1992, as amended at 61 (10) Vehicle model year, make, and FR 40945, Aug. 6, 1996; 65 FR 45534, July 24, type; 2000] (11) Number of cylinders or engine displacement; § 51.366 Data analysis and reporting. (12) Transmission type; Data analysis and reporting are re- (13) Odometer reading; quired to allow for monitoring and (14) Category of test performed (i.e., evaluation of the program by program initial test, first retest, or subsequent management and EPA, and shall pro- retest); vide information regarding the types of (15) Fuel type of the vehicle (i.e., gas, program activities performed and their diesel, or other fuel); final outcomes, including summary (16) Type of vehicle preconditioning statistics and effectiveness evaluations performed (if any); of the enforcement mechanism, the (17) Emission test sequence(s) used; quality assurance system, the quality (18) Hydrocarbon emission scores and control program, and the testing ele- standards for each applicable test ment. Initial submission of the fol- mode; lowing annual reports shall commence (19) Carbon monoxide emission scores within 18 months of initial implemen- and standards for each applicable test tation of the program as required by mode; § 51.373 of this subpart. The biennial re- (20) Carbon dioxide emission scores port shall commence within 30 months (CO + CO2) and standards for each ap- of initial implementation of the pro- plicable test mode; gram as required by § 51.373 of this sub- (21) Nitrogen oxides emission scores part. and standards for each applicable test (a) Test data report. The program mode; shall submit to EPA by July of each (22) Results (Pass/Fail/Not Applica- year a report providing basic statistics ble) of the applicable visual inspections on the testing program for January for the catalytic converter, air system, through December of the previous year, gas cap, evaporative system, positive including: crankcase ventilation (PCV) valve, fuel (1) The number of vehicles tested by inlet restrictor, and any other visual model year and vehicle type; inspection for which emission reduc- (2) By model year and vehicle type, tion credit is claimed; the number and percentage of vehicles: (23) Results of the evaporative sys- (i) Failing initially, per test type; tem pressure test(s) expressed as a pass (ii) Failing the first retest per test or fail; type; (24) Results of the evaporative sys- (iii) Passing the first retest per test tem purge test expressed as a pass or type; fail along with the total purge flow in (iv) Initially failed vehicles passing liters achieved during the test (where the second or subsequent retest per applicable); and test type; (25) Results of the on-board diag- (v) Initially failed vehicles receiving nostic check expressed as a pass or fail a waiver; and along with the diagnostic trouble codes (vi) Vehicles with no known final revealed (where applicable). outcome (regardless of reason).

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(vii)–(x) [Reserved] (i) Receiving overt performance au- (xi) Passing the on-board diagnostic dits in the year; check; (ii) Not receiving overt performance (xii) Failing the on-board diagnostic audits in the year; check; (iii) Receiving covert performance (xiii) Failing the on-board diagnostic audits in the year; check and passing the tailpipe test (if (iv) Not receiving covert performance applicable); audits in the year; and (xiv) Failing the on-board diagnostic (v) That have been shut down as a recheck and failing the tailpipe test (if sult of overt performance audits; applicable); (3) The number of covert audits: (xv) Passing the on-board diagnostic (i) Conducted with the vehicle set to check and failing the I/M gas cap evap- fail per test type; orative system test (if applicable); (ii) Conducted with the vehicle set to (xvi) Failing the on-board diagnostic fail any combination of two or more check and passing the I/M gas cap evap- test types; orative system test (if applicable); (iii) Resulting in a false pass per test (xvii) Passing both the on-board diag- type; nostic check and I/M gas cap evapo- (iv) Resulting in a false pass for any rative system test (if applicable); combination of two or more test types; (xviii) Failing both the on-board di- (v)–(viii) [Reserved] agnostic check and I/M gas cap evapo- (4) The number of inspectors and sta- rative system test (if applicable); tions: (xix) MIL is commanded on and no (i) That were suspended, fired, or oth- codes are stored; erwise prohibited from testing as a re- (xx) MIL is not commanded on and sult of covert audits; codes are stored; (xxi) MIL is commanded on and codes (ii) That were suspended, fired, or are stored; otherwise prohibited from testing for (xxii) MIL is not commanded on and other causes; and codes are not stored; (iii) That received fines; (xxiii) Readiness status indicates (5) The number of inspectors licensed that the evaluation is not complete for or certified to conduct testing; any module supported by on-board di- (6) The number of hearings: agnostic systems; (i) Held to consider adverse actions (3) The initial test volume by model against inspectors and stations; and year and test station; (ii) Resulting in adverse actions (4) The initial test failure rate by against inspectors and stations; model year and test station; and (7) The total amount collected in (5) The average increase or decrease fines from inspectors and stations by in tailpipe emission levels for HC, CO, type of violation; and NOX (if applicable) after repairs by (8) The total number of covert vehi- model year and vehicle type for vehicles available for undercover audits cles receiving a mass emissions test. over the year; and (b) Quality assurance report. The pro- (9) The number of covert auditors gram shall submit to EPA by July of available for undercover audits. each year a report providing basic sta- (c) Quality control report. The pro- tistics on the quality assurance program shall submit to EPA by July of gram for January through December of each year a report providing basic sta- the previous year, including: tistics on the quality control program (1) The number of inspection stations for January through December of the and lanes: previous year, including: (i) Operating throughout the year; (1) The number of emission testing and sites and lanes in use in the program; (ii) Operating for only part of the (2) The number of equipment audits year; by station and lane; (2) The number of inspection stations (3) The number and percentage of sta- and lanes operating throughout the tions that have failed equipment au- year: dits; and

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(4) Number and percentage of sta- (iii) The number of enforcement sys- tions and lanes shut down as a result of tem audits, and the error rate found equipment audits. during those audits. (d) Enforcement report. (1) All vari- (4) Sticker-based enforcement sys- eties of enforcement programs shall, at tems shall provide the following addi- a minimum, submit to EPA by July of tional information: each year a report providing basic sta- (i) A report on the program’s efforts tistics on the enforcement program for to prevent, detect, and enforce against January through December of the pre- sticker theft and counterfeiting, and vious year, including: the frequency of this type of activity; (i) An estimate of the number of ve- (ii) A report on the program’s efforts hicles subject to the inspection pro- to detect and enforce against motorists gram, including the results of an anal- falsely changing vehicle classifications ysis of the registration data base; to circumvent program requirements, (ii) The percentage of motorist com- and the frequency of this type of activ- pliance based upon a comparison of the ity; and number of valid final tests with the (iii) The number of parking lot stick- number of subject vehicles; er audits conducted, the number of ve- (iii) The total number of compliance hicles surveyed in each, and the non- documents issued to inspection sta- compliance rate found during those au- tions; dits. (e) Additional reporting requirements. (iv) The number of missing compli- In addition to the annual reports in ance documents; paragraphs (a) through (d) of this sec- (v) The number of time extensions tion, programs shall submit to EPA by and other exemptions granted to mo- July of every other year, biennial re- torists; and ports addressing: (vi) The number of compliance sur- (1) Any changes made in program de- veys conducted, number of vehicles sign, funding, personnel levels, proce- surveyed in each, and the compliance dures, regulations, and legal authority, rates found. with detailed discussion and evaluation (2) Registration denial based enforce- of the impact on the program of all ment programs shall provide the fol- such changes; and lowing additional information: (2) Any weaknesses or problems iden- (i) A report of the program’s efforts tified in the program within the two- and actions to prevent motorists from year reporting period, what steps have falsely registering vehicles out of the already been taken to correct those program area or falsely changing fuel problems, the results of those steps, type or weight class on the vehicle reg- and any future efforts planned. istration, and the results of special (f) SIP requirements. The SIP shall de- studies to investigate the frequency of scribe the types of data to be collected. such activity; and [57 FR 52987, Nov. 5, 1992, as amended at 61 (ii) The number of registration file FR 40945, Aug. 6, 1996; 65 FR 45534, July 24, audits, number of registrations re- 2000; 66 FR 18178, Apr. 5, 2001] viewed, and compliance rates found in such audits. § 51.367 Inspector training and licens- (3) Computer-matching based en- ing or certification. forcement programs shall provide the All inspectors shall receive formal following additional information: training and be licensed or certified to (i) The number and percentage of perform inspections. subject vehicles that were tested by (a) Training. (1) Inspector training the initial deadline, and by other mile- shall impart knowledge of the fol- stones in the cycle; lowing: (ii) A report on the program’s efforts (i) The air pollution problem, its to detect and enforce against motorists causes and effects; falsely changing vehicle classifications (ii) The purpose, function, and goal of to circumvent program requirements, the inspection program; and the frequency of this type of activ- (iii) Inspection regulations and pro- ity; and cedures;

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(iv) Technical details of the test pro- privilege bestowed by the program con- cedures and the rationale for their de- ditional upon adherence to program re- sign; quirements. (v) Emission control device function, (c) SIP requirements. The SIP shall in- configuration, and inspection; clude a description of the training pro- (vi) Test equipment operation, cali- gram, the written and hands-on tests, bration, and maintenance (with the ex- and the licensing or certification proc- ception of test procedures which either ess. do not require the use of special equipment or which rely upon a vehicle’s [57 FR 52987, Nov. 5, 1992, as amended at 65 OBD system); FR 45534, July 24, 2000] (vii) Quality control procedures and their purpose; § 51.368 Public information and con- (viii) Public relations; and sumer protection. (ix) Safety and health issues related (a) Public awareness. The SIP shall in- to the inspection process. clude a plan for informing the public (2) If inspector training is not admin- on an ongoing basis throughout the life istered by the program, the responsible of the I/M program of the air quality State agency shall monitor and evalu- problem, the requirements of Federal ate the training program delivery. and State law, the role of motor vehi- (3) In order to complete the training cles in the air quality problem, the requirement, a trainee shall pass (i.e., a need for and benefits of an inspection minimum of 80% of correct responses program, how to maintain a vehicle in or lower if an occupational analysis a low-emission condition, how to find a justifies it) a written test covering all qualified repair technician, and the re- aspects of the training. In addition, a quirements of the I/M program. Motor- hands-on test shall be administered in which the trainee demonstrates with- ists that fail the I/M test in enhanced I/ out assistance the ability to conduct a M areas shall be offered a list of repair proper inspection and to follow other facilities in the area and information required procedures. Inability to prop- on the results of repairs performed by erly conduct all test procedures shall repair facilities in the area, as de- constitute failure of the test. The pro- scribed in § 51.369(b)(1) of this subpart. gram shall take appropriate steps to Motorists that fail the I/M test shall insure the security and integrity of the also be provided with information con- testing process. cerning the possible cause(s) for failing (b) Licensing and certification. (1) All the particular portions of the test that inspectors shall be either licensed by were failed. the program (in the case of test-and-re- (b) Consumer protection. The oversight pair systems that do not use contracts agency shall institute procedures and with stations) or certified by an orga- mechanisms to protect the public from nization other than the employer (in fraud and abuse by inspectors, mechan- test-only programs and test-and-repair ics, and others involved in the I/M pro- programs that require station owners gram. This shall include a challenge to enter into contracts with the State) mechanism by which a vehicle owner in order to perform official inspections. can contest the results of an inspec- (2) Completion of inspector training tion. It shall include mechanisms for and passing required tests shall be a protecting whistle blowers and fol- condition of licensing or certification. lowing up on complaints by the public (3) Inspector licenses and certificates shall be valid for no more than 2 years, or others involved in the process. It at which point refresher training and shall include a program to assist own- testing shall be required prior to re- ers in obtaining warranty covered renewal. Alternative approaches based on pairs for eligible vehicles that fail a more comprehensive skill examination test. The SIP shall include a detailed and determination of inspector com- consumer protection plan. petency may be used. [57 FR 52987, Nov. 5, 1992, as amended at 65 (4) Licenses or certificates shall not FR 45534, July 24, 2000] be considered a legal right but rather a

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§ 51.369 Improving repair effective- which repairs were performed, as well ness. as any technician recommended repairs Effective repairs are the key to that were not performed, and identi- achieving program goals and the State fication of the facility that performed shall take steps to ensure the capa- the repairs. bility exists in the repair industry to (c) Repair technician training. The repair vehicles that fail I/M tests. State shall assess the availability of (a) Technical assistance. The oversight adequate repair technician training in agency shall provide the repair indus- the I/M area and, if the types of train- try with information and assistance re- ing described in paragraphs (c)(1) lated to vehicle inspection diagnosis through (4) of this section are not cur- and repair. rently available, shall insure that (1) The agency shall regularly inform training is made available to all inter- repair facilities of changes in the in- ested individuals in the community ei- spection program, training course ther through private or public facili- schedules, common problems being ties. This may involve working with found with particular engine families, local community colleges or vocational diagnostic tips and the like. schools to add curricula to existing (2) The agency shall provide a hot programs or start new programs or it line service to assist repair technicians might involve attracting private train- with specific repair problems, answer ing providers to offer classes in the technical questions that arise in the area. The training available shall in- repair process, and answer questions clude: related to the legal requirements of State and Federal law with regard to (1) Diagnosis and repair of malfunc- emission control device tampering, en- tions in computer controlled, close- gine switching, or similar issues. loop vehicles; (b) Performance monitoring. (1) In en- (2) The application of emission con- hanced I/M program areas, the over- trol theory and diagnostic data to the sight agency shall monitor the per- diagnosis and repair of failures on the formance of individual motor vehicle transient emission test and the evapo- repair facilities, and provide to the rative system functional checks (where public at the time of initial failure, a applicable); summary of the performance of local (3) Utilization of diagnostic informa- repair facilities that have repaired ve- tion on systematic or repeated failures hicles for retest. Performance moni- observed in the transient emission test toring shall include statistics on the and the evaporative system functional number of vehicles submitted for a checks (where applicable); and retest after repair by the repair facil- (4) General training on the various ity, the percentage passing on first subsystems related to engine emission retest, the percentage requiring more control. than one repair/retest trip before pass- (d) SIP requirements. The SIP shall ining, and the percentage receiving a clude a description of the technical as- waiver. Programs may provide motor- sistance program to be implemented, a ists with alternative statistics that description of the procedures and cri- convey similar information on the rel- teria to be used in meeting the per- ative ability of repair facilities in pro- formance monitoring requirements of viding effective and convenient repair, this section, and a description of the in light of the age and other character- repair technician training resources istics of vehicles presented for repair available in the community. at each facility. (2) Programs shall provide feedback, [57 FR 52987, Nov. 5, 1992, as amended at 65 including statistical and qualitative FR 45535, July 24, 2000] information to individual repair facilities on a regular basis (at least annu- § 51.370 Compliance with recall no- ally) regarding their success in repair- tices. ing failed vehicles. States shall establish methods to en- (3) A prerequisite for a retest shall be sure that vehicles subject to enhanced a completed repair form that indicates I/M and that are included in either a

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‘‘Voluntary Emissions Recall’’ as de- (c) Reporting requirements. The State fined at 40 CFR 85.1902(d), or in a reme- shall submit to EPA, by July of each dial plan determination made pursuant year for the previous calendar year, an to section 207(c) of the Act, receive the annual report providing the following required repairs. States shall require information: that owners of recalled vehicles have (1) The number of vehicles in the I/M the necessary recall repairs completed, area initially listed as having unre- either in order to complete an annual solved recalls, segregated by recall or biennial inspection process or to ob- campaign number; tain vehicle registration renewal. All (2) The number of recalled vehicles recalls for which owner notification oc- brought into compliance by owners; curs after January 1, 1995 shall be in- (3) The number of listed vehicles with cluded in the enhanced I/M recall re- unresolved recalls that, as of the end of quirement. the calendar year, were not yet due for (a) General requirements. (1) The State inspection or registration; shall have an electronic means to iden- (4) The number of recalled vehicles tify recalled vehicles based on lists of still in non-compliance that have ei- VINs with unresolved recalls made ther failed inspection or been denied available by EPA, the vehicle manufac- registration on the basis of non-compli- turers, or a third party supplier ap- ance with recall; and proved by the Administrator. The (5) The number of recalled vehicles State shall update its list of unresolved that are otherwise not in compliance. recalls on a quarterly basis at a min- (d) SIP submittals. The SIP shall de- imum. scribe the procedures used to incor- (2) The State shall require owners or porate the vehicle lists provided in lessees of vehicles with unresolved re- paragraph (a)(1) of this section into the calls to show proof of compliance with inspection or registration database, the recall notices in order to complete ei- quality control methods used to insure ther the inspection or registration that recall repairs are properly docu- cycle. mented and tracked, and the method (3) Compliance shall be required on (inspection failure or registration de- the next registration or inspection nial) used to enforce the recall require- date, allowing a reasonable period to ments. comply, after notification of recall was received by the State. § 51.371 On-road testing. (b) Enforcement. (1) A vehicle shall ei- On-road testing is defined as testing ther fail inspection or be denied vehicle of vehicles for conditions impacting registration if the required recall re- the emission of HC, CO, NOX and/or CO2 pairs have not been completed. emissions on any road or roadside in (2) In the case of vehicles obtaining the nonattainment area or the I/M pro- recall repairs but remaining on the up- gram area. On-road testing is required dated list provided in paragraph (a)(1) in enhanced I/M areas and is an option of this section, the State shall have a for basic I/M areas. means of verifying completion of the (a) General requirements. (1) On-road required repairs; electronic records or testing is to be part of the emission paper receipts provided by the author- testing system, but is to be a com- ized repair facility shall be required. plement to testing otherwise required. The vehicle inspection or registration (2) On-road testing is not required in record shall be modified to include (or every season or on every vehicle but be supplemented with other VIN-linked shall evaluate the emission perform- records which include) the recall cam- ance of 0.5% of the subject fleet state- paign number(s) and the date(s) repairs wide or 20,000 vehicles, whichever is were performed. Documentation less, per inspection cycle. verifying required repairs shall include (3) The on-road testing program shall the following: provide information about the perform- (i) The VIN, make, and model year of ance of in-use vehicles, by measuring the vehicle; and on-road emissions through the use of (ii) The recall campaign number and remote sensing devices or by assessing the date repairs were completed. vehicle emission performance through

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roadside pullovers including tailpipe or (1) A schedule of implementation of evaporative emission testing or a the program including interim mile- check of the onboard diagnostic (OBD) stones leading to mandatory testing. system for vehicles so equipped. The The milestones shall include, at a min- program shall collect, analyze and re- imum: port on-road testing data. (i) Passage of enabling statutory or (4) Owners of vehicles that have pre- other legal authority; viously been through the normal peri- (ii) Proposal of draft regulations and odic inspection and passed the final promulgation of final regulations; retest and found to be high emitters (iii) Issuance of final specifications shall be notified that the vehicles are and procedures; required to pass an out-of-cycle follow- (iv) Issuance of final Request for Pro- up inspection; notification may be by posals (if applicable); mailing in the case of remote sensing (v) Licensing or certifications of sta- on-road testing or through immediate tions and inspectors; notification if roadside pullovers are (vi) The date mandatory testing will used. begin for each model year to be covered (b) SIP requirements. (1) The SIP shall by the program; include a detailed description of the (vii) The date full-stringency on-road testing program, including the cutpoints will take effect; types of testing, test limits and cri- (viii) All other relevant dates; teria, the number of vehicles (the per- (2) An analysis of emission level tar- centage of the fleet) to be tested, the gets for the program using the most number of employees to be dedicated to current EPA mobile source emission the on-road testing effort, the methods model or an alternative approved by for collecting, analyzing, utilizing, and the Administrator showing that the reporting the results of on-road testing program meets the performance stand- and, the portion of the program budget ard described in § 51.351 or § 51.352 of to be dedicated to on-road testing. this subpart, as applicable; (2) The SIP shall include the legal au- (3) A description of the geographic thority necessary to implement the on- coverage of the program, including ZIP road testing program, including the au- codes if the program is not county- thority to enforce off-cycle inspection wide; and repair requirements (where appli- (4) A detailed discussion of each of cable). the required design elements, including (3) Emission reduction credit for on- provisions for Federal facility compli- road testing programs shall be granted ance; for a program designed to obtain meas- (5) Legal authority requiring or al- urable emission reductions over and lowing implementation of the I/M pro- above those already predicted to be gram and providing either broad or spe- achieved by other aspects of the I/M cific authority to perform all required program. Emission reduction credit elements of the program; will only be granted to those programs (6) Legal authority for I/M program which require out-of-cycle repairs for operation until such time as it is no confirmed high-emitting vehicles iden- longer necessary (i.e., until a Section tified under the on-road testing pro- 175 maintenance plan without an I/M gram. The SIP shall include technical program is approved by EPA); support for the claimed additional (7) Implementing regulations, inter- emission reductions. agency agreements, and memoranda of understanding; and [57 FR 52987, Nov. 5, 1992, as amended at 65 (8) Evidence of adequate funding and FR 45535, July 24, 2000] resources to implement all aspects of the program. § 51.372 State Implementation Plan (b) Submittal schedule. The SIP shall submissions. be submitted to EPA according to the (a) SIP submittals. The SIP shall ad- following schedule— dress each of the elements covered in (1) [Reserved] this subpart, including, but not limited (2) A SIP revision required as a result to: of a change in an area’s designation or

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classification under a NAAQS for program no more than 18 months after ozone, including all necessary legal au- notification by EPA. thority and the items specified in para- (d) Basic areas continuing operation graphs (a)(1) through (8) of this section, of I/M programs as part of their main- shall be submitted no later than the tenance plan without implemented up- deadline for submitting the area’s at- grades shall be assumed to be 80% as tainment SIP for the NAAQS in ques- effective as an implemented, upgraded tion. version of the same I/M program de- (3) [Reserved] sign, unless a State can demonstrate (c) Redesignation requests. Any non- using operating information that the I/ attainment area that EPA determines M program is more effective than the would otherwise qualify for redesigna- 80% level. tion from nonattainment to attain- (e) SIP submittals to correct violations. ment shall receive full approval of a SIP submissions required pursuant to a State Implementation Plan (SIP) sub- violation of the ambient ozone or CO mittal under Sections 182(a)(2)(B) or standard (as discussed in paragraph (c) 182(b)(4) if the submittal contains the of this section) shall address all of the following elements: requirements of this subpart. The SIP (1) Legal authority to implement a shall demonstrate that performance basic I/M program (or enhanced if the standards in either § 51.351 or § 51.352 State chooses to opt up) as required by shall be met using an evaluation date this subpart. The legislative authority (rounded to the nearest January for for an I/M program shall allow the adoption of implementing regulations carbon monoxide and July for hydro- without requiring further legislation. carbons) seven years after the date (2) A request to place the I/M plan (if EPA notifies the State that it is in vio- no I/M program is currently in place or lation of the ozone or CO standard or if an I/M program has been termi- any earlier date specified in the State nated,) or the I/M upgrade (if the exist- plan. Emission standards for vehicles ing I/M program is to continue without subject to an IM240 test may be phased being upgraded) into the contingency in during the program but full stand- measures portion of the maintenance ards must be in effect for at least one plan upon redesignation. complete test cycle before the end of (3) A contingency measure consisting the 5-year period. All other require- of a commitment by the Governor or ments shall take effect within 24 the Governor’s designee to adopt or months of the date EPA notifies the consider adopting regulations to imple- State that it is in violation of the ment an I/M program to correct a vio- ozone or CO standard or any earlier lation of the ozone or CO standard or date specified in the State plan. The other air quality problem, in accord- phase-in allowances of § 51.373(c) of this ance with the provisions of the mainte- subpart shall not apply. nance plan. [57 FR 52987, Nov. 5, 1992, as amended at 60 (4) A contingency commitment that FR 1738, Jan. 5, 1995; 60 FR 48036, Sept. 18, includes an enforceable schedule for 1995; 61 FR 40946, Aug. 6, 1996; 61 FR 44119, adoption and implementation of the I/ Aug. 27, 1996; 71 FR 17711, Apr. 7, 2006; 80 FR M program, and appropriate mile- 12318, Mar. 6, 2015] stones. The schedule shall include the date for submission of a SIP meeting § 51.373 Implementation deadlines. all of the requirements of this subpart. I/M programs shall be implemented Schedule milestones shall be listed in as expeditiously as practicable. months from the date EPA notifies the (a) Decentralized basic programs State that it is in violation of the shall be fully implemented by January ozone or CO standard or any earlier date specified in the State plan. Unless 1, 1994, and centralized basic programs the State, in accordance with the pro- shall be fully implemented by July 1, visions of the maintenance plan, choos- 1994. More implementation time may es not to implement I/M, it must sub- be approved by the Administrator if an mit a SIP revision containing an I/M enhanced I/M program is implemented.

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(b) For areas newly required to im- lieve the area of the obligation to meet plement basic I/M as a result of des- the requirements of § 51.351(h)(11) by ignation under the 8-hour ozone stand- the end of 1999. ard, the required program shall be fully (g) On-Board Diagnostic checks shall implemented no later than 4 years be implemented in all basic, low en- after the effective date of designation hanced and high enhanced areas as part and classification under the 8-hour of the I/M program by January 1, 2002. ozone standard. Alternatively, states may elect to (c) All requirements related to en- phase-in OBD-I/M testing for one test hanced I/M programs shall be imple- cycle by using the OBD-I/M check to mented by January 1, 1995, with the fol- screen clean vehicles from tailpipe lowing exceptions. testing and require repair and retest (1) Areas switching from an existing for only those vehicles which proceed test-and-repair network to a test-only to fail the tailpipe test. An additional network may phase in the change be- alternative is also available to states tween January of 1995 and January of with regard to the deadline for manda- 1996. Starting in January of 1995 at tory testing, repair, and retesting of least 30% of the subject vehicles shall vehicles based upon the OBD-I/M participate in the test-only system (in check. Under this third option, if a States with multiple I/M areas, imple- state can show good cause (and the Ad- mentation is not required in every area ministrator takes notice-and-comment by January 1995 as long as statewide, action to approve this good cause 30% of the subject vehicles are involved showing), up to an additional 12 in testing) and shall be subject to the months’ extension may be granted, es- new test procedures (including the tablishing an alternative start date for evaporative system checks, visual in- such states of no later than January 1, spections, and tailpipe emission tests). 2003. States choosing to make this By January 1, 1996, all applicable vehi- showing will also have available to cle model years and types shall be in- them the phase-in approach described cluded in the test-only system. During in this section, with the one-cycle time the phase-in period, all requirements of limit to begin coincident with the al- this subpart shall be applied to the ternative start date established by Ad- test-only portion of the program; exist- ministrator approval of the showing, ing requirements may continue to but no later than January 1, 2003. The apply for the test-and-repair portion of showing of good cause (and its approval the program until it is phased out by or disapproval) will be addressed on a January 1, 1996. case-by-case basis. (2) Areas starting new test-only pro- (h) For areas newly required to im- grams and those with existing test- plement either a basic or enhanced I/M only programs may also phase in the program as a result of being designated new test procedures between January and classified under the 8-hour ozone 1, 1995 and January 1, 1996. Other pro- standard, such programs shall begin gram requirements shall be fully im- OBD testing on subject OBD-equipped plemented by January 1, 1995. vehicles coincident with program (d) For areas newly required to im- start-up. plement enhanced I/M as a result of designation under the 8-hour ozone [57 FR 52987, Nov. 5, 1992, as amended at 58 standard, the required program shall be FR 59367, Nov. 9, 1993; 61 FR 39037, July 25, 1996; 61 FR 40946, Aug. 6, 1996; 63 FR 24433, fully implemented no later than 4 May 4, 1998; 66 FR 18178, Apr. 5, 2001; 71 FR years after the effective date of des- 17711, Apr. 7, 2006] ignation and classification under the 8- hour ozone standard. APPENDIX A TO SUBPART S OF PART 51— (e) [Reserved] CALIBRATIONS, ADJUSTMENTS AND (f) Areas that choose to implement QUALITY CONTROL an enhanced I/M program only meeting the requirements of § 51.351(h) shall (I) Steady-State Test Equipment fully implement the program no later States may opt to use transient emission than July 1, 1999. The availability and test equipment for steady-state tests and fol- use of this late start date does not re- low the quality control requirements in

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paragraph (II) of this appendix instead of the into the analyzer through the calibration following requirements. port. If the analyzer reads the span gas with- (a) Equipment shall be calibrated in ac- in the allowable tolerance range (i.e., the cordance with the manufacturers’ instruc- square root of sum of the squares of the span tions. gas tolerance described in paragraph (I)(d)(3) (b) Prior to each test—(1) Hydrocarbon hang- of this appendix and the calibration toler- up check. Immediately prior to each test the ance, which shall be equal to 2%), no adjust- analyzer shall automatically perform a hy- ment of the analyzer is necessary. The gas drocarbon hang-up check. If the HC reading, calibration procedure shall correct readings when the probe is sampling ambient air, ex- that exceed the allowable tolerance range to ceeds 20 ppm, the system shall be purged the center of the allowable tolerance range. with clean air or zero gas. The analyzer shall The pressure in the sample cell shall be the be inhibited from continuing the test until same with the calibration gas flowing during HC levels drop below 20 ppm. calibration as with the sample gas flowing (2) Automatic zero and span. The analyzer during sampling. If the system is not cali- shall conduct an automatic zero and span brated, or the system fails the calibration check prior to each test. The span check check, the analyzer shall lock out from test- shall include the HC, CO, and CO2 channels, ing. and the NO and O2 channels, if present. If (2) Span points. A two point gas calibration zero and/or span drift cause the signal levels procedure shall be followed. The span shall to move beyond the adjustment range of the be accomplished at one of the following pairs analyzer, it shall lock out from testing. of span points: (3) Low flow. The system shall lock out from testing if sample flow is below the ac- (A) 300—ppm propane (HC) ceptable level as defined in paragraph 1.0—% carbon monoxide (CO) (I)(b)(6) of appendix D to this subpart. 6.0—% carbon dioxide (CO2) (c) Leak check. A system leak check shall 1000—ppm nitric oxide (if equipped with NO) be performed within twenty-four hours be- 1200—ppm propane (HC) fore the test in low volume stations (those 4.0—% carbon monoxide (CO) performing less than the 4,000 inspections per 12.0—% carbon dioxide (CO2) year) and within four hours in high-volume 3000—ppm nitric oxide (if equipped with NO) stations (4,000 or more inspections per year) (B) —ppm propane and may be performed in conjunction with 0.0—% carbon monoxide the gas calibration described in paragraph 0.0—% carbon dioxide (I)(d)(1) of this appendix. If a leak check is 0—ppm nitric oxide (if equipped with NO) not performed within the preceding twenty- 600—ppm propane (HC) four hours in low volume stations and within 1.6—% carbon monoxide (CO) four hours in high-volume stations or if the 11.0—% carbon dioxide (CO2) analyzer fails the leak check, the analyzer 1200—ppm nitric oxide (if equipped with NO) shall lock out from testing. The leak check shall be a procedure demonstrated to effec- (3) Span gases. The span gases used for the tively check the sample hose and probe for gas calibration shall be traceable to Na- leaks and shall be performed in accordance tional Institute of Standards and Technology with good engineering practices. An error of (NIST) standards ±2%, and shall be within more than ±2% of the reading using low two percent of the span points specified in range span gas shall cause the analyzer to paragraph (d)(2) of this appendix. Zero gases lock out from testing and shall require re- shall conform to the specifications given in pair of leaks. § 86.114–79(a)(5) of this chapter. (d) Gas calibration. (1) On each operating (e) Dynamometer checks—(1) Monthly check. day in high-volume stations, analyzers shall Within one month preceding each loaded automatically require and successfully pass test, the accuracy of the roll speed indicator a two-point gas calibration for HC, CO, and shall be verified and the dynamometer shall CO2 and shall continually compensate for be checked for proper power absorber set- changes in barometric pressure. Calibration tings. shall be checked within four hours before the (2) Semi-annual check. Within six months test and the analyzer adjusted if the reading preceding each loaded test, the road-load re- is more than 2% different from the span gas sponse of the variable-curve dynamometer or value. In low-volume stations, analyzers the frictional power absorption of the dyna- shall undergo a two-point calibration within mometer shall be checked by a coast down seventy-two hours before each test, unless procedure similar to that described in changes in barometric pressure are com- § 86.118–78 of this chapter. The check shall be pensated for automatically and statistical done at 30 mph, and a power absorption load process control demonstrates equal or better setting to generate a total horsepower (hp) quality control using different frequencies. of 4.1 hp. The actual coast down time from 45 Gas calibration shall be accomplished by in- mph to 15 mph shall be within ±1 second of troducing span gas that meets the require- the time calculated by the following equa- ments of paragraph (I)(d)(3) of this appendix tion:

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done daily. Deviations greater than the de- 0. 0508 × W sign tolerances shall be corrected. Coast Down Time = (c) Analyzer system—(1) Calibration checks. HP (A) Upon initial operation, calibration where W is the total inertia weight as rep- curves shall be generated for each analyzer. resented by the weight of the rollers (exclud- The calibration curve shall consider the en- ing free rollers), and any inertia flywheels tire range of the analyzer as one curve. At used, measured in pounds. If the coast down least 6 calibration points plus zero shall be used in the lower portion of the range cor- time is not within the specified tolerance the responding to an average concentration of dynamometer shall be taken out of service approximately 2 gpm for HC, 30 gpm for CO, and corrective action shall be taken. 3 gpm for NOX, and 400 gpm for CO2. For the (f) Other checks. In addition to the above case where a low and a high range analyzer periodic checks, these shall also be used to is used, the high range analyzer shall use at verify system performance under the fol- least 6 calibration points plus zero in the lowing special circumstances. lower portion of the high range scale cor- (1) Gas Calibration. (A) Each time the ana- responding to approximately 100% of the lyzer electronic or optical systems are re- full-scale value of the low range analyzer. paired or replaced, a gas calibration shall be For all analyzers, at least 6 calibration performed prior to returning the unit to points shall also be used to define the cali- service. bration curve in the region above the 6 lower (B) In high-volume stations, monthly calibration points. Gas dividers may be used multi-point calibrations shall be performed. to obtain the intermediate points for the Low-volume stations shall perform multi- general range classifications specified. The point calibrations every six months. The calibration curves generated shall be a poly- calibration curve shall be checked at 20%, nomial of no greater order than 4th order, 40%, 60%, and 80% of full scale and adjusted and shall fit the date within 0.5% at each or repaired if the specifications in appendix calibration point. D(I)(b)(1) to this subpart are not met. (B) For all calibration curves, curve (2) Leak checks. Each time the sample line checks, span adjustments, and span checks, integrity is broken, a leak check shall be the zero gas shall be considered a down-scale performed prior to testing. reference gas, and the analyzer zero shall be set at the trace concentration value of the (II) Transient Test Equipment specific zero gas used. (2) The basic curve shall be checked (a) Dynamometer. Once per week, the cali- monthly by the same procedure used to gen- bration of each dynamometer and each fly erate the curve, and to the same tolerances. wheel shall be checked by a dynamometer (3) On a daily basis prior to vehicle test- coast-down procedure comparable to that in ing— § 86.118–78 of this chapter between the speeds (A) The curve for each analyzer shall be of 55 to 45 mph, and between 30 to 20 mph. All checked by adjusting the analyzer to cor- rotating dynamometer components shall be rectly read a zero gas and an up-scale span included in the coast-down check for the in- gas, and then by correctly reading a mid- ertia weight selected. For dynamometers scale span gas within 2% of point. If the ana- with uncoupled rolls, the uncoupled rollers lyzer does not read the mid-scale span point may undergo a separate coast-down check. If within 2% of point, the system shall lock a vehicle is used to motor the dynamometer out. The up-scale span gas concentration for to the beginning coast-down speed, the vehi- each analyzer shall correspond to approxi- cle shall be lifted off the dynamometer rolls mately 80 percent of full scale, and the mid- before the coast-down test begins. If the dif- point concentration shall correspond to ap- ference between the measured coast-down proximately 15 percent of full scale; and time and the theoretical coast-down time is (B) After the up-scale span check, each an- greater than + 1 second, the system shall alyzer in a given facility shall analyze a lock out, until corrective action brings the sample of a random concentration cor- dynamometer into calibration. responding to approximately 0.5 to 3 times (b) Constant volume sampler. (1) The con- the cut point (in gpm) for the constituent. stant volume sampler (CVS) flow calibration The value of the random sample may be de- shall be checked daily by a procedure that termined by a gas blender. The deviation in identifies deviations in flow from the true analysis from the sample concentration for value. Deviations greater than ±4% shall be each analyzer shall be recorded and com- corrected. pared to the historical mean and standard (2) The sample probe shall be cleaned and deviation for the analyzers at the facility checked at least once per month. The main and at all facilities. Any reading exceeding 3 CVS venturi shall be cleaned and checked at sigma shall cause the analyzer to lock out. least once per year. (4) Flame ionization detector check. Upon ini- (3) Verification that flow through the sam- tial operation, and after maintenance to the ple probe is adequate for the design shall be detector, each Flame Ionization Detector

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(FID) shall be checked, and adjusted if nec- tionally, every month the response of each essary, for proper peaking and characteriza- FID to a methane concentration of approxi- tion. Procedures described in SAE Paper No. mately 50 ppm CH4 shall be checked. If the 770141 are recommended for this purpose. A response is outside of the range of 1.10 to copy of this paper may be obtained from the 1.20, corrective action shall be taken to bring Society of Automotive Engineers, Inc. the FID response within this range. The re- (SAE), 400 Commonwealth Drive, sponse shall be computed by the following Warrendale, Pennsylvania, 15096–0001. Addi- formula:

FID response in ppmC Ratio of Methane Re sponse = ppm methane in cylinder

(5) Spanning frequency. The zero and up- NOX analyzers according to best engineering scale span point shall be checked, and ad- practices for the measurement technology justed if necessary, at 2 hour intervals fol- used to ensure that measurements meet lowing the daily mid-scale curve check. If specified accuracy requirements. the zero or the up-scale span point drifts by (12) System artifacts (hang-up). Prior to each more than 2% for the previous check (except test a comparison shall be made between the for the first check of the day), the system background HC reading, the HC reading shall lock out, and corrective action shall be measured through the sample probe (if dif- taken to bring the system into compliance. ferent), and the zero gas. Deviations from (6) Spanning limit checks. The tolerance on the zero gas greater than 10 parts per million the adjustment of the up-scale span point is carbon (ppmC) shall cause the analyzer to 0.4% of point. A software algorithm to per- lock out. form the span adjustment and subsequent (13) Ambient background. The average of the calibration curve adjustment shall be used. pre-test and post-test ambient background However, software up-scale span adjustments levels shall be compared to the permissible ± greater than 10% shall cause the system to levels of 10 ppmC HC, 20 ppm CO, and 1 ppm lock out, requiring system maintenance. NOX. If the permissible levels are exceeded, (7) Integrator checks. Upon initial oper- the test shall be voided and corrective action ation, and every three months thereafter, taken to lower the ambient background con- emissions from a randomly selected vehicle centrations. with official test value greater than 60% of (14) Analytical gases. Zero gases shall meet the standard (determined retrospectively) the requirements of § 86.114–79(a)(5) of this shall be simultaneously sampled by the nor- chapter. NO calibration gas shall be a single mal integration method and by the bag X blend using nitrogen as the diluent. Calibra- method in each lane. The data from each tion gas for the flame ionization detector method shall be put into a historical data shall be a single blend of propane with a dil- base for determining normal and deviant per- uent of air. Calibration gases for CO and CO formance for each test lane, facility, and all 2 shall be single blends using nitrogen or air as facilities combined. Specific deviations ex- a diluent. Multiple blends of HC, CO, and CO ceeding ±5% shall require corrective action. 2 in air may be used if shown to be stable and (8) Interference. CO and CO analyzers shall 2 accurate. be checked prior to initial service, and on a yearly basis thereafter, for water inter- (III) Purge Analysis System ference. The specifications and procedures used shall generally comply with either On a daily basis each purge flow meter § 86.122–78 or § 86.321–79 of this chapter. shall be checked with a simulated purge flow (9) NOX converter check. The converter effi- against a reference flow measuring device ciency of the NO2 to NO converter shall be with performance specifications equal to or checked on a weekly basis. The check shall better than those specified for the purge generally conform to § 86.123–78 of this chap- meter. The check shall include a mid-scale ter, or EPA MVEL Form 305–01. Equivalent rate check, and a total flow check between 10 methods may be approved by the Adminis- and 20 liters. Deviations greater than ±5% trator. shall be corrected. On a monthly basis, the (10) NO/NOX flow balance. The flow balance calibration of purge meters shall be checked between the NO and NOX test modes shall be for proper rate and total flow with three checked weekly. The check may be combined equally spaced points across the flow rate with the NOX convertor check as illustrated and the totalized flow range. Deviations ex- in EPA MVEL Form 305–01. ceeding the specified accuracy shall be cor- (11) Additional checks. Additional checks rected. The dynamometer quality assurance shall be performed on the HC, CO, CO2, and checks required under paragraph (II) of this 364

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appendix shall also apply to the dynamom- (ii) The second-chance test as described eter used for purge tests. under paragraph (I)(d) of this appendix shall be performed only if the vehicle fails the (IV) Evaporative System Integrity Test first-chance test. Equipment (2) The test sequence shall begin only after (a) On a weekly basis pressure measure- the following requirements are met: ment devices shall be checked against a ref- (i) The vehicle shall be tested in as-re- erence device with performance specifica- ceived condition with the transmission in tions equal to or better than those specified neutral or park and all accessories turned for the measurement device. Deviations ex- off. The engine shall be at normal operating ceeding the performance specifications shall temperature (as indicated by a temperature be corrected. Flow measurement devices, if gauge, temperature lamp, touch test on the any, shall be checked according to paragraph radiator hose, or other visual observation for III of this appendix. overheating). (b) Systems that monitor evaporative sys- (ii) For all pre-1996 model year vehicles, a tem leaks shall be checked for integrity on a tachometer shall be attached to the vehicle daily basis by sealing and pressurizing. in accordance with the analyzer manufacturer’s instructions. For 1996 and newer model [57 FR 52987, Nov. 5, 1992, as amended at 58 year vehicles the OBD data link connector FR 59367, Nov. 9, 1993] will be used to monitor RPM. In the event that an OBD data link connector is not APPENDIX B TO SUBPART S OF PART 51— available or that an RPM signal is not avail- TEST PROCEDURES able over the data link connector, a tachometer shall be used instead. (I) Idle test (iii) The sample probe shall be inserted (a) General requirements—(1) Exhaust gas into the vehicle’s tailpipe to a minimum sampling algorithm. The analysis of exhaust depth of 10 inches. If the vehicle’s exhaust gas concentrations shall begin 10 seconds system prevents insertion to this depth, a after the applicable test mode begins. Ex- tailpipe extension shall be used. haust gas concentrations shall be analyzed (iv) The measured concentration of CO plus at a minimum rate of two times per second. CO2 shall be greater than or equal to six per- The measured value for pass/fail determina- cent. tions shall be a simple running average of (c) First-chance test. The test timer shall the measurements taken over five seconds. start (tt = 0) when the conditions specified in (2) Pass/fail determination. A pass or fail de- paragraph (I)(b)(2) of this appendix are met. termination shall be made for each applica- The first-chance test shall have an overall ble test mode based on a comparison of the maximum test time of 145 seconds (tt = 145). short test standards contained in appendix C The first-chance test shall consist of an idle to this subpart, and the measured value for mode only. HC and CO as described in paragraph (I)(a)(1) (1) The mode timer shall start (mt = 0) of this appendix. A vehicle shall pass the test when the vehicle engine speed is between 350 mode if any pair of simultaneous measured and 1100 rpm. If engine speed exceeds 1100 values for HC and CO are below or equal to rpm or falls below 350 rpm, the mode timer the applicable short test standards. A vehicle shall reset zero and resume timing. The min- shall fail the test mode if the values for ei- imum mode length shall be determined as ther HC or CO, or both, in all simultaneous described under paragraph (I)(c)(2) of this ap- pairs of values are above the applicable pendix. The maximum mode length shall be standards. 90 seconds elapsed time (mt = 90). (3) Void test conditions. The test shall im- (2) The pass/fail analysis shall begin after mediately end and any exhaust gas measure- an elapsed time of 10 seconds (mt = 10). A ments shall be voided if the measured con- pass or fail determination shall be made for centration of CO plus CO2 falls below six per- the vehicle and the mode shall be terminated cent or the vehicle’s engine stalls at any as follows: time during the test sequence. (i) The vehicle shall pass the idle mode and (4) Multiple exhaust pipes. Exhaust gas con- the test shall be immediately terminated if, centrations from vehicle engines equipped prior to an elapsed time of 30 seconds (mt = with multiple exhaust pipes shall be sampled 30), measured values are less than or equal to simultaneously. 100 ppm HC and 0.5 percent CO. (5) This test shall be immediately termi- (ii) The vehicle shall pass the idle mode nated upon reaching the overall maximum and the test shall be terminated at the end test time. of an elapsed time of 30 seconds (mt = 30), if (b) Test sequence. (1) The test sequence prior to that time the criteria of paragraph shall consist of a first-chance test and a sec- (I)(c)(2)(i) of this appendix are not satisfied ond-chance test as follows: and the measured values are less than or (i) The first-chance test, as described under equal to the applicable short test standards paragraph (c) of this section, shall consist of as described in paragraph (I)(a)(2) of this ap- an idle mode. pendix.

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(iii) The vehicle shall pass the idle mode nated if, prior to an elapsed time of 30 sec- and the test shall be immediately termi- onds (mt = 30), measured values are less than nated if, at any point between an elapsed or equal to 100 ppm HC and 0.5 percent CO. time of 30 seconds (mt = 30) and 90 seconds (B) The vehicle shall pass the idle mode (mt = 90), the measured values are less than and the test shall be terminated at the end or equal to the applicable short test stand- of an elapsed time of 30 seconds (mt = 30), if ards as described in paragraph (I)(a)(2) of this prior to that time the criteria of paragraph appendix. (I)(d)(2)(iii)(A) of this appendix are not satis- (iv) The vehicle shall fail the idle mode and fied and the measured values are less than or the test shall be terminated if none of the equal to the applicable short test standards provisions of paragraphs (I)(c)(2)(i), (ii) and as described in paragraph (I)(a)(2) of this ap- (iii) of this appendix is satisfied by an pendix. elapsed time of 90 seconds (mt = 90). Alter- (C) The vehicle shall pass the idle mode natively, the vehicle may be failed if the pro- and the test shall be immediately termi- visions of paragraphs (I)(c)(2)(i) and (ii) of nated if, at any point between an elapsed this appendix are not met within an elapsed time of 30 seconds (mt = 30) and 90 seconds time of 30 seconds. (mt = 90), measured values are less than or (v) Optional. The vehicle may fail the first- equal to the applicable short test standards chance test and the second-chance test shall described in paragraph (I)(a)(2) of this appen- be omitted if no exhaust gas concentration dix. lower than 1800 ppm HC is found by an (D) The vehicle shall fail the idle mode and elapsed time of 30 seconds (mt = 30). the test shall be terminated if none of the (d) Second-chance test. If the vehicle fails provisions of paragraphs (I)(d)(2)(iii)(A), the first-chance test, the test timer shall (d)(2)(iii)(B), and (d)(2)(iii)(C) of this appen- reset to zero (tt = 0) and a second-chance test dix are satisfied by an elapsed time of 90 sec- shall be performed. The second-chance test onds (mt = 90). shall have an overall maximum test time of 425 seconds (tt = 425). The test shall consist (II) Two Speed Idle Test of a preconditioning mode followed imme- (a) General requirements—(1) Exhaust gas diately by an idle mode. sampling algorithm. The analysis of exhaust (1) Preconditioning mode. The mode timer gas concentrations shall begin 10 seconds shall start (mt = 0) when the engine speed is after the applicable test mode begins. Ex- between 2200 and 2800 rpm. The mode shall haust gas concentrations shall be analyzed continue for an elapsed time of 180 seconds at a rate of two times per second. The meas- (mt = 180). If engine speed falls below 2200 ured value for pass/fail determinations shall rpm or exceeds 2800 rmp for more than five be a simple running average of the measure- seconds in any one excursion, or 15 seconds ments taken over five seconds. over all excursions, the mode timer shall (2) Pass/fail determination. A pass or fail de- reset to zero and resume timing. termination shall be made for each applica- (2) Idle mode—(i) Ford Motor Company and ble test mode based on a comparison of the Honda vehicles. The engines of 1981–1987 Ford short test standards contained in appendix C Motor Company vehicles and 1984–1985 Honda to this subpart, and the measured value for Preludes shall be shut off for not more than HC and CO as described in paragraph 10 seconds and restarted. This procedure may (II)(a)(1) of this appendix. A vehicle shall also be used for 1988–1989 Ford Motor Com- pass the test mode if any pair of simulta- pany vehicles but should not be used for neous values for HC and CO are below or other vehicles. The probe may be removed equal to the applicable short test standards. from the tailpipe or the sample pump turned A vehicle shall fail the test mode if the val- off if necessary to reduce analyzer fouling ues for either HC or CO, or both, in all simul- during the restart procedure. taneous pairs of values are above the appli- (ii) The mode timer shall start (mt = 0) cable standards. when the vehicle engine speed is between 350 (3) Void test conditions. The test shall im- and 1100 rpm. If engine speed exceeds 1100 mediately end and any exhaust gas measure- rpm or falls below 350 rpm, the mode timer ments shall be voided if the measured con- shall reset to zero and resume timing. The centration of CO plus CO2 falls below six per- minimum idle mode length shall be deter- cent or the vehicle’s engine stalls at any mined as described in paragraph (I)(d)(2)(iii) time during the test sequence. of this appendix. The maximum idle mode (4) Multiple exhaust pipes. Exhaust gas con- length shall be 90 seconds elapsed time (mt = centrations from vehicle engines equipped 90). with multiple exhaust pipes shall be sampled (iii) The pass/fail analysis shall begin after simultaneously. an elapsed time of 10 seconds (mt = 10). A (5) The test shall be immediately termi- pass or fail determination shall be made for nated upon reaching the overall maximum the vehicle and the idle mode shall be termi- test time. nated as follows: (b) Test sequence. (1) The test sequence (A) The vehicle shall pass the idle mode shall consist of a first-chance test and a sec- and the test shall be immediately termi- ond-chance test as follows:

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(i) The first-chance test, as described under pass or fail determination shall be made for paragraph (II)(c) of this appendix, shall con- the vehicle and the mode terminated as fol- sist of an idle mode followed by a high-speed lows: mode. (A) The vehicle shall pass the idle mode (ii) The second-chance high-speed mode, as and the mode shall be immediately termi- described under paragraph (II)(c) of this ap- nated if, prior to an elapsed time of 30 sec- pendix, shall immediately follow the first- onds (mt = 30), measured values are less than chance high-speed mode. It shall be per- or equal to 100 ppm HC and 0.5 percent CO. formed only if the vehicle fails the first- (B) The vehicle shall pass the idle mode chance test. The second-chance idle mode, as and the mode shall be terminated at the end described under paragraph (II)(d) of this ap- of an elapsed time of 30 seconds (mt = 30) if, pendix, shall follow the second-chance high- prior to that time, the criteria of paragraph speed mode and be performed only if the ve- (II)(c)(1)(ii)(A) of this appendix are not satis- hicle fails the idle mode of the first-chance fied, and the measured values are less than test. or equal to the applicable short test stand- (2) The test sequence shall begin only after ards as described in paragraph (II)(a)(2) of the following requirements are met: this appendix. (i) The vehicle shall be tested in as-re- (C) The vehicle shall pass the idle mode ceived condition with the transmission in and the mode shall be immediately termi- neutral or park and all accessories turned nated if, at any point between an elapsed off. The engine shall be at normal operating time of 30 seconds (mt = 30) and 90 seconds temperature (as indicated by a temperature (mt = 90), the measured values are less than gauge, temperature lamp, touch test on the or equal to the applicable short test stand- radiator hose, or other visual observation for ards as described in paragraph (II)(a)(2) of overheating). this appendix. (ii) For all pre-1996 model year vehicles, a tachometer shall be attached to the vehicle (D) The vehicle shall fail the idle mode and in accordance with the analyzer manufactur- the mode shall be terminated if none of the er’s instructions. For 1996 and newer model provisions of paragraphs (II)(c)(1)(ii)(A), (B), year vehicles the OBD data link connector and (C) of this appendix is satisfied by an will be used to monitor RPM. In the event elapsed time of 90 seconds (mt = 90). Alter- that an OBD data link connector is not natively, the vehicle may be failed if the pro- available or that an RPM signal is not avail- visions of paragraphs (II)(c)(2)(i) and (ii) of able over the data link connector, a tachom- this appendix are not met within an elapsed eter shall be used instead. time of 30 seconds. (iii) The sample probe shall be inserted (E) Optional. The vehicle may fail the first- into the vehicle’s tailpipe to a minimum chance test and the second-chance test shall depth of 10 inches. If the vehicle’s exhaust be omitted if no exhaust gas concentration system prevents insertion to this depth, a less than 1800 ppm HC is found by an elapsed tailpipe extension shall be used. time of 30 seconds (mt = 30). (iv) The measured concentration of CO plus (2) First-chance and second-chance high- CO2 shall be greater than or equal to six per- speed modes. This mode includes both the cent. first-chance and second-chance high-speed (c) First-chance test and second-chance high- modes, and follows immediately upon termi- speed mode. The test timer shall start (tt = 0) nation of the first-chance idle mode. when the conditions specified in paragraph (i) The mode timer shall reset (mt = 0) (b)(2) of this section are met. The first- when the vehicle engine speed is between chance test and second-chance high-speed 2200 and 2800 rpm. If engine speed falls below mode shall have an overall maximum test 2200 rpm or exceeds 2800 rpm for more than time of 425 seconds (tt = 425). The first- two seconds in one excursion, or more than chance test shall consist of an idle mode fol- six seconds over all excursions within 30 sec- lowed immediately by a high-speed mode. onds of the final measured value used in the This is followed immediately by an addi- pass/fail determination, the measured value tional second-chance high-speed mode, if shall be invalidated and the mode continued. necessary. If any excursion lasts for more than ten sec- (1) First-chance idle mode. (i) The mode onds, the mode timer shall reset to zero (mt timer shall start (mt = 0) when the vehicle = 0) and timing resumed. The minimum high- engine speed is between 350 and 1100 rpm. If speed mode length shall be determined as de- engine speed exceeds 1100 rpm or falls below scribed under paragraphs (II)(c)(2)(ii) and 350 rpm, the mode timer shall reset to zero (iii) of this appendix. The maximum high- and resume timing. The minimum idle mode speed mode length shall be 180 seconds length shall be determined as described in elapsed time (mt = 180). paragraph (II)(c)(1)(ii) of this appendix. The (ii) Ford Motor Company and Honda vehicles. maximum idle mode length shall be 90 sec- For 1981–1987 model year Ford Motor Com- onds elapsed time (mt = 90). pany vehicles and 1984–1985 model year (ii) The pass/fail analysis shall begin after Honda Preludes, the pass/fail analysis shall an elapsed time of 10 seconds (mt = 10). A begin after an elapsed time of 10 seconds (mt

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= 10) using the following procedure. This pro- (1) The vehicle shall pass the high-speed cedure may also be used for 1988–1989 Ford mode and the mode shall be terminated at an Motor Company vehicles but should not be elapsed time of 180 seconds (mt = 180) if any used for other vehicles. measured values of HC and CO exhaust gas (A) A pass or fail determination, as de- concentrations during the high-speed mode scribed below, shall be used, for vehicles that are less than or equal to the applicable short passed the idle mode, to determine whether test standards as described in paragraph the high-speed test should be terminated (II)(a)(2) of this appendix. prior to or at the end of an elapsed time of (2) Restart. If at an elapsed time of 90 sec- 180 seconds (mt = 180). onds (mt = 90) the measured values of HC and (1) The vehicle shall pass the high-speed CO exhaust gas concentrations during the mode and the test shall be immediately ter- high-speed mode are greater than the appli- minated if, prior to an elapsed time of 30 sec- cable short test standards as described in onds (mt = 30), the measured values are less paragraph (II)(a)(2) of this appendix, the ve- than or equal to 100 ppm HC and 0.5 percent hicle’s engine shall be shut off for not more CO. than 10 seconds after returning to idle and (2) The vehicle shall pass the high-speed then shall be restarted. The probe may be re- mode and the test shall be terminated at the moved from the tailpipe or the sample pump end of an elapsed time of 30 seconds (mt = 30) turned off if necessary to reduce analyzer if, prior to that time, the criteria of para- fouling during the restart procedure. The graph (II)(c)(2)(ii)(A)(1) of this appendix are mode timer will stop upon engine shut off not satisfied, and the measured values are (mt = 90) and resume upon engine restart. less than or equal to the applicable short The pass/fail determination shall resume as follows after 100 seconds have elapsed (mt = test standards as described in paragraph 100). (II)(a)(2) of this appendix. (i) The vehicle shall pass the high-speed (3) The vehicle shall pass the high-speed mode and the mode shall be terminated at an mode and the test shall be immediately ter- elapsed time of 180 seconds (mt = 180) if any minated if, at any point between an elapsed measured values of HC and CO exhaust gas time of 30 seconds (mt = 30) and 180 seconds concentrations during the high-speed mode (mt = 180), the measured values are less than are less than or equal to the applicable short or equal to the applicable short test stand- test standards as described in paragraph ards as described in paragraph (II)(a)(2) of (II)(a)(2) of this appendix. this appendix. (ii) The vehicle shall fail the high-speed (4) Restart. If at an elapsed time of 90 sec- mode and the test shall be terminated if onds (mt = 90) the measured values are great- paragraph (II)(c)(2)(ii)(B)(2)(i) of this appen- er than the applicable short test standards dix is not satisfied by an elapsed time of 180 as described in paragraph (II)(a)(2) of this ap- seconds (mt = 180). pendix, the vehicle’s engine shall be shut off (iii) All other light-duty motor vehicles. The for not more than 10 seconds after returning pass/fail analysis for vehicles not specified in to idle and then shall be restarted. The probe paragraph (II)(c)(2)(ii) of this appendix shall may be removed from the tailpipe or the begin after an elapsed time of 10 seconds (mt sample pump turned off if necessary to re- = 10) using the following procedure. duce analyzer fouling during the restart pro- (A) A pass or fail determination, as de- cedure. The mode timer will stop upon en- scribed below, shall be used for vehicles that gine shut off (mt = 90) and resume upon en- passed the idle mode, to determine whether gine restart. The pass/fail determination the high-speed mode should be terminated shall resume as follows after 100 seconds prior to or at the end of an elapsed time of have elapsed (mt = 100). 180 seconds (mt = 180). (i) The vehicle shall pass the high-speed (1) The vehicle shall pass the high-speed mode and the test shall be immediately ter- mode and the test shall be immediately terminated if, at any point between an elapsed minated if, prior to an elapsed time of 30 sec- time of 100 seconds (mt = 100) and 180 seconds onds (mt = 30), any measured values are less (mt = 180), the measured values are less than than or equal to 100 ppm HC and 0.5 percent or equal to the applicable short test stand- CO. ards described in paragraph (II)(a)(2) of this (2) The vehicle shall pass the high-speed appendix. mode and the test shall be terminated at the (ii) The vehicle shall fail the high-speed end of an elapsed time of 30 seconds (mt = 30) mode and the test shall be terminated if if, prior to that time, the criteria of para- paragraph (II)(c)(2)(ii)(A)(4)(i) of this appen- graph (II)(c)(2)(iii)(A)(1) of this appendix are dix is not satisfied by an elapsed time of 180 not satisfied, and the measured values are seconds (mt = 180). less than or equal to the applicable short (B) A pass or fail determination shall be test standards as described in paragraph made for vehicles that failed the idle mode (II)(a)(2) of this appendix. and the high-speed mode terminated at the (3) The vehicle shall pass the high-speed end of an elapsed time of 180 seconds (mt = mode and the test shall be immediately ter- 180) as follows: minated if, at any point between an elapsed

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time of 30 seconds (mt = 30) and 180 seconds (ii) The vehicle shall pass the second- (mt = 180), the measured values are less than chance idle mode and the test shall be termi- or equal to the applicable short test stand- nated at the end of an elapsed time of 30 sec- ards as described in paragraph (II)(a)(2) of onds (mt = 30) if, prior to that time, the cri- this appendix. teria of paragraph (II)(d)(3)(i) of this appen- (4) The vehicle shall fail the high-speed dix are not satisfied, and the measured val- mode and the test shall be terminated if ues are less than or equal to the applicable none of the provisions of paragraphs short test standards as described in para- (II)(c)(2)(iii)(A)(1), (2), and (3) of this appen- graph (II)(a)(2) of this appendix. dix is satisfied by an elapsed time of 180 sec- (iii) The vehicle shall pass the second- onds (mt = 180). chance idle mode and the test shall be imme- (B) A pass or fail determination shall be diately terminated if, at any point between made for vehicles that failed the idle mode an elapsed time of 30 seconds (mt = 30) and 90 and the high-speed mode terminated at the seconds (mt = 90), the measured values are end of an elapsed time of 180 seconds (mt = less than or equal to the applicable short 180) as follows: test standards as described in paragraph (1) The vehicle shall pass the high-speed (II)(a)(2) of this appendix. mode and the mode shall be terminated at an (iv) The vehicle shall fail the second- elapsed time of 180 seconds (mt = 180) if any chance idle mode and the test shall be termi- measured values are less than or equal to the nated if none of the provisions of paragraph applicable short test standards as described (II)(d)(3)(i), (ii), and (iii) of this appendix is in paragraph (II)(a)(2) of this appendix. satisfied by an elapsed time of 90 seconds (mt (2) The vehicle shall fail the high-speed = 90). mode and the test shall be terminated if paragraph (II)(c)(2)(iii)(B)(1) of this appendix (III) Loaded Test is not satisfied by an elapsed time of 180 sec- (a) General requirements—(1) Exhaust gas onds (mt = 180). sampling algorithm. The analysis of exhaust (d) Second-chance idle mode. If the vehicle gas concentrations shall begin 10 seconds fails the first-chance idle mode and passes after the applicable test mode begins. Ex- the high-speed mode, the test timer shall haust gas concentrations shall be analyzed reset to zero (tt = 0) and a second-chance idle at a minimum rate of two times per second. mode shall commence. The second-chance The measured value for pass/fail determina- idle mode shall have an overall maximum tions shall be a simple running average of test time of 145 seconds (tt = 145). The test the measurements taken over five seconds. shall consist of an idle mode only. (2) Pass/fail determination. A pass or fail de- (1) The engines of 1981–1987 Ford Motor termination shall be made for each applica- Company vehicles and 1984–1985 Honda Prel- ble test mode based on a comparison of the udes shall be shut off for not more than 10 short test standards contained in appendix C seconds and restarted. The probe may be re- to this subpart and the measured value for moved from the tailpipe or the sample pump HC and CO as described in paragraph turned off if necessary to reduce analyzer (III)(a)(1) of this appendix. A vehicle shall fouling during the restart procedure. This pass the test mode if any pair of simulta- procedure may also be used for 1988–1989 Ford neous values for HC and CO are below or Motor Company vehicles but should not be equal to the applicable short test standards. used for other vehicles. A vehicle shall fail the test mode if the val- (2) The mode timer shall start (mt = 0) ues for either HC or CO, or both, in all simul- when the vehicle engine speed is between 350 taneous pairs of values are above the appli- and 1100 rpm. If the engine speed exceeds 1100 cable standards. rpm or falls below 350 rpm the mode timer (3) Void test conditions. The test shall im- shall reset to zero and resume timing. The mediately end and any exhaust gas measure- minimum second-chance idle mode length ments shall be voided if the measured con- shall be determined as described in para- centration of CO plus CO2 falls below six per- graph (II)(d)(3) of this appendix. The max- cent or the vehicle’s engine stalls at any imum second-chance idle mode length shall time during the test sequence. be 90 seconds elapsed time (mt = 90). (4) Multiple exhaust pipes. Exhaust gas con- (3) The pass/fail analysis shall begin after centrations from vehicle engines equipped an elapsed time of 10 seconds (mt = 10). A with multiple exhaust pipes shall be sampled pass or fail determination shall be made for simultaneously. the vehicle and the second-chance idle mode (5) The test shall be immediately termi- shall be terminated as follows: nated upon reaching the overall maximum (i) The vehicle shall pass the second- test time. chance idle mode and the test shall be imme- (b) Test sequence. (1) The test sequence diately terminated if, prior to an elapsed shall consist of a loaded mode using a chassis time of 30 seconds (mt = 30), any measured dynamometer followed immediately by an values are less than or equal to 100 ppm HC idle mode as described under paragraphs and 0.5 percent CO. (III)(c)(1) and (2) of this appendix.

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(2) The test sequence shall begin only after dynamometer speed falls outside the limits the following requirements are met: for more than five seconds in one excursion, (i) The dynamometer shall be warmed up, or 15 seconds over all excursions, the mode in stabilized operating condition, adjusted, timer shall reset to zero and resume timing. and calibrated in accordance with the proce- The minimum mode length shall be deter- dures of appendix A to this subpart. Prior to mined as described in paragraph each test, variable-curve dynamometers (III)(c)(1)(iii)(A) of this appendix. The max- shall be checked for proper setting of the imum mode length shall be 90 seconds road-load indicator or road-load controller. elapsed time (mt = 90). (ii) The vehicle shall be tested in as-received condition with all accessories turned DYNAMOMETER TEST SCHEDULE off. The engine shall be at normal operating temperature (as indicated by a temperature Normal load- Gasoline engine size (cylinders) Roll speed ing (brake gauge, temperature lamp, touch test on the (mph) horsepower) radiator hose, or other visual observation for overheating). 4 or less ...... 22–25 2.8–4.1 (iii) The vehicle shall be operated during 5–6 ...... 29–32 6.8–8.4 each mode of the test with the gear selector 7 or more ...... 32–35 8.4–10.8 in the following position: (A) In drive for automatic transmissions (iii) The pass/fail analysis shall begin after and in second (or third if more appropriate) an elapsed time of 10 seconds (mt = 10). A for manual transmissions for the loaded pass or fail determination shall be made for mode; the vehicle and the mode shall be terminated (B) In park or neutral for the idle mode. as follows: (iv) For all pre-1996 model year vehicles, a (A) The vehicle shall pass the loaded mode tachometer shall be attached to the vehicle and the mode shall be immediately termi- in accordance with the analyzer manufactur- nated if, at any point between an elapsed er’s instructions. For 1996 and newer model time of 30 seconds (mt = 30) and 90 seconds year vehicles the OBD data link connector (mt = 90), measured values are less than or will be used to monitor RPM. In the event equal to the applicable short test standards that an OBD data link connector is not described in paragraph (a)(2) of this section. available or that an RPM signal is not avail- (B) The vehicle shall fail the loaded mode able over the data link connector, a tachom- and the mode shall be terminated if para- eter shall be used instead. graph (III)(c)(1)(iii)(A) of this appendix is not (v) The sample probe shall be inserted into satisfied by an elapsed time of 90 seconds (mt the vehicle’s tailpipe to a minimum depth of = 90). 10 inches. If the vehicle’s exhaust system (C) Optional. The vehicle may fail the load- prevents insertion to this depth, a tailpipe ed mode and any subsequent idle mode shall extension shall be used. be omitted if no exhaust gas concentration (vi) The measured concentration of CO plus less than 1800 ppm HC is found by an elapsed CO2 shall be greater than or equal to six per- time of 30 seconds (mt = 30). cent. (2) Idle mode—(i) Ford Motor Company and (c) Overall test procedure. The test timer Honda vehicles. (Optional) The engines of shall start (tt = 0) when the conditions speci- 1981–1987 Ford Motor Company vehicles and fied in paragraph (III)(b)(2) of this appendix 1984–1985 Honda Preludes shall be shut off for are met and the mode timer initiates as not more than 10 seconds and restarted. This specified in paragraph (III)(c)(1) of this ap- procedure may also be used for 1988–1989 Ford pendix. The test sequence shall have an over- Motor Company vehicles but should not be all maximum test time of 240 seconds (tt = used for other vehicles. The probe may be re- 240). The test shall be immediately termi- moved from the tailpipe or the sample pump nated upon reaching the overall maximum turned off if necessary to reduce analyzer test time. fouling during the restart procedure. (1) Loaded mode—(i) Ford Motor Company (ii) The mode timer shall start (mt = 0) and Honda vehicles. (Optional) The engines of when the dynamometer speed is zero and the 1981–1987 Ford Motor Company vehicles and vehicle engine speed is between 350 and 1100 1984–1985 Honda Preludes shall be shut off for rpm. If engine speed exceeds 1100 rpm or falls not more than 10 seconds and restarted. This below 350 rpm, the mode timer shall reset to procedure may also be used for 1988–1989 Ford zero and resume timing. The minimum idle Motor Company vehicles but should not be mode length shall be determined as described used for other vehicles. The probe may be re- in paragraph (II)(c)(2)(ii) of this appendix. moved from the tailpipe or the sample pump The maximum idle mode length shall be 90 turned off if necessary to reduce analyzer seconds elapsed time (mt = 90). fouling during the restart procedure. (iii) The pass/fail analysis shall begin after (ii) The mode timer shall start (mt = 0) an elapsed time of 10 seconds (mt = 10). A when the dynamometer speed is within the pass or fail determination shall be made for limits specified for the vehicle engine size the vehicle and the mode shall be terminated according to the following schedule. If the as follows:

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(A) The vehicle shall pass the idle mode (b) Test sequence. (1) The test sequence and the test shall be immediately termi- shall consist of a first-chance test and a sec- nated if, prior to an elapsed time of 30 second-chance test as follows: onds (mt = 30), measured values are less than (i) The first-chance test, as described under or equal to 100 ppm HC and 0.5 percent CO. paragraph (IV)(c) of this appendix, shall con- (B) The vehicle shall pass the idle mode sist of a preconditioning mode followed by an and the test shall be terminated at the end idle mode. of an elapsed time of 30 seconds (mt = 30) if, (ii) The second-chance test, as described prior to that time, the criteria of paragraph under paragraph (IV)(d) of this appendix, (III)(c)(2)(iii)(A) of this appendix are not sat- shall be performed only if the vehicle fails isfied, and the measured values are less than the first-chance test. or equal to the applicable short test stand- (2) The test sequence shall begin only after ards as described in paragraph (III)(a)(2) of the following requirements are met: this appendix. (i) The vehicle shall be tested in as-re- (C) The vehicle shall pass the idle mode ceived condition with the transmission in and the test shall be immediately termi- neutral or park and all accessories turned nated if, at any point between an elapsed off. The engine shall be at normal operating time of 30 seconds (mt = 30) and 90 seconds temperature (as indicated by a temperature (mt = 90), measured values are less than or gauge, temperature lamp, touch test on the equal to the applicable short test standards radiator hose, or other visual observation for described in paragraph (III)(a)(2) of this ap- overheating). pendix. (ii) For all pre-1996 model year vehicles, a (D) The vehicle shall fail the idle mode and tachometer shall be attached to the vehicle the test shall be terminated if none of the in accordance with the analyzer manufactur- provisions of paragraphs (III)(c)(2)(iii)(A), er’s instructions. For 1996 and newer model (c)(2)(iii)(B), and (c)(2)(iii)(C) of this appendix year vehicles the OBD data link connector will be used to monitor RPM. In the event is satisfied by an elapsed time of 90 seconds that an OBD data link connector is not (mt = 90). available or that an RPM signal is not avail- (IV) Preconditioned IDLE TEST able over the data link connector, a tachometer shall be used instead. (a) General requirements—(1) Exhaust gas (iii) The sample probe shall be inserted sampling algorithm. The analysis of exhaust into the vehicle’s tailpipe to a minimum gas concentrations shall begin 10 seconds depth of 10 inches. If the vehicle’s exhaust after the applicable test mode begins. Ex- system prevents insertion to this depth, a haust gas concentrations shall be analyzed tailpipe extension shall be used. at a minimum rate of two times per second. (iv) The measured concentration of CO plus The measured value for pass/fail determina- CO2 shall be greater than or equal to six per- tions shall be a simple running average of cent. the measurements taken over five seconds. (c) First-chance test. The test timer shall (2) Pass/fail determination. A pass or fail de- start (tt = 0) when the conditions specified in termination shall be made for each applica- paragraph (IV)(b)(2) of this appendix are met. ble test mode based on a comparison of the The test shall have an overall maximum test short test standards contained in appendix C time of 200 seconds (tt = 200). The first- to this subpart, and the measured value for chance test shall consist of a preconditioning HC and CO as described in paragraph mode followed immediately by an idle mode. (IV)(a)(1) of this appendix. A vehicle shall (1) Preconditioning mode. The mode timer pass the test mode if any pair of simulta- shall start (mt = 0) when the engine speed is neous values for HC and CO are below or between 2200 and 2800 rpm. The mode shall equal to the applicable short test standards. continue for an elapsed time of 30 seconds A vehicle shall fail the test mode if the val- (mt = 30). If engine speed falls below 2200 rpm ues for either HC or CO, or both, in all simul- or exceeds 2800 rpm for more than five sec- taneous pairs of values are above the appli- onds in any one excursion, or 15 seconds over cable standards. all excursions, the mode timer shall reset to (3) Void test conditions. The test shall im- zero and resume timing. mediately end and any exhaust gas measure- (2) Idle mode. (i) The mode timer shall start ments shall be voided if the measured con- (mt = 0) when the vehicle engine speed is be- centration of CO plus CO2 falls below six per- tween 350 and 1100 rpm. If engine speed ex- cent or the vehicle’s engine stalls at any ceeds 1100 rpm or falls below 350 rpm, the time during the test sequence. mode timer shall reset to zero and resume (4) Multiple exhaust pipes. Exhaust gas con- timing. The minimum idle mode length shall centrations from vehicle engines equipped be determined as described in paragraph with multiple exhaust pipes shall be sampled (IV)(c)(2)(ii) of this appendix. The maximum simultaneously. idle mode length shall be 90 seconds elapsed (5) The test shall be immediately termi- time (mt = 90). nated upon reaching the overall maximum (ii) The pass/fail analysis shall begin after test time. an elapsed time of 10 seconds (mt = 10). A

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pass or fail determination shall be made for (ii) The mode timer shall start (mt = 0) the vehicle and the mode shall be terminated when the vehicle engine speed is between 350 as follows: and 1100 rpm. If the engine speed exceeds 1100 (A) The vehicle shall pass the idle mode rpm or falls below 350 rpm, the mode timer and the test shall be immediately termi- shall reset to zero and resume timing. The nated if, prior to an elapsed time of 30 sec- minimum idle mode length shall be deter- onds (mt = 30), measured values are less than mined as described in paragraph or equal to 100 ppm HC and 0.5 percent CO. (IV)(d)(2)(iii) of this appendix. The maximum (B) The vehicle shall pass the idle mode idle mode length shall be 90 seconds elapsed and the test shall be terminated at the end time (mt = 90). of an elapsed time of 30 seconds (mt = 30) if, (iii) The pass/fail analysis shall begin after prior to that time, the criteria of paragraph an elapsed time of 10 seconds (mt = 10). A (IV)(c)(2)(ii)(A) of this appendix are not sat- pass or fail determination shall be made for isfied, and the measured values are less than the vehicle and the mode shall be terminated or equal to the applicable short test stand- as follows: ards as described in paragraph (IV)(a)(2) of (A) The vehicle shall pass the idle mode this appendix. and the test shall be immediately termi- (C) The vehicle shall pass the idle mode nated if, prior to an elapsed time of 30 sec- and the test shall be immediately termi- onds (mt = 30), measured values are less than nated if, at any point between an elapsed or equal to 100 ppm HC and 0.5 percent CO. time of 30 seconds (mt = 30) and 90 seconds (B) The vehicle shall pass the idle mode (mt = 90), measured values are less than or and the test shall be terminated at the end equal to the applicable short test standards of an elapsed time of 30 seconds (mt = 30) if, as described in paragraph (IV)(a)(2) of this prior to that time, the criteria of paragraph section. (IV)(d)(2)(iii)(A) of this appendix are not sat- (D) The vehicle shall fail the idle mode and isfied, and the measured values are less than the test shall be terminated if none of the or equal to the applicable short test stand- provisions of paragraphs (IV)(c)(2)(ii)(A), (B), ards as described in paragraph (IV)(a)(2) of and (C) of this appendix is satisfied by an this appendix. elapsed time of 90 seconds (mt = 90). Alter- (C) The vehicle shall pass the idle mode natively, the vehicle may be failed if the pro- and the test shall be immediately termi- visions of paragraphs (IV)(c)(2) (i) and (ii) of nated if, at any point between an elapsed this appendix are not met within an elapsed time of 30 seconds (mt = 30) and 90 seconds time of 30 seconds. (mt = 90), measured values are less than or (E) Optional. The vehicle may fail the first- equal to the applicable short test standards chance test and the second-chance test shall described in paragraph (IV)(a)(2) of this ap- be omitted if no exhaust gas concentration pendix. less than 1800 ppm HC is found at an elapsed (D) The vehicle shall fail the idle mode and time of 30 seconds (mt = 30). the test shall be terminated if none of the (d) Second-chance test. If the vehicle fails provisions of paragraphs (IV)(d)(2)(iii) (A), the first-chance test, the test timer shall (B), and (C) of this appendix is satisfied by an reset to zero and a second-chance test shall elapsed time of 90 seconds (mt = 90). be performed. The second-chance test shall have an overall maximum test time of 425 (V) Idle Test With Loaded Preconditioning seconds. The test shall consist of a precondi- (a) General requirements—(1) Exhaust gas tioning mode followed immediately by an sampling algorithm. The analysis of exhaust idle mode. gas concentrations shall begin 10 seconds (1) Preconditioning mode. The mode timer after the applicable test mode begins. Ex- shall start (mt = 0) when engine speed is be- haust gas concentrations shall be analyzed tween 2200 and 2800 rpm. The mode shall con- at a minimum rate of two times per second. tinue for an elapsed time of 180 seconds (mt The measured value for pass/fail determina- = 180). If the engine speed falls below 2200 tions shall be a simple running average of rpm or exceeds 2800 rpm for more than five the measurements taken over five seconds. seconds in any one excursion, or 15 seconds (2) Pass/fail determination. A pass or fail de- over all excursions, the mode timer shall termination shall be made for each applica- reset to zero and resume timing. ble test mode based on a comparison of the (2) Idle mode—(i) Ford Motor Company and short test standards contained in appendix C Honda vehicles. The engines of 1981–1987 Ford to this subpart, and the measured value for Motor Company vehicles and 1984–1985 Honda HC and CO as described in paragraph Preludes shall be shut off for not more than (V)(a)(1) of this appendix. A vehicle shall 10 seconds and then shall be restarted. The pass the test mode if any pair of simulta- probe may be removed from the tailpipe or neous values for HC and CO are below or the sample pump turned off if necessary to equal to the applicable short test standards. reduce analyzer fouling during the restart A vehicle shall fail the test mode if the val- procedure. This procedure may also be used ues for either HC or CO, or both, in all simul- for 1988–1989 Ford Motor Company vehicles taneous pairs of values are above the appli- but should not be used for other vehicles. cable standards.

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(3) Void test conditions. The test shall im- paragraph (V)(b)(2) of this appendix are met. mediately end and any exhaust gas measure- The test shall have an overall maximum test ments shall be voided if the measured con- time of 155 seconds (tt = 155). The first- centration of CO plus CO2 falls below six per- chance test shall consist of an idle mode cent or the vehicle’s engine stalls at any only. time during the test sequence. (1) The mode timer shall start (mt = 0) (4) Multiple exhaust pipes. Exhaust gas con- when the vehicle engine speed is between 350 centrations from vehicle engines equipped and 1100 rpm. If the engine speed exceeds 1100 with multiple exhaust pipes shall be sampled rpm or falls below 350 rpm, the mode timer simultaneously. shall reset to zero and resume timing. The (5) The test shall be immediately termi- minimum mode length shall be determined nated upon reaching the overall maximum as described in paragraph (V)(c)(2) of this ap- test time. pendix. The maximum mode length shall be (b) Test sequence. (1) The test sequence 90 seconds elapsed time (mt = 90). shall consist of a first-chance test and a sec- (2) The pass/fail analysis shall begin after ond-chance test as follows: an elapsed time of 10 seconds (mt = 10). A (i) The first-chance test, as described under pass or fail determination shall be made for paragraph (V)(c) of this appendix, shall con- the vehicle and the mode shall be terminated sist of an idle mode. as follows: (ii) The second-chance test as described (i) The vehicle shall pass the idle mode and under paragraph (V)(d) of this appendix shall the test shall be immediately terminated if, be performed only if the vehicle fails the prior to an elapsed time of 30 seconds (mt = first-chance test. 30), measured values are less than or equal to (2) The test sequence shall begin only after 100 ppm HC and 0.5 percent CO. the following requirements are met: (ii) The vehicle shall pass the idle mode (i) The dynamometer shall be warmed up, and the test shall be terminated at the end in stabilized operating condition, adjusted, of an elapsed time of 30 seconds (mt = 30) if, and calibrated in accordance with the proce- prior to that time, the criteria of paragraph dures of appendix A to this subpart. Prior to (V)(c)(2)(i) of this appendix are not satisfied, each test, variable-curve dynamometers and the measured values are less than or shall be checked for proper setting of the equal to the applicable short test standards road-load indicator or road-load controller. as described in paragraph (V)(a)(2) of this ap- (ii) The vehicle shall be tested in as-re- pendix. ceived condition with all accessories turned (iii) The vehicle shall pass the idle mode off. The engine shall be at normal operating and the test shall be immediately termi- temperature (as indicated by a temperature nated if, at any point between an elapsed gauge, temperature lamp, touch test on the time of 30 seconds (mt = 30) and 90 seconds radiator hose, or other visual observation for (mt = 90), the measured values are less than overheating). or equal to the applicable short test stand- (iii) The vehicle shall be operated during ards as described in paragraph (V)(a)(2) of each mode of the test with the gear selector this appendix. in the following position: (iv) The vehicle shall fail the idle mode and (A) In drive for automatic transmissions the test shall be terminated if none of the and in second (or third if more appropriate) provisions of paragraphs (V)(c)(2)(i), (ii), and for manual transmissions for the loaded pre- (iii) of this appendix is satisfied by an conditioning mode; elapsed time of 90 seconds (mt = 90). Alter- (B) In park or neutral for the idle mode. natively, the vehicle may be failed if the pro- (iv) For all pre-1996 model year vehicles, a visions of paragraphs (V)(c)(2) (i) and (ii) of tachometer shall be attached to the vehicle this appendix are not met within an elapsed in accordance with the analyzer manufactur- time of 30 seconds. er’s instructions. For 1996 and newer model (v) Optional. The vehicle may fail the first- year vehicles the OBD data link connector chance test and the second-chance test shall will be used to monitor RPM. In the event be omitted if no exhaust gas concentration that an OBD data link connector is not less than 1800 ppm HC is found at an elapsed available or that an RPM signal is not avail- time of 30 seconds (mt = 30). able over the data link connector, a tachom- (d) Second-chance test. If the vehicle fails eter shall be used instead. the first-chance test, the test timer shall (v) The sample probe shall be inserted into reset to zero (tt = 0) and a second-chance test the vehicle’s tailpipe to a minimum depth of shall be performed. The second-chance test 10 inches. If the vehicle’s exhaust system shall have an overall maximum test time of prevents insertion to this depth, a tailpipe 200 seconds (tt = 200). The test shall consist extension shall be used. of a preconditioning mode using a chassis dy- (vi) The measured concentration of CO plus namometer, followed immediately by an idle CO2 shall be greater than or equal to six per- mode. cent. (1) Preconditioning mode. The mode timer (c) First-chance test. The test timer shall shall start (mt = 0) when the dynamometer start (tt = 0) when the conditions specified in speed is within the limits specified for the

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vehicle engine size in accordance with the ards as described in paragraph (V)(a)(2) of following schedule. The mode shall continue this appendix. for a minimum elapsed time of 30 seconds (D) The vehicle shall fail the idle mode and (mt = 30). If the dynamometer speed falls the test shall be terminated if none of the outside the limits for more than five seconds provisions of paragraphs (V)(d)(2)(ii)(A), (B), in one excursion, or 15 seconds over all ex- and (C) of this appendix is satisfied by an cursions, the mode timer shall reset to zero elapsed time of 90 seconds (mt = 90). and resume timing. (VI) Preconditioned Two Speed Idle Test Dynamometer test (a) General requirements—(1) Exhaust gas schedule sampling algorithm. The analysis of exhaust gas concentrations shall begin 10 seconds Gasoline engine size (cylinders) Normal Roll loading after the applicable test mode begins. Ex- speed (brake (mph) horse- haust gas concentrations shall be analyzed power) at a minimum rate of two times per second. The measured value for pass/fail determina- 4 or less ...... 22–25 2.8–4.1 tions shall be a simple running average of 5–6 ...... 29–32 6.8–8.4 the measurements taken over five seconds. 7 or more ...... 32–35 8.4–10.8 (2) Pass/fail determination. A pass or fail determination shall be made for each applica- (2) Idle mode. (i) Ford Motor Company and ble test mode based on a comparison of the Honda vehicles. (Optional) The engines of short test standards contained in appendix C 1981–1987 Ford Motor Company vehicles and to this subpart, and the measured value for 1984–1985 Honda Preludes shall be shut off for HC and CO as described in paragraph not more than 10 seconds and restarted. This (VI)(a)(1) of this appendix. A vehicle shall procedure may also be used for 1988–1989 Ford pass the test mode if any pair of simulta- Motor Company vehicles but should not be neous values for HC and CO are below or used for other vehicles. The probe may be re- equal to the applicable short test standards. moved from the tailpipe or the sample pump A vehicle shall fail the test mode if the val- turned off if necessary to reduce analyzer ues for either HC or CO, or both, in all simul- fouling during the restart procedure. taneous pairs of values are above the appli- (ii) The mode timer shall start (mt = 0) cable standards. when the dynamometer speed is zero and the (3) Void test conditions. The test shall im- vehicle engine speed is between 350 and 1100 mediately end and any exhaust gas measure- rpm. If the engine speed exceeds 1100 rpm or ments shall be voided if the measured con- falls below 350 rpm, the mode timer shall centration of CO plus CO2 falls below six per- reset to zero and resume timing. The min- cent or the vehicle’s engine stalls at any imum idle mode length shall be determined time during the test sequence. as described in paragraph (V)(d)(2)(ii) of this (4) Multiple exhaust pipes. Exhaust gas con- appendix. The maximum idle mode length centrations from vehicle engines equipped shall be 90 seconds elapsed time (mt = 90). with multiple exhaust pipes shall be sampled (iii) The pass/fail analysis shall begin after simultaneously. an elapsed time of 10 seconds (mt = 10). A (5) The test shall be immediately terminated upon reaching the overall maximum pass or fail determination shall be made for test time. the vehicle and the mode shall be terminated (b) Test sequence. (1) The test sequence as follows: shall consist of a first-chance test and a sec- (A) The vehicle shall pass the idle mode ond-chance test as follows: and the test shall be immediately termi- (i) The first-chance test, as described under nated if, prior to an elapsed time of 30 sec- paragraph (VI)(c) of this appendix, shall con- onds (mt = 30), measured values are less than sist of a first-chance high-speed mode fol- or equal to 100 ppm HC and 0.5 percent CO. lowed immediately by a first-chance idle (B) The vehicle shall pass the idle mode mode. and the test shall be terminated at the end (ii) The second-chance test as described of an elapsed time of 30 seconds (mt = 30) if, under paragraph (VI)(d) of this appendix prior to that time, the criteria of paragraph shall be performed only if the vehicle fails (V)(d)(2)(ii)(A) of this appendix are not satis- the first-chance test. fied, and the measured values are less than (2) The test sequence shall begin only after or equal to the applicable short test stand- the following requirements are met: ards as described in paragraph (V)(a)(2) of (i) The vehicle shall be tested in as-re- this appendix. ceived condition with the transmission in (C) The vehicle shall pass the idle mode neutral or park and all accessories turned and the test shall be immediately termi- off. The engine shall be at normal operating nated if, at any point between an elapsed temperature (as indicated by a temperature time of 30 seconds (mt = 30) and 90 seconds gauge, temperature lamp, touch test on the (mt = 90), the measured values are less than radiator hose, or other visual observation for or equal to the applicable short test stand- overheating).

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(ii) For all pre-1996 model year vehicles, a zero and resume timing. The minimum first- tachometer shall be attached to the vehicle chance idle mode length shall be determined in accordance with the analyzer manufactur- as described in paragraph (VI)(c)(2)(ii) of this er’s instructions. For 1996 and newer model appendix. The maximum first-chance idle year vehicles the OBD data link connector mode length shall be 90 seconds elapsed time will be used to monitor rpm. In the event (mt = 90). that an OBD data link connector is not (ii) The pass/fail analysis shall begin after available or that an rpm signal is not avail- an elapsed time of 10 seconds (mt = 10). A able over the data link connector, a tachom- pass or fail determination shall be made for eter shall be used instead. the vehicle and the mode shall be terminated (iii) The sample probe shall be inserted as follows: into the vehicle’s tailpipe to a minimum (A) The vehicle shall pass the idle mode depth of 10 inches. If the vehicle’s exhaust and the test shall be immediately termi- system prevents insertion to this depth, a nated if, prior to an elapsed time of 30 sec- tailpipe extension shall be used. onds (mt = 30), measured values are less than (iv) The measured concentration of CO plus or equal to 100 ppm HC and 0.5 percent CO. CO2 shall be greater than or equal to six per- (B) The vehicle shall pass the idle mode cent. and the test shall be terminated at the end (c) First-chance test. The test timer shall of an elapsed time of 30 seconds (mt = 30) if, start (tt = 0) when the conditions specified in prior to that time, the criteria of paragraph paragraph (VI)(b)(2) of this appendix are met. (VI)(c)(2)(ii)(A) of this appendix are not sat- The test shall have an overall maximum test isfied, and the measured values are less than time of 290 seconds (tt = 290). The first- or equal to the applicable short test stand- chance test shall consist of a high-speed ards as described in paragraph (VI)(a)(2) of mode followed immediately by an idle mode. this appendix. (1) First-chance high-speed mode. (i) The (C) The vehicle shall pass the idle mode mode timer shall reset (mt = 0) when the ve- and the test shall be immediately termi- hicle engine speed is between 2200 and 2800 nated if, at any point between an elapsed rpm. If the engine speed falls below 2200 rpm time of 30 seconds (mt = 30) and 90 seconds or exceeds 2800 rpm for more than two sec- (mt = 90), the measured values are less than onds in one excursion, or more than six sec- or equal to the applicable short test stand- onds over all excursions within 30 seconds of ards as described in paragraph (VI)(a)(2) of the final measured value used in the pass/fail this appendix. determination, the measured value shall be (D) The vehicle shall fail the idle mode and invalidated and the mode continued. If any the test shall be terminated if none of the excursion lasts for more than ten seconds, provisions of paragraphs (VI)(c)(2)(ii) (A), the mode timer shall reset to zero (mt = 0) (B), and (C) of this appendix is satisfied by an and timing resumed. The high-speed mode elapsed time of 90 seconds (mt = 90). Alter- length shall be 90 seconds elapsed time (mt = natively, the vehicle may be failed if the pro- 90). visions of paragraphs (VI)(c)(2)(i) and (ii) of (ii) The pass/fail analysis shall begin after this appendix are not met within the elapsed an elapsed time of 10 seconds (mt = 10). A time of 30 seconds. pass or fail determination shall be made for (d) Second-chance test. (1) If the vehicle the vehicle and the mode shall be terminated fails either mode of the first-chance test, the as follows: test timer shall reset to zero (tt = 0) and a (A) The vehicle shall pass the high-speed second-chance test shall commence. The sec- mode and the mode shall be terminated at an ond-chance test shall be performed based on elapsed time of 90 seconds (mt = 90) if any the first-chance test failure mode or modes measured values are less than or equal to the as follows: applicable short test standards as described (A) If the vehicle failed only the first- in paragraph (VI)(a)(2) of this appendix. chance high-speed mode, the second-chance (B) The vehicle shall fail the high-speed test shall consist of a second-chance high- mode and the mode shall be terminated if speed mode as described in paragraph the requirements of paragraph (VI)(d)(2) of this appendix. The overall max- (VI)(c)(1)(ii)(A) of this appendix are not sat- imum test time shall be 280 seconds (tt = isfied by an elapsed time of 90 seconds (mt = 280). 90). (B) If the vehicle failed only the first- (C) Optional. The vehicle shall fail the chance idle mode, the second-chance test first-chance test and any subsequent test shall consist of a second-chance pre-condi- shall be omitted if no exhaust gas concentra- tioning mode followed immediately by a section lower than 1800 ppm HC is found at an ond-chance idle mode as described in para- elapsed time of 30 seconds (mt = 30). graphs (VI)(d) (3) and (4) of this appendix. (2) First-chance idle mode. (i) The mode The overall maximum test time shall be 425 timer shall start (mt = 0) when the vehicle seconds (tt = 425). engine speed is between 350 and 1100 rpm. If (C) If both the first-chance high-speed the engine speed exceeds 1100 rpm or falls mode and first-chance idle mode were failed, below 350 rpm, the mode timer shall reset to the second-chance test shall consist of the

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second-chance high-speed mode followed im- ards as described in paragraph (VI)(a)(2) of mediately by the second-chance idle mode as this appendix. described in paragraphs (VI)(d) (2) and (4) of (D) The vehicle shall fail the high-speed this appendix. However, if during this sec- mode and the test shall be terminated if ond-chance procedure the vehicle fails the none of the provisions of paragraphs second-chance high-speed mode, then the (VI)(d)(2)(iii) (A), (B), and (C) of this appen- second-chance idle mode may be eliminated. dix is satisfied by an elapsed time of 180 sec- The overall maximum test time shall be 425 onds (mt = 180). seconds (tt = 425). (iv) In the case where the second-chance (2) Second-chance high-speed mode—(i) Ford high-speed mode is followed by the second- Motor Company and Honda vehicles. The en- chance idle mode, the pass/fail analysis shall gines of 1981–1987 Ford Motor Company vehi- begin after an elapsed time of 10 seconds (mt cles and 1984–1985 Honda Preludes shall be = 10). A pass or fail determination shall be shut off for not more than 10 seconds and made for the vehicle and the mode shall be then shall be restarted. The probe may be re- terminated as follows: moved from the tailpipe or the sample pump (A) The vehicle shall pass the high-speed turned off if necessary to reduce analyzer mode and the mode shall be terminated at fouling during the restart procedure. This the end of an elapsed time of 180 seconds (mt procedure may also be used for 1988–1989 Ford = 180) if any measured values are less than or Motor Company vehicles but should not be equal to the applicable short test standards used for other vehicles. as described in paragraph (VI)(a)(2) of this (ii) The mode timer shall reset (mt = 0) appendix. (B) The vehicle shall fail the high-speed when the vehicle engine speed is between mode and the mode shall be terminated if 2200 and 2800 rpm. If the engine speed falls paragraph (VI)(d)(2)(iv)(A) of this appendix is below 2200 rpm or exceeds 2800 rpm for more not satisfied by an elapsed time of 180 sec- than two seconds in one excursion, or more onds (mt = 180). than six seconds over all excursions within (3) Second-chance preconditioning mode. The 30 seconds of the final measured value used mode timer shall start (mt = 0) when engine in the pass/fail determination, the measured speed is between 2200 and 2800 rpm. The mode value shall be invalidated and the mode con- shall continue for an elapsed time of 180 sec- tinued. The minimum second-chance high- onds (mt = 180). If the engine speed falls speed mode length shall be determined as de- below 2200 rpm or exceeds 2800 rpm for more scribed in paragraphs (VI)(d)(2) (iii) and (iv) than five seconds in any one excursion, or 15 of this appendix. If any excursion lasts for seconds over all excursions, the mode timer more than ten seconds, the mode timer shall shall reset to zero and resume timing. reset to zero (mt = 0) and timing resumed. (4) Second-chance idle mode—(i) Ford Motor The maximum second-chance high-speed Company and Honda vehicles. The engines of mode length shall be 180 seconds elapsed 1981–1987 Ford Motor Company vehicles and time (mt = 180). 1984–1985 Honda Preludes shall be shut off for (iii) In the case where the second-chance not more than 10 seconds and then shall be high-speed mode is not followed by the sec- restarted. The probe may be removed from ond-chance idle mode, the pass/fail analysis the tailpipe or the sample pump turned off if shall begin after an elapsed time of 10 sec- necessary to reduce analyzer fouling during onds (mt = 10). A pass or fail determination the restart procedure. This procedure may shall be made for the vehicle and the mode also be used for 1988–1989 Ford Motor Com- shall be terminated as follows: pany vehicles but should not be used for (A) The vehicle shall pass the high-speed other vehicles. mode and the test shall be immediately ter- (ii) The mode timer shall start (mt = 0) minated if, prior to an elapsed time of 30 sec- when the vehicle engine speed is between 350 onds (mt = 30), measured values are less than and 1100 rpm. If the engine exceeds 1100 rpm or equal to 100 ppm HC and 0.5 percent CO. or falls below 350 rpm the mode timer shall (B) The vehicle shall pass the high-speed reset to zero and resume timing. The min- mode and the test shall be terminated if at imum second-chance idle mode length shall the end of an elapsed time of 30 seconds (mt be determined as described in paragraph = 30) if, prior to that time, the criteria of (VI)(d)(4)(iii) of this appendix. The maximum paragraph (VI)(d)(2)(iii)(A) of this appendix second-chance idle mode length shall be 90 are not satisfied, and the measured values seconds elapsed time (mt = 90). are less than or equal to the applicable short (iii) The pass/fail analysis shall begin after test standards as described in paragraph an elapsed time of 10 seconds (mt = 10). A (VI)(a)(2) of this appendix. pass or fail determination shall be made for (C) The vehicle shall pass the high-speed the vehicle and the mode shall be terminated mode and the test shall be immediately ter- as follows: minated if, at any point between an elapsed (A) The vehicle shall pass the second- time for 30 seconds (mt = 30) and 180 seconds chance idle mode and the test shall be imme- (mt = 180), the measured values are less than diately terminated if, prior to an elapsed or equal to the applicable short test stand- time of 30 seconds (mt = 30), measured values

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are less than or equal to 100 ppm HC and 0.5 APPENDIX D TO SUBPART S OF PART 51— percent CO. STEADY-STATE SHORT TEST EQUIPMENT (B) The vehicle shall pass the second- chance idle mode and the test shall be termi- (I) Steady-State Test Exhaust Analysis System nated at the end of an elapsed time of 30 sec- (a) Sampling system—(1) General require- onds (mt = 30) if, prior to that time, the cri- ments. The sampling system for steady-state teria of paragraph (VI)(d)(4)(iii)(A) of this ap- short tests shall, at a minimum, consist of a pendix are not satisfied, and the measured tailpipe probe, a flexible sample line, a water values are less than or equal to the applica- removal system, particulate trap, sample ble short test standards as described in para- pump, flow control components, tachometer graph (VI)(a)(2) of this appendix. or dynamometer, analyzers for HC, CO, and (C) The vehicle shall pass the second- CO2, and digital displays for exhaust con- chance idle mode and the test shall be imme- centrations of HC, CO, and CO2, and engine diately terminated if, at any point between rpm. Materials that are in contact with the an elapsed time of 30 seconds (mt = 30) and 90 gases sampled shall not contaminate or seconds (mt = 90), measured values are less change the character of the gases to be analyzed, including gases from alcohol fueled ve- than or equal to the applicable short test hicles. The probe shall be capable of being standards described in paragraph (VI)(a)(2) of inserted to a depth of at least ten inches into this appendix. the tailpipe of the vehicle being tested, or (D) The vehicle shall fail the second- into an extension boot if one is used. A dig- chance idle mode and the test shall be termi- ital display for dynamometer speed and load nated if none of the provisions of paragraphs shall be included if the test procedures de- (VI)(d)(4)(iii) (A), (B), and (C) of this appen- scribed in appendix B to this subpart, para- dix is satisfied by an elapsed time of 90 sec- graphs (III) and (V), are conducted. Minimum onds (mt = 90). specifications for optional NO analyzers are also described in this appendix. The analyzer [57 FR 52987, Nov. 5, 1992, as amended at 61 system shall be able to test, as specified in FR 40946, Aug. 6, 1996] at least one section in appendix B to this subpart, all model vehicles in service at the APPENDIX C TO SUBPART S OF PART 51— time of sale of the analyzer. STEADY-STATE SHORT TEST STANDARDS (2) Temperature operating range. The sampling system and all associated hardware (I) Short Test Standards for 1981 and Later shall be of a design certified to operate with- Model Year Light-Duty Vehicles in the performance specifications described For 1981 and later model year light-duty in paragraph (I)(b) of this appendix in ambi- vehicles for which any of the test procedures ent air temperatures ranging from 41 to 110 described in appendix B to this subpart are degrees Fahrenheit. The analyzer system utilized to establish Emissions Performance shall, where necessary, include features to keep the sampling system within the speci- Warranty eligibility (i.e., 1981 and later fied range. model year light-duty vehicles at low alti- (3) Humidity operating range. The sampling tude and 1982 and later model year vehicles system and all associated hardware shall be at high altitude to which high altitude cer- of a design certified to operate within the tification standards of 1.5 gpm HC and 15 performance specifications described in para- gpm CO or less apply), short test emissions graph (I)(b) of this appendix at a minimum of for all tests and test modes shall not exceed: 80 percent relative humidity throughout the (a) Hydrocarbons: 220 ppm as hexane. required temperature range. (b) Carbon monoxide: 1.2%. (4) Barometric pressure compensation. Baro- metric pressure compensation shall be pro- (II) Short Test Standards for 1981 and Later vided. Compensation shall be made for ele- Model Year Light-Duty Trucks vations up to 6,000 feet (above mean sea For 1981 and later model year light-duty level). At any given altitude and ambient conditions specified in paragraph (I)(b) of trucks for which any of the test procedures this appendix, errors due to barometric pres- described in appendix B to this subpart are sure changes of ±2 inches of mercury shall utilized to establish Emissions Performance not exceed the accuracy limits specified in Warranty eligibility (i.e., 1981 and later paragraph (I)(b) of this appendix. model year light-duty trucks at low altitude (5) Dual sample probe requirements. When and 1982 and later model year trucks at high testing a vehicle with dual exhaust pipes, a altitude to which high altitude certification dual sample probe of a design certified by the standards of 2.0 gpm HC and 26 gpm CO or analyzer manufacturer to provide equal flow less apply), short test emissions for all tests in each leg shall be used. The equal flow re- and test modes shall not exceed: quirement is considered to be met if the flow (a) Hydrocarbons: 220 ppm as hexane. rate in each leg of the probe has been meas- (b) Carbon monoxide: 1.2%. ured under two sample pump flow rates (the

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normal rate and a rate equal to the onset of (3) Response time. The response time from low flow), and if the flow rates in each of the the probe to the display for HC, CO, and CO2 legs are found to be equal to each other analyzers shall not exceed eight seconds to (within 15% of the flow rate in the leg having 90% of a step change in input. For NO ana- lower flow). lyzers, the response time shall not exceed (6) System lockout during warm-up. Func- twelve seconds to 90% of a step change in tional operation of the gas sampling unit input. shall remain disabled through a system lock- (4) Display refresh rate. Dynamic informa- out until the instrument meets stability and tion being displayed shall be refreshed at a warm-up requirements. The instrument shall minimum rate of twice per second. be considered ‘‘warmed up’’ when the zero (5) Interference effects. The interference effects for non-interest gases shall not exceed and span readings for HC, CO, and CO2 have stabilized, within ±3% of the full range of low ±10 ppm for hydrocarbons, ±0.05 percent for scale, for five minutes without adjustment. carbon monoxide, ±0.20 percent for carbon di- ± (7) Electromagnetic isolation and interference. oxide, and 20 ppm for oxides of nitrogen. Electromagnetic signals found in an auto- (6) Low flow indication. The analyzer shall motive service environment shall not cause provide an indication when the sample flow malfunctions or changes in the accuracy in is below the acceptable level. The sampling the electronics of the analyzer system. The system shall be equipped with a flow meter instrument design shall ensure that readings (or equivalent) that shall indicate sample do not vary as a result of electromagnetic flow degradation when meter error exceeds radiation and induction devices normally three percent of full scale, or causes system found in the automotive service environ- response time to exceed 13 seconds to 90 percent of a step change in input, whichever is ment, including high energy vehicle ignition less. systems, radio frequency transmission radi- (7) Engine speed detection. The analyzer ation sources, and building electrical sys- shall utilize a tachometer capable of detect- tems. ing engine speed in revolutions per minute (8) Vibration and shock protection. System (rpm) with a 0.5 second response time and an operation shall be unaffected by the vibra- accuracy of ±3% of the true rpm. tion and shock encountered under the nor- (8) Test and mode timers. The analyzer shall mal operating conditions encountered in an be capable of simultaneously determining automotive service environment. the amount of time elapsed in a test, and in (9) Propane equivalency factor. The propane a mode within that test. equivalency factor shall be displayed in a (9) Sample rate. The analyzer shall be capa- manner that enables it to be viewed conven- ble of measuring exhaust concentrations of iently, while permitting it to be altered only gases specified in this section at a minimum by personnel specifically authorized to do so. rate of twice per second. (b) Analyzers—(1) Accuracy. The analyzers (c) Demonstration of conformity. The ana- shall be of a design certified to meet the fol- lyzer shall be demonstrated to the satisfac- lowing accuracy requirements when cali- tion of the inspection program manager, brated to the span points specified in appen- through acceptance testing procedures, to dix A to this subpart: meet the requirements of this section and that it is capable of being maintained as re- Accu- Re- quired in appendix A to this subpart. Channel Range racy Noise peatability (II) Steady-State Test Dynamometer HC, ppm ...... 0 –400 ±12 6 8 (a) The chassis dynamometer for steady- as hexane ...... 401–1000 ±30 10 15 state short tests shall provide the following 1001–2000 ±80 20 30 capabilities: CO, % ...... 0 –2.00 ±0 .06 0 .02 0 .03 (1) Power absorption. The dynamometer ± 2.01–5.00 0.15 0 .06 0 .08 shall be capable of applying a load to the ve- 5.01–9.99 ±0.40 0 .10 0 .15 ± hicle’s driving tire surfaces at the horse- CO2, % ...... 0 –4.0 0 .6 0 .2 0 .3 power and speed levels specified in paragraph 4.1 –14.0 ±0 .5 0 .2 0 .3 (II)(b) of this appendix. NO, ppm ...... 0 –1000 ±32 16 20 ± (2) Short-term stability. Power absorption at 1001–2000 60 25 30 ± 2001–4000 ±120 50 60 constant speed shall not drift more than 0.5 horsepower (hp) during any single test mode. (2) Minimum analyzer display resolution. The (3) Roll weight capacity. The dynamometer analyzer electronics shall have sufficient shall be capable of supporting a driving axle resolution to achieve the following: weight up to four thousand (4,000) pounds or greater. HC ...... 1ppm HC as hexane. (4) Between roll wheel lifts. These shall be CO ...... 0.01% CO. controllable and capable of lifting a min- CO2 ...... 0.1% CO2. imum of four thousand (4,000) pounds. NO ...... 1ppm NO. (5) Roll brakes. Both rolls shall be locked RPM ...... 1rpm. when the wheel lift is up.

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(6) Speed indications. The dynamometer Second MPH speed display shall have a range of 0–60 mph, and a resolution and accuracy of at least 1 26 ...... 15 .5 mph. 27 ...... 16 (7) Safety interlock. A roll speed sensor and 28 ...... 17 .1 29 ...... 19 .1 safety interlock circuit shall be provided 30 ...... 21 .1 which prevents the application of the roll 31 ...... 22 .7 brakes and upward lift movement at any roll 32 ...... 22 .9 speed above 0.5 mph. 33 ...... 22 .7 (b) The dynamometer shall produce the 34 ...... 22 .6 load speed relationships specified in para- 35 ...... 21 .3 36 ...... 19 graphs (III) and (V) of appendix B to this sub- 37 ...... 17 .1 part. 38 ...... 15 .8 39 ...... 15 .8 (III) Transient Emission Test Equipment 40 ...... 17 .7 [Reserved] 41 ...... 19 .8 42 ...... 21 .6 (IV) Evaporative System Purge Test Equipment 43 ...... 23 .2 [Reserved] 44 ...... 24 .2 45 ...... 24 .6 (V) Evaporative System Integrity Test 46 ...... 24 .9 Equipment [Reserved] 47 ...... 25 48 ...... 25 .7 49 ...... 26 .1 [57 FR 52987, Nov. 5, 1992, as amended at 58 50 ...... 26 .7 FR 59367, Nov. 9, 1993] 51 ...... 27 .5 52 ...... 28 .6 APPENDIX E TO SUBPART S OF PART 51— 53 ...... 29 .3 TRANSIENT TEST DRIVING CYCLE 54 ...... 29 .8 55 ...... 30 .1 (I) Driver’s trace. All excursions in the tran- 56 ...... 30 .4 sient driving cycle shall be evaluated by the 57 ...... 30 .7 58 ...... 30 .7 procedures defined in § 86.115–78(b)(1) and 59 ...... 30 .5 § 86.115(c) of this chapter. Excursions exceed- 60 ...... 30 .4 ing these limits shall cause a test to be void. 61 ...... 30 .3 In addition, provisions shall be available to 62 ...... 30 .4 utilize cycle validation criteria, as described 63 ...... 30 .8 in § 86.1341–90 of this chapter, for trace speed 64 ...... 30 .4 versus actual speed as a means to determine 65 ...... 29 .9 66 ...... 29 .5 a valid test. 67 ...... 29 .8 (II) Driving cycle. The following table shows 68 ...... 30 .3 the time speed relationship for the transient 69 ...... 30 .7 IM240 test procedure. 70 ...... 30 .9 71 ...... 31 Second MPH 72 ...... 30 .9 73 ...... 30 .4 0 ...... 0 74 ...... 29 .8 1 ...... 0 75 ...... 29 .9 2 ...... 0 76 ...... 30 .2 3 ...... 0 77 ...... 30 .7 4 ...... 0 78 ...... 31 .2 5 ...... 3 79 ...... 31 .8 6 ...... 5 .9 80 ...... 32 .2 7 ...... 8 .6 81 ...... 32 .4 8 ...... 11 .5 82 ...... 32 .2 9 ...... 14 .3 83 ...... 31 .7 10 ...... 16 .9 84 ...... 28 .6 11 ...... 17 .3 85 ...... 25 .1 12 ...... 18 .1 86 ...... 21 .6 13 ...... 20 .7 87 ...... 18 .1 14 ...... 21 .7 88 ...... 14 .6 15 ...... 22 .4 89 ...... 11 .1 16 ...... 22 .5 90 ...... 7 .6 17 ...... 22 .1 91 ...... 4 .1 18 ...... 21 .5 92 ...... 0 .6 19 ...... 20 .9 93 ...... 0 20 ...... 20 .4 94 ...... 0 21 ...... 19 .8 95 ...... 0 22 ...... 17 96 ...... 0 23 ...... 14 .9 97 ...... 0 24 ...... 14 .9 98 ...... 3 .3 25 ...... 15 .2 99 ...... 6 .6

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Second MPH Second MPH

100 ...... 9 .9 174 ...... 47 .2 101 ...... 13 .2 175 ...... 47 .4 102 ...... 16 .5 176 ...... 47 .9 103 ...... 19 .8 177 ...... 48 .5 104 ...... 22 .2 178 ...... 49 .1 105 ...... 24 .3 179 ...... 49 .5 106 ...... 25 .8 180 ...... 50 107 ...... 26 .4 181 ...... 50 .6 108 ...... 25 .7 109 ...... 25 .1 182 ...... 51 110 ...... 24 .7 183 ...... 51 .5 111 ...... 25 .2 184 ...... 52 .2 112 ...... 25 .4 185 ...... 53 .2 113 ...... 27 .2 186 ...... 54 .1 114 ...... 26 .5 187 ...... 54 .6 115 ...... 24 188 ...... 54 .9 116 ...... 22 .7 189 ...... 55 117 ...... 19 .4 190 ...... 54 .9 118 ...... 17 .7 191 ...... 54 .6 119 ...... 17 .2 192 ...... 54 .6 120 ...... 18 .1 193 ...... 54 .8 121 ...... 18 .6 194 ...... 55 .1 122 ...... 20 195 ...... 55 .5 123 ...... 20 .7 124 ...... 21 .7 196 ...... 55 .7 125 ...... 22 .4 197 ...... 56 .1 126 ...... 22 .5 198 ...... 56 .3 127 ...... 22 .1 199 ...... 56 .6 128 ...... 21 .5 200 ...... 56 .7 129 ...... 20 .9 201 ...... 56 .7 130 ...... 20 .4 202 ...... 56 .3 131 ...... 19 .8 203 ...... 56 132 ...... 17 204 ...... 55 133 ...... 17 .1 205 ...... 53 .4 134 ...... 15 .8 206 ...... 51 .6 135 ...... 15 .8 207 ...... 51 .8 136 ...... 17 .7 208 ...... 52 .1 137 ...... 19 .8 209 ...... 52 .5 138 ...... 21 .6 210 ...... 53 139 ...... 22 .2 211 ...... 53 .5 140 ...... 24 .5 212 ...... 54 141 ...... 24 .7 142 ...... 24 .8 213 ...... 54 .9 143 ...... 24 .7 214 ...... 55 .4 144 ...... 24 .6 215 ...... 55 .6 145 ...... 24 .6 216 ...... 56 146 ...... 25 .1 217 ...... 56 147 ...... 25 .6 218 ...... 55 .8 148 ...... 25 .7 219 ...... 55 .2 149 ...... 25 .4 220 ...... 54 .5 150 ...... 24 .9 221 ...... 53 .6 151 ...... 25 222 ...... 52 .5 152 ...... 25 .4 223 ...... 51 .5 153 ...... 26 224 ...... 50 .5 154 ...... 26 225 ...... 48 155 ...... 25 .7 226 ...... 44 .5 156 ...... 26 .1 227 ...... 41 157 ...... 26 .7 228 ...... 37 .5 158 ...... 27 .3 229 ...... 34 159 ...... 30 .5 230 ...... 30 .5 160 ...... 33 .5 231 ...... 27 161 ...... 36 .2 162 ...... 37 .3 232 ...... 23 .5 163 ...... 39 .3 233 ...... 20 164 ...... 40 .5 234 ...... 16 .5 165 ...... 42 .1 235 ...... 13 166 ...... 43 .5 236 ...... 9 .5 167 ...... 45 .1 237 ...... 6 168 ...... 46 238 ...... 2 .5 169 ...... 46 .8 239 ...... 0 170 ...... 47 .5 171 ...... 47 .5 172 ...... 47 .3 [57 FR 52987, Nov. 5, 1992, as amended at 58 173 ...... 47 .2 FR 59367, Nov. 9, 1993]

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Subpart T—Conformity to State or cluded, such provisions must be in- Federal Implementation Plans cluded in verbatim form, except insofar of Transportation Plans, Pro- as needed to clarify or to give effect to a stated intent in the revision to estab- grams, and Projects Devel- lish criteria and procedures more strin- oped, Funded or Approved gent than the requirements stated in Under Title 23 U.S.C. or the this chapter: §§ 93.101, 93.102, 93.103, Federal Transit Laws 93.104, 93.106, 93.109, 93.110, 93.111, 93.112, 93.113, 93.114, 93.115, 93.116, 93.117, 93.118, AUTHORITY: 42 U.S.C. 7401–7671q. 93.119, 93.120, 93.121, 93.126, and 93.127. A state’s conformity provisions may con- § 51.390 Implementation plan revision. tain criteria and procedures more (a) Purpose and applicability. The fed- stringent than the requirements de- eral conformity rules under part 93, scribed in this subpart and part 93, sub- subpart A, of this chapter, in addition part A, of this chapter only if the to any existing applicable state re- state’s conformity provisions apply quirements, establish the conformity equally to non-federal as well as fed- criteria and procedures necessary to eral entities. meet the requirements of Clean Air Act (c) Timing and approval. A state must section 176(c) until such time as EPA submit this revision to EPA by Novem- approves the conformity implementa- ber 25, 1994 or within 12 months of an tion plan revision required by this sub- area’s redesignation from attainment part. A state with an area subject to to nonattainment, if the state has not this subpart and part 93, subpart A, of previously submitted such a revision. this chapter must submit to EPA a re- The state must also revise its con- vision to its implementation plan formity implementation plan within 12 which contains criteria and procedures months of the date of publication of for DOT, MPOs and other state or local any final amendments to §§ 93.105, agencies to assess the conformity of 93.122(a)(4)(ii), and 93.125(c), as appro- transportation plans, programs, and priate. Any other portions of part 93, projects, consistent with this subpart subpart A, of this chapter that the and part 93, subpart A, of this chapter. state has included in its conformity The federal conformity regulations implementation plan and EPA has ap- contained in part 93, subpart A, of this proved must be revised in the state’s chapter would continue to apply for implementation plan and submitted to the portion of the requirements that EPA within 12 months of the date of the state did not include in its con- publication of any final amendments to formity implementation plan and the such sections. EPA will provide DOT portion, if any, of the state’s con- with a 30-day comment period before formity provisions that is not approved taking action to approve or disapprove by EPA. In addition, any previously ap- the submission. In order for EPA to applicable implementation plan con- prove the implementation plan revi- formity requirements remain enforce- sion submitted to EPA under this sub- able until the state submits a revision part, the plan revision must address to its applicable implementation plan and give full legal effect to the fol- to specifically remove them and that lowing three requirements of part 93, revision is approved by EPA. subpart A: §§ 93.105, 93.122(a)(4)(ii), and (b) Conformity implementation plan 93.125(c). Any other provisions that are content. To satisfy the requirements of incorporated into the conformity im- Clean Air Act section 176(c)(4)(E), the plementation plan must also be done in implementation plan revision required a manner that gives them full legal ef- by this section must include the fol- fect. Following EPA approval of the lowing three requirements of part 93, state conformity provisions (or a por- subpart A, of this chapter: §§ 93.105, tion thereof) in a revision to the state’s 93.122(a)(4)(ii), and 93.125(c). A state conformity implementation plan, con- may elect to include any other provi- formity determinations will be gov- sions of part 93, subpart A. If the provi- erned by the approved (or approved sions of the following sections of part portion of the) state criteria and proce- 93, subpart A, of this chapter are in- dures as well as any applicable portions

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of the federal conformity rules that are tenance of the NAAQS and the produc- not addressed by the approved con- tion rate associated with the maximum formity SIP. rated capacity and hours of operation (unless the source is subject to feder- [73 FR 4438, Jan. 24, 2008] ally enforceable limits which restrict the operating rate, or hours of oper- Subpart U—Economic Incentive ation, or both). Programs Area sources means stationary and nonroad sources that are too small and/ SOURCE: 59 FR 16710, Apr. 7, 1994, unless or too numerous to be individually in- otherwise noted. cluded in a stationary source emissions inventory. § 51.490 Applicability. Attainment area means any area of (a) The rules in this subpart apply to the country designated or redesignated any statutory economic incentive pro- by the EPA at 40 CFR part 81 in accord- gram (EIP) submitted to the EPA as an ance with section 107(d) as having at- implementation plan revision to com- tained the relevant NAAQS for a given ply with sections 182(g)(3), 182(g)(5), criteria pollutant. An area can be an 187(d)(3), or 187(g) of the Act. Such pro- attainment area for some pollutants grams may be submitted by any au- and a nonattainment area for other thorized governmental organization, pollutants. including States, local governments, Attainment demonstration means the and Indian governing bodies. requirement in section 182(b)(1)(A) of (b) The provisions contained in these the Act to demonstrate that the spe- rules, except as explicitly exempted, cific annual emissions reductions in- shall also serve as the EPA’s policy cluded in a SIP are sufficient to attain guidance on discretionary EIP’s sub- the primary NAAQS by the date appli- mitted as implementation plan revi- cable to the area. sions for any purpose other than to Directionally-sound strategies are comply with the statutory require- strategies for which adequate proce- ments specified in paragraph (a) of this dures to quantify emissions reductions section. or specify a program baseline are not defined as part of the EIP. § 51.491 Definitions. Discretionary economic incentive pro- Act means the Clean Air Act as gram means any EIP submitted to the amended November 15, 1990. EPA as an implementation plan revi- Actual emissions means the emissions sion for purposes other than to comply of a pollutant from an affected source with the statutory requirements of sec- determined by taking into account actions 182(g)(3), 182(g)(5), 187(d)(3), or tual emission rates associated with 187(g) of the Act. normal source operation and actual or Economic incentive program (EIP) representative production rates (i.e., means a program which may include capacity utilization and hours of oper- State established emission fees or a ation). system of marketable permits, or a Affected source means any stationary, system of State fees on sale or manu- area, or mobile source of a criteria pol- facture of products the use of which lutant(s) to which an EIP applies. This contributes to O3 formation, or any term applies to sources explicitly in- combination of the foregoing or other cluded at the start of a program, as similar measures, as well as incentives well as sources that voluntarily enter and requirements to reduce vehicle (i.e., opt into) the program. emissions and vehicle miles traveled in Allowable emissions means the emis- the area, including any of the transpor- sions of a pollutant from an affected tation control measures identified in source determined by taking into ac- section 108(f). Such programs may be count the most stringent of all applica- directed toward stationary, area, and/ ble SIP emissions limits and the level or mobile sources, to achieve emissions of emissions consistent with source reductions milestones, to attain and compliance with all Federal require- maintain ambient air quality stand- ments related to attainment and main- ards, and/or to provide more flexible,

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lower-cost approaches to meeting envi- EPA at 40 CFR part 50 under section ronmental goals. Such programs are 109 of the Act. categorized into the following three Nonattainment area means any area of categories: Emission-limiting, market- the country designated by the EPA at response, and directionally-sound 40 CFR part 81 in accordance with sec- strategies. tion 107(d) of the Act as nonattainment Emission-limiting strategies are strate- for one or more criteria pollutants. An gies that directly specify limits on area could be a nonattainment area for total mass emissions, emission-related some pollutants and an attainment parameters (e.g., emission rates per area for other pollutants. unit of production, product content Nondiscriminatory means that a pro- limits), or levels of emissions reduc- gram in one State does not result in tions relative to a program baseline discriminatory effects on other States that are required to be met by affected or sources outside the State with resources, while providing flexibility to gard to interstate commerce. sources to reduce the cost of meeting Program baseline means the level of program requirements. emissions, or emission-related param- Indian governing body means the gov- eter(s), for each affected source or erning body of any tribe, band, or group of affected sources, from which group of Indians subject to the jurisdic- program results (e.g., quantifiable tion of the U.S. and recognized by the emissions reductions) shall be deter- U.S. as possessing power of self-govern- mined. ment. Program uncertainty factor means a Maintenance plan means an imple- factor applied to discount the amount mentation plan for an area for which of emissions reductions credited in an the State is currently seeking designa- implementation plan demonstration to tion or has previously sought redesig- account for any strategy-specific un- nation to attainment, under section certainties in an EIP. 107(d) of the Act, which provides for the Reasonable further progress (RFP) plan continued attainment of the NAAQS. means any incremental emissions re- Market-response strategies are strate- ductions required by the CAA (e.g., sec- gies that create one or more incentives tion 182(b)) and approved by the EPA as for affected sources to reduce emis- meeting these requirements. sions, without directly specifying lim- Replicable refers to methods which its on emissions or emission-related are sufficiently unambiguous such that parameters that individual sources or the same or equivalent results would even all sources in the aggregate are be obtained by the application of the required to meet. methods by different users. Milestones means the reductions in RFP baseline means the total of ac- emissions required to be achieved pur- tual volatile organic compounds or ni- suant to section 182(b)(1) and the cor- trogen oxides emissions from all an- responding requirements in section thropogenic sources in an O3 non- 182(c)(2) (B) and (C), 182(d), and 182(e) of attainment area during the calendar the Act for O3 nonattainment areas, as year 1990 (net of growth and adjusted well as the reduction in emissions of pursuant to section 182(b)(1)(B) of the CO equivalent to the total of the speci- Act), expressed as typical O3 season, fied annual emissions reductions re- weekday emissions. quired by December 31, 1995, pursuant Rule compliance factor means a factor to section 187(d)(1). applied to discount the amount of Mobile sources means on-road (high- emissions reductions credited in an im- way) vehicles (e.g., automobiles, trucks plementation plan demonstration to and motorcycles) and nonroad vehicles account for less-than-complete compli- (e.g., trains, airplanes, agricultural ance by the affected sources in an EIP. equipment, industrial equipment, con- Shortfall means the difference be- struction vehicles, off-road motor- tween the amount of emissions reduc- cycles, and marine vessels). tions credited in an implementation National ambient air quality standard plan for a particular EIP and those (NAAQS) means a standard set by the that are actually achieved by that EIP,

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as determined through an approved within 9 months after such failure or reconciliation process. determination, and shall be sufficient, State means State, local government, in combination with other elements of or Indian-governing body. the SIP, to achieve the next milestone. State implementation plan (SIP) means (b) Serious CO nonattainment areas. (1) a plan developed by an authorized gov- A State or authorized governing body erning body, including States, local for any serious CO nonattainment area governments, and Indian-governing shall submit a plan revision to imple- bodies, in a nonattainment area, as re- ment an EIP, in accordance with the quired under titles I & II of the Clean requirements of this part, if: Air Act, and approved by the EPA as (i) A milestone demonstration is not meeting these same requirements. Stationary source means any building, submitted within the required period, structure, facility or installation, pursuant to section 187(d) of the Act. other than an area or mobile source, (ii) The Administrator notifies the which emits or may emit any criteria State, pursuant to section 187(d) of the air pollutant or precursor subject to Act, that a milestone has not been regulation under the Act. met. Statutory economic incentive program (iii) The Administrator determines, means any EIP submitted to the EPA pursuant to section 186(b)(2) of the Act as an implementation plan revision to that the NAAQS for CO has not been comply with sections 182(g)(3), 182(g)(5), attained by the applicable date for that 187(d)(3), or 187(g) of the Act. area. Such revision shall be submitted Surplus means, at a minimum, emis- within 9 months after such failure or sions reductions in excess of an estab- determination. lished program baseline which are not (2) Submittals made pursuant to required by SIP requirements or State paragraphs (b)(1) (i) and (ii) of this sec- regulations, relied upon in any application shall be sufficient, together with a ble attainment plan or demonstration, transportation control program, to or credited in any RFP or milestone achieve the specific annual reductions demonstration, so as to prevent the in CO emissions set forth in the imple- double-counting of emissions reduc- mentation plan by the attainment tions. Transportation control measure (TCM) date. Submittals made pursuant to is any measure of the types listed in paragraph (b)(1)(iii) of this section section 108(F) of the Act, or any meas- shall be adequate, in combination with ure in an applicable implementation other elements of the revised plan, to plan directed toward reducing emis- reduce the total tonnage of emissions sions of air pollutants from transpor- of CO in the area by at least 5 percent tation sources by a reduction in vehicle per year in each year after approval of use or changes in traffic conditions. the plan revision and before attainment of the NAAQS for CO. § 51.492 State program election and (c) Serious and severe O3 nonattainment submittal. areas. If a State, for any serious or se- (a) Extreme O3 nonattainment areas. (1) vere O3 nonattainment area, elects to A State or authorized governing body implement an EIP in the cir- for any extreme O3 nonattainment area cumstances set out in section 182(g)(3) shall submit a plan revision to imple- of the Act, the State shall submit a ment an EIP, in accordance with the plan revision to implement the pro- requirements of this part, pursuant to gram in accordance with the require- section 182(g)(5) of the Act, if: ments of this part. If the option to im- (i) A required milestone compliance plement an EIP is elected, a plan revi- demonstration is not submitted within sion shall be submitted within 12 the required period. months after the date required for elec- (ii) The Administrator determines that the area has not met any application, and shall be sufficient, in com- ble milestone. bination with other elements of the (2) The plan revision in paragraph SIP, to achieve the next milestone. (a)(1) of this section shall be submitted

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(d) Any nonattainment or attainment agencies, improved emissions inven- area. Any State may at any time sub- tories, and the adoption of emission mit a plan or plan revision to imple- caps which over time constrain or re- ment a discretionary EIP, in accord- duce growth-related emissions beyond ance with the requirements of this traditional regulatory approaches. part, pursuant to sections 110(a)(2)(A) (2) The incentive-based strategy shall and 172(c)(6) and other applicable provi- be described in terms of one of the fol- sions of the Act concerning SIP sub- lowing three strategies: mittals. The plan revision shall not (i) Emission-limiting strategies, interfere with any applicable require- which directly specify limits on total ment concerning attainment and RFP, mass emissions, emission-related pa- or any other applicable requirements of rameters (e.g., emission rates per unit the Act. of production, product content limits), or levels of emissions reductions rel- § 51.493 State program requirements. ative to a program baseline that af- Economic incentive programs shall fected sources are required to meet, be State and federally enforceable, while providing flexibility to sources nondiscriminatory, and consistent with to reduce the cost of meeting program the timely attainment of NAAQS, all requirements. applicable RFP and visibility require- (ii) Market-response strategies, ments, applicable PSD increments, and which create one or more incentives for all other applicable requirements of affected sources to reduce emissions, the Act. Programs in nonattainment without directly specifying limits on areas for which credit is taken in at- emissions or emission-related param- tainment and RFP demonstrations eters that individual sources or even shall be designed to ensure that the ef- all sources in the aggregate are re- fects of the program are quantifiable quired to meet. and permanent over the entire dura- (iii) Directionally-sound strategies, tion of the program, and that the cred- for which adequate procedures to quan- it taken is limited to that which is sur- tify emissions reductions are not de- plus. Statutory programs shall be defined. signed to result in quantifiable, signifi- (b) Program scope. (1) This element cant reductions in actual emissions. shall contain a clear definition of the The EIP’s shall include the following sources affected by the program. This elements, as applicable: definition shall address: (a) Statement of goals and rationale. (i) The extent to which the program This element shall include a clear is mandatory or voluntary for the af- statement as to the environmental fected sources. problem being addressed, the intended (ii) Provisions, if any, by which environmental and economic goals of sources that are not required to be in the program, and the rationale relating the program may voluntarily enter the the incentive-based strategy to the program. program goals. (iii) Provisions, if any, by which (1) The statement of goals must in- sources covered by the program may clude the goal that the program will voluntarily leave the program. benefit both the environment and the (2) Any opt-in or opt-out provisions regulated entities. The program shall in paragraph (b)(1) of this section shall be designed so as to meaningfully meet be designed to provide mechanisms by this goal either directly, through in- which such program changes are re- creased or more rapid emissions reduc- flected in an area’s attainment and tions beyond those that would be RFP demonstrations, thus ensuring achieved through a traditional regu- that there will not be an increase in latory program, or, alternatively, the emissions inventory for the area through other approaches that will re- caused by voluntary entry or exit from sult in real environmental benefits. the program. Such alternative approaches include, (3) The program scope shall be de- but are not limited to, improved ad- fined so as not to interfere with any ministrative mechanisms, reduced ad- other Federal requirements which ministrative burdens on regulatory apply to the affected sources.

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(c) Program baseline. A program base- mission in November 1992), and allow- line shall be defined as a basis for pro- able emissions are the lower of SIP-al- jecting program results and, if applica- lowable emissions or the level of emis- ble, for initializing the incentive mech- sions consistent with source compli- anism (e.g., for marketable permits ance with all Federal requirements re- programs). The program baseline shall lated to attainment and maintenance be consistent with, and adequately re- of the NAAQS. flected in, the assumptions and inputs (3) For EIP’s that are designed to im- used to develop an area’s RFP plans plement new and/or previously existing and attainment and maintenance dem- RACT requirements through emissions onstrations, as applicable. The State trading and are submitted in conjunc- shall provide sufficient supporting in- tion with, or subsequent to, the sub- formation from the areawide emissions mission of an associated RACT rule, a inventory and other sources to justify State may exercise flexibility in set- the baseline used in the EIP. ting a program baseline provided the (1) For EIP’s submitted in conjunc- program baseline is consistent with tion with, or subsequent to, the sub- and reflected in the associated RACT mission of any areawide progress plan rule, and any applicable progress plans due at the time of EIP submission (e.g., and attainment demonstrations. the 15 percent RFP plan and/or subse- (4) For EIP’s that are designed to im- quent 3 percent plans) or an attain- plement new and/or previously existing ment demonstration, a State may exer- RACT requirements through emissions cise flexibility in setting a program trading and are submitted prior to the baseline provided the program baseline submission of a required RFP plan or is consistent with and reflected in all attainment demonstration, States also relevant progress plans or attainment have flexibility in determining the pro- demonstration. A flexible program gram baseline, provided the following baseline may be based on the lower of conditions are met. actual, allowable, or some other inter- (i) For EIP’s that implement new mediate or lower level of emissions. For any EIP submitted prior to the RACT requirements for previously un- submittal of an attainment demonstra- regulated source categories through tion, the State shall include the fol- emissions trading, the new RACT re- lowing with its EIP submittal: quirements must reflect, to the extent (i) A commitment that its subse- practicable, increased emissions reduc- quent attainment demonstration and tions beyond those that would be all future progress plans, if applicable, achieved through a traditional RACT will be consistent with the EIP base- program. line. (ii) For EIP’s that impose new RACT (ii) A discussion of how the baseline requirements on previously unregu- will be integrated into the subsequent lated sources in a previously regulated attainment demonstration, taking into source category (e.g., RACT ‘‘catch- account the potential that credit up’’ programs), the new incentive-based issued prior to the attainment dem- RACT rule shall, in the aggregate, onstration may no longer be surplus yield reductions in actual emissions at relative to the attainment demonstra- least equivalent to that which would tion. result from source-by-source compli- (2) Except as provided for in para- ance with the existing RACT limit for graph (c)(4) of this section, for EIP’s that source category. submitted during a time period when (5) A program baseline for individual any progress plans are required but not sources shall, as appropriate, be con- yet submitted (e.g., the 15 percent RFP tained or incorporated by reference in plan and/or the subsequent 3 percent federally-enforceable operating permits plans), the program baseline shall be or a federally-enforceable SIP. based on the lower-of-actual-or-allow- (6) An initial baseline for TCM’s shall able emissions. In such cases, actual be calculated by establishing the pre- emissions shall be taken from the most existing conditions in the areas of inappropriate inventory, such as the 1990 terest. This may include establishing actual emission inventory (due for sub- to what extent TCM’s have already

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been implemented, what average vehi- (iv) EPA-approved emission factors, cle occupancy (AVO) levels have been where appropriate and adequate. achieved during peak and off-peak peri- (v) Any combination of these ap- ods, what types of trips occur in the re- proaches. gion, and what mode choices have been (2) Specification of averaging times. made in making these trips. In addi- (i) The averaging time for any speci- tion, the extent to which travel options fied mass emissions caps or emission are currently available within the re- rate limits shall be consistent with: at- gion of interest shall be determined. taining and maintaining all applicable These travel options may include, but NAAQS, meeting RFP requirements, are not limited to, the degree of disper- and ensuring equivalency with all ap- sion of transit services, the current rid- plicable RACT requirements. ership rates, and the availability and (ii) If the averaging time for any usage of parking facilities. specified VOC or NOX mass emissions (7) Information used in setting a pro- caps or emission rate limits for sta- gram baseline shall be of sufficient tionary sources (and for other sources, quality to provide for at least as high as appropriate) is longer than 24 hours, a degree of accountability as currently the State shall provide, in support of exists for traditional control require- the SIP submittal, a statistical show- ments for the categories of sources af- ing that the specified averaging time is fected by the program. consistent with attaining the O3 (d) Replicable emission quantification NAAQS and satisfying RFP require- methods. This program element, for ments, as applicable, on the basis of programs other than those which are typical summer day emissions; and, if categorized as directionally-sound, applicable, a statistical showing that shall include credible, workable, and the longer averaging time will produce replicable methods for projecting pro- emissions reductions that are equiva- gram results from affected sources and, lent on a daily basis to source-specific where necessary, for quantifying emis- RACT requirements. sions from individual sources subject (3) Accounting for shutdowns and to the EIP. Such methods, if used to production curtailments. This account- determine credit taken in attainment, ing shall include provisions which en- RFP, and maintenance demonstra- sure that: tions, as applicable, shall yield results (i) Emissions reductions associated which can be shown to have a level of with shutdowns and production curtail- certainty comparable to that for ments are not double-counted in at- source-specific standards and tradi- tainment or RFP demonstrations. tional methods of control strategy de- (ii) Any resultant ‘‘shifting demand’’ velopment. Such methods include, as which increases emissions from other applicable, the following elements: sources is accounted for in such dem- (1) Specification of quantification onstrations. methods. This element shall specify (4) Accounting for batch, seasonal, the approach or the combination or and cyclical operations. This account- range of approaches that are accepting shall include provisions which enable for each source category affected sure that the approaches used to ac- by the program. Acceptable approaches count for such variable operations are may include, but are not limited to: consistent with attainment and RFP (i) Test methods for the direct meas- plans. urement of emissions, either continu- (5) Accounting for travel mode choice ously or periodically. options, as appropriate, for TCM’s. (ii) Calculation equations which are a This accounting shall consider the fac- function of process or control system tors or attributes of the different forms parameters, ambient conditions, activ- of travel modes (e.g., bus, ridesharing) ity levels, and/or throughput or produc- which determine which type of travel tion rates. an individual will choose. Such factors (iii) Mass balance calculations which include, but are not limited to, time, are a function of inventory, usage, and/ cost, reliability, and convenience of or disposal records. the mode.

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(e) Source requirements. This program (B) In situ or portable measurement element shall include all source-spe- devices to verify control system oper- cific requirements that constitute ating conditions. compliance with the program. Such re- (C) Periodic measurement of mass quirements shall be appropriate, read- emissions or emission rates using ref- ily ascertainable, and State and feder- erence test methods. ally enforceable, including, as applica- (D) Operation and maintenance proble: cedures and/or other work practices de- (1) Emission limits. signed to prevent, identify, or remedy (i) For programs that impose limits noncomplying conditions. on total mass emissions, emission (E) Manual or automated record- rates, or other emission-related param- keeping of material usage, inventories, eter(s), there must be an appropriate throughput, production, or levels of re- tracking system so that a facility’s quired activities. limits are readily ascertainable at all (F) Any combination of these meth- times. ods. EIP’s shall require that respon- (ii) For emission-limiting EIP’s that sible parties at each facility in the EIP authorize RACT sources to meet their program certify reported information. RACT requirements through RACT/ (ii) Procedures for determining re- non-RACT trading, such trading shall quired data, including the emissions result in an exceptional environmental contribution from affected sources, for benefit. Demonstration of an excep- periods for which required data moni- tional environmental benefit shall re- toring is not performed, data are other- quire either the use of the statutory wise missing, or data have been dem- offset ratios for nonattainment areas onstrated to have been inaccurately de- as the determinant of the amount of termined. emissions reductions that would be required from non-RACT sources gener- (3) Any other applicable strategy-spe- ating credits for RACT sources or, al- cific requirements. ternatively, a trading ratio of 1.1 to 1, (f) Projected results and audit/reconcili- at a minimum, may be authorized, pro- ation procedures. (1) The SIP submittal vided exceptional environmental bene- shall include projections of the emis- fits are otherwise demonstrated. sions reductions associated with the (2) Monitoring, recordkeeping, and implementation of the program. These reporting requirements. projected results shall be related to (i) An EIP (or the SIP as a whole) and consistent with the assumptions must contain test methods and, where used to develop the area’s attainment necessary, emission quantification demonstration and maintenance plan, methodologies, appropriate to the as applicable. For programs designed to emission limits established in the SIP. produce emissions reductions cred- EIP sources must be subject to clearly itable towards RFP milestones, pro- specified MRR requirements appro- jected emissions reductions shall be re- priate to the test methods and any ap- lated to the RFP baseline and con- plicable quantification methodologies, sistent with the area’s RFP compliance and consistent with the EPA’s title V demonstration. The State shall provide rules, where applicable. Such MRR re- sufficient supporting information that quirements shall provide sufficiently shows how affected sources are or will reliable and timely information to de- be addressed in the emissions inven- termine compliance with emission lim- tory, RFP plan, and attainment dem- its and other applicable strategy-spe- onstration or maintenance plan, as ap- cific requirements, and to provide for plicable. State and Federal enforceability of (i) For emission-limiting programs, such limits and requirements. Methods the projected results shall be con- for MRR may include, but are not lim- sistent with the reductions in mass ited to: emissions or emissions-related param- (A) The continuous monitoring of eters specified in the program design. mass emissions, emission rates, or (ii) For market-response programs, process or control parameters. the projected results shall be based on

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market analyses relating levels of tar- range of appropriate actions or revi- geted emissions and/or emission-re- sions to program requirements that lated activities to program design pa- will make up for any shortfall between rameters. credited results (i.e., projected results, (iii) For directionally-sound pro- as adjusted by the two uncertainty fac- grams, the projected results may be de- tors described above) and actual results scriptive and shall be consistent with obtained during program implementa- the area’s attainment demonstration tion shall be submitted together with or maintenance plan. the program audit provisions. Such (2) Quantitative projected results measures must be federally enforce- shall be adjusted through the use of able, as appropriate, and automatically two uncertainty factors, as appro- executing to the extent necessary to priate, to reflect uncertainties inher- make up the shortfall within a speci- ent in both the extent to which sources fied period of time, consistent with rel- will comply with program require- evant RFP and attainment requirements and the overall program design. ments. (i) Uncertainty resulting from incomplete compliance shall be addressed (g) Implementation schedule. The pro- through the use of a rule compliance gram shall contain a schedule for the factor. adoption and implementation of all (ii) Programmatic uncertainty shall State commitments and source re- be addressed through the use of a pro- quirements included in the program de- gram uncertainty factor. Any presump- sign. tive norms set by the EPA shall be (h) Administrative procedures. The pro- used unless an adequate justification gram shall contain a description of for an alternative factor is included in State commitments which are integral supporting information to be supplied to the implementation of the program, with the SIP submittal. In the absence and the administrative system to be of any EPA-specified presumptive used to implement the program, ad- norms, the State shall provide an ade- dressing the adequacy of the personnel, quate justification for the selected fac- funding, and legislative authority. tors as part of the supporting informa- (1) States shall furnish adequate doc- tion to be supplied with the SIP sub- umentation of existing legal authority mittal. and demonstrated administrative ca- (3) Unless otherwise provided in pro- pacity to implement and enforce the gram-specific guidance issued by the provisions of the EIP. EPA, EIP’s for which SIP credit is (2) For programs which require pri- taken shall include audit procedures to vate and/or public entities to establish evaluate program implementation and emission-related economic incentives track program results in terms of both (e.g., programs requiring employers to actual emissions reductions, and, to exempt carpoolers/multiple occupancy the extent practicable, cost savings relative to traditional regulatory pro- vehicles from paying for parking), gram requirements realized during pro- States shall furnish adequate docu- gram implementation. Such audits mentation of State authority and ad- shall be conducted at specified time in- ministrative capacity to implement tervals, not to exceed three years. The and enforce the underlying program. State shall provide timely post-audit (i) Enforcement mechanisms. The pro- reports to the EPA. gram shall contain a compliance in- (i) For emission-limiting EIP’s, the strument(s) for all program require- State shall commit to ensure the time- ments, which is legally binding and ly implementation of programmatic re- State and federally enforceable. This visions or other measures which the program element shall also include a State, in response to the audit, deems State enforcement program which de- necessary for the successful operation fines violations, and specifies auditing of the program in the context of over- and inspections plans and provisions all RFP and attainment requirements. for enforcement actions. The program (ii) For market-response EIP’s, rec- shall contain effective penalties for onciliation procedures that identify a noncompliance which preserve the

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level of deterrence in traditional pro- may be used for this purpose. The use grams. For all such programs, the man- of any revenues generated from discre- ner of collection of penalties must be tionary EIP’s shall not be constrained specified. by the provisions of this part. (1) Emission limit violations. (i) Pro- grams imposing limits on mass emis- Subpart W—Determining Con- sions or emission rates that provide for formity of General Federal extended averaging times and/or compliance on a multisource basis shall in- Actions to State or Federal clude procedures for determining the Implementation Plans number of violations, the number of days of violation, and sources in viola- SOURCE: 58 FR 63247, Nov. 30, 1993, unless tion, for statutory maximum penalty otherwise noted. purposes, when the limits are exceeded. The State shall demonstrate that such § 51.850 [Reserved] procedures shall not lessen the incentive for source compliance as compared § 51.851 State implementation plan (SIP) or Tribal implementation plan to a program applied on a source-by- (TIP) revision. source, daily basis. (ii) Programs shall require plans for (a) A State or eligible Tribe (a feder- remedying noncompliance at any facil- ally recognized tribal government de- ity that exceeds a multisource emis- termined to be eligible to submit a TIP sions limit for a given averaging pe- under 40 CFR 49.6) may submit to the riod. These plans shall be enforceable Environmental Protection Agency both federally and by the State. (EPA) a revision to its applicable im- (2) Violations of MRR requirements. plementation plan which contains cri- The MRR requirements shall apply on teria and procedures for assessing the a daily basis, as appropriate, and viola- conformity of Federal actions to the tions thereof shall be subject to State applicable implementation plan, con- enforcement sanctions and to the Fed- sistent with this section and 40 CFR eral penalty of up to $25,000 for each part 93, subpart B. day a violation occurs or continues. In (b) Until EPA approves the con- addition, where the requisite scienter formity implementation plan revision conditions are met, violations of such permitted by this section, Federal requirements shall be subject to the agencies shall use the provisions of 40 Act’s criminal penalty sanctions of sec- CFR part 93, subpart B in addition to tion 113(c)(2), which provides for fines any existing applicable State or tribal and imprisonment of up to 2 years. requirements, to demonstrate conformity with the applicable SIP or TIP § 51.494 Use of program revenues. as required by section 176(c) of the CAA Any revenues generated from statu- (42 U.S.C. 7506). tory EIP’s shall be used by the State (c) Following EPA approval of the for any of the following: State or tribal conformity provisions (a) Providing incentives for achieving (or a portion thereof) in a revision to emissions reductions. the applicable SIP or TIP, conformity (b) Providing assistance for the de- determinations shall be governed by velopment of innovative technologies the approved (or approved portion of) for the control of O3 air pollution and State or tribal criteria and procedures. for the development of lower-polluting The Federal conformity regulations solvents and surface coatings. Such as- contained in 40 CFR part 93, subpart B sistance shall not provide for the pay- would apply only for the portion, if ment of more than 75 percent of either any, of the part 93 requirements not the costs of any project to develop such contained in the State or Tribe con- a technology or the costs of develop- formity provisions approved by EPA. ment of a lower-polluting solvent or (d) The State or tribal conformity surface coating. implementation plan criteria and pro- (c) Funding the administrative costs cedures cannot be any less stringent of State programs under this Act. Not than the requirements in 40 CFR part more than 50 percent of such revenues 93, subpart B.

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(e) A State’s or Tribe’s conformity (d) 8-Hour ozone design value is the 8- provisions may contain criteria and hour ozone concentration calculated procedures more stringent than the re- according to 40 CFR part 50, appendix I. quirements described in this subpart (e) CAA means the Clean Air Act as and part 93, subpart B, only if the codified at 42 U.S.C. 7401–7671q (2003). State’s or Tribe’s conformity provi- (f) Applicable requirements means sions apply equally to non-Federal as for an area the following requirements well as Federal entities. to the extent such requirements apply (f) In its SIP or TIP, the State or or applied to the area for the area’s Tribe may identify a list of Federal ac- classification under section 181(a)(1) of tions or type of emissions that it pre- the CAA for the 1-hour NAAQS at des- sumes will conform. The State or Tribe ignation for the 8-hour NAAQS: may place whatever limitations on (1) Reasonably available control that list that it deems necessary. The technology (RACT). State or Tribe must demonstrate that (2) Inspection and maintenance pro- the action will not interfere with time- grams (I/M). ly attainment or maintenance of the (3) Major source applicability cut-offs standard, meeting the reasonable fur- for purposes of RACT. ther progress milestones or other re- (4) Rate of Progress (ROP) reduc- quirements of the Clean Air Act. Fed- tions. eral agencies can rely on the list to de- (5) Stage II vapor recovery. termine that their emissions conform (6) Clean fuels fleet program under with the applicable SIP or TIP. section 183(c)(4) of the CAA. (g) Any previously applicable SIP or (7) Clean fuels for boilers under sec- TIP requirements relating to con- tion 182(e)(3) of the CAA. formity remain enforceable until EPA (8) Transportation Control Measures approves the revision to the SIP or TIP (TCMs) during heavy traffic hours as to specifically remove them. provided under section 182(e)(4) of the CAA. [75 FR 17272, Apr. 5, 2010] (9) Enhanced (ambient) monitoring §§ 51.852–51.860 [Reserved] under section 182(c)(1) of the CAA. (10) Transportation controls under Subpart X—Provisions for Imple- section 182(c)(5) of the CAA. (11) Vehicle miles traveled provisions mentation of 8-hour Ozone of section 182(d)(1) of the CAA. National Ambient Air Quality (12) NOX requirements under section Standard 182(f) of the CAA. (13) Attainment demonstration or an SOURCE: 69 FR 23996, Apr. 30, 2004, unless alternative as provided under otherwise noted. § 51.905(a)(1)(ii). (14) Contingency measures required § 51.900 Definitions. under CAA sections 172(c)(9) and The following definitions apply for 182(c)(9) that would be triggered based purposes of this subpart. Any term not on a failure to attain the 1-hour defined herein shall have the meaning NAAQS by the applicable attainment as defined in 40 CFR 51.100. date or to make reasonable further (a) 1-hour NAAQS means the 1-hour progress toward attainment of the 1- ozone national ambient air quality hour NAAQS. standards codified at 40 CFR 50.9. (g) Attainment year ozone season shall (b) 8-hour NAAQS means the 8-hour mean the ozone season immediately ozone national ambient air quality preceding a nonattainment area’s at- standards codified at 40 CFR 50.10. tainment date. (c) 1-hour ozone design value is the 1- (h) Designation for the 8-hour NAAQS hour ozone concentration calculated shall mean the effective date of the 8- according to 40 CFR part 50, Appendix hour designation for an area. H and the interpretation methodology (i) Higher classification/lower classifica- issued by the Administrator most re- tion. For purposes of determining cently before the date of the enactment whether a classification is higher or of the CAA Amendments of 1990. lower, classifications are ranked from

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lowest to highest as follows: classifica- summer work weekday. The state will tion under subpart 1 of the CAA; mar- select the particular month(s) in sum- ginal; moderate; serious; severe-15; se- mer and the day(s) in the work week to vere-17; and extreme. be represented. The selection of condi- (j) Initially designated means the first tions should be coordinated with the designation that becomes effective for conditions assumed in the development an area for the 8-hour NAAQS and does of RFP plans, ROP plans and dem- not include a redesignation to attain- onstrations, and/or emissions budgets ment or nonattainment for that stand- for transportation conformity, to allow ard. comparability of daily emission esti- (k) Maintenance area for the 1-hour mates. NAAQS means an area that was des- [69 FR 23996, Apr. 30, 2004, as amended at 70 ignated nonattainment for the 1-hour FR 30604, May 26, 2005; 77 FR 28441, May 14, NAAQS on or after November 15, 1990 2012; 80 FR 8799, Feb. 19, 2015] and was redesignated to attainment for the 1-hour NAAQS subject to a mainte- § 51.901 Applicability of part 51. nance plan as required by section 175A The provisions in subparts A through of the CAA. W of part 51 apply to areas for purposes (l) Nitrogen Oxides (NOX) means the of the 8-hour NAAQS to the extent sum of nitric oxide and nitrogen diox- they are not inconsistent with the pro- ide in the flue gas or emission point, visions of this subpart. collectively expressed as nitrogen dioxide. § 51.902 Which classification and non- (m) NOX SIP Call means the rules attainment area planning provi- codified at 40 CFR 51.121 and 51.122. sions of the CAA shall apply to (n) Ozone season means for each areas designated nonattainment for State, the ozone monitoring season as the 1997 8-hour NAAQS? defined in 40 CFR Part 58, Appendix D, (a) An area designated nonattain- section 2.5 for that State. ment for the 1997 8-hour NAAQS will be (o) Ozone transport region means the classified in accordance with section area established by section 184(a) of the 181 of the CAA, as interpreted in CAA or any other area established by § 51.903(a), for purposes of the 1997 8- the Administrator pursuant to section hour NAAQS, and will be subject to the 176A of the CAA for purposes of ozone. requirements of subpart 2 that apply (p) Reasonable further progress (RFP) for that classification. means for the purposes of the 8-hour (b) [Reserved] NAAQS, the progress reductions re- [77 FR 28841, May 14, 2012] quired under section 172(c)(2) and section 182(b)(1) and (c)(2)(B) and (c)(2)(C) § 51.903 How do the classification and of the CAA. attainment date provisions in sec- (q) Rate of progress (ROP) means for tion 181 of subpart 2 of the CAA purposes of the 1-hour NAAQS, the apply to areas subject to § 51.902(a)? progress reductions required under sec- (a) In accordance with section tion 172(c)(2) and section 182(b)(1) and 181(a)(1) of the CAA, each area subject (c)(2)(B) and (c)(2)(C) of the CAA. to § 51.902(a) shall be classified by oper- (r) Revocation of the 1-hour NAAQS ation of law at the time of designation. means the time at which the 1-hour However, the classification shall be NAAQS no longer apply to an area pur- based on the 8-hour design value for suant to 40 CFR 50.9(b). the area, in accordance with Table 1 (s) Subpart 1 (CAA) means subpart 1 below, or such higher or lower classi- of part D of title I of the CAA. fication as the State may request as (t) Subpart 2 (CAA) means subpart 2 provided in paragraphs (b) and (c) of of part D of title I of the CAA. this section. The 8-hour design value (u) Attainment Area means, unless for the area shall be calculated using otherwise indicated, an area designated the three most recent years of air qual- as either attainment, unclassifiable, or ity data. For each area classified under attainment/unclassifiable. this section, the primary NAAQS at- (v) Summer day emissions means an av- tainment date for the 8-hour NAAQS erage day’s emissions for a typical shall be as expeditious as practicable

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but not later than the date provided in the following Table 1.

TABLE 1—CLASSIFICATION FOR 8-HOUR OZONE NAAQS FOR AREAS SUBJECT TO § 51.902(a)

Maximum period for attainment dates in state 8-hour plans (years after effec- Area class design value tive date of nonattain- (ppm ozone) ment designation for 8- hour NAAQS)

Marginal ...... from ...... 0.085 3 up to 1 ...... 0.092 Moderate ...... from ...... 0.092 6 up to 1 ...... 0.107 Serious ...... from ...... 0.107 9 up to 1 ...... 0.120 Severe-15 ...... from ...... 0.120 15 up to 1 ...... 0.127 Severe-17 ...... from ...... 0.127 17 up to 1 ...... 0.187 Extreme ...... equal to ...... 0.187 20 or above ...... 1 but not including.

(b) A State may request a higher approves an attainment demonstration classification for any reason in accord- for the area. ance with section 181(b)(3) of the CAA. (c) A State may request a lower clas- § 51.905 How do areas transition from sification in accordance with section the 1-hour NAAQS to the 1997 8- hour NAAQS and what are the anti- 181(a)(4) of the CAA. backsliding provisions? § 51.904 How do the classification and (a) What requirements that applied in attainment date provisions in sec- an area for the 1-hour NAAQS continue tion 172(a) of subpart 1 of the CAA to apply after revocation of the 1-hour apply to areas subject to § 51.902(b)? NAAQS for that area?—(1) 8-Hour (a) Classification. The Administrator NAAQS Nonattainment/1-Hour NAAQS may classify an area subject to Nonattainment. The following require- § 51.902(b) as an overwhelming trans- ments apply to an area designated non- port area if: attainment for the 8-hour NAAQS and designated nonattainment for the 1- (1) The area meets the criteria as hour NAAQS at the time of designation specified for rural transport areas for the 8-hour NAAQS for that area. under section 182(h) of the CAA; (i) The area remains subject to the (2) Transport of ozone and/or precur- obligation to adopt and implement the sors into the area is so overwhelming applicable requirements as defined in that the contribution of local emis- § 51.900(f), except as provided in para- sions to observed 8-hour ozone con- graph (a)(1)(iii) of this section, and ex- centration above the level of the cept as provided in paragraph (b) of NAAQS is relatively minor; and this section. (3) The Administrator finds that (ii) If the area has not met its obliga- sources of VOC (and, where the Admin- tion to have a fully-approved attain- istrator determines relevant, NOX) ment demonstration SIP for the 1-hour emissions within the area do not make NAAQS, the State must comply with a significant contribution to the ozone one of the following: concentrations measured in other (A) Submit a 1-hour attainment dem- areas. onstration no later than 1 year after (b) Attainment dates. For an area sub- designation; ject to § 51.902(b), the Administrator (B) Submit a RFP plan for the 8-hour will approve an attainment date con- NAAQS no later than 1-year following sistent with the attainment date tim- designations for the 8-hour NAAQS ing provision of section 172(a)(2)(A) of providing a 5 percent increment of the CAA at the time the Administrator emissions reduction from the area’s

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2002 emissions baseline, which must be NAAQS nonattainment, the State may in addition to measures (or enforceable request that obligations under the ap- commitments to measures) in the SIP plicable requirements of § 51.900(f) be at the time of the effective date of des- shifted to contingency measures, con- ignation and in addition to national or sistent with sections 110(l) and 193 of regional measures and must be the CAA, after revocation of the 1-hour achieved no later than 2 years after the NAAQS; however, the State cannot re- required date for submission (3 years move the obligations from the SIP. For after designation). such areas, the State may request that (C) Submit an 8-hour ozone attain- the nonattainment NSR provisions be ment demonstration no later than 1 removed from the SIP on or after the year following designations that dem- date of revocation of the 1-hour onstrates attainment of the 8-hour NAAQS and need not be shifted to con- NAAQS by the area’s attainment date; tingency measures subject to para- provides for 8-hour RFP for the area graph (e)(4) of this section. out to the attainment date; and for the (ii) Attainment demonstration and ROP initial period of RFP for the area (be- plans. (A) To the extent an 8-hour tween 2003–2008), achieve the emission NAAQS attainment/1-hour NAAQS non- reductions by December 31, 2007. attainment area does not have an ap- (iii) If the area has an outstanding proved attainment demonstration or obligation for an approved 1-hour ROP ROP plan that was required for the 1- SIP, it must develop and submit to hour NAAQS under the CAA, the obli- EPA all outstanding 1-hour ROP plans; gation to submit such an attainment where a 1-hour obligation overlaps with demonstration or ROP plan an 8-hour RFP requirement, the (1) Is deferred for so long as the area State’s 8-hour RFP plan can be used to continues to maintain the 8-hour satisfy the 1-hour ROP obligation if the NAAQS; and 8-hour RFP plan has an emission tar- (2) No longer applies once the area get at least as stringent as the 1-hour has an approved maintenance plan pur- ROP emission target in each of the 1- suant to paragraph (a)(3)(iii) of this hour ROP target years for which the 1- section. hour ROP obligation exists. (B) For an 8-hour NAAQS attain- (2) 8–Hour NAAQS Nonattainment/1– ment/1-hour NAAQS nonattainment Hour NAAQS Maintenance. An area des- area that violates the 8-hour NAAQS, ignated nonattainment for the 8-hour prior to having an approved mainte- NAAQS that is a maintenance area for nance plan for the 8-hour NAAQS as the 1-hour NAAQS at the time of des- provided under paragraph (a)(3)(iii) of ignation for the 8-hour NAAQS for that this section, paragraphs (a)(3)(ii)(B)(1), area remains subject to the obligation (2), and (3) of this section shall apply. to implement the applicable require- (1) In lieu of any outstanding obliga- ments as defined in § 51.900 (f) to the ex- tion to submit an attainment dem- tent such obligations are required by onstration, within 1 year after the date the approved SIP, except as provided in on which EPA publishes a determina- paragraph (b) of this section. Applica- tion that a violation of the 8-hour ble measures in the SIP must continue NAAQS has occurred, the State must to be implemented; however, if these submit (or revise a submitted) mainte- measures were shifted to contingency nance plan for the 8-hour NAAQS, as measures prior to designation for the 8- provided under paragraph (a)(3)(iii) of hour NAAQS for the area, they may re- this section, to— main as contingency measures, unless (i) Address the violation by relying the measures are required to be imple- on modeling that meets EPA guidance mented by the CAA by virtue of the for purposes of demonstrating mainte- area’s requirements under the 8-hour nance of the NAAQS; or NAAQS. The State may not remove (ii) Submit a SIP providing for a 3 such measures from the SIP. percent increment of emissions reduc- (3) 8–Hour NAAQS Attainment/1–Hour tions from the area’s 2002 emissions NAAQS Nonattainment—(i) Obligations baseline; these reductions must be in in an approved SIP. For an area that is addition to measures (or enforceable 8-hour NAAQS attainment/1-hour commitments to measures) in the SIP

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at the time of the effective date of des- tion for the 8-hour NAAQS, the State ignation and in addition to national or shall submit no later than 3 years after regional measures. the area’s designation for the 8-hour (2) The plan required under para- NAAQS, a maintenance plan for the 8- graph (a)(3)(ii)(B)(1) of this section hour NAAQS in accordance with sec- must provide for the emission reduction 110(a)(1) of the CAA. The mainte- tions required within 3 years after the nance plan must provide for continued date on which EPA publishes a deter- maintenance of the 8-hour NAAQS for mination that a violation of the 8-hour 10 years following designation and NAAQS has occurred. must include contingency measures. (3) The State shall submit an ROP This provision does not apply to areas plan to achieve any outstanding ROP redesignated from nonattainment to reductions that were required for the attainment for the 8-hour NAAQS pur- area for the 1-hour NAAQS, and the 3- suant to section 107(d)(3); such areas year period or periods for achieving the are subject to the maintenance plan re- ROP reductions will begin January 1 of quirement in section 175A of the CAA. the year following the 3-year period on (b) Does attainment of the ozone which EPA bases its determination NAAQS affect the obligations under para- that a violation of the 8-hour NAAQS graph (a) of this section? A State re- occurred. mains subject to the obligations under (iii) Maintenance plans for the 8-hour paragraphs (a)(1)(i) and (a)(2) of this NAAQS. For areas initially designated section until the area attains the 8- attainment for the 8-hour NAAQS, and hour NAAQS. After the area attains designated nonattainment for the 1- the 8-hour NAAQS, the State may re- hour NAAQS at the time of designation quest such obligations be shifted to for the 8-hour NAAQS, the State shall contingency measures, consistent with submit no later than 3 years after the sections 110(l) and 193 of the CAA; how- area’s designation for the 8-hour ever, the State cannot remove the obli- NAAQS, a maintenance plan for the 8- gations from the SIP. Once an area at- hour NAAQS in accordance with sec- tains the 1-hour NAAQS, the section tion 110(a)(1) of the CAA. The mainte- 172 and 182 contingency measures under nance plan must provide for continued the 1-hour NAAQS can be shifted to maintenance of the 8-hour NAAQS for contingency measures for the 1997 8- 10 years following designation and hour ozone NAAQS and must remain in must include contingency measures. the SIP until the area is redesignated This provision does not apply to areas to attainment for the 1997 8-hour redesignated from nonattainment to NAAQS. attainment for the 8-hour NAAQS pur- (c) Which portions of an area des- suant to CAA section 107(d)(3); such ignated for the 8-hour NAAQS remain areas are subject to the maintenance subject to the obligations identified in plan requirement in section 175A of the paragraph (a) of this section? (1) Except CAA. as provided in paragraph (c)(2) of this (4) 8-Hour NAAQS Attainment/1–Hour section, only the portion of the des- NAAQS Maintenance—(i) Obligations in ignated area for the 8-hour NAAQS an approved SIP. For an 8-hour NAAQS that was required to adopt the applica- attainment/1-hour NAAQS mainte- ble requirements in § 51.900(f) for pur- nance area, the State may request that poses of the 1-hour NAAQS is subject obligations under the applicable re- to the obligations identified in para- quirements of § 51.900(f) be shifted to graph (a) of this section, including the contingency measures, consistent with requirement to submit a maintenance sections 110(l) and 193 of the CAA, after plan for purposes of paragraph revocation of the 1-hour NAAQS; how- (a)(3)(iii) of this section. 40 CFR part ever, the State cannot remove the obli- 81, subpart C identifies the boundaries gations from the SIP. of areas and the area designations and (ii) Maintenance Plans for the 8-hour classifications for the 1-hour NAAQS in NAAQS. For areas initially designated place as of the effective date of des- attainment for the 8-hour NAAQS and ignation for the 8-hour NAAQS. subject to the maintenance plan for the (2) For purposes of paragraph 1-hour NAAQS at the time of designa- (a)(1)(ii)(B) and (C) of this section, the

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requirement to achieve emission reduc- that require conformity determinations applies to the entire area des- tions in such areas for the 1-hour ignated nonattainment for the 8-hour NAAQS will no longer be enforceable ozone NAAQS. pursuant to section 176(c)(5) of the (d) [Reserved] CAA. (e) What obligations that applied for (f) What is the continued applicability the 1-hour NAAQS will no longer apply of the NOX SIP Call after revocation of after revocation of the 1-hour NAAQS for the 1-hour NAAQS? The NOX SIP Call an area?—(1) Maintenance plans. Upon shall continue to apply after revoca- revocation of the 1-hour NAAQS, an tion of the 1-hour NAAQS. Control ob- area with an approved 1-hour mainte- ligations approved into the SIP pursu- nance plan under section 175A of the ant to 40 CFR 51.121 and 51.122 may be CAA may modify the maintenance modified by the State only if the re- plan: To remove the obligation to sub- quirements of §§ 51.121 and 51.122, in- mit a maintenance plan for the 1-hour cluding the statewide NOX emission NAAQS 8 years after approval of the budgets, continue to be met and the initial 1-hour maintenance plan; and to State makes a showing consistent with remove the obligation to implement section 110(l) of the CAA. contingency measures upon a violation of the 1-hour NAAQS. However, such [69 FR 23996, Apr. 30, 2004, as amended at 70 FR 30604, May 26, 2005; 70 FR 44474, Aug. 3, requirements will remain enforceable 2005; 77 FR 28441, May 14, 2012] as part of the approved SIP until such time as EPA approves a SIP revision § 51.906 Redesignation to nonattain- removing such obligations. The EPA ment following initial designations shall not approve a SIP revision refor the 8-hour NAAQS. questing these modifications until the For any area that is initially des- State submits and EPA approves an at- ignated attainment or unclassifiable tainment demonstration for the 8-hour for the 8-hour NAAQS and that is sub- NAAQS for an area initially designated sequently redesignated to nonattain- nonattainment for the 8-hour ozone ment for the 8-hour ozone NAAQS, any NAAQS or a maintenance SIP for the 8- absolute, fixed date applicable in con- hour NAAQS for an area initially des- nection with the requirements of this ignated attainment for the 8-hour part is extended by a period of time NAAQS. Any revision to such SIP must equal to the length of time between the meet the requirements of section 110(l) effective date of the initial designation and 193 of the CAA. for the 8-hour NAAQS and the effective (2) Findings of failure to attain the 1- date of redesignation, except as other- hour NAAQS. (i) Upon revocation of the wise provided in this subpart. 1-hour NAAQS for an area, EPA is no longer obligated— [70 FR 71700, Nov. 29, 2005] (A) To determine pursuant to section 181(b)(2) or section 179(c) of the CAA § 51.907 For an area that fails to attain whether an area attained the 1-hour the 8-hour NAAQS by its attainment NAAQS by that area’s attainment date date, how does EPA interpret sec- for the 1-hour NAAQS; or tions 172(a)(2)(C)(ii) and 181(a)(5)(B) of the CAA? (B) To reclassify an area to a higher classification for the 1-hour NAAQS For purposes of applying sections based upon a determination that the 172(a)(2)(C) and 181(a)(5) of the CAA, an area failed to attain the 1-hour NAAQS area will meet the requirement of sec- by the area’s attainment date for the 1- tion 172(a)(2)(C)(ii) or 181(a)(5)(B) of the hour NAAQS. CAA pertaining to 1-year extensions of (ii)–(iii) [Reserved] the attainment date if: (3) Conformity determinations for the 1- (a) For the first 1-year extension, the hour NAAQS. Upon revocation of the 1- area’s 4th highest daily 8-hour average hour NAAQS for an area, conformity in the attainment year is 0.084 ppm or determinations pursuant to section less. 176(c) of the CAA are no longer re- (b) For the second 1-year extension, quired for the 1-hour NAAQS. At that the area’s 4th highest daily 8-hour time, any provisions of applicable SIPs value, averaged over both the original

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attainment year and the first exten- § 51.909 [Reserved] sion year, is 0.084 ppm or less. (c) For purposes of paragraphs (a) and § 51.910 What requirements for reason- (b) of this section, the area’s 4th high- able further progress (RFP) under est daily 8-hour average shall be from sections 172(c)(2) and 182 apply for areas designated nonattainment for the monitor with the highest 4th high- the 8-hour ozone NAAQS? est daily 8-hour average of all the monitors that represent that area. (a) What are the general requirements for RFP for an area classified under sub- § 51.908 What modeling and attain- part 2 pursuant to § 51.903? For an area ment demonstration requirements classified under subpart 2 pursuant to apply for purposes of the 8-hour § 51.903, the RFP requirements specified ozone NAAQS? in section 182 of the Act for that area’s (a) What is the attainment demonstra- classification shall apply. tion requirement for an area classified as (1) What is the content and timing of moderate or higher under subpart 2 pur- the RFP plan required under sections suant to § 51.903? An area classified as 182(b)(1) and 182(c)(2)(B) of the Act for an moderate or higher under § 51.903 shall area classified as moderate or higher pur- be subject to the attainment dem- suant to § 51.903 (subpart 2 coverage)? onstration requirement applicable for (i) Moderate or Above Area. (A) Except that classification under section 182 of as provided in paragraph (a)(1)(ii) of the Act, except such demonstration is this section, for each area classified as moderate or higher, the State shall due no later than 3 years after the submit a SIP revision consistent with area’s designation for the 8-hour section 182(b)(1) of the Act no later NAAQS. than 3 years after designation for the 8- (b) What is the attainment demonstra- hour NAAQS for the area. The 6-year tion requirement for an area subject only period referenced in section 182(b)(1) of to subpart 1 in accordance with the Act shall begin January 1 of the § 51.902(b)? An area subject to § 51.902(b) year following the year used for the shall be subject to the attainment dem- baseline emissions inventory. onstration under section 172(c)(1) of the (B) For each area classified as serious Act and shall submit an attainment or higher, the State shall submit a SIP demonstration no later than 3 years revision consistent with section after the area’s designation for the 8- 182(c)(2)(B) of the Act no later than 3 hour NAAQS. years after designation for the 8-hour (c) What criteria must the attainment NAAQS. The final increment of demonstration meet? An attainment progress must be achieved no later demonstration due pursuant to para- than the attainment date for the area. graph (a) or (b) of this section must (ii) Area with Approved 1-hour Ozone meet the requirements of § 51.112; the 15 Percent VOC ROP Plan. An area clas- adequacy of an attainment demonstra- sified as moderate or higher that has tion shall be demonstrated by means of the same boundaries as an area, or is a photochemical grid model or any entirely composed of several areas or other analytical method determined by portions of areas, for which EPA fully the Administrator, in the Administra- approved a 15 percent plan for the 1- tor’s discretion, to be at least as effec- hour NAAQS is considered to have met tive. section 182(b)(1) of the Act for the 8- (d) For each nonattainment area, the hour NAAQS and instead: State must provide for implementation (A) If classified as moderate, the area of all control measures needed for at- is subject to RFP under section tainment no later than the beginning 172(c)(2) of the Act and shall submit no of the attainment year ozone season. later than 3 years after designation for the 8-hour NAAQS a SIP revision that [69 FR 23996, Apr. 30, 2004, as amended at 70 meets the requirements of paragraph FR 71700, Nov. 29, 2005] (b)(2) of this section, consistent with the attainment date established in the attainment demonstration SIP.

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(B) If classified as serious or higher, year period referenced in section the area is subject to RFP under sec- 182(b)(1) of the Act shall begin January tion 182(c)(2)(B) of the Act and shall 1 of the year following the year used submit no later than 3 years after des- for the baseline emissions inventory. ignation for the 8-hour NAAQS an RFP Emissions reductions to meet this re- SIP providing for an average of 3 per- quirement may come from anywhere cent per year of VOC and/or NOX emis- within the 8-hour nonattainment area. sions reductions for (2) For the portion of the area with (1) the 6-year period beginning Janu- an approved 15 percent VOC plan for ary 1 of the year following the year the 1-hour NAAQS, the State shall sub- used for the baseline emissions inven- mit a SIP as required under paragraph tory; and (b)(2)of this section. (2) all remaining 3-year periods after (2) What restrictions apply on the cred- the first 6-year period out to the area’s itability of emission control measures for attainment date. the RFP plans required under this sec- (iii) Moderate and Above Area for tion? Except as specifically provided in Which Only a Portion Has an Approved section 182(b)(1)(C) and (D) and section 1-hour Ozone 15 Percent VOC ROP Plan. 182(c)(2)(B) of the Act, all SIP-approved An area classified as moderate or high- or federally promulgated emissions re- er that contains one or more areas, or ductions that occur after the baseline portions of areas, for which EPA fully emissions inventory year are cred- approved a 15 percent plan for the 1- itable for purposes of the RFP require- hour NAAQS as well as areas for which ments in this section, provided the re- EPA has not fully approved a 15 per- ductions meet the requirements for cent plan for the 1-hour NAAQS shall creditability, including the need to be meet the requirements of either para- enforceable, permanent, quantifiable graph (a)(1)(iii)(A) or (B) below. and surplus, as described for purposes (A) The State shall not distinguish of State economic incentive programs between the portion of the area that in the requirements of § 51.493 of this previously met the 15 percent VOC re- part. duction requirement and the portion of (b) How does the RFP requirement of the area that did not, and section 172(c)(2) of the Act apply to areas (1) The State shall submit a SIP revi- subject to that requirement? (1) An area sion consistent with section 182(b)(1) of subject to the RFP requirement of sub- the Act no later than 3 years after des- part 1 pursuant to § 51.902(b) or a mod- ignation for the 8-hour NAAQS for the erate area subject to subpart 2 as cov- entire area. The 6-year period ref- ered in paragraphs (a)(1)(ii)(A) of this erenced in section 182(b)(1) of the Act section shall meet the RFP require- shall begin January 1 of the year fol- ments of section 172(c)(2) of the Act as lowing the year used for the baseline provided in paragraph (b)(2) of this sec- emissions inventory. tion. (2) For each area classified as serious (2) The State shall submit no later or higher, the State shall submit a SIP than 3 years following designation for revision consistent with section the 8-hour NAAQS a SIP providing for 182(c)(2)(B) of the Act no later than 3 RFP consistent with the following: years after designation for the 8-hour (i) For each area with an attainment NAAQS. The final increment of demonstration requesting an attain- progress must be achieved no later ment date of 5 years or less after des- than the attainment date for the area. ignation for the 8-hour NAAQS, the at- (B) The State shall treat the area as tainment demonstration SIP shall re- two parts, each with a separate RFP quire that all emissions reductions target as follows: needed for attainment be implemented (1) For the portion of the area with- by the beginning of the attainment out an approved 15 percent VOC RFP year ozone season. plan for the 1-hour standard, the State (ii) For each area with an attainment shall submit a SIP revision consistent demonstration requesting an attain- with section 182(b)(1) of the Act no ment date more than 5 years after des- later than 3 years after designation for ignation for the 8-hour NAAQS, the at- the 8-hour NAAQS for the area. The 6- tainment demonstration SIP—

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(A) Shall provide for a 15 percent line year rather than 2002 to comply emission reduction from the baseline with the CAA’s RFP provisions. year within 6 years after the baseline [70 FR 71700, Nov. 29, 2005] year.

(B) May use either NOX or VOC emis- § 51.911 [Reserved] sions reductions (or both) to achieve the 15 percent emission reduction re- § 51.912 What requirements apply for quirement. Use of NO emissions reduc- reasonably available control tech- X nology (RACT) and reasonably tions must meet the criteria in section available control measures (RACM) 182(c)(2)(C) of the Act. under the 8-hour NAAQS? (C) For each subsequent 3-year period (a) What is the RACT requirement for out to the attainment date, the RFP areas subject to subpart 2 in accordance SIP must provide for an additional in- with § 51.903? (1) For each area subject crement of progress. The increment for to subpart 2 in accordance with § 51.903 each 3-year period must be a portion of of this part and classified moderate or the remaining emission reductions higher, the State shall submit a SIP re- needed for attainment beyond those revision that meets the NOX and VOC ductions achieved for the first incre- RACT requirements in sections ment of progress (e.g., beyond 2008 for 182(b)(2) and 182(f) of the Act. areas designated nonattainment in (2) The State shall submit the RACT June 2004). Specifically, the amount of SIP for each area no later than 27 reductions needed for attainment is di- months after designation for the 8-hour vided by the number of years needed ozone NAAQS, except that for a State for attainment after the first incre- subject to the requirements of the ment of progress in order to establish Clean Air Interstate Rule, the State an ‘‘annual increment.’’ For each 3- shall submit NOX RACT SIPs for elec- year period out to the attainment date, trical generating units (EGUs) no later the area must achieve roughly the por- than the date by which the area’s at- tion of reductions equivalent to three tainment demonstration is due (prior annual increments. to any reclassification under section (c) What method should a State use to 181(b)(3)) for the 8-hour ozone national calculate RFP targets? In calculating ambient air quality standard, or July RFP targets for the initial 6-year pe- 9, 2007, whichever comes later. riod and the subsequent 3-year periods (3) The State shall provide for imple- pursuant to this section, the State mentation of RACT as expeditiously as shall use the methods consistent with practicable but no later than the first the requirements of sections ozone season or portion thereof which 182(b)(1)(C) and (D) and 182(c)(2)(B) to occurs 30 months after the RACT SIP is due. properly account for non-creditable re- (b) How do the RACT provisions apply ductions. to a major stationary source? Volatile or- (d) What is the baseline emissions in- ganic compounds and NOX are to be ventory for RFP plans? For the RFP considered separately for purposes of plans required under this section, the determining whether a source is a baseline emissions inventory shall be major stationary source as defined in determined at the time of designation section 302 of the Act. of the area for the 8-hour NAAQS and (c) What is the RACT requirement for shall be the emissions inventory for areas subject only to subpart 1 pursuant the most recent calendar year for to § 51.902(b)? Areas subject only to sub- which a complete inventory is required part 1 pursuant to § 51.902(b) are subject to be submitted to EPA under the pro- to the RACT requirement specified in visions of subpart A of this part or a section 172(c)(1) of the Act. more recent alternative baseline emis- (1) For an area that submits an at- sions inventory provided the State tainment demonstration that requests demonstrates that the baseline inven- an attainment date 5 years or less after tory meets the CAA provisions for RFP designation for the 8-hour NAAQS, the and provides a rationale for why it is State shall meet the RACT require- appropriate to use the alternative base- ment by submitting an attainment

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demonstration SIP demonstrating that § 51.915 What emissions inventory re- the area has adopted all control meas- quirements apply under the 8-hour ures necessary to demonstrate attain- NAAQS? ment as expeditiously as practicable. For each nonattainment area subject (2) For an area that submits an at- to subpart 2 in accordance with § 51.903, tainment demonstration that requests the emissions inventory requirements an attainment date more than 5 years in sections 182(a)(1) and 182(a)(3) of the after designation for the 8-hour Act shall apply, and such SIP shall be NAAQS, the State shall submit a SIP due no later 2 years after designation. consistent with the requirements of For each nonattainment area subject § 51.912(a) and (b) except the State shall submit the RACT SIP for each area only to title I, part D, subpart 1 of the with its request pursuant to Clean Air Act in accordance with § 51.902(b), the Act section 172(a)(2)(A) to extend the emissions inventory requirement in attainment date. section 172(c)(3) of the Act shall apply, (d) What is the Reasonably Available and an emission inventory SIP shall be Control Measures (RACM) requirement due no later 3 years after designation. for areas designated nonattainment for The state must report to the EPA sum- the 8-hour NAAQS? For each nonattain- mer day emissions of NOX and VOC ment area required to submit an at- from all point sources, nonpoint tainment demonstration under § 51.908, sources, onroad mobile sources, and the State shall submit with the attain- nonroad mobile sources. The state ment demonstration a SIP revision shall report emissions as point sources demonstrating that it has adopted all according to the point source emissions RACM necessary to demonstrate at- thresholds of the Air Emissions Re- tainment as expeditiously as prac- porting Rule (AERR), 40 CFR part 51, ticable and to meet any RFP require- subpart A. The detail of the emissions ments. inventory shall be consistent with the data elements required by 40 CFR part [70 FR 71701, Nov. 29, 2005, as amended at 72 FR 31749, June 8, 2007] 51, subpart A. [80 FR 8799, Feb. 19, 2015] § 51.913 How do the section 182(f) NOX exemption provisions apply for the § 51.916 What are the requirements for 8-hour NAAQS? an Ozone Transport Region under (a) A person may petition the Admin- the 8-hour NAAQS? istrator for an exemption from NOX ob- (a) In General. Sections 176A and 184 ligations under section 182(f) for any of the Act apply for purposes of the 8- area designated nonattainment for the hour NAAQS. 8-hour ozone NAAQS and for any area (b) RACT Requirements for Certain in a section 184 ozone transport region. Portions of an Ozone Transport Region. (b) The petition must contain ade- (1) The State shall submit a SIP revi- quate documentation that the criteria sion that meets the RACT require- in section 182(f) are met. ments of section 184 of the Act for each (c) A section 182(f) NO exemption X area that is located in an ozone trans- granted for the 1-hour ozone standard port region and that is— does not relieve the area from any NOX obligations under section 182(f) for the (i) Designated as attainment or 8-hour ozone standard. unclassifiable for the 8-hour standard; (ii) Designated nonattainment and [70 FR 71701, Nov. 29, 2005] classified as marginal for the 8-hour standard; or § 51.914 What new source review re- (iii) Designated nonattainment and quirements apply for 8-hour ozone nonattainment areas? covered solely under subpart 1 of part D, title I of the CAA for the 8-hour The requirements for new source re- standard. view for the 8-hour ozone standard are (2) The State is required to submit located in § 51.165 of this part. the RACT revision no later than Sep- [70 FR 71702, Nov. 29, 2005] tember 16, 2006 and shall provide for

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implementation of RACT as expedi- Subpart Y—Mitigation tiously as practicable but no later than Requirements May 1, 2009. § 51.930 Mitigation of Exceptional [70 FR 71702, Nov. 29, 2005] Events. § 51.917 What is the effective date of (a) A State requesting to exclude air designation for the Las Vegas, NV, quality data due to exceptional events 8-hour ozone nonattainment area? must take appropriate and reasonable actions to protect public health from The Las Vegas, NV, 8-hour ozone non- exceedances or violations of the na- attainment area (designated on Sep- tional ambient air quality standards. tember 17, 2004 (69 FR 55956)) shall be At a minimum, the State must: treated as having an effective date of (1) Provide for prompt public notifi- designation of June 15, 2004, for pur- cation whenever air quality concentra- poses of calculating SIP submission tions exceed or are expected to exceed deadlines, attainment dates, or any an applicable ambient air quality other deadline under this subpart. standard; (2) Provide for public education con- [70 FR 71702, Nov. 29, 2005] cerning actions that individuals may § 51.918 Can any SIP planning require- take to reduce exposures to unhealthy ments be suspended in 8-hour levels of air quality during and fol- ozone nonattainment areas that lowing an exceptional event; and have air quality data that meets the (3) Provide for the implementation of NAAQS? appropriate measures to protect public health from exceedances or violations Upon a determination by EPA that of ambient air quality standards an area designated nonattainment for caused by exceptional events. the 8-hour ozone NAAQS has attained (b) Development of mitigation plans for the standard, the requirements for areas with historically documented or such area to submit attainment dem- known seasonal events—(1) Generally. All onstrations and associated reasonably States having areas with historically available control measures, reasonable documented or known seasonal events further progress plans, contingency shall be required to develop a mitiga- measures, and other planning SIPs re- tion plan with the components identi- lated to attainment of the 8-hour ozone fied in paragraph (b)(2) of this section NAAQS shall be suspended until such and submit such plan to the Adminis- time as: the area is redesignated to at- trator according to the requirements in tainment, at which time the require- paragraph (b)(3) of this section. ments no longer apply; or EPA deter- (i) For purposes of the requirements mines that the area has violated the 8- set forth in this section, historically hour ozone NAAQS. documented or known seasonal events shall include those events of the same [70 FR 71702, Nov. 29, 2005] type and pollutant that recur in a 3- year period and meet any of the fol- § 51.919 Applicability. lowing: As of April 6, 2015, the provisions of (A) Three events or event seasons for subpart AA shall replace the provisions which a State submits a demonstration of subpart X, §§ 51.900 to 51.918, which under the provisions of 40 CFR 50.14 in will cease to apply, with the exception a 3-year period; or of the attainment date extension provi- (B) Three events or event seasons sions of § 51.907 for the anti-backsliding that are the subject of an initial notifi- purposes of § 51.1105(d)(2). cation of a potential exceptional event as defined in 40 CFR 50.14(c)(2) in a 3- [80 FR 12312, Mar. 6, 2015] year period regardless of whether the State submits a demonstration under the provisions of 40 CFR 50.14. (ii) The Administrator will provide written notification to States that they are subject to the requirements in

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paragraph (b) of this section when the and evaluation process that it intends Administrator becomes aware of appli- to follow for reviews following the ini- cability. tial review identified in paragraph (2) Plan components. At a minimum, (b)(2)(iii)(A) of this section. each mitigation plan developed under (3) Submission of mitigation plans. All this paragraph shall contain provisions States subject to the provisions of for the following: paragraph (b) of this section shall, (i) Public notification to and edu- after notice and opportunity for public cation programs for affected or poten- comment identified in paragraph tially affected communities. Such noti- (b)(2)(iii)(A) of this section, submit a fication and education programs shall mitigation plan to the Administrator apply whenever air quality concentra- for review and verification of the plan tions exceed or are expected to exceed components identified in paragraph a national ambient air quality stand- (b)(2) of this section. ard with an averaging time that is less (i) States shall submit their mitiga- than or equal to 24-hours. tion plans within 2 years of being noti- (ii) Steps to identify, study and im- fied that they are subject to the provi- plement mitigating measures, includ- sions of paragraph (b) of this section. ing approaches to address each of the (ii) The Administrator shall review following: each mitigation plan developed accord- (A) Measures to abate or minimize ing to the requirements in paragraph contributing controllable sources of (b)(2) of this section and shall notify identified pollutants. the submitting State upon completion (B) Methods to minimize public expo- of such review. sure to high concentrations of identi- [81 FR 68282, Oct. 3, 2016] fied pollutants. (C) Processes to collect and maintain data pertinent to the event. Subpart Z—Provisions for Imple- (D) Mechanisms to consult with mentation of PM2.5 National other air quality managers in the af- Ambient Air Quality Stand- fected area regarding the appropriate ards responses to abate and minimize impacts. SOURCE: 81 FR 58151, Aug. 24, 2016, unless (iii) Provisions for periodic review otherwise noted. and evaluation of the mitigation plan and its implementation and effective- § 51.1000 Definitions. ness by the State and all interested The following definitions apply for stakeholders. purposes of this subpart. Any term not (A) With the submission of the initial defined herein shall have the meaning mitigation plan according to the re- as defined in 40 CFR 51.100 or Clean Air quirements in paragraph (b)(3) of this Act section 302. section that contains the elements in Act means the Clean Air Act as codi- paragraph (b)(2) of this section, the fied at 42 U.S.C. 7401–7671q (2003). State must: Additional feasible measure is any con- (1) Document that a draft version of trol measure that otherwise meets the the mitigation plan was available for definition of ‘‘best available control public comment for a minimum of 30 measure’’ (BACM) but can only be im- days; plemented in whole or in part begin- (2) Submit the public comments it re- ning 4 years after the date of reclassi- ceived along with its mitigation plan fication of an area as Serious and no to the Administrator; and later than the statutory attainment (3) In its submission to the Adminis- date for the area. trator, for each public comment re- Additional reasonable measure is any ceived, explain the changes made to control measure that otherwise meets the mitigation plan or explain why the the definition of ‘‘reasonably available State did not make any changes to the control measure’’ (RACM) but can only mitigation plan. be implemented in whole or in part (B) The State shall specify in its during the period beginning 4 years mitigation plan the periodic review after the effective date of designation

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of a nonattainment area and no later nent and enforceable emissions reduc- than the end of the sixth calendar year tions in direct PM2.5 emissions and/or following the effective date of designa- emissions of PM2.5 plan precursors from tion of the area. sources in the area than can be Applicable annual standard is the an- achieved through the implementation nual PM2.5 NAAQS established, revised, of RACM on the same source(s). BACM or retained as a result of a particular includes best available control tech- PM2.5 NAAQS review. nology (BACT). Applicable attainment date means the Date of designation means the effec- latest statutory date by which an area tive date of a PM2.5 area designation as is required to attain a particular PM2.5 promulgated by the Administrator. NAAQS, unless the EPA has approved Date of reclassification means the ef- an attainment plan for the area to at- fective date of a PM2.5 area reclassifica- tain such NAAQS, in which case the tion from Moderate to Serious as pro- applicable attainment date is the date mulgated by the Administrator. approved under such attainment plan. Direct PM2.5 emissions means solid or If the EPA grants an extension of an liquid particles emitted directly from approved attainment date, then the ap- an air emissions source or activity, or plicable attainment date for the area reaction products of gases emitted di- shall be the extended date. rectly from an air emissions source or Applicable 24-hour standard is the 24- activity which form particulate matter hour PM NAAQS established, revised, 2.5 as they reach ambient temperatures. or retained as a result of a particular Direct PM emissions include filter- PM NAAQS review. 2.5 2.5 able and condensable PM emissions Attainment projected inventory for the 2.5 composed of elemental carbon, directly nonattainment area means the projected emitted organic carbon, directly emit- emissions of direct PM and all PM 2.5 2.5 ted sulfate, directly emitted nitrate, precursors on the projected attainment and other organic or inorganic par- date for the area. This projected inven- ticles that exist or form through reac- tory includes sources included in the base year inventory for the nonattain- tions as emissions reach ambient tem- ment area revised to account for peratures (including but not limited to crustal material, metals, and sea salt). changes in direct PM2.5 and all PM2.5 precursors through implementation of Implemented means adopted by the the plan and any additional sources of state, fully approved into the SIP by such emissions expected within the the EPA, and requiring expeditious boundaries of the nonattainment area compliance by affected sources with in- by the projected attainment date for stallation and/or operation of any the area. equipment, control device, process Average-season-day emissions means change, or other emission reduction ac- the sum of all emissions during the ap- tivity. plicable season divided by the number Major stationary source means any sta- of days in that season. tionary source of air pollutant(s) that Base year inventory for the nonattain- emits, or has the potential to emit 100 ment area means the actual emissions tons per year or more of direct PM2.5 or of direct PM2.5 and all PM2.5 precursors any PM2.5 precursor in any Moderate from all sources within the boundaries nonattainment area for the PM2.5 of a nonattainment area in one of the NAAQS, or 70 tons per year or more of 3 years used for purposes of designa- direct PM2.5 or any PM2.5 precursor in tions or another technically appro- any Serious nonattainment area for priate year. the PM2.5 NAAQS. Best available control measure (BACM) Mobile source means mobile sources is any technologically and economi- as defined by 40 CFR 51.50. cally feasible control measure that can Most stringent measure (MSM) is any be implemented in whole or in part permanent and enforceable control within 4 years after the date of reclas- measure that achieves the most strin- sification of a Moderate PM2.5 non- gent emissions reductions in direct attainment area to Serious and that PM2.5 emissions and/or emissions of generally can achieve greater perma- PM2.5 plan precursors from among 403

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those control measures which are ei- RACM includes reasonably available ther included in the SIP for any other control technology (RACT). NAAQS, or have been achieved in prac- RFP projected emissions means the es- tice in any state, and that can feasibly timated emissions for direct PM2.5 and be implemented in the relevant PM2.5 PM2.5 plan precursors by source cat- NAAQS nonattainment area. egory or subcategory for the years in Nonpoint source means nonpoint which quantitative milestones are due sources as defined by 40 CFR 51.50. for a nonattainment area. PM2.5 design value (DV) for a PM2.5 Subpart 1 means subpart 1 of part D nonattainment area is the highest of of title I of the Act. the 3-year average concentrations cal- Subpart 4 means subpart 4 of part D culated for the ambient air quality of title I of the Act. monitors in the area, in accordance with 40 CFR part 50, appendix N. § 51.1001 Applicability of part 51. PM NAAQS are the fine particulate 2.5 The provisions in subparts A through matter National Ambient Air Quality X of this part apply to areas for pur- Standards codified at 40 CFR part 50. poses of the PM NAAQS to the extent PM plan precursors are those PM 2.5 2.5 2.5 they are not inconsistent with the pro- precursors required to be regulated in visions of this subpart. the applicable attainment plan and/or NNSR program. § 51.1002 Classifications and reclassi- PM2.5 precursors are Sulfur dioxide fications. (SO2), Oxides of nitrogen (NOX), Vola- tile organic compounds (VOC), and Am- (a) Initial classification as Moderate PM2.5 nonattainment area. Any area des- monia (NH3). Point source means point sources as ignated nonattainment for a PM2.5 defined by 40 CFR 51.50. NAAQS shall be classified at the time Precursor demonstration means an op- of such designation, by operation of tional set of analyses provided by a law, as a Moderate PM2.5 nonattain- state that are designed to show that ment area. (b) Reclassification as Serious PM emissions of a particular PM2.5 pre- 2.5 cursor do not contribute significantly nonattainment area. A Moderate nonattainment area shall be reclassified to to PM2.5 levels that exceed the relevant Serious under the following cir- PM2.5 standard in a particular nonattainment area. The three types of cumstances: precursor demonstrations provided in (1) The EPA shall reclassify as Seri- this rule are the comprehensive pre- ous through notice-and-comment rule- cursor demonstration, the major sta- making any Moderate PM2.5 nonattain- tionary source precursor demonstra- ment area that the EPA determines tion, and the NNSR precursor dem- cannot practicably attain a particular onstration. PM2.5 NAAQS by the applicable Mod- Reasonable further progress (RFP) erate area attainment date. means such annual incremental reduc- (2) A Moderate PM2.5 nonattainment tions in emissions of direct PM2.5 and area shall be reclassified by operation PM2.5 plan precursors as are required of law as a Serious nonattainment area for the purpose of ensuring attainment if the EPA finds through notice-and- of the applicable PM2.5 NAAQS in a comment rulemaking that the area nonattainment area by the applicable failed to attain a particular PM2.5 attainment date. NAAQS by the applicable Moderate Reasonably available control measure area attainment date. (RACM) is any technologically and economically feasible measure that can be § 51.1003 Attainment plan due dates implemented in whole or in part within and submission requirements. 4 years after the effective date of des- (a) Nonattainment areas initially classi- ignation of a PM2.5 nonattainment area fied as Moderate. (1) For any area des- and that achieves permanent and en- ignated as nonattainment and initially forceable reductions in direct PM2.5 classified as Moderate for a PM2.5 emissions and/or PM2.5 plan precursor NAAQS, the state(s) shall submit a emissions from sources in the area. Moderate area attainment plan that

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meets all of the following require- (2) The state(s) shall submit its Seri- ments: ous area attainment plan to the EPA (i) Base year emissions inventory re- according to the following schedule: quirements set forth at § 51.1008(a)(1); (i) Discretionary reclassification. (A) (ii) Attainment projected emissions For any nonattainment area reclassi- inventory requirements set forth at fied to Serious for a particular PM2.5 § 51.1008(a)(2); NAAQS under § 51.1002(b)(1) because the (iii) Moderate area attainment plan EPA determined it cannot practicably control strategy requirements set forth attain the NAAQS by the applicable at § 51.1009; Moderate area attainment date, the (iv) Attainment demonstration and state(s) shall submit to the EPA no modeling requirements set forth at later than 18 months from the effective § 51.1011; date of reclassification the portion of (v) Reasonable Further Progress the Serious area attainment plan that (RFP) requirements set forth at meets the following requirements: § 51.1012; (1) Base year emissions inventory re- (vi) Quantitative milestone require- quirements set forth at § 51.1008(b)(1); ments set forth at § 51.1013; (2) Serious area attainment plan con- (vii) Contingency measure require- trol strategy requirements set forth at ments set forth at § 51.1014; and, § 51.1010(a)(1) through (4); and, (viii) Nonattainment new source re- (3) Nonattainment new source review view plan requirements pursuant to plan requirements pursuant to § 51.165. § 51.165. (B) The state(s) shall submit to the EPA the portion of the Serious area at- (2) The state(s) shall submit its Mod- tainment plan that meets the require- erate area attainment plan to the EPA ments set forth at paragraphs (b)(1)(ii), no later than 18 months from the effec- and (b)(1)(iv) through (vii) of this sec- tive date of designation of the area. tion to the EPA by a date that is no (b) Nonattainment areas reclassified to later than 4 years after the effective Serious. (1) For any nonattainment area date of reclassification, or 2 years prior reclassified to Serious for a PM2.5 to the attainment date, whichever is NAAQS under § 51.1002(b), in addition to earlier. meeting the Moderate area attainment (ii) Mandatory reclassification. For plan submission requirements set forth any nonattainment area reclassified to at § 51.1003(a), the state(s) shall submit Serious for a particular PM2.5 NAAQS a Serious area attainment plan that under § 51.1002(b)(2) because the EPA meets all of the following require- determined it failed to attain the ments: NAAQS by the applicable Moderate (i) Base year emissions inventory re- area attainment date, the state(s) shall quirements set forth at § 51.1008(b)(1); submit to the EPA a Serious area at- (ii) Attainment projected emissions tainment plan meeting the require- inventory requirements set forth at ments set forth at paragraphs (b)(1)(i) § 51.1008(b)(2); through (viii) of this section within 18 (iii) Serious area attainment plan months from the effective date of re- control strategy requirements set forth classification, or 2 years before the at- at § 51.1010; tainment date, whichever is earlier. (iv) Attainment demonstration and (iii) If the state(s) submits to the modeling requirements set forth at EPA a request for a Serious area at- § 51.1011; tainment date extension simultaneous (v) Reasonable Further Progress with the Serious area attainment plan (RFP) requirements set forth at due under paragraph (b)(1) of this sec- § 51.1012; tion, such a plan shall meet the most (vi) Quantitative milestone require- stringent measure (MSM) requirements ments set forth at § 51.1013; set forth at § 51.1010(b) in addition to (vii) Contingency measure require- the BACM and BACT and additional ments set forth at § 51.1014; and, feasible measure requirements set (viii) Nonattainment new source re- forth at § 51.1010(a). view plan requirements pursuant to (c) Serious nonattainment areas subject § 51.165. to CAA section 189(d) for failing to attain

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the PM2.5 NAAQS by the applicable Seri- the projected attainment date for each ous area attainment date. (1) For any Se- such nonattainment area (or portion of rious nonattainment area that fails to a nonattainment area) as part of the attain the PM2.5 NAAQS by the applica- demonstration of attainment developed ble Serious area attainment date, the and submitted according to the re- state(s) shall submit a revised Serious quirements set forth at § 51.1011 and ac- area attainment plan that dem- cording to the following: onstrates that each year the area will (1) Nonattainment areas initially achieve at least a 5 percent reduction classified as Moderate. in emissions of direct PM2.5 or a 5 per- (i) Except for nonattainment areas cent reduction in emissions of a PM2.5 that meet the criterion under para- plan precursor based on the most re- graph (a)(1)(ii) of this section, the pro- cent emissions inventory for the area. jected attainment date for a Moderate The revised attainment plan shall meet PM2.5 nonattainment area shall be as the following requirements: expeditious as practicable through the (i) Emissions inventory requirements implementation of all control meas- set forth at § 51.1008(c)(1); ures required under § 51.1009. The at- (ii) Emissions inventory require- tainment date may be as late as the ments set forth at § 51.1008(c)(2); end of the sixth calendar year after the (iii) Serious area attainment plan effective date of designation if the control strategy requirements set forth state demonstrates that the implemen- at § 51.1010; tation of the control measures that (iv) Attainment demonstration and qualify as RACM, RACT, and addi- modeling requirements set forth at tional reasonable measures, but that § 51.1011; are not necessary for demonstrating (v) Reasonable Further Progress attainment by the end of the sixth cal- (RFP) requirements set forth at endar year after the effective date of § 51.1012; designation, will not collectively ad- (vi) Quantitative milestone require- vance the attainment date by at least ments set forth at § 51.1013; (vii) Contingency measure require- 1 year. ments set forth at § 51.1014; and (ii) The projected attainment date (viii) Nonattainment new source refor a Moderate PM2.5 nonattainment view plan requirements pursuant to area which the state demonstrates can- § 51.165. not practicably attain the applicable (2) The state(s) shall submit to the PM2.5 NAAQS by the end of the sixth EPA the revised attainment plan meet- calendar year after the effective date ing the requirements set forth at para- of designation of the area with the im- graphs (c)(1)(i) through (vii) of this sec- plementation of all control measures tion no later than 12 months from the required under § 51.1009 shall be the end applicable Serious area attainment of the sixth calendar year after the ef- date that was previously missed. fective date of designation unless and (d) Any attainment plan submitted until the area is reclassified as Serious to the EPA under this section shall es- according to § 51.1002. tablish motor vehicle emissions budg- (2) Nonattainment areas reclassified to ets for the projected attainment year Serious. (i) Except for nonattainment for the area, if applicable. The state areas that meet the criterion under shall develop such budgets according to paragraph (a)(2)(ii) of this section, the the requirements of the transportation projected attainment date for a Serious conformity rule as they apply to PM2.5 PM2.5 nonattainment area shall be as nonattainment areas (40 CFR part 93). expeditious as practicable with the implementation of all control measures § 51.1004 Attainment dates. required under § 51.1010 but no later (a) The state shall submit a projected than the end of the tenth calendar year attainment date as part of its attain- after the effective date of designation. ment plan submission under § 51.1003 (ii) A state that submits an attain- for any PM2.5 NAAQS nonattainment ment plan that demonstrates that a area located in whole or in part within Serious PM2.5 nonattainment area can- its boundaries. The state shall justify not practicably attain the PM2.5 406

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NAAQS by the end of the tenth cal- § 51.1005 Attainment date extensions. endar year following the effective date (a) Nonattainment areas initially classi- of designation of the area with the im- fied as Moderate. (1) A state with a Mod- plementation of all control measures erate PM2.5 nonattainment area may required under § 51.1010(a) must request apply for a 1-year attainment date ex- an extension of the Serious area at- tension for the area if the following tainment date consistent with conditions are met in the calendar year § 51.1005(b). The request must propose a that includes the applicable attain- projected attainment date for the non- ment date for the area: attainment area that is as expeditious (i) The state has complied with all re- as practicable, but no later than the quirements and commitments per- end of the fifteenth calendar year fol- taining to the area in the applicable lowing the effective date of designation implementation plan; of the area. (ii) For an area designated nonattain- (3) Serious nonattainment areas sub- ment for a particular 24-hour PM2.5 ject to CAA section 189(d) for failing to NAAQS for which the state seeks an attain by the applicable Serious area attainment date extension, the 98th attainment date. The projected attain- percentile 24-hour concentration at ment date for a Serious PM2.5 non- each monitor in the area for the cal- attainment area that failed to attain endar year that includes the applicable attainment date is less than or equal the PM2.5 NAAQS by the applicable Se- rious area attainment date shall be as to the level of the applicable 24-hour expeditious as practicable, but no later standard (calculated according to the than 5 years following the effective data analysis requirements in 40 CFR date of the EPA’s finding that the area part 50, appendix N); failed to attain by the original Serious (iii) For an area designated nonattainment for a particular annual area attainment date, except that the PM NAAQS for which the state seeks Administrator may extend the attain- 2.5 an attainment date extension, the an- ment date to the extent the Adminis- nual average concentration at each trator deems appropriate, for a period monitor in the area for the calendar no greater than 10 years from the effec- year that includes the applicable at- tive date of the EPA’s determination tainment date is less than or equal to that the area failed to attain, consid- the level of the applicable annual ering the severity of nonattainment standard (calculated according to the and the availability and feasibility of data analysis requirements in 40 CFR pollution control measures. part 50, appendix N). (b) Except for attainment plans that (2) The applicable implementation meet the conditions of paragraphs plan for a Moderate PM2.5 nonattain- (a)(1)(ii) or (a)(3) of this section, the ment area for which a state seeks an Administrator shall approve an attain- attainment date extension is the plan ment date at the same time and in the submitted to the EPA to meet the re- same manner in which the Adminis- quirements of § 51.1003(a). trator approves the attainment plan (3) A Moderate area 1-year attain- for the area. ment date extension runs from Janu- (1) In accordance with paragraph ary 1 to December 31 of the year fol- (a)(1)(ii) of this section, if a state dem- lowing the year that includes the applicable attainment date. onstrates that a Moderate PM2.5 nonattainment area cannot practicably at- (4) A state with a Moderate area that received an initial 1-year attainment tain the PM2.5 NAAQS by the end of the sixth calendar year following the effec- date extension may apply for a second tive date of designation of the area, the 1-year attainment date extension for the area if the state meets the condi- EPA shall proceed under the provisions tions described in paragraph (a)(1) of of § 51.1002(b)(1) to reclassify the area to this section for the first 1-year exten- Serious through notice-and-comment sion year. rulemaking. (b) Nonattainment areas reclassified as (2) [Reserved] Serious. (1) A state may apply for one

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attainment date extension not to ex- to the EPA to meet the requirements ceed 5 years for a Serious nonattain- set forth at § 51.1003(a). ment area if the following conditions (4) The applicable implementation are met: plan for a Serious PM2.5 nonattainment (i) The state demonstrates that at- area for which a state seeks an attain- tainment of the applicable PM2.5 ment date extension under NAAQS by the approved attainment § 51.1004(a)(2)(i) is the plan submitted to date for the area would be impracti- the EPA to meet the requirements set cable or, in the absence of an approved forth at § 51.1003(b)(1). attainment date, attainment of the ap- (5) A state applying for an attain- plicable PM2.5 NAAQS by the applicable ment date extension for a Serious non- statutory attainment date for the area attainment area under § 51.1004(a)(2)(ii) would be impracticable; shall submit to the EPA a request for (ii) The state has complied with all an extension at the same time as it requirements and commitments per- submits the Serious area attainment taining to the area in the applicable plan due under § 51.1003(b)(1). implementation plan; and, (6) A state applying for an attain- (iii) The state demonstrates that the ment date extension for a Serious nonattainment plan for the area includes attainment area subsequent to submit- the most stringent measures (MSM) ting an initial Serious area attainment that are included in the attainment plan that demonstrated attainment of plan of any state or are achieved in the NAAQS by the applicable attain- practice in any state, and can feasibly ment date consistent with be implemented in the area consistent § 51.1004(a)(2)(i) at the time of submis- with § 51.1010(b). sion may apply for such an extension (2) At the time of application for an no later than 60 calendar days prior to attainment date extension, the state the approved attainment date for the shall submit to the EPA a Serious area area or, in the absence of an approved attainment plan that meets the fol- attainment date, no later than 60 cal- lowing requirements: endar days prior to the applicable stat- (i) Base year and attainment pro- utory attainment date for the area. jected emissions inventory require- (c) Serious nonattainment areas subject ments set forth at § 51.1008(b); to CAA section 189(d) for failing to attain (ii) Most stringent measures (MSM) by the applicable Serious area attainment requirement described under paragraph date. If a Serious area fails to attain a (b)(1)(iii) of this section and § 51.1010(b), particular PM2.5 NAAQS by the appli- and best available control measures cable Serious area attainment date, not previously submitted; the area is then subject to the require- (iii) Attainment demonstration and ments of section 189(d) of the Act, and, modeling requirements set forth at for this reason, the state is prohibited § 51.1011 that justify the state’s conclu- from requesting an extension of the ap- sion under paragraph (b)(1)(i) of this plicable Serious area attainment date section, and that demonstrate attain- for such area. ment as expeditiously as practicable; (d) For any attainment date exten- (iv) Reasonable Further Progress sion request submitted pursuant to (RFP) requirements set forth at this section, the requesting state (or § 51.1012; states) shall submit a written request (v) Quantitative milestone require- and evidence of compliance with these ments set forth at § 51.1013; regulations which includes both of the (vi) Contingency measure require- following: ments set forth at § 51.1014; and, (1) Evidence that all control meas- (vii) Nonattainment new source re- ures submitted in the applicable at- view plan requirements pursuant to tainment plan have been implemented, § 51.165. and (3) The applicable implementation (2) Evidence that the area has made plan for a Serious PM2.5 nonattainment emission reduction progress that rep- area for which a state seeks an attain- resents reasonable further progress to- ment date extension under ward timely attainment of the applica- § 51.1004(a)(2)(ii) is the plan submitted ble PM2.5 NAAQS. 408

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(e) For a PM2.5 nonattainment area (iii) If a comprehensive precursor located in two or more states or juris- demonstration is approved by the EPA, dictions, all states and/or jurisdictions the state will not be required to con- in which such area is located shall sub- trol emissions of the relevant precursor mit separate attainment date exten- from existing sources in the current at- sion requests for the area consistent tainment plan. with the requirements set forth at (2) A major stationary source pre- paragraph (d) of this section. cursor demonstration must show that emissions of a particular precursor § 51.1006 Optional PM2.5 precursor from all existing major stationary demonstrations sources located in the nonattainment (a) A state may elect to submit to area do not contribute significantly to the EPA one or more precursor dem- PM2.5 levels that exceed the standard in onstrations for a specific nonattain- the area. If the state chooses to con- ment area. The analyses conducted in duct a major stationary source pre- support of any precursor demonstra- cursor demonstration, the state must tion must be based on precursor emis- conduct the analysis in paragraph sions attributed to sources and activi- (a)(2)(i) of this section and it may con- ties in the nonattainment area. duct the analysis in paragraph (a)(2)(ii) (1) A comprehensive precursor dem- of this section. onstration must show that emissions of (i) Concentration-based contribution a particular precursor from all existing analysis. The major stationary source stationary, area, and mobile sources lo- precursor demonstration must evaluate cated in the nonattainment area do not the contribution of major source emis- contribute significantly to PM2.5 levels sions of a particular precursor to PM2.5 that exceed the standard in the area. If levels in the area. If the contribution the state chooses to conduct a com- of the precursor to PM levels in the prehensive precursor demonstration, 2.5 area is not significant, based on the the state must conduct the analysis in facts and circumstances of the area, paragraph (a)(1)(i) of this section and it then the EPA may approve the dem- may conduct the analysis in paragraph onstration. (a)(1)(ii) of this section. (i) Concentration-based contribution (ii) Sensitivity-based contribution anal- analysis. The comprehensive precursor ysis. If the concentration-based con- demonstration must evaluate the contribution analysis does not support a tribution of a particular precursor to finding of insignificant contribution, PM levels in the area. If the con- based on the facts and circumstances of 2.5 the area, then the state may choose to tribution of the precursor to PM2.5 levels in the area is not significant, based submit an analysis evaluating the sen- on the facts and circumstances of the sitivity of PM2.5 levels in the area to a area, then the EPA may approve the decrease in emissions of the precursor demonstration. in order to determine whether the re- (ii) Sensitivity-based contribution anal- sulting air quality changes are signifi- ysis. If the concentration-based con- cant. If the estimated air quality tribution analysis does not support a changes determined in the sensitivity finding of insignificant contribution, analysis are not significant, based on based on the facts and circumstances of the facts and circumstances of the the area, then the state may choose to area, then the EPA may approve the submit an analysis evaluating the sen- demonstration. sitivity of PM2.5 levels in the area to a (iii) If a major stationary source pre- decrease in emissions of the precursor cursor demonstration is approved by in order to determine whether the re- the EPA, the state will not be required sulting air quality changes are signifi- to control emissions of the relevant cant. If the estimated air quality precursor from existing major sta- changes determined in the sensitivity tionary sources in the current attain- analysis are not significant, based on ment plan. the facts and circumstances of the (3)(i) A NNSR precursor demonstra- area, then the EPA may approve the tion must evaluate the sensitivity of demonstration. PM2.5 levels in the nonattainment area 409

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to an increase in emissions of a par- season-day emissions, or both, as ap- ticular precursor in order to determine propriate for the relevant PM2.5 whether the resulting air quality NAAQS. The state shall include as part changes are significant. If the esti- of the plan a rationale for providing mated air quality changes determined annual or seasonal emissions, and the in the sensitivity analysis are not sig- justification for the period used for any nificant, based on the facts and cir- seasonal emissions calculations. cumstances of the area, the state may (iv) The inventory shall include di- use that information to identify new rect PM emissions, separately re- major stationary sources and major 2.5 ported PM2.5 filterable and condensable modifications of a precursor that will emissions, and emissions of the sci- not be considered to contribute signifi- entific PM precursors, including pre- cantly to PM levels that exceed the 2.5 2.5 cursors that are not PM plan precur- standard in the nonattainment area. 2.5 sors pursuant to a precursor dem- (ii) If a NNSR precursor demonstra- onstration under § 51.1006. tion for a particular PM2.5 nonattainment area is approved, the state may (v) The state shall report emissions exempt such new major stationary as point sources according to the point sources or major modifications of the source emissions thresholds of the Air particular precursor from the require- Emissions Reporting Requirements (AERR), 40 CFR part 51, subpart A. ments for PM2.5 in § 51.165. (b) If an area with one or more pre- (vi) The detail of the emissions in- cursor demonstrations approved by the ventory shall be consistent with the EPA is required to submit another detail and data elements required by 40 PM2.5 attainment plan in accordance CFR part 51, subpart A. with § 51.1003 of this part, the current (2) An attainment projected inven- precursor demonstration(s) will not tory for the nonattainment area that apply to the new plan. The state must meets the following minimum criteria: submit the appropriate updated pre- (i) The year of the projected inven- cursor demonstration(s) if it seeks to tory shall be the most expeditious year exempt sources of a particular pre- for which projected emissions show cursor from control requirements in modeled PM2.5 concentrations below the new Serious area attainment dem- the level of the NAAQS. onstration or in the NNSR program for (ii) The emissions values shall be pro- the Serious area. jected emissions of the same sources included in the base year inventory for § 51.1007 [Reserved] the nonattainment area (i.e., those § 51.1008 Emissions inventory require- only within the nonattainment area) ments. and any new sources. The state shall include in this inventory projected (a) For any nonattainment area initially classified as Moderate, the state emissions growth and contraction from shall submit to the EPA all of the fol- both controls and other causes during lowing: the relevant period. (1) A base year inventory for the non- (iii) The temporal period of emissions attainment area for all emissions shall be the same temporal period (an- sources that meets the following min- nual, average-season-day, or both) as imum criteria: the base year inventory for the non- (i) The inventory year shall be one of attainment area. the 3 years for which monitored data (iv) Consistent with the base year in- were used for designations or another ventory for the nonattainment area, technically appropriate inventory year the inventory shall include direct PM2.5 if justified by the state in the plan sub- emissions, separately reported PM2.5 mission. filterable and condensable emissions, (ii) The inventory shall include ac- and emissions of the scientific PM2.5 tual emissions of all sources within the precursors, including precursors that nonattainment area. are not PM2.5 plan precursors pursuant (iii) The emissions values shall be ei- to a precursor demonstration under ther annual total emissions, average- § 51.1006 of this part.

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(v) The same sources reported as (1) For purposes of meeting the emis- point sources in the base year inven- sions inventory requirements of CAA tory for the nonattainment area shall section 172(c)(3), a base year inventory be included as point sources in the at- for the nonattainment area for all tainment projected inventory for the emissions sources that meets the re- nonattainment area. Stationary quirements listed under paragraphs nonpoint and mobile source projected (a)(1) (ii) through (a)(1)(vi) of this sec- emissions shall be provided using the tion. In addition, the inventory shall same detail (e.g., state, county, and use the Serious area definition of a process codes) as the base year inven- major source listed under tory for the nonattainment area. § 51.165(a)(1)(iv)(A)(vii) and (viii) and (vi) The same detail of the emissions consistent with Table 1 of Appendix A included shall be consistent with the to subpart A of this part in deter- level of detail and data elements as in mining sources to include as point the base year inventory for the non- sources. The inventory year shall be attainment area (i.e., as required by 40 one of the 3 years for which monitored CFR part 41, subpart A). data were used to determine that the (b) For any nonattainment area re- area failed to attain the PM2.5 NAAQS classified as Serious, the state shall by the applicable Serious area attain- submit to the EPA all of the following: ment date, or another technically ap- (1) For purposes of meeting the emis- propriate inventory year if justified by sions inventory requirements of CAA the state in the plan submission. section 172(c)(3), a base year inventory (2) An attainment projected inven- for the nonattainment area for all tory for the nonattainment area as de- emissions sources that meets the refined by § 51.1000(e) and that meets the quirements listed under paragraphs criteria listed under paragraph (a)(2) of (a)(1) (ii) through (a)(1)(vi) of this sec- this section. tion. In addition, the inventory shall use the Serious area definition of a § 51.1009 Moderate area attainment major source listed under plan control strategy requirements. § 51.165(a)(1)(iv)(A), and(a)(1)(vii) and (a) The state shall identify, adopt, (viii), and consistent with Table 1 of and implement control measures, in- Appendix A to subpart A of this part in cluding control technologies, on determining sources to include as point sources of direct PM2.5 emissions and sources. Finally, the inventory year sources of emissions of PM2.5 plan pre- shall be one of the 3 years for which cursors located in any Moderate PM2.5 monitored data were used for reclassi- nonattainment area or portion thereof fication to Serious, or another tech- located within the state consistent nically appropriate inventory year if with the following: justified by the state in the plan sub- (1) The state shall identify all mission. sources of direct PM2.5 emissions and (2) An attainment projected inven- all sources of emissions of PM2.5 pre- tory for the nonattainment area that cursors in the nonattainment area in meets the criteria listed under para- accordance with the emissions inven- graph (a)(2) of this section. tory requirements of § 51.1008(a). (c) Serious nonattainment areas subject (2) The state shall identify all poten- to CAA section 189(d) for failing to attain tial control measures to reduce emis- a PM2.5 NAAQS by the applicable Serious sions from all sources of direct PM2.5 area attainment date. No later than 12 emissions and all sources of emissions months after the EPA finds through of PM2.5 plan precursors in the non- notice-and-comment rulemaking that a attainment area identified under para- Serious nonattainment area, or portion graph (a)(1) of this section. thereof contained within a state’s bor- (i) The state is not required to iden- ders, fails to attain a PM2.5 NAAQS by tify and evaluate potential control the applicable attainment date and measures to reduce emissions of a par- thus becomes subject to the require- ticular PM2.5 precursor from any exist- ments under CAA section 189(d), the ing sources if the state has submitted a state shall submit to the EPA all of the comprehensive precursor demonstra- following: tion approved by the EPA pursuant to

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§ 51.1006, except where the EPA requires emissions reductions estimated due to such information as necessary to all technologically and economically evaluate the comprehensive precursor feasible control measures identified for demonstration pursuant to sources of direct PM2.5 emissions and § 51.1006(a)(1)(ii). sources of emissions of PM2.5 plan pre- (ii) The state is not required to iden- cursors in the Moderate PM2.5 non- tify and evaluate potential control attainment area to demonstrate that measures to reduce emissions of a par- the area can attain the applicable ticular PM2.5 precursor from any exist- PM2.5 NAAQS as expeditiously as prac- ing major stationary sources if the ticable but no later than the end of the state has submitted a major stationary sixth year following the effective date source precursor demonstration ap- of designation of the area. The state proved by the EPA pursuant to may use air quality modeling to dem- § 51.1006, except where the EPA requires onstrate that the Moderate PM2.5 non- such information as necessary to attainment area cannot practicably at- evaluate the major stationary source tain the applicable PM2.5 NAAQS by precursor demonstration pursuant to such date. § 51.1006(a)(1)(ii). (i) If the state demonstrates through (3) For any potential control measure air quality modeling that the area can identified under paragraph (a)(2) of this attain the applicable PM NAAQS by section, the state may make a dem- 2.5 the end of the sixth calendar year fol- onstration that such measure is not lowing the effective date of designation technologically or economically fea- of the area, the state shall adopt and sible to implement in whole or in part implement all technologically and eco- by the end of the sixth calendar year nomically feasible control measures following the effective date of designation of the area, and the state may identified under paragraph (a)(3) of this eliminate such whole or partial meas- section that are necessary to bring the ure from further consideration under area into attainment by such date. The this paragraph. state shall also adopt and implement (i) For purposes of evaluating the all other technologically and economi- technological feasibility of a potential cally feasible measures identified control measure, the state may con- under paragraph (a)(3) of this section sider factors including but not limited that, when considered collectively, to a source’s processes and operating would advance the attainment date for procedures, raw materials, physical the area by at least 1 year. If the state plant layout, and potential environ- demonstrates through this analysis mental impacts such as increased that control measures for reducing water pollution, waste disposal, and en- emissions of a PM2.5 precursor would ergy requirements. not be necessary for attainment as ex- (ii) For purposes of evaluating the peditiously as practicable or to ad- economic feasibility of a potential con- vance the attainment date, then the trol measure, the state may consider state would not be required to include factors including but not limited to control measures for the precursor in capital costs, operating and mainte- the Moderate area attainment plan, nance costs, and cost effectiveness of nor be required to address the pre- the measure. cursor in the RFP plan, quantitative (iii) The state must submit to the milestones and associated reports, and EPA as part of its Moderate area at- contingency measures. tainment plan a detailed written jus- (A) Any control measure identified tification for eliminating from further for adoption and implementation under consideration any potential control this paragraph that can be imple- measure identified under paragraph mented in whole or in part by 4 years (a)(2) of this section on the basis of after the effective date of designation technological or economic infeasi- of the Moderate PM2.5 nonattainment bility. area shall be considered RACM for the (4) The state shall use air quality area. Any such control measure that is modeling that meets the requirements also a control technology shall be con- of § 51.1011(a) and that accounts for sidered RACT for the area.

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(B) Any control measure identified PM2.5 emissions, the state shall estab- for adoption and implementation under lish such emission limitations to apply this paragraph that can only be imple- either to the total of the filterable plus mented in whole or in part during the condensable fractions of direct PM2.5, period beginning 4 years after the ef- or to filterable PM2.5 and condensable fective date of designation of the Mod- PM2.5 separately. erate PM2.5 nonattainment area and the applicable attainment date for the § 51.1010 Serious area attainment plan area shall be considered an additional control strategy requirements. reasonable measure for the area. (a) The state shall identify, adopt, (ii) If the state demonstrates that the and implement best available control area cannot practicably attain the ap- measures, including control tech- plicable PM2.5 NAAQS by the end of the nologies, on sources of direct PM2.5 sixth calendar year following the effec- emissions and sources of emissions of tive date of designation of the area, the PM2.5 plan precursors located in any state shall adopt all technologically Serious PM2.5 nonattainment area or and economically feasible control portion thereof located within the measures identified under paragraph state and consistent with the fol- (a)(3) of this section. This requirement lowing: also applies to areas that demonstrate (1) The state shall identify all pursuant to section 179B that the plan sources of direct PM2.5 emissions and would be adequate to attain or main- all sources of emissions of PM2.5 pre- tain the standard but for emissions cursors in the nonattainment area in emanating from outside the United accordance with the emissions inven- States. tory requirements of § 51.1008(b). (A) Any control measure identified (2) The state shall identify all poten- for adoption and implementation under tial control measures to reduce emis- this paragraph that can be imple- sions from all sources of direct PM2.5 mented in whole or in part by 4 years emissions and sources of emissions of after the effective date of designation PM2.5 plan precursors in the nonattain- of the Moderate PM2.5 nonattainment ment area identified under paragraph area shall be considered RACM for the (a)(1) of this section. area. Any such control measure that is (i) The state shall survey other also a control technology shall be con- NAAQS nonattainment areas in the sidered RACT for the area. U.S. and identify any measures for di- (B) Any control measure identified rect PM2.5 and PM2.5 plan precursors for adoption and implementation under not previously identified by the state this paragraph that can only be imple- during the development of the Mod- mented in whole or in part during the erate area attainment plan for the period beginning 4 years after the ef- area. fective date of designation of the Mod- (ii) The state is not required to iden- erate PM2.5 nonattainment area tify and evaluate potential control through the end of the sixth calendar measures to reduce emissions of a par- year following the effective date of des- ticular PM2.5 precursor from any exist- ignation of the area shall be considered ing sources if the state has submitted a an additional reasonable measure for comprehensive precursor demonstra- the area. tion approved by the EPA, except (b) The state shall adopt control where the EPA requires such informa- measures, including control tech- tion as necessary to evaluate the com- nologies, on sources of direct PM2.5 prehensive precursor demonstration emissions and sources of emissions of pursuant to § 51.1006(a)(1)(ii). PM2.5 plan precursors located within (iii) The state is not required to iden- the state but outside the Moderate tify and evaluate potential control PM2.5 nonattainment area if adopting measures to reduce emissions of a par- such control measures is necessary to ticular PM2.5 precursor from any exist- provide for attainment of the applica- ing major stationary sources if the ble PM2.5 NAAQS in such area. state has submitted a major stationary (c) For new or revised source emis- source precursor demonstration ap- sions limitations on sources of direct proved by the EPA, except where the

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EPA requires such information as nec- end of the fourth year following the essary to evaluate the major sta- date of reclassification of the area to tionary source demonstration pursuant Serious shall be considered a best to § 51.1006(a)(1)(ii). available control measure for the area. (3) The state may make a demonstra- Any such control measure that is also tion that any measure identified under a control technology for a stationary paragraph (a)(2) of this section is not source in the area shall be considered a technologically or economically fea- best available control technology for sible to implement in whole or in part the area. by the end of the tenth calendar year (ii) Any control measure that can be following the effective date of designa- implemented in whole or in part be- tion of the area, and may eliminate tween the end of the fourth year fol- such whole or partial measure from lowing the date of reclassification of further consideration under this para- the area to Serious and the applicable graph. attainment date for the area shall be (i) For purposes of evaluating the considered an additional feasible meas- technological feasibility of a potential ure. control measure, the state may con- (5) The state shall use air quality sider factors including but not limited modeling that meets the requirements to a source’s processes and operating of § 51.1011(b) and that accounts for procedures, raw materials, physical emissions reductions estimated due to plant layout, and potential environ- all best available control measures, in- mental impacts such as increased cluding best available control tech- water pollution, waste disposal, and en- nologies, and additional feasible meas- ergy requirements. ures identified for sources of direct (ii) For purposes of evaluating the PM2.5 emissions and sources of emis- economic feasibility of a potential con- sions of PM2.5 plan precursors in the trol measure, the state may consider area to demonstrate that the area can capital costs, operating and mainte- attain the PM2.5 NAAQS as expedi- nance costs, and cost effectiveness of tiously as practicable but no later than the measure. the end of the tenth calendar year fol- (iii) The state shall submit to the lowing the effective date of designation EPA as part of its Serious area attain- of the area, or to demonstrate that the ment plan submission a detailed writ- Serious PM2.5 nonattainment area can- ten justification for eliminating from not practicably attain the applicable further consideration any potential PM2.5 NAAQS by such date. control measure identified under para- (b) For a Serious PM2.5 nonattain- graph (a)(2) of this section on the basis ment area for which air quality mod- of technological or economic infeasi- eling demonstrates the area cannot bility. The state shall provide as part practicably attain the applicable PM2.5 of its written justification an expla- NAAQS by the end of the tenth cal- nation of how its criteria for deter- endar year following the date of des- mining the technological and economic ignation of the area, the state shall feasibility of potential control meas- identify, adopt, and implement the ures under paragraphs (a)(3)(i) and (ii) most stringent control measures that of this section are more stringent than are included in the attainment plan for its criteria for determining the techno- any state or are achieved in practice in logical and economic feasibility of po- any state, and can be feasibly imple- tential control measures under mented in the area, consistent with the § 51.1009(a)(3)(i) and (ii) for the same following requirements. sources in the PM2.5 nonattainment (1) The state shall identify all area. sources of direct PM2.5 emissions and (4) Except as provided under para- sources of emissions of PM2.5 precur- graph (a)(3) of this section, the state sors in the nonattainment area in ac- shall adopt and implement all poten- cordance with the emissions inventory tial control measures identified under requirements of § 51.1008(b). paragraph (a)(2) of this section. (2) The state shall identify all poten- (i) Any control measure that can be tial control measures to reduce emis- implemented in whole or in part by the sions from all sources of direct PM2.5 414

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emissions and sources of emissions of tiously as practicable but no later than PM2.5 plan precursors in the nonattain- 5 years after the applicable attainment ment area identified under paragraph date for the area. (b)(1) of this section. (5) The state shall use air quality (i) For the sources and source cat- modeling that meets the requirements egories represented in the emission in- of § 51.1011(b) and that accounts for ventory for the nonattainment area, emissions reductions estimated due to the state shall identify the most strin- all most stringent measures; best gent measures for reducing direct PM2.5 available control measures, including and PM2.5 plan precursors adopted into best available control technologies; any SIP or used in practice to control and additional feasible measures iden- emissions in any state. tified for sources of direct PM2.5 emis- (ii) The state shall reconsider and re- sions and sources of emissions of PM2.5 assess any measures previously re- plan precursors in the area to dem- jected by the state during the develop- onstrate that the area can attain the ment of any previous Moderate area or PM2.5 NAAQS as expeditiously as prac- Serious area attainment plan control ticable but no later than the end of the strategy for the area. fifteenth calendar year following the (3) The state may make a demonstra- effective date of designation of the tion that a measure identified under area. paragraph (b)(2) of this section is not (c) For a Serious PM2.5 nonattain- technologically or economically fea- ment area that the EPA has deter- sible to implement in whole or in part mined has failed to attain by the appli- by 5 years after the applicable attain- cable attainment date, the state shall ment date for the area, and may elimi- submit a revised attainment plan with nate such whole or partial measure a control strategy that demonstrates from further consideration under this that each year the area will achieve at paragraph. least a 5 percent reduction in emissions (i) For purposes of evaluating the of direct PM or a 5 percent reduction technological feasibility of a potential 2.5 in emissions of a PM plan precursor control measure, the state may con- 2.5 based on the most recent emissions in- sider factors including but not limited ventory for the area; and that the area to a source’s processes and operating will attain the standard as expedi- procedures, raw materials, physical tiously as practicable consistent with plant layout, and potential environ- § 51.1004(a)(3). The plan shall meet the mental impacts such as increased requirements of § 51.1003(c)–(d), and the water pollution, waste disposal, and energy requirements. following requirements: (ii) For purposes of evaluating the (1) The state shall identify all economic feasibility of a potential con- sources of direct PM2.5 emissions and trol measure, the state may consider sources of emissions of PM2.5 precur- capital costs, operating and mainte- sors in the nonattainment area in ac- nance costs, and cost effectiveness of cordance with the emissions inventory the measure. requirements of § 51.1008(b). (iii) The state shall submit to the (2) The state shall identify all poten- EPA as part of its Serious area attain- tial control measures to reduce emis- ment plan submission a detailed writ- sions from all sources of direct PM2.5 ten justification for eliminating from emissions and sources of emissions of further consideration any potential PM2.5 plan precursors in the nonattain- control measure identified under para- ment area identified under paragraph graph (b)(2) of this section on the basis (c)(1) of this section. of technological or economic infeasi- (i) For the sources and source cat- bility. egories represented in the emission in- (4) Except as provided under para- ventory for the nonattainment area, graph (b)(3) of this section, the state the state shall identify the most strin- shall adopt and implement all control gent measures for reducing direct PM2.5 measures identified under paragraph and PM2.5 plan precursors adopted into (b)(2) of this section that collectively any SIP or used in practice to control shall achieve attainment as expedi- emissions in any state, as applicable.

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(ii) The state shall reconsider and re- most stringent measures; best avail- assess any measures previously re- able control measures, including best jected by the state during the develop- available control technologies; and ad- ment of any Moderate area or Serious ditional feasible measures identified area attainment plan control strategy for sources of direct PM2.5 emissions for the area. and sources of emissions of PM2.5 plan (3) The state may make a demonstra- precursors in the area in order to dem- tion that a measure identified under onstrate that the area can attain the paragraph (c)(2) of this section is not PM2.5 NAAQS as expeditiously as prac- technologically or economically fea- ticable. sible to implement in whole or in part (d) The state shall adopt control within 5 years or such longer period as measures, including control tech- the EPA may determine is appropriate nologies, on sources of direct PM2.5 after the EPA’s determination that the emissions and sources of emissions of area failed to attain by the Serious PM2.5 plan precursors located within area attainment date, and may elimi- the state but outside the Serious PM2.5 nate such whole or partial measure nonattainment area if adopting such from further consideration under this control measures is necessary to pro- paragraph. vide for attainment of the applicable (i) For purposes of evaluating the PM2.5 NAAQS in such area by the at- technological feasibility of a potential tainment date. control measure, the state may con- (e) For new or revised source emis- sider factors including but not limited sions limitations on sources of direct to a source’s processes and operating PM2.5 emissions, the state shall estab- procedures, raw materials, physical lish such emission limitations to apply plant layout, and potential environ- either to the total of the filterable plus mental impacts such as increased condensable fractions of direct PM , water pollution, waste disposal, and en- 2.5 or to filterable PM and condensable ergy requirements. 2.5 PM separately. (ii) For purposes of evaluating the 2.5 economic feasibility of a potential con- § 51.1011 Attainment demonstration trol measure, the state may consider and modeling requirements. capital costs, operating and maintenance costs, and cost effectiveness of (a) Nonattainment areas initially classi- the measure. fied as Moderate. The attainment dem- (iii) The state shall submit to the onstration due to the EPA as part of EPA as part of its Serious area attain- any Moderate area attainment plan re- ment plan submission a detailed writ- quired under § 51.1003(a) shall meet all ten justification for eliminating from of the following criteria: further consideration any potential (1) The attainment demonstration control measure identified under para- shall show the projected attainment graph (c)(2) of this section on the basis date for the Moderate nonattainment of technological or economic infeasi- area that is as expeditious as prac- bility. ticable in accordance with the require- (4) Except as provided under para- ments of § 51.1004(a)(1). graph (c)(3) of this section, the state (2) The attainment demonstration shall adopt and implement all control shall meet the requirements of Appen- measures identified under paragraph dix W of this part and shall include in- (c)(2) of this section that collectively ventory data, modeling results, and achieve attainment of the standard as emission reduction analyses on which expeditiously as practicable pursuant the state has based its projected at- to § 51.1004(a)(3). tainment date. (5) The state shall conduct air qual- (3) The base year for the emissions ity modeling that meets the require- inventory required for an attainment ments of § 51.1011(b) and that accounts demonstration under this paragraph for emissions reductions due to control shall be one of the 3 years used for des- measures needed to meet the annual ignations or another technically appro- reduction requirement of 5 percent of priate inventory year if justified by the direct PM2.5 or a PM2.5 plan precursor; state in the plan submission. 416

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(4) The control strategies modeled as demonstrations under this paragraph part of the attainment demonstration shall be one of the 3 years used for des- shall be consistent with the following ignations or another technically appro- as applicable: priate inventory year if justified by the (i) For a Moderate area that can dem- state in the plan submission. onstrate attainment of the applicable (4) The control strategies modeled as PM2.5 NAAQS no later than the end of part of a Serious area attainment dem- the sixth calendar year following the onstration shall be consistent with the date of designation of the area with the control strategies required pursuant to implementation of RACM and RACT § 51.1003 and § 51.1010. and additional reasonable measures, (5) Required timeframe for obtaining the control strategies modeled as part emissions reductions. For each Serious of the attainment demonstration shall nonattainment area, the attainment be consistent with control strategy re- plan must provide for implementation quirements under § 51.1009(a). of all control measures needed for at- (ii) For a Moderate area that cannot tainment as expeditiously as prac- practicably attain the applicable PM2.5 ticable. All control measures must be NAAQS by the end of the sixth cal- implemented no later than the begin- endar year following the date of des- ning of the year containing the appli- ignation of the area with the imple- cable attainment date, notwith- mentation of RACM and RACT and ad- standing BACM implementation dead- ditional reasonable measures, the con- line requirements in § 51.1010. trol strategies modeled as part of the attainment demonstration shall be § 51.1012 Reasonable further progress consistent with control strategy re- (RFP) requirements. quirements under § 51.1009(b). (a) Each attainment plan for a PM2.5 (5) Required time frame for obtaining nonattainment area shall include an emissions reductions. For each Mod- RFP plan that demonstrates that erate nonattainment area, the attain- sources in the area will achieve such ment plan must provide for implemen- annual incremental reductions in emis- tation of all control measures needed sions of direct PM2.5 and PM2.5 plan pre- for attainment as expeditiously as cursors as are necessary to ensure at- practicable. All control measures in tainment of the applicable PM2.5 the attainment demonstration must be NAAQS as expeditiously as practicable. implemented no later than the begin- The RFP plan shall include all of the ning of the year containing the appli- following: cable attainment date, notwith- (1) A schedule describing the imple- standing RACM implementation dead- mentation of control measures during line requirements in § 51.1009. each year of the applicable attainment (b) Nonattainment areas reclassified as plan. Control measures for Moderate Serious. The attainment demonstration area attainment plans are required in due to the EPA as part of a Serious § 51.1009, and control measures for Seri- area attainment plan required under ous area attainment plans are required § 51.1003(b) or (c) shall meet all of the in § 51.1010. following criteria: (2) RFP projected emissions for di- (1) The attainment demonstration rect PM2.5 and all PM2.5 plan precursors shall show the projected attainment for each applicable milestone year, date for the Serious nonattainment based on the anticipated implementa- area that is as expeditious as prac- tion schedule for control measures re- ticable. quired in paragraph (a)(1) of this sec- (2) The attainment demonstration tion. For purposes of establishing shall meet the requirements of Appen- motor vehicle emissions budgets for dix W of this part and shall include in- transportation conformity purposes (as ventory data, modeling results, and required in 40 CFR part 93) for a PM2.5 emission reduction analyses on which nonattainment area, the state shall in- the state has based its projected at- clude in its RFP submission an inven- tainment date. tory of on-road mobile source emis- (3) The base year for the emissions sions in the nonattainment area for inventories required for attainment each milestone year.

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(3) An analysis that presents the § 51.1013 Quantitative milestone re- schedule of control measures and esti- quirements. mated emissions changes to be (a) Consistent with CAA section achieved by each milestone year, and 189(c)(1), the state must submit in each that demonstrates that the control attainment plan for a PM2.5 nonattain- strategy will achieve reasonable ment area specific quantitative mile- progress toward attainment between stones that demonstrate reasonable the applicable base year and the at- further progress toward attainment of tainment year. The analysis shall rely the applicable PM2.5 NAAQS in the area on information from the base year in- and that meet the following require- ventory for the nonattainment area re- ments: quired in § 51.1008(a)(1) and the attain- (1) Nonattainment areas initially classi- ment projected inventory for the non- fied as Moderate. (i) Except as provided attainment area required in in paragraph (a)(4) of this section, each § 51.1008(a)(2), in addition to the RFP attainment plan submittal for a Mod- projected emissions required in para- erate PM2.5 nonattainment area shall graph (a)(2) of this section. contain quantitative milestones to be (4) An analysis that demonstrates achieved no later than a milestone date that by the end of the calendar year for of 4.5 years and 7.5 years from the date each milestone date for the area deter- of designation of the area. mined in accordance with § 51.1013(a), (ii) The plan shall contain quan- pollutant emissions will be at levels titative milestones to be achieved by that reflect either generally linear the milestone dates specified in para- progress or stepwise progress in reduc- graph (a)(1)(i) of this section, as appli- ing emissions on an annual basis be- cable, and that provide for objective tween the base year and the attain- evaluation of reasonable further ment year. A demonstration of progress toward timely attainment of stepwise progress must be accompanied the applicable PM2.5 NAAQS in the by appropriate justification for the se- area. At a minimum, each quantitative lected implementation schedule. milestone plan must include a mile- (5) At the state’s election, an anal- stone for tracking progress achieved in ysis that identifies air quality targets implementing the SIP control meas- associated with the RFP projected ures, including RACM and RACT, by emissions identified for the milestone each milestone date. years at the design value monitor loca- (2) Nonattainment areas reclassified as tions. Serious. (i) Except as provided in para- (b) For a multi-state or multi-juris- graph (a)(4) of this section, each attain- dictional nonattainment area, the RFP ment plan submission that dem- plans for each state represented in the onstrates that a Serious PM2.5 non- nonattainment area shall demonstrate attainment area can attain a par- RFP on the basis of common multi- ticular PM2.5 NAAQS by the end of the state inventories. The states or juris- tenth calendar year following the effec- dictions within which the area is lo- tive date of designation of the area cated must provide a coordinated RFP with the implementation of control plan. Each state in a multi-state non- measures as required under § 51.1010(a) shall contain quantitative milestones attainment area must ensure that the to be achieved no later than milestone sources within its boundaries comply dates of 7.5 years and 10.5 years, respec- with enforceable emission levels and tively, from the date of designation of other requirements that in combina- the area. tion with the reductions planned in (ii) Except as provided in paragraph other state(s) within the nonattain- (a)(4) of this section, each attainment ment area will provide for attainment plan submission that demonstrates as expeditiously as practicable and that a Serious PM nonattainment demonstrate RFP consistent with 2.5 area cannot practicably attain a par- these regulations. ticular PM2.5 NAAQS by the end of the tenth calendar year following the date

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of designation of the area with the im- (ii) The plan shall contain quan- plementation of control measures re- titative milestones to be achieved by quired under § 51.1010(a) shall contain the milestone dates for the area, and quantitative milestones to be achieved that provide for objective evaluation of no later than milestone dates of 7.5 reasonable further progress toward years, 10.5 years, and 13.5 years from timely attainment of the applicable the date of designation of the area. If PM2.5 NAAQS in the area. At a min- the attainment date is beyond 13.5 imum, each quantitative milestone years from the date of designation of plan must include a milestone for the area, such attainment plan shall tracking progress achieved in imple- also contain a quantitative milestones menting the SIP control measures by to be achieved no later than milestone each milestone date. dates of 16.5 years, respectively, from (4) Each attainment plan submission the date of designation of the area. for an area designated nonattainment (iii) The plan shall contain quan- for the 1997 and/or 2006 PM2.5 NAAQS titative milestones to be achieved by before January 15, 2015, shall contain the milestone dates specified in para- quantitative milestones to be achieved graphs (a)(2)(i) and (ii) of this section, no later than 3 years after December as applicable, and that provide for ob- 31, 2014, and every 3 years thereafter jective evaluation of reasonable fur- until the milestone date that falls ther progress toward timely attain- within 3 years after the applicable at- ment of the applicable PM2.5 NAAQS in tainment date. the area. At a minimum, each quan- (b) Not later than 90 days after the titative milestone plan must include a date on which a milestone applicable milestone for tracking progress to a PM2.5 nonattainment area occurs, achieved in implementing SIP control each state in which all or part of such measures, including BACM and BACT, area is located shall submit to the Ad- by each milestone date. ministrator a milestone report that (3) Serious areas that fail to attain by contains all of the following: the applicable Serious area attainment (1) A certification by the Governor or date. (i) Except as provided in para- Governor’s designee that the SIP con- graph (a)(4) of this section, each attain- trol strategy is being implemented ment plan submission for a Serious consistent with the RFP plan, as de- area that failed to attain a particular scribed in the applicable attainment PM2.5 NAAQS by the applicable Serious plan; area attainment date and is therefore (2) Technical support, including cal- subject to the requirements of CAA culations, sufficient to document com- section 189(d) and § 51.1003(c) shall con- pletion statistics for appropriate mile- tain quantitative milestones. stones and to demonstrate that the (A) If the attainment plan is due quantitative milestones have been sat- prior to a date 13.5 years from designa- isfied and how the emissions reductions tion of the area, then the plan shall achieved to date compare to those re- contain milestones to be achieved by quired or scheduled to meet RFP; and, no later than a milestone date of 13.5 (3) A discussion of whether the area years from the date of designation of will attain the applicable PM2.5 NAAQS the area, and every 3 years thereafter, by the projected attainment date for until the milestone date that falls the area. within 3 years after the applicable at- (c) If a state fails to submit a mile- tainment date. stone report by the date specified in (B) If the attainment plan is due paragraph (b) of this section, the Ad- later than a date 13.5 years from des- ministrator shall require the state to ignation of the area, then the plan submit, within 9 months after such shall contain milestones to be achieved failure, a plan revision that assures by no later than a milestone date of that the area will achieve the next 16.5 years from the date of designation milestone or attain the applicable of the area, and every 3 years there- NAAQS by the applicable date, which- after, until the milestone date that ever is earlier. If the Administrator de- falls within 3 years after the applicable termines that an area has not met any attainment date. applicable milestone by the milestone

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date, the state shall submit, within 9 reasonably available control measures months after such determination, a (including reasonably available control plan revision that assures that the area technology for stationary sources) will achieve the next milestone or at- shall be implemented no later than 4 tain the applicable NAAQS by the ap- years following the date of designation plicable date, whichever is earlier. of the area, reasonable further progress plan, quantitative milestones and § 51.1014 Contingency measure re- quantitative milestone reports, and quirements. contingency measures for the area (a) The state must include as part of shall be suspended until such time as: each attainment plan submitted under (1) The area is redesignated to attain- this subpart for a PM2.5 nonattainment ment, after which such requirements area specific contingency measures are permanently discharged; or, that shall take effect with minimal (2) The EPA determines that the area further action by the state or the EPA has re-violated the PM2.5 NAAQS, at following a determination by the Ad- which time the state shall submit such ministrator that the area has failed: attainment plan elements for the Mod- (1) To meet any RFP requirement in erate nonattainment area by a future an attainment plan approved in accord- date to be determined by the EPA and ance with § 51.1012; announced through publication in the (2) To meet any quantitative mile- FEDERAL REGISTER at the time EPA de- stone in an attainment plan approved termines the area is violating the PM2.5 in accordance with § 51.1013; NAAQS. (3) To submit a quantitative mile- (b) Nonattainment areas reclassified as stone report required under § 51.1013(b); Serious. Upon a determination by the or, EPA that a Serious PM2.5 nonattainment area has attained the PM (4) To attain the applicable PM2.5 2.5 NAAQS by the applicable attainment NAAQS, the requirements for the state date. to submit an attainment demonstra- (b) The contingency measures adopt- tion, reasonable further progress plan, quantitative milestones and quan- ed as part of a PM2.5 attainment plan shall meet all of the following require- titative milestone reports, and contin- ments: gency measures for the area shall be (1) The contingency measures shall suspended until such time as: consist of control measures that are (1) The area is redesignated to attain- not otherwise included in the control ment, after which such requirements strategy or that achieve emissions re- are permanently discharged; or, ductions not otherwise relied upon in (2) The EPA determines that the area the control strategy for the area; and, has re-violated the PM2.5 NAAQS, at (2) Each contingency measure shall which time the state shall submit such specify the timeframe within which its attainment plan elements for the Seri- requirements become effective fol- ous nonattainment area by a future lowing a determination by the Admin- date to be determined by the EPA and istrator under paragraph (a) of this sec- announced through publication in the tion. FEDERAL REGISTER at the time the (c) The attainment plan submission EPA determines the area is violating shall contain a description of the spe- the PM2.5 NAAQS. cific trigger mechanisms for the con- § 51.1016 Continued applicability of tingency measures and specify a sched- the FIP and SIP requirements per- ule for implementation. taining to interstate transport under CAA section 110(a)(2)(D)(i) § 51.1015 Clean data requirements. and (ii) after revocation of the 1997 (a) Nonattainment areas initially classi- primary annual PM2.5 NAAQS. fied as Moderate. Upon a determination All control requirements associated by the EPA that a Moderate PM2.5 non- with a FIP or approved SIP in effect attainment area has attained the PM2.5 for an area pursuant to obligations NAAQS, the requirements for the state arising from CAA section 110(a)(2)(D)(i) to submit an attainment demonstra- and (ii) as of October 24, 2016, such as tion, provisions demonstrating that the CAIR or the CSAPR, shall continue

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to apply after revocation of the 1997 preceding a nonattainment area’s max- primary annual PM2.5 NAAQS. Control imum attainment date. requirements associated with a FIP or (i) Designation for the 2008 NAAQS approved into the SIP pursuant to obli- shall mean the effective date of the gations arising from CAA section designation for an area for the 2008 110(a)(2)(D)(i) and (ii), including 40 CFR NAAQS. 51.123, 51.124, 52.35, 52.36, 52.38 and 52.39, (j) Higher classification/lower classifica- may be modified by the state only if tion. For purposes of determining the requirements of § 51.123, 51.124, whether a classification is higher or 52.35, 52.36, 52.38 and 52.39, including lower, classifications under subpart 2 statewide annual SO2 and annual NOX of part D of title I of the CAA are emission budgets, continue to be in ef- ranked from lowest to highest as fol- fect. Any such modification must meet lows: Marginal; Moderate; Serious; Se- the requirements of CAA section 110(l). vere; and Extreme. (k) Initially designated means the first Subpart AA—Provisions for Imple- designation that becomes effective for mentation of the 2008 Ozone an area for the 2008 NAAQS and does National Ambient Air Quality not include a redesignation to attain- Standards ment or nonattainment for the 2008 NAAQS. (l) Maintenance area means an area SOURCE: 77 FR 30170, May 21, 2012, unless otherwise noted. that was designated nonattainment for a specific NAAQS and was redesignated § 51.1100 Definitions. to attainment for that NAAQS subject to a maintenance plan as required by The following definitions apply for CAA section 175A. purposes of this subpart. Any term not defined herein shall have the meaning (m) Nitrogen Oxides (NOX) means the as defined in 40 CFR 51.100. sum of nitric oxide and nitrogen diox- (a) 1-hour NAAQS means the 1-hour ide in the flue gas or emission point, primary and secondary ozone national collectively expressed as nitrogen diox- ambient air quality standards codified ide. at 40 CFR 50.9. (n) Ozone season means for each (b) 1997 NAAQS means the 1997 8-hour state, the ozone monitoring season as primary and secondary ozone national defined in 40 CFR part 58, appendix D, ambient air quality standards codified section 4.1(i) for that state. at 40 CFR 50.10. (o) Applicable requirements for an area (c) 2008 NAAQS means the 2008 8-hour for anti-backsliding purposes means primary and secondary ozone NAAQS the following requirements, to the ex- codified at 40 CFR 50.15. tent such requirements apply to the (d) 1-hour ozone design value is the 1- area pursuant to its classification hour ozone concentration calculated under CAA section 181(a)(1) for the 1- according to 40 CFR part 50, appendix hour NAAQS or 40 CFR 51.902 for the H and the interpretation methodology 1997 ozone NAAQS at the time of rev- issued by the Administrator most re- ocation of the 1997 ozone NAAQS: cently before the date of the enactment (1) Reasonably available control of the CAA Amendments of 1990. technology (RACT) under CAA sections (e) 8-hour ozone design value is the 8- 172(c)(1) and 182(b)(2). hour ozone concentration calculated (2) Vehicle inspection and mainte- according to 40 CFR part 50, appendix nance programs (I/M) under CAA sec- P. tions 182(b)(4) and 182(c)(3). (f) CAA means the Clean Air Act as (3) Major source applicability thresh- codified at 42 U.S.C. 7401—7671q (2010). olds for purposes of RACT under CAA (g) Attainment area means, unless oth- sections 172(c)(2), 182(b), 182(c), 182(d), erwise indicated, an area designated as and 182(e). either attainment, unclassifiable, or (4) Reductions to achieve Reasonable attainment/unclassifiable. Further Progress (RFP) under CAA (h) Attainment year ozone season shall sections172(c)(2), 182(b)(1)(A), and mean the ozone season immediately 182(c)(2)(B).

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(5) Clean fuels fleet program under 182(c)(2)(B) and (c)(2)(C) and the 15 per- CAA section183(c)(4). cent reductions over the first six years (6) Clean fuels for boilers under CAA of the plan and the following three per- section 182(e)(3). cent per year average under § 51.1110. (7) Transportation Control Measures (u) Rate-of-progress (ROP) means the (TCMs) during heavy traffic hours as 15 percent progress reductions in VOC specified under CAA section 182(e)(4). emissions over the first 6 years re- (8) Enhanced (ambient) monitoring quired under CAA section 182(b)(1). under CAA section 182(c)(1). (v) Revocation of the 1-hour NAAQS (9) Transportation controls under means the time at which the 1-hour CAA section 182(c)(5). NAAQS no longer apply to an area pur- (10) Vehicle miles traveled provisions suant to 40 CFR 50.9(b). of CAA section 182(d)(1). (w) Revocation of the 1997 ozone (11) NOX requirements under CAA NAAQS means the time at which the section 182(f). 1997 8-hour NAAQS no longer apply to (12) Attainment demonstration re- an area pursuant to 40 CFR 50.10(c). quirements under CAA sections (x) Subpart 1 means subpart 1 of part 172(c)(4), 182(b)(1)(A), and 182(c)(2). D of title I of the CAA. (13) Nonattainment contingency (y) Subpart 2 means subpart 2 of part measures required under CAA sections D of title I of the CAA. 172(c)(9) and 182(c)(9) for failure to at- (z) I/M refers to the inspection and tain the 1-hour or 1997 ozone NAAQS by maintenance programs for in-use vehi- the applicable attainment date or to cles required under the 1990 CAA make reasonable further progress to- Amendments and defined by subpart S ward attainment of the 1-hour or 1997 of 40 CFR part 51. ozone NAAQS. (aa) An area ‘‘Designated nonattain- (14) Nonattainment NSR major ment for the 1-hour ozone NAAQS’’ source thresholds and offset ratios means, for purposes of 40 CFR 51.1105, under CAA sections 172(a)(5) and an area that is subject to applicable 1- 182(a)(2). hour ozone NAAQS anti-backsliding re- (15) Penalty fee program require- quirements at the time of revocation of ments for Severe and Extreme Areas the 1997 ozone NAAQS. under CAA section 185. (bb) Base year inventory for the non- (16) Contingency measures associated attainment area means a comprehen- with areas utilizing CAA section sive, accurate, current inventory of ac- 182(e)(5). tual emissions from sources of VOC and (17) Reasonably available control NOX emitted within the boundaries of measures (RACM) requirements under the nonattainment area as required by CAA section 172(c)(1). CAA section 182(a)(1). (p) CSAPR means the Cross State Air (cc) Ozone season day emissions means Pollution Rule codified at 40 CFR 52.38 an average day’s emissions for a typ- and part 97. ical ozone season work weekday. The (q) CAIR means the Clean Air Inter- state shall select, subject to EPA ap- state Rule codified at 40 CFR 51.123, proval, the particular month(s) in the 52.35 and part 95. ozone season and the day(s) in the work week to be represented, consid- (r) NOX SIP Call means the rules codified at 40 CFR 51.121 and 51.122. ering the conditions assumed in the de- (s) Ozone transport region (OTR) velopment of RFP plans and/or emis- means the area established by CAA sec- sions budgets for transportation con- tion 184(a) or any other area estab- formity. lished by the Administrator pursuant [77 FR 30170, May 21, 2012, as amended at 80 to CAA section 176A for purposes of FR 12312, Mar. 6, 2015] ozone. (t) Reasonable further progress (RFP) § 51.1101 Applicability of part 51. means both the emissions reductions The provisions in subparts A–X of required under CAA section 172(c)(2) part 51 apply to areas for purposes of which EPA interprets to be an average the 2008 NAAQS to the extent they are 3 percent per year emissions reductions not inconsistent with the provisions of of either VOC or NOX and CAA sections this subpart. 422

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§ 51.1102 Classification and nonattain- attainment for the 2008 ozone NAAQS ment area planning provisions. shall be classified by operation of law An area designated nonattainment at the time of designation. The classi- for the 2008 ozone NAAQS will be clas- fication shall be based on the 8-hour sified in accordance with CAA section design value for the area at the time of 181, as interpreted in § 51.1103(a), and designation, in accordance with Table 1 will be subject to the requirements of below. A state may request a higher or subpart 2 of part D of title I of the CAA lower classification as provided in that apply for that classification. paragraphs (b) and (c) of this section. For each area classified under this sec- § 51.1103 Application of classification tion, the attainment date for the 2008 and attainment date provisions in CAA section 181 to areas subject to NAAQS shall be as expeditious as prac- § 51.1102. ticable but not later than the date pro- (a) In accordance with CAA section vided in Table 1 as follows: 181(a)(1), each area designated non-

TABLE 1—CLASSIFICATIONS AND ATTAINMENT DATES FOR 2008 8-HOUR OZONE NAAQS (0.075 PPM) FOR AREAS SUBJECT TO CFR SECTION 51.1102

Primary standard attainment date 8-hour design (years after the Area class value (ppm effective date of ozone) designation for 2008 primary NAAQS)

Marginal ...... from ...... 0.076 3 up to* ...... 0.086 Moderate ...... from ...... 0.086 6 up to* ...... 0.100 Serious ...... from ...... 0.100 9 up to* ...... 0.113 Severe-15 ...... from ...... 0.113 15 up to* ...... 0.119 Severe-17 ...... from ...... 0.119 17 up to* ...... 0.175 Extreme ...... equal to or above ...... 0.175 20 * But not including

(b) A state may request, and the Ad- § 51.1104 [Reserved] ministrator must approve, a higher classification for any reason in accord- § 51.1105 Transition from the 1997 ance with CAA section 181(b)(3). ozone NAAQS to the 2008 ozone (c) A state may request, and the Ad- NAAQS and anti-backsliding. ministrator may in the Administra- (a) Requirements that continue to apply tor’s discretion approve, a higher or after revocation of the 1997 ozone lower classification in accordance with NAAQS—(1) 2008 ozone NAAQS non- CAA section 181(a)(4). attainment and 1997 ozone NAAQS non- (d) The following nonattainment attainment. The following requirements areas are reclassified for the 2008 ozone apply to an area designated nonattain- NAAQS as follows: Serious—Ventura ment for the 2008 ozone NAAQS and County, CA; Severe—Los Angeles-San also designated nonattainment for the Bernardino Counties (West Mojave 1997 ozone NAAQS, or nonattainment Desert), Riverside County (Coachella for both the 1997 and 1-hour ozone Valley), and Sacramento Metro, CA; NAAQS, at the time of revocation of Extreme—Los Angeles-South Coast Air the respective ozone NAAQS: The area Basin, and San Joaquin Valley, CA. remains subject to the obligation to adopt and implement the applicable re- [77 FR 30170, May 21, 2012, as amended at 80 quirements of § 51.1100(o), for any ozone FR 12313, Mar. 6, 2015] NAAQS for which it was designated

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nonattainment at the time of revoca- ozone NAAQS with an approved CAA tion, in accordance with its classifica- section 175A maintenance plan for the tion for that NAAQS at the time of 1997 ozone NAAQS is considered to sat- that revocation, except as provided in isfy the applicable requirements of 40 paragraph (b) of this section. CFR 51.1100(o) through implementation (2) 2008 ozone NAAQS nonattainment of the SIP and maintenance plan provi- and 1997 ozone NAAQS maintenance. For sions for the area. After April 6, 2015, an area designated nonattainment for and to the extent consistent with CAA the 2008 ozone NAAQS that was redes- sections 110(l) and 193, the state may ignated to attainment for the 1997 request that obligations under the ap- ozone NAAQS prior to April 6, 2015 plicable requirements of 40 CFR (hereinafter a ‘‘maintenance area’’) the 51.1100(o) be shifted to the list of main- SIP, including the maintenance plan, is tenance plan contingency measures for considered to satisfy the applicable re- the area. For an area that is initially quirements of 40 CFR 51.1100(o) for the designated attainment for the 2008 revoked NAAQS. The measures in the ozone NAAQS and which has been re- SIP and maintenance plan shall con- designated to attainment for the 1997 tinue to be implemented in accordance ozone NAAQS with an approved CAA with the terms in the SIP. Any meas- section 175A maintenance plan and an ures associated with applicable re- approved PSD SIP, the area’s approved quirements that were shifted to contin- maintenance plan and the state’s ap- gency measures prior to April 6, 2015 proved PSD SIP for the area are con- may remain in that form. After April 6, sidered to satisfy the state’s obliga- 2015, and to the extent consistent with tions with respect to the area’s mainte- any SIP for the 2008 ozone NAAQS and nance of the 2008 ozone NAAQS pursu- with CAA sections 110(l) and 193, the ant to CAA section 110(a)(1). state may request that obligations under the applicable requirements of (b) Effect of Redesignation or Redesig- § 51.1100(o) be shifted to the SIP’s list of nation Substitute. (1) An area remains maintenance plan contingency meas- subject to the anti-backsliding obliga- ures for the area. tions for a revoked NAAQS under para- (3) 2008 ozone NAAQS attainment and graphs (a)(1) and (2) of this section 1997 ozone NAAQS nonattainment. For until either EPA approves a redesigna- an area designated attainment for the tion to attainment for the area for the 2008 ozone NAAQS, and designated non- 2008 ozone NAAQS; or EPA approves a attainment for the 1997 ozone NAAQS demonstration for the area in a redes- as of April 6, 2015 or for both the 1997 ignation substitute procedure for a re- and the 1-hour ozone NAAQS as of the voked NAAQS. Under this redesigna- respective dates of their revocations, tion substitute procedure for a revoked the area is no longer subject to non- NAAQS, and for this limited anti-back- attainment NSR and the state may at sliding purpose, the demonstration any time request that the nonattain- must show that the area has attained ment NSR provisions applicable to the that revoked NAAQS due to permanent area be removed from the SIP. The and enforceable emission reductions state may request, consistent with and that the area will maintain that CAA sections 110(l) and 193, that SIP revoked NAAQS for 10 years from the measures adopted to satisfy other ap- date of EPA’s approval of this showing. plicable requirements of § 51.1100(o) be (2) If EPA, after notice-and-comment shifted to the SIP’s list of maintenance rulemaking, approves a redesignation plan contingency measures for the to attainment, the state may request area. The area’s approved PSD SIP that provisions for nonattainment NSR shall be considered to satisfy the be removed from the SIP, and that state’s obligations with respect to the other anti-backsliding obligations be area’s maintenance of the 2008 ozone shifted to contingency measures pro- NAAQS pursuant to CAA section vided that such action is consistent 110(a)(1). with CAA sections 110(l) and 193. If (4) 2008 ozone NAAQS attainment and EPA, after notice and comment rule- 1997 ozone NAAQS maintenance. An area making, approves a redesignation sub- designated attainment for the 2008 stitute for a revoked NAAQS, the state

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may request that provisions for non- determine whether an area attained attainment NSR for that revoked the 1-hour or 1997 ozone NAAQS by the NAAQS be removed, and that other area’s attainment date solely for anti- anti-backsliding obligations for that backsliding purposes to address an ap- revoked NAAQS be shifted to contin- plicable requirement for nonattain- gency measures provided that such ac- ment contingency measures and CAA tion is consistent with CAA sections section 185 fee programs. In making 110(l) and 193. such a determination, the EPA may (c) Portions of an area designated non- consider and apply the provisions of attainment or attainment for the 2008 CAA section 181(a)(5) and former 40 ozone NAAQS that remain subject to the CFR 51.907 in interpreting whether a 1- obligations identified in paragraph (a) of year extension of the attainment date this section. Only that portion of the is applicable under CAA section designated nonattainment or attain- 172(a)(2)(C). ment area for the 2008 ozone NAAQS (e) Continued applicability of the FIP that was required to adopt the applica- and SIP requirements pertaining to inter- ble requirements in § 51.1100(o) for pur- state transport under CAA section poses of the 1-hour or 1997 ozone 110(a)(2)(D)(i) and (ii) after revocation of NAAQS is subject to the obligations the 1997 ozone NAAQS. All control re- identified in paragraph (a) of this sec- quirements associated with a FIP or tion. Subpart C of 40 CFR part 81 iden- approved SIP in effect for an area as of tifies the areas designated nonattain- April 6, 2015, such as the NOX SIP Call, ment and associated area boundaries the CAIR, or the CSAPR shall continue for the 1997 ozone NAAQS at the time to apply after revocation of the 1997 of revocation. Areas that are des- ozone NAAQS. Control requirements ignated nonattainment for the 1997 approved into the SIP pursuant to obli- ozone NAAQS at the time of designa- gations arising from CAA section tion for the 2008 ozone NAAQS may be 110(a)(2)(D)(i) and (ii), including 40 CFR redesignated to attainment prior to the 51.121, 51.122, 51.123 and 51.124, may be effective date of revocation of that modified by the state only if the re- ozone NAAQS. quirements of §§ 51.121, 51.122, 51.123 and (d) Obligations under the 1997 ozone 51.124, including statewide NOX emis- NAAQS that no longer apply after revoca- sion budgets continue to be in effect. tion of the 1997 ozone NAAQS—(1) Second Any such modification must meet the 10-year Maintenance plans. As of April 6, requirements of CAA section 110(l). 2015, an area with an approved 1997 (f) New source review. An area des- ozone NAAQS maintenance plan under ignated nonattainment for the 2008 CAA section 175A is not required to ozone NAAQS and designated non- submit a second 10-year maintenance attainment for the 1997 ozone NAAQS plan for the 1997 ozone NAAQS 8 years on April 6, 2015 remains subject to the after approval of the initial 1997 ozone obligation to adopt and implement the NAAQS maintenance plan. major source threshold and offset re- (2) Determinations of failure to attain quirements for nonattainment NSR the 1997 and/or 1-hour NAAQS. (i) As of that apply or applied to the area pursu- April 6, 2015, the EPA is no longer obli- ant to CAA sections 172(c)(5), 173 and gated to determine pursuant to CAA 182 based on the highest of: (i) The section 181(b)(2) or section 179(c) area’s classification under CAA section whether an area attained the 1997 181(a)(1) for the 1-hour NAAQS as of the ozone NAAQS by that area’s attain- effective date of revocation of the 1- ment date for the 1997 ozone NAAQS. hour ozone NAAQS; (ii) the area’s clas- (ii) As of April 6, 2015, the EPA is no sification under 40 CFR 51.903 for the longer obligated to reclassify an area 1997 ozone NAAQS as of the date a per- to a higher classification for the 1997 mit is issued or as of April 6, 2015, ozone NAAQS based upon a determina- whichever is earlier; and (iii) the area’s tion that the area failed to attain the classification under § 51.1103 for the 2008 1997 ozone NAAQS by the area’s attain- ozone NAAQS. Upon removal of non- ment date for the 1997 ozone NAAQS. attainment NSR obligations for a re- (iii) For the revoked 1-hour and 1997 voked NAAQS under § 51.1105(b), the ozone NAAQS, the EPA is required to state remains subject to the obligation

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to adopt and implement the major § 51.1108 Modeling and attainment source threshold and offset require- demonstration requirements. ments for nonattainment NSR that (a) An area classified as Moderate apply or applied to the area for the re- under § 51.1103(a) shall be subject to the maining applicable NAAQS consistent attainment demonstration requirement with this paragraph. applicable for that classification under CAA section 182(b), and such dem- [80 FR 12314, Mar. 6, 2015] onstration is due no later than 36 § 51.1106 Redesignation to nonattain- months after the effective date of the ment following initial designations. area’s designation for the 2008 ozone NAAQS. For any area that is initially des- (b) An area classified as Serious or ignated attainment for the 2008 ozone higher under § 51.1103(a) shall be subject NAAQS and that is subsequently redes- to the attainment demonstration re- ignated to nonattainment for the 2008 quirement applicable for that classi- ozone NAAQS, any absolute, fixed date fication under CAA section 182(c), and applicable in connection with the re- such demonstration is due no later quirements of this part other than an than 48 months after the effective date attainment date is extended by a pe- of the area’s designation for the 2008 riod of time equal to the length of time ozone NAAQS. between the effective date of the initial (c) Attainment demonstration cri- designation for the 2008 ozone NAAQS teria. An attainment demonstration and the effective date of redesignation, due pursuant to paragraph (a) or (b) of this section must meet the require- except as otherwise provided in this ments of § 51.112; the adequacy of an at- subpart. The maximum attainment tainment demonstration shall be dem- date for a redesignated area would be onstrated by means of a photochemical based on the area’s classification, con- grid model or any other analytical sistent with Table 1 in § 51.1103. method determined by the Adminis- [80 FR 12314, Mar. 6, 2015] trator, in the Administrator’s discretion, to be at least as effective. § 51.1107 Determining eligibility for 1- (d) Implementation of control meas- year attainment date extensions for ures. For each nonattainment area, the the 2008 ozone NAAQS under CAA state must provide for implementation section 181(a)(5). of all control measures needed for at- (a) A nonattainment area will meet tainment no later than the beginning of the attainment year ozone season. the requirement of CAA section 181(a)(5)(B) pertaining to 1-year exten- [80 FR 12314, Mar. 6, 2015] sions of the attainment date if: (1) For the first 1-year extension, the § 51.1109 [Reserved] area’s 4th highest daily maximum 8 § 51.1110 Requirements for reasonable hour average in the attainment year is further progress (RFP). 0.075 ppm or less. (a) RFP for nonattainment areas classi- (2) For the second 1-year extension, fied pursuant to § 51.1103. The RFP re- the area’s 4th highest daily maximum 8 quirements specified in CAA section 182 hour value, averaged over both the for that area’s classification shall original attainment year and the first apply. extension year, is 0.075 ppm or less. (1) Submission deadline. For each area (b) For purposes of paragraph (a) of classified as Moderate or higher pursu- this section, the area’s 4th highest ant to § 51.1103, the state shall submit a daily maximum 8 hour average for a SIP revision no later than 36 months year shall be from the monitor with after the effective date of designation the highest 4th highest daily maximum as nonattainment for the 2008 ozone 8 hour average for that year of all the NAAQS that provides for RFP as de- monitors that represent that area. scribed in paragraphs (a)(2) through (4) of this section. [80 FR 12314, Mar. 6, 2015] (2) RFP requirements for areas with an approved 1-hour or 1997 ozone NAAQS 15

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percent VOC ROP plan. An area classi- quirements of either paragraph (a)(3)(i) fied as Moderate or higher that has the or (ii) of this section. same boundaries as an area, or is en- (i) The state shall not distinguish be- tirely composed of several areas or por- tween the portion of the area with a tions of areas, for which EPA fully ap- previously approved 15 percent ROP proved a 15 percent plan for the 1-hour plan and the portion of the area with- or 1997 ozone NAAQS is considered to out such a plan, and shall meet the re- have met the requirements of CAA sec- quirements of (a)(4) of this section for tion 182(b)(1) for the 2008 ozone NAAQS the entire nonattainment area. and instead: (ii) The state shall treat the area as (i) If classified as Moderate or higher, two parts, each with a separate RFP the area is subject to the RFP require- target as follows: ments under CAA section 172(c)(2) and (A) For the portion of the area with- shall submit a SIP revision that: out an approved 15 percent VOC ROP (A) Provides for a 15 percent emission plan for the 1-hour or 1997 ozone reduction from the baseline year with- NAAQS, the state shall submit a SIP in 6 years after the baseline year; revision as required under paragraph (B) Provides for an additional emis- (a)(4) of this section. sions reduction of 3 percent per year (B) For the portion of the area with from the end of the first 6 years up to an approved 15 percent VOC ROP plan the beginning of the attainment year if for the 1-hour or 1997 ozone NAAQS, a baseline year earlier than 2011 is the state shall submit a SIP as reused; and quired under paragraph (a)(2) of this (C) Relies on either NOX or VOC section. emissions reductions (or a combina- (4) ROP Requirements for areas without tion) to meet the requirements of para- an approved 1-hour or 1997 ozone NAAQS graphs (a)(2)(i)(A) and (B) of this sec- 15 percent VOC ROP plan. (i) For each tion. Use of NO emissions reductions X area, the state shall submit a SIP revi- must meet the criteria in CAA section sion consistent with CAA section 182(c)(2)(C). 182(b)(1). The 6-year period referenced (ii) If classified as Serious or higher, in CAA section 182(b)(1) shall begin the area is also subject to RFP under January 1 of the year following the CAA section 182(c)(2)(B) and shall sub- year used for the baseline emissions in- mit a SIP revision no later than 48 months after the effective date of des- ventory. ignation providing for an average emis- (ii) For Moderate areas, the plan sions reduction of 3 percent per year: must provide for an additional 3 per- (A) For all remaining 3-year periods cent per year reduction from the end of after the first 6-year period until the the first 6 years up to the beginning of year of the area’s attainment date; and the attainment year if a baseline year from 2008 to 2010 is used. (B) That relies on either NOX or VOC emissions reductions (or a combina- (iii) For each area classified as Seri- tion) to meet the requirements of para- ous or higher, the state shall submit a graphs (a)(2)(ii)(A) and (B) of this sec- SIP revision consistent with CAA section 182(c)(2)(B). The final increment of tion. Use of NOX emissions reductions must meet the criteria in CAA section progress must be achieved no later 182(c)(2)(C). than the attainment date for the area. (3) RFP requirements for areas for (5) Creditability of emission control which an approved 15 percent VOC ROP measures for RFP plans. Except as spe- plan for the 1-hour or 1997 ozone NAAQS cifically provided in CAA section exists for only a portion of the area. An 182(b)(1)(C) and (D), CAA section area that contains one or more por- 182(c)(2)(B), and 40 CFR 51.1110(a)(6), all tions for which EPA fully approved a 15 emission reductions from SIP-approved percent VOC ROP plan for the 1-hour or federally promulgated measures or 1997 ozone NAAQS (as well as areas that occur after the baseline emissions for which EPA has not fully approved a inventory year are creditable for pur- 15 percent plan for either the 1-hour or poses of the RFP requirements in this 1997 ozone NAAQS) shall meet the re- section, provided the reductions meet

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the requirements for creditability, in- § 51.1111 [Reserved] cluding the need to be enforceable, permanent, quantifiable, and surplus. § 51.1112 Requirements for reasonably (6) Creditability of out-of-area emissions available control technology (RACT) and reasonably available reductions. For each area classified as control measures (RACM). Moderate or higher pursuant to (a) RACT requirement for areas classi- § 51.1103, in addition to the restrictions fied pursuant to § 51.1103. (1) For each on the creditability of emission control nonattainment area classified Mod- measures listed in § 51.1110(a)(5), cred- erate or higher, the state shall submit itable emission reductions for fixed a SIP revision that meets the VOC and percentage reduction RFP must be ob- NOX RACT requirements in CAA sec- tained from sources within the non- tions 182(b)(2) and 182(f). attainment area. (2) The state shall submit the RACT (7) Calculation of non-creditable emis- SIP for each area no later than 24 sions reductions. The following four cat- months after the effective date of des- egories of control measures listed in ignation for the 2008 ozone NAAQS. CAA section 182(b)(1)(D) are no longer (3) The state shall provide for imple- required to be calculated for exclusion mentation of RACT as expeditiously as in RFP analyses because the Adminis- practicable but no later than January 1 trator has determined that due to the of the 5th year after the effective date passage of time the effect of these ex- of designation for the 2008 ozone clusions would be de minimis: NAAQS. (i) Measures related to motor vehicle (b) Determination of major stationary sources for applicability of RACT provi- exhaust or evaporative emissions pro- sions. The amount of VOC and NO mulgated by January 1, 1990; X emissions are to be considered sepa- (ii) Regulations concerning Reid rately for purposes of determining vapor pressure promulgated by Novem- whether a source is a major stationary ber 15, 1990; source as defined in CAA section 302. (iii) Measures to correct previous (c) Reasonably Available Control Meas- RACT requirements; and ures (RACM) requirement. For each non- (iv) Measures required to correct pre- attainment area required to submit an vious I/M programs. attainment demonstration under (b) Baseline emissions inventory for § 51.1108(a) and (b), the state shall sub- RFP plans. For the RFP plans required mit with the attainment demonstra- under this section, at the time of des- tion a SIP revision demonstrating that ignation for the 2008 ozone NAAQS the it has adopted all RACM necessary to baseline emissions inventory shall be demonstrate attainment as expedi- the emissions inventory for the most tiously as practicable and to meet any recent calendar year for which a com- RFP requirements. plete triennial inventory is required to [80 FR 12314, Mar. 6, 2015] be submitted to EPA under the provisions of subpart A of this part. States § 51.1113 Section 182(f) NOX exemption may use an alternative baseline emis- provisions. sions inventory provided the state (a) A person or a state may petition demonstrates why it is appropriate to the Administrator for an exemption use the alternative baseline year, and from NOX obligations under CAA sec- provided that the year selected is be- tion 182(f) for any area designated non- tween the years 2008 to 2012. All states attainment for the 2008 ozone NAAQS associated with a multi-state non- and for any area in a CAA section 184 attainment area must consult and ozone transport region. agree on a single alternative baseline (b) The petition must contain ade- year. The emissions values included in quate documentation that the criteria the inventory required by this section in CAA section 182(f) are met. shall be actual ozone season day emis- (c) A CAA section 182(f) NOX exemption granted for the 1-hour or 1997 sions as defined by § 51.1100(cc). ozone NAAQS does not relieve the area [80 FR 12314, Mar. 6, 2015] from any NOX obligations under CAA 428

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section 182(f) for the 2008 ozone (e) The data elements in the emis- NAAQS. sions inventory shall be consistent with the detail required by 40 CFR part [80 FR 12314, Mar. 6, 2015] 51, subpart A. Since only emissions within the boundaries of the nonattain- § 51.1114 New source review requirements. ment area shall be included as defined by § 51.1100(cc), this requirement shall The requirements for nonattainment apply to the emissions inventories re- NSR for the ozone NAAQS are located quired in this section instead of any in § 51.165. For each nonattainment total county requirements contained in area, the state shall submit a non- 40 CFR part 51, subpart A. attainment NSR plan or plan revision for the 2008 ozone NAAQS no later than [80 FR 12314, Mar. 6, 2015] 36 months after the effective date of § 51.1116 Requirements for an Ozone the area’s designation for the 2008 Transport Region. ozone NAAQS. (a) In general. CAA sections 176A and [80 FR 12314, Mar. 6, 2015] 184 apply for purposes of the 2008 ozone NAAQS. § 51.1115 Emissions inventory require- (b) RACT requirements for certain por- ments. tions of an Ozone Transport Region. (1) (a) For each nonattainment area, the The state shall submit a SIP revision state shall submit a base year inven- that meets the RACT requirements of tory as defined by § 51.1100(bb) to meet CAA section 184(b)(2) for all portions of the emissions inventory requirement of the state located in an ozone transport CAA section 182(a)(1). This inventory region. shall be submitted no later than 24 (2) The state shall submit the RACT months after the effective date of des- revision no later than 24 months after ignation. The inventory year shall be designation for the 2008 ozone NAAQS selected consistent with the baseline and shall provide for implementation year for the RFP plan as required by of RACT as expeditiously as prac- § 51.1110(b). ticable but no later than January 1 of (b) For each nonattainment area, the the 5th year after designation for the state shall submit a periodic emission 2008 ozone NAAQS. inventory of emissions sources in the [80 FR 12314, Mar. 6, 2015] area to meet the requirement in CAA section 182(a)(3)(A). With the exception § 51.1117 Fee programs for Severe and of the inventory year and timing of Extreme nonattainment areas that submittal, this inventory shall be con- fail to attain. sistent with the requirements of para- For each area classified as Severe or graph (a) of this section. Each periodic Extreme for the 2008 ozone NAAQS, the inventory shall be submitted no later state shall submit a SIP revision with- than the end of each 3-year period after in 10 years of the effective date of des- the required submission of the base ignation that meets the requirements year inventory for the nonattainment of CAA section 185. area. This requirement shall apply [80 FR 12314, Mar. 6, 2015] until the area is redesignated to attainment. § 51.1118 Suspension of SIP planning (c) The emissions values included in requirements in nonattainment the inventories required by paragraphs areas that have air quality data (a) and (b) of this section shall be ac- that meet an ozone NAAQS. tual ozone season day emissions as de- Upon a determination by EPA that fined by § 51.1100(cc). an area designated nonattainment for (d) The state shall report emissions the 2008 ozone NAAQS, or for any prior from point sources according to the ozone NAAQS, has attained the rel- point source emissions thresholds of evant standard, the requirements for the Air Emissions Reporting Require- such area to submit attainment dem- ments (AERR), 40 CFR part 51, subpart onstrations and associated reasonably A. available control measures, reasonable

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further progress plans, contingency (1) Not located in a designated non- measures for failure to attain or make attainment area, and

reasonable progress and other planning (2) Has actual annual SO2 emissions SIPs related to attainment of the 2008 data of 2,000 tons or more, or has been ozone NAAQS, or for any prior NAAQS identified by an air agency or by the for which the determination has been EPA Regional Administrator as requir- made, shall be suspended until such ing further air quality characteriza- time as: The area is redesignated to at- tion. 2010 SO2 NAAQS means the pri- tainment for that NAAQS or a redesig- mary National Ambient Air Quality nation substitute is approved as appro- Standard for sulfur oxides (sulfur diox- priate, at which time the requirements ide) as codified at 40 CFR 50.17, as effec- no longer apply; or EPA determines tive August 23, 2010. that the area has violated that NAAQS, at which time the area is again re- § 51.1201 Purpose. quired to submit such plans. The purpose of this subpart is to re- [80 FR 12314, Mar. 6, 2015] quire air agencies to develop and submit air quality data characterizing § 51.1119 Applicability. maximum 1-hour ambient concentra- As of revocation of the 1997 ozone tions of SO2 across the United States NAAQS on April 6, 2015, as set forth in through either ambient air quality § 50.10(c), the provisions of subpart AA monitoring or air quality modeling shall replace the provisions of subpart analysis at the air agency’s election. X, §§ 51.900 to 51.918, which cease to These monitoring and modeling data apply except for § 51.907 for the anti- may be used in future determinations backsliding purposes of § 51.1105(c)(2). by the EPA regarding areas’ SO2 See subpart X § 51.919. NAAQS attainment status, or for other [80 FR 12314, Mar. 6, 2015] actions designed to ensure attainment of the 2010 SO2 NAAQS and provide pro- Subpart BB—Data Requirements tection to the public from the short- for Characterizing Air Quality term health effects associated with exposure to SO2 concentrations that ex- for the Primary SO2 NAAQS ceed the NAAQS.

SOURCE: 80 FR 51087, Aug. 21, 2015, unless § 51.1202 Applicability. otherwise noted. This subpart applies to any air agen- § 51.1200 Definitions. cy in whose jurisdiction is located one or more applicable sources of SO emis- The following definitions apply for 2 sions that have annual actual SO the purposes of this subpart. All terms 2 emissions of 2,000 tons or more; or in not defined herein will have the mean- whose jurisdiction is located one or ing given them in § 51.100 or in the more sources of SO emissions that Clean Air Act (CAA). Air agency means 2 have been identified by the air agency the agency or organization responsible for air quality management within a or by the EPA Regional Administrator state, local governmental jurisdiction, as requiring further air quality charac- territory or area subject to tribal gov- terization. For the purposes of this subpart, the subject air agency shall ernment. Annual SO2 emissions data identify applicable sources of SO2 based means the quality-assured annual SO2 emissions data for a stationary source. on the most recently available annual Such data may have been required to SO2 emissions data for such sources. be reported to the EPA in accordance with an existing regulatory require- § 51.1203 Air agency requirements. ment (such as the Air Emissions Re- (a) The air agency shall submit a list porting Rule or the Acid Rain Pro- of applicable SO2 sources identified gram); however, annual SO2 emissions pursuant to § 51.1202 located in its juris- data may be obtained or determined diction to the EPA by January 15, 2016. through other reliable means as well. This list may be revised by the Re- Applicable source means a stationary gional Administrator after review source that is: based on available SO2 emissions data. 430

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(b) For each source area subject to nual certification of data by May 1 of requirements for air quality character- the following year. ization, the air agency shall notify the (1) The air agency shall include rel- EPA by July 1, 2016, whether it has evant information about monitors used chosen to characterize peak 1-hour SO2 to meet the requirements of this para- concentrations in such area through graph (c) in the air agency’s Annual ambient air quality monitoring; char- Monitoring Network Plan required by acterize peak 1-hour SO2 concentra- 40 CFR 58.10 due July 1, 2016. The air tions in such area through air quality agency shall consult with the appro- modeling techniques; or provide feder- priate EPA Regional Office in the de- ally enforceable emission limitations velopment of plans to install, supple- by January 13, 2017 that limit emis- ment, or maintain an appropriate am- sions of applicable sources to less than bient SO2 monitoring network pursu- 2,000 tpy, in accordance with paragraph ant to the requirements of 40 CFR part (e) of this section, or provide docu- 58 and of this subpart. mentation that the applicable source (2) All existing, new, or relocated am- has permanently shut down. Emission bient monitors intended to meet the limits in accordance with paragraph (e) requirements of this paragraph (c) of this section may be established in must be operational by January 1, 2017 lieu of conducting monitoring or mod- and must be operated continually until eling unless, in the judgment of the air approved for shut down by EPA. (3) Any SO monitor identified by an agency or the EPA Regional Adminis- 2 air agency in its approved Annual Mon- trator, the area warrants further air itoring Network Plan as having the quality characterization even with the purpose of meeting the requirements of establishment of any new emission this paragraph (c) that: Is not located limit(s). If the air agency has chosen to in an area designated as nonattain- establish requirements to limit emis- ment as the 2010 SO NAAQS is not also sions for applicable sources in an area, 2 being used to satisfy other ambient SO2 the notification from the air agency minimum monitoring requirements shall describe the requirements and listed in 40 CFR part 58, appendix D, emission limits the air agency intends section 4.4; and is not otherwise re- to apply. For any area with multiple quired as part of a SIP, permit, attain- applicable sources, the air agency (or ment plan or maintenance plan, may air agencies if a multi-state area) shall be eligible for shut down upon EPA ap- use the same technique (monitoring, proval if it produces a design value no modeling, or emissions limitation) for greater than 50 percent of the 2010 SO2 all applicable sources in the area. If NAAQS from data collected in either multiple air agencies have applicable its first or second 3-year period of oper- sources in an area, the air agencies ation. The air agency must receive must consult with each other to em- EPA Regional Administrator approval ploy a common technique for the area. of a request to cease operation of the (c) Monitoring. For each area identi- monitor as part of the EPA’s action on fied in the notification submitted pur- the Annual Monitoring Network Plan suant to paragraph (b) of this section under 40 CFR 58.10 prior to shutting as an area for which SO2 concentra- down any qualifying monitor under tions will be characterized through am- this paragraph (c). bient monitoring, the required mon- (d) Modeling. For each area identified itors shall be sited and operated either in the notification submitted pursuant as SLAMS or in a manner equivalent to paragraph (b) of this section as an to SLAMS. In either case, monitors area for which SO2 concentrations will shall meet applicable criteria in 40 be characterized through air quality CFR part 58, appendices A, C, and E modeling, the air agency shall submit and their data shall be subject to data by July 1, 2016, a technical protocol for certification and reporting require- conducting such modeling to the Re- ments as prescribed in 40 CFR 58.15 and gional Administrator for review. The 58.16. These requirements include quar- air agency shall consult with the ap- terly reporting of monitoring data to propriate EPA Regional Office in devel- the Air Quality System, and the an- oping these modeling protocols.

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(1) The modeling protocol shall in- mittal shall include associated air clude information about the modeling quality modeling and other analyses approach to be followed, including but that demonstrate that all modeling re- not limited to the model to be used, ceptors in the area will not violate the modeling domain, receptor grid, emis- 2010 SO2 NAAQS, taking into account sions dataset, meteorological dataset the updated allowable emission limits and how the air agency will account for on applicable sources as well as emis- background SO2 concentrations. sions limits that may apply to any (2) Modeling analyses shall charac- other sources in the area. The air agen- terize air quality based on either ac- cy shall not be subject to the ongoing tual SO2 emissions from the most re- data requirements of § 51.1205 for such cent 3 years, or on any federally en- area if the air quality modeling and forceable allowable emission limit or other analyses demonstrate that the limits established by the air agency or area will not violate the 2010 SO2 the EPA and that are effective and re- NAAQS. quire compliance by January 13, 2017. (3) Except as provided by § 51.1204, the § 51.1205 Ongoing data requirements. air agency shall conduct the modeling (a) Monitored areas. For any area analysis for any applicable source iden- where SO2 monitoring was conducted tified by the air agency pursuant to to characterize air quality pursuant to paragraph (a) of this section, and for § 51.1203, the air agency shall continue its associated area and any nearby to operate the monitor(s) used to meet area, as applicable, and submit the those requirements and shall continue modeling analysis to the EPA Regional to report ambient data pursuant to ex- Office by January 13, 2017. isting ambient monitoring regulations, (e) Federally enforceable requirement to unless the monitor(s) have been ap- limit SO2 emissions to under 2,000 tons per proved for shut down by the EPA Re- year. For each area identified in the no- gional Administrator pursuant to tification submitted pursuant to para- § 51.1203(c)(3) or pursuant to 40 CFR graph (b) of this sectionas an area for 58.14. which the air agency will adopt feder- (b) Modeled areas. For any area where ally enforceable requirements in lieu of modeling of actual SO2 emissions serve characterizing air quality through as the basis for designating such area monitoring or modeling, the air agency as attainment for the 2010 SO2 NAAQS, shall submit documentation to the the air agency shall submit an annual EPA by January 13, 2017, showing that report to the EPA Regional Adminis- such requirements have been adopted, trator by July 1 of each year, either as are in effect, and been made federally a stand-alone document made available enforceable by January 13, 2017, for public inspection, or as an appendix through an appropriate legal mecha- to its Annual Monitoring Network nism, and the provisions either: Plan (also due on July 1 each year (1) Require the applicable sources in under 40 CFR 58.10), that documents the area to emit less than 2,000 tons of the annual SO2 emissions of each appli- SO2 per year for calendar year 2017 and cable source in each such area and pro- thereafter; or vides an assessment of the cause of any (2) Document that the applicable emissions increase from the previous sources in the area have permanently year. The first report for each such shut down by January 13, 2017. area is due by July 1 of the calendar year after the effective date of the § 51.1204 Enforceable emission limits area’s initial designation. providing for attainment. (1) The air agency shall include in At any time prior to January 13, 2017, such report a recommendation regard- the air agency may submit to the EPA ing whether additional modeling is federally enforceable SO2 emissions needed to characterize air quality in limits (effective no later than January any area to determine whether the 13, 2017) for one or more applicable area meets or does not meet the 2010 sources that provide for attainment of SO2 NAAQS. The EPA Regional Admin- the 2010 SO2 NAAQS in the area af- istrator will consider the emissions re- fected by such emissions. The sub- port and air agency recommendation,

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and may require that the air agency (d) Designation for a NAAQS. The ef- conduct updated air quality modeling fective date of the designation for an for the area and submit it to the EPA area for that NAAQS. within 12 months. (e) Higher classification/lower classi- (2) An air agency will no longer be fication. For purposes of determining subject to the requirements of this whether a classification is higher or paragraph (b) for a particular area if it lower, classifications under subpart 2 provides air quality modeling dem- of part D of title I of the CAA are onstrating that air quality values at ranked from lowest to highest as fol- all receptors in the analysis are no lows: Marginal; Moderate; Serious; Se- greater than 50 percent of the 1-hour vere-15; Severe-17; and Extreme. SO2 NAAQS, and such demonstration is (f) 2008 ozone NAAQS means the 2008 approved by the EPA Regional Admin- 8-hour primary and secondary ozone istrator. NAAQS codified at 40 CFR 50.15. (c) Any air agency that demonstrates (g) Attainment year ozone season shall mean the ozone season immediately that an area would meet the 2010 SO2 NAAQS with allowable emissions is not preceding a nonattainment area’s max- required pursuant to paragraph (b) of imum attainment date. this section to submit future annual (h) Initially designated means the first reports for the area. designation that becomes effective for (d) If modeling or monitoring infor- an area for a specific NAAQS and does mation required to be submitted by the not include a redesignation to attain- air agency to the EPA pursuant to this ment or nonattainment for that specific NAAQS. subpart indicates that an area is not attaining the 2010 SO NAAQS, the (i) Nitrogen Oxides (NOX) means the 2 sum of nitric oxide and nitrogen diox- EPA may take appropriate action, in- ide in the flue gas or emission point, cluding but not limited to requiring collectively expressed as nitrogen diox- adoption of enforceable emission limits ide. to ensure continued attainment of the (j) Ozone season means for each state 2010 SO NAAQS, designation or redes- 2 (or portion of a state), the ozone moni- ignation of the area to nonattainment, toring season as defined in 40 CFR part or issuance of a SIP Call. 58, appendix D, section 4.1(i) for that state (or portion of a state). Subpart CC—Provisions for Imple- (k) Ozone transport region (OTR) mentation of the 2015 Ozone means the area established by CAA sec- National Ambient Air Quality tion 184(a) or any other area estab- Standards lished by the Administrator pursuant to CAA section 176A for purposes of ozone. SOURCE: 83 FR 10382, Mar. 9, 2018, unless otherwise noted. (l) Reasonable further progress (RFP) means the emissions reductions re- § 51.1300 Definitions. quired under CAA sections 172(c)(2), 182(c)(2)(B), 182(c)(2)(C), and § 51.1310. The following definitions apply for The EPA interprets RFP under CAA purposes of this subpart. Any term not section 172(c)(2) to be an average 3 per- defined herein shall have the meaning cent per year emissions reduction of ei- as defined in § 51.100. ther VOC or NOX. (a) 2015 NAAQS. The 2015 8-hour pri- (m) Rate-of-progress (ROP) means the mary and secondary ozone NAAQS 15 percent progress reductions in VOC codified at 40 CFR 50.19. emissions over the first 6 years after (b) 8-hour ozone design value. The 8- the baseline year required under CAA hour ozone concentration calculated section 182(b)(1). according to 40 CFR part 50, appendix (n) I/M refers to the inspection and P, for the 2008 NAAQS, and 40 CFR part maintenance programs for in-use vehi- 50, appendix U, for the 2015 NAAQS. cles required under the 1990 CAA (c) CAA. The Clean Air Act as codi- Amendments and defined by subpart S fied at 42 U.S.C. 7401–7671q (2010). of 40 CFR part 51.

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(o) Current ozone NAAQS means the § 51.1302 Classification and nonattain- most recently promulgated ozone ment area planning provisions. NAAQS at the time of application of An area designated nonattainment any provision of this subpart. for the 2015 ozone NAAQS will be clas- (p) Base year inventory for the nonattainment area means a comprehen- sified in accordance with CAA section sive, accurate, current inventory of ac- 181, as interpreted in § 51.1303(a), and tual emissions from sources of VOC and will be subject to the requirements of subpart 2 of part D of title I of the CAA NOX emitted within the boundaries of the nonattainment area as required by that apply for that classification. CAA section 182(a)(1). (q) Ozone season day emissions means § 51.1303 Application of classification an average day’s emissions for a typ- and attainment date provisions in ical ozone season work weekday. The CAA section 181 to areas subject to § 51.1302. state shall select, subject to EPA approval, the particular month(s) in the (a) In accordance with CAA section ozone season and the day(s) in the 181(a)(1), each area designated non- work week to be represented, consid- attainment for the 2015 ozone NAAQS ering the conditions assumed in the de- shall be classified by operation of law velopment of RFP plans and/or emis- at the time of designation. The classi- sions budgets for transportation con- fication shall be based on the 8-hour formity. design value for the area at the time of [83 FR 10382, Mar. 9, 2018, as amended at 83 designation, in accordance with Table 1 FR 63032, Dec. 6, 2018] of this paragraph (a). A state may request a higher or lower classification § 51.1301 Applicability of this part. as provided in paragraphs (b) and (c) of The provisions in subparts A through this section. For each area classified Y and AA of this part apply to areas for under this section, the attainment date purposes of the 2015 ozone NAAQS to for the 2015 NAAQS shall be as expedi- the extent they are not inconsistent tious as practicable, but not later than with the provisions of this subpart. the date provided in Table 1 as follows:

TABLE 1 TO PARAGRAPH (a)—CLASSIFICATIONS AND ATTAINMENT DATES FOR 2015 8-HOUR OZONE NAAQS (0.070 ppm) FOR AREAS SUBJECT TO § 51.1302

Primary standard 8-hour ozone attainment date Area class design value (years after the effective (ppm) date of designation for 2015 primary NAAQS)

Marginal ...... from up to * ...... 0.071 3 0.081 Moderate ...... from up to * ...... 0.081 6 0.093 Serious ...... from up to * ...... 0.093 9 0.105 Severe-15 ...... from up to * ...... 0.105 15 0.111 Severe-17 ...... from up to * ...... 0.111 17 0.163 Extreme ...... equal to or above ...... 0.163 20 * But not including.

(b) A state may request, and the Ad- lower classification for an area in ac- ministrator must approve, a higher cordance with CAA section 181(a)(4). classification for an area for any reason in accordance with CAA section §§ 51.1304–51.1305 [Reserved] 181(b)(3). § 51.1306 Redesignation to nonattain- (c) A state may request, and the Ad- ment following initial designations. ministrator may in the Administra- For any area that is initially des- tor’s discretion approve, a higher or ignated attainment for the 2015 ozone

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NAAQS and that is subsequently redes- demonstration that provides for such ignated to nonattainment for the 2015 specific reductions in emissions of ozone NAAQS, any absolute, fixed date VOCs and NOX as necessary to attain applicable in connection with the re- the primary NAAQS by the applicable quirements of this part other than an attainment date, and such demonstra- attainment date is extended by a pe- tion is due no later than 36 months riod of time equal to the length of time after the effective date of the area’s between the effective date of the initial designation for the 2015 ozone NAAQS. designation for the 2015 ozone NAAQS (b) An area classified Serious or high- and the effective date of the redesigna- er under § 51.1303(a) shall be subject to tion, except as otherwise provided in the attainment demonstration require- this subpart. The maximum attainment applicable for that classification ment date for a redesignated area under CAA section 182(c), and such would be based on the area’s classifica- demonstration is due no later than 48 tion, consistent with Table 1 in months after the effective date of the § 51.1303. area’s designation for the 2015 ozone [83 FR 63033, Dec. 6, 2018] NAAQS. (c) An attainment demonstration due § 51.1307 Determining eligibility for 1- pursuant to paragraph (a) or (b) of this year attainment date extensions for section must meet the requirements of an 8-hour ozone NAAQS under CAA Appendix W of this part and shall in- section 181(a)(5). clude inventory data, modeling results, (a) A nonattainment area will meet and emission reduction analyses on the requirement of CAA section which the state has based its projected 181(a)(5)(B) pertaining to 1-year exten- attainment date; the adequacy of an sions of the attainment date if: attainment demonstration shall be (1) For the first 1-year extension, the demonstrated by means of a photo- area’s 4th highest daily maximum 8- chemical grid model or any other ana- hour average in the attainment year is lytical method determined by the Ad- no greater than the level of that ministrator, in the Administrator’s NAAQS. discretion, to be at least as effective. (2) For the second 1-year extension, (d) Implementation of control measures. the area’s 4th highest daily maximum For each nonattainment area for which 8-hour value, averaged over both the an attainment demonstration is re- original attainment year and the first quired pursuant to paragraph (a) or (b) extension year, is no greater than the of this section, the state must provide level of that NAAQS. for implementation of all control (b) For purposes of paragraph (a)(1) of measures needed for attainment as ex- this section, the area’s 4th highest peditiously as practicable. All control daily maximum 8-hour average for a measures in the attainment plan and year shall be from the monitor with demonstration must be implemented the highest 4th highest daily maximum no later than the beginning of the at- 8-hour average for that year of all the tainment year ozone season, notwith- monitors that represent that area. standing any alternate RACT and/or (c) For purposes of paragraph (a)(2) of RACM implementation deadline re- this section, the area’s 4th highest quirements in § 51.1312. daily maximum 8-hour value, averaged over both the original attainment year [83 FR 63033, Dec. 6, 2018] and the first extension year, shall be § 51.1309 [Reserved] from the monitor in each year with the highest 4th highest daily maximum 8- § 51.1310 Requirements for reasonable hour average of all monitors that rep- further progress (RFP). resent that area. (a) RFP for nonattainment areas classi- [83 FR 63033, Dec. 6, 2018] fied pursuant to § 51.1303. The RFP requirements specified in CAA section 182 § 51.1308 Modeling and attainment for that area’s classification shall demonstration requirements. apply. (a) An area classified Moderate under (1) Submission deadline. For each area § 51.1303(a) shall submit an attainment classified Moderate or higher pursuant

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to § 51.1303, the state shall submit a SIP shall meet the requirements of either revision no later than 36 months after paragraph (a)(3)(i) or (ii) of this sec- the effective date of designation as tion. nonattainment for the 2015 ozone (i) The state shall not distinguish be- NAAQS that provides for RFP as de- tween the portion of the area with a scribed in paragraphs (a)(2) through (4) previously approved 15 percent ROP of this section. plan and the portion of the area with- (2) RFP requirements for areas with an out such a plan, and shall meet the re- approved prior ozone NAAQS 15 percent quirements of paragraph (a)(4) of this VOC ROP plan. An area classified Mod- section for the entire nonattainment erate or higher that has the same area. boundaries as an area, or is entirely (ii) The state shall treat the area as composed of several areas or portions two parts, each with a separate RFP of areas, for which the EPA fully ap- target as follows: proved a 15 percent plan for a prior (A) For the portion of the area with- ozone NAAQS is considered to have out an approved 15 percent VOC ROP met the requirements of CAA section plan for a prior ozone NAAQS, the 182(b)(1) for the 2015 ozone NAAQS and state shall submit a SIP revision as re- instead: quired under paragraph (a)(4) of this (i) If classified Moderate, the area is section. subject to the RFP requirements under (B) For the portion of the area with CAA section 172(c)(2) and shall submit an approved 15 percent VOC ROP plan a SIP revision that: for a prior ozone NAAQS, the state (A) Provides for a 15 percent emission shall submit a SIP as required under reduction from the baseline year with- paragraph (a)(2) of this section. in 6 years after the baseline year; and (4) ROP Requirements for areas without (B) Relies on either NOX or VOC an approved prior ozone NAAQS 15 per- emissions reductions (or a combina- cent VOC ROP plan. (i) For each area, tion) to meet the requirements of para- the state shall submit a SIP revision graph (a)(2)(i)(A) of this section. Use of consistent with CAA section 182(b)(1). NOX emissions reductions must meet The 6-year period referenced in CAA the criteria in CAA section 182(c)(2)(C). section 182(b)(1) shall begin January 1 (ii) If classified Serious or higher, the of the year following the year used for area is subject to RFP under CAA sec- the baseline emissions inventory. tions 172(c)(2) and 182(c)(2)(B), and shall (ii) For each area classified Serious submit a SIP revision no later than 48 or higher, the state shall submit a SIP months after the effective date of des- revision consistent with CAA section ignation providing for an average emis- 182(c)(2)(B). The final increment of sions reduction of 3 percent per year: progress must be achieved no later (A) For the first 6-year period after than the attainment date for the area. the baseline year and all remaining 3- (5) Creditability of emission control year periods until the year of the measures for RFP plans. Except as spe- area’s attainment date; and cifically provided in CAA section (B) That relies on either NOX or VOC 182(b)(1)(C) and (D), CAA section emissions reductions (or a combina- 182(c)(2)(B), and 40 CFR 51.1310(a)(6), all tion) to meet the requirements of emission reductions from SIP-approved (a)(2)(ii)(A). Use of NOX emissions re- or federally promulgated measures ductions must meet the criteria in that occur after the baseline emissions CAA section 182(c)(2)(C). inventory year are creditable for pur- (3) RFP requirements for areas for poses of the RFP requirements in this which an approved 15 percent VOC ROP section, provided the reductions meet plan for a prior ozone NAAQS exists for the requirements for creditability, in- only a portion of the area. An area that cluding the need to be enforceable, per- contains one or more portions for manent, quantifiable, and surplus. which the EPA fully approved a 15 per- (6) Creditability of out-of-area emissions cent VOC ROP plan for a prior ozone reductions. For purposes of meeting the NAAQS (as well as portions for which RFP requirements in § 51.1310, in addi- the EPA has not fully approved a 15 tion to the restrictions on the cred- percent plan for a prior ozone NAAQS) itability of emission control measures

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listed in § 51.1310(a)(5), creditable emis- each interval shall be the applicable sion reductions for fixed percentage re- milestone. duction RFP must be obtained from (2) Milestone compliance demonstra- emissions sources located within the tions. For each area subject to the nonattainment area. milestone requirements under para- (7) Calculation of non-creditable emis- graph (c)(1) of this section, not later sions reductions. The following four cat- than 90 days after the date on which an egories of control measures listed in applicable milestone occurs (not in- CAA section 182(b)(1)(D) are no longer cluding an attainment date on which a required to be calculated for exclusion milestone occurs in cases where the in RFP analyses because the Adminis- ozone standards have been attained), trator has determined that due to the each state in which all or part of such passage of time the effect of these ex- area is located shall submit to the Ad- clusions would be de minimis: ministrator a demonstration that the (i) Measures related to motor vehicle milestone has been met. The dem- exhaust or evaporative emissions pro- onstration under this paragraph must mulgated by January 1, 1990; provide for objective evaluation of RFP (ii) Regulations concerning Reid toward timely attainment of the ozone vapor pressure promulgated by Novem- NAAQS in the area, and may take the ber 15, 1990; form of: (iii) Measures to correct previous (i) Such information and analysis as RACT requirements; and needed to quantify the actual reduc- (iv) Measures required to correct pre- tion in emissions achieved in the time vious I/M programs. interval preceding the applicable mile- (b) Baseline emissions inventory for stone; or RFP plans. For the RFP plans required (ii) Such information and analysis as under this section, at the time of des- needed to demonstrate progress ignation as nonattainment for an ozone achieved in implementing the approved NAAQS the baseline emissions inven- SIP control measures, including RACM tory shall be the emissions inventory and RACT, corresponding with the refor the most recent calendar year for duction in emissions achieved in the which a complete triennial inventory is time interval preceding the applicable required to be submitted to the EPA milestone. under the provisions of subpart A of [83 FR 63033, Dec. 6, 2018] this part. States may use an alternative baseline emissions inventory § 51.1311 [Reserved] provided that the year selected corresponds with the year of the effective § 51.1312 Requirements for reasonably date of designation as nonattainment available control technology for that NAAQS. All states associated (RACT) and reasonably available with a multi-state nonattainment area control measures (RACM). must consult and agree on using the al- (a) RACT requirement for areas classi- ternative baseline year. The emissions fied pursuant to § 51.1303. (1) For each values included in the inventory re- nonattainment area classified Mod- quired by this section shall be actual erate or higher, the state shall submit ozone season day emissions as defined a SIP revision that meets the VOC and by § 51.1300(q). NOX RACT requirements in CAA sec- (c) Milestones—(1) Applicable mile- tions 182(b)(2) and 182(f). stones. Consistent with CAA section (2) SIP submission deadline. (i) For a 182(g)(1) for each area classified Serious RACT SIP required pursuant to initial or higher, the state shall determine at nonattainment area designations, the specified intervals whether each area state shall submit the RACT SIP for has achieved the reduction in emis- each area no later than 24 months after sions required under paragraphs (a)(2) the effective date of designation for a through (4) of this section. The initial specific ozone NAAQS. determination shall occur 6 years after (ii) For a RACT SIP required pursu- the baseline year, and at intervals of ant to reclassification, the SIP revision every 3 years thereafter. The reduction deadline is either 24 months from the in emissions required by the end of effective date of reclassification, or the

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deadline established by the Adminis- trol measures on sources of emissions trator in the reclassification action. of ozone precursors located outside the (iii) For a RACT SIP required pursu- nonattainment area, or portion there- ant to the issuance of a new Control of, located within the state if doing so Techniques Guideline (CTG) under CAA is necessary or appropriate to provide section 183, the SIP revision deadline is for attainment of the applicable ozone either 24 months from the date of CTG NAAQS in such area by the applicable issuance, or the deadline established by attainment date. the Administrator in the action issuing [83 FR 63033, Dec. 6, 2018] the CTG.

(3) RACT implementation deadline. (i) § 51.1313 Section 182(f) NOX exemption For RACT required pursuant to initial provisions. nonattainment area designations, the (a) A person or a state may petition state shall provide for implementation the Administrator for an exemption of such RACT as expeditiously as prac- from NOX obligations under CAA sec- ticable, but no later than January 1 of tion 182(f) for any area designated non- the fifth year after the effective date of attainment for a specific ozone NAAQS designation. and for any area in a CAA section 184 (ii) For RACT required pursuant to ozone transport region. reclassification, the state shall provide (b) The petition must contain ade- for implementation of such RACT as quate documentation that the criteria expeditiously as practicable, but no in CAA section 182(f) are met. later than the start of the attainment (c) A CAA section 182(f) NOX exemp- year ozone season associated with the tion granted for a prior ozone NAAQS area’s new attainment deadline, or does not relieve the area from any NOX January 1 of the third year after the obligations under CAA section 182(f) for associated SIP revision submittal a current ozone NAAQS. deadline, whichever is earlier; or the deadline established by the Adminis- [83 FR 63033, Dec. 6, 2018] trator in the final action issuing the § 51.1314 New source review require- area reclassification. ments. (iii) For RACT required pursuant to issuance of a new CTG under CAA sec- The requirements for nonattainment tion 183, the state shall provide for im- NSR for the ozone NAAQS are located plementation of such RACT as expedi- in § 51.165. For each nonattainment tiously as practicable, but either no area, the state shall submit a non- later than January 1 of the third year attainment NSR plan or plan revision after the associated SIP submission for a specific ozone NAAQS no later deadline or the deadline established by than 36 months after the effective date the Administrator in the final action of the area’s designation of nonattain- issuing the CTG. ment or redesignation to nonattain- (b) Determination of major stationary ment for that ozone NAAQS. sources for applicability of RACT provi- [83 FR 63033, Dec. 6, 2018] sions. The amount of VOC and NOX emissions are to be considered sepa- § 51.1315 Emissions inventory require- rately for purposes of determining ments. whether a source is a major stationary (a) For each nonattainment area, the source as defined in CAA section 302. state shall submit a base year inven- (c) RACM requirements. For each non- tory as defined by § 51.1300(p) to meet attainment area required to submit an the emissions inventory requirement of attainment demonstration under CAA section 182(a)(1). This inventory § 51.1308(a) and (b), the state shall sub- shall be submitted no later than 24 mit with the attainment demonstra- months after the effective date of des- tion a SIP revision demonstrating that ignation. The inventory year shall be it has adopted all RACM necessary to selected consistent with the baseline demonstrate attainment as expedi- year for the RFP plan as required by tiously as practicable and to meet any § 51.1310(b). RFP requirements. The SIP revision (b) For each nonattainment area, the shall include, as applicable, other con- state shall submit a periodic emissions

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inventory of emissions sources in the (ii) For a RACT SIP required pursu- area to meet the requirement in CAA ant to reclassification, the SIP revision section 182(a)(3)(A). With the exception deadline is either 24 months from the of the inventory year and timing of effective date of reclassification, or the submittal, this inventory shall be con- deadline established by the Adminis- sistent with the requirements of para- trator in the reclassification action. graph (a) of this section. Each periodic (iii) For a RACT SIP required pursu- inventory shall be submitted no later ant to the issuance of a new CTG under than the end of each 3-year period after CAA section 183, the SIP revision dead- the required submission of the base line is either 24 months from the date year inventory for the nonattainment of CTG issuance, or the deadline estab- area. This requirement shall apply lished by the Administrator in the ac- until the area is redesignated to at- tion issuing the CTG. tainment. (3) RACT implementation deadline. (i) (c) The emissions values included in For RACT required pursuant to initial the inventories required by paragraphs nonattainment area designations, the (a) and (b) of this section shall be ac- state shall provide for implementation tual ozone season day emissions as de- of RACT as expeditiously as prac- fined by § 51.1300(q). (d) In the inventories required by ticable, but no later than January 1 of paragraphs (a) and (b) of this section, the fifth year after the effective date of the state shall report emissions from designation. point sources according to the point (ii) For RACT required pursuant to source emissions thresholds of the Air reclassification, the state shall provide Emissions Reporting Requirements, 40 for implementation of such RACT as CFR part 51, subpart A. expeditiously as practicable, but no (e) The data elements in the emis- later than the start of the attainment sions inventories required by para- year ozone season associated with the graphs (a) and (b) of this section shall area’s new attainment deadline, or be consistent with the detail required January 1 of the third year after the by 40 CFR part 51, subpart A. Since associated SIP revision submittal only emissions within the boundaries deadline, whichever is earlier; or the of the nonattainment area shall be in- deadline established by the Adminis- cluded as defined by § 51.1300(q), this re- trator in the final action issuing the quirement shall apply to the emissions area reclassification. inventories required in this section in- (iii) For RACT required pursuant to stead of any total county requirements issuance of a new CTG under CAA sec- contained in 40 CFR part 51, subpart A. tion 183, the state shall provide for im- [83 FR 63033, Dec. 6, 2018] plementation of such RACT as expeditiously as practicable, but either no § 51.1316 Requirements for an Ozone later than January 1 of the third year Transport Region. after the associated SIP submission (a) In general. CAA sections 176A and deadline or the deadline established by 184 apply for purposes of the 2015 ozone the Administrator in the final action NAAQS. issuing the CTG. (b) RACT requirements for certain por- [83 FR 63033, Dec. 6, 2018] tions of an ozone transport region. (1) The state shall submit a SIP revision § 51.1317 Fee programs for Severe and that meets the RACT requirements of Extreme nonattainment areas that CAA section 184(b) for all portions of fail to attain. the state located in an ozone transport For each area classified Severe or Ex- region. treme for a specific ozone NAAQS, the (2) SIP submission deadline. (i) For a state shall submit a SIP revision with- RACT SIP required pursuant to initial in 10 years of the effective date of des- nonattainment area designations, the ignation for that ozone NAAQS that state shall submit the RACT SIP revi- meets the requirements of CAA section sion no later than 24 months after the 185. effective date of designation for a specific ozone NAAQS. [83 FR 63033, Dec. 6, 2018]

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§ 51.1318 Suspension of SIP planning Weather Service advisory that Atmospheric requirements in nonattainment Stagnation Advisory is in effect or the equiv- areas that have air quality data alent local forecast of stagnant atmospheric that meet an ozone NAAQS. condition. (b) Alert: The Alert level is that concentra- Upon a determination by the EPA tion of pollutants at which first stage con- that an area designated nonattainment trol actions is to begin. An Alert will be de- for a specific ozone NAAQS has at- clared when any one of the following levels is tained that NAAQS, the requirements reached at any monitoring site: μ 3 for such area to submit attainment SO2—800 g/m (0.3 p.p.m.), 24-hour average. μ 3 demonstrations and associated RACM, PM10—350 g/m , 24-hour average. CO—17 mg/m3 (15 p.p.m.), 8-hour average. RFP plans, contingency measures for 3 Ozone (O2) = 400 μg/m (0.2 ppm)-hour aver- failure to attain or make reasonable age. 3 progress, and other planning SIPs re- NO2–1130 μg/m (0.6 p.p.m.), 1-hour average, lated to attainment of the ozone 282 μg/m3 (0.15 p.p.m.), 24-hour average. NAAQS for which the determination In addition to the levels listed for the has been made, shall be suspended until above pollutants, meterological conditions such time as: The area is redesignated are such that pollutant concentrations can to attainment for that NAAQS, at be expected to remain at the above levels for twelve (12) or more hours or increase, or in which time the requirements no longer the case of ozone, the situation is likely to apply; or the EPA determines that the reoccur within the next 24-hours unless con- area has violated that NAAQS, at trol actions are taken. which time the area is again required (c) Warning: The warning level indicates to submit such plans. that air quality is continuing to degrade and that additional control actions are nec- [83 FR 63033, Dec. 6, 2018] essary. A warning will be declared when any one of the following levels is reached at any § 51.1319 [Reserved] monitoring site: 3 SO2—1,600 μg/m (0.6 p.p.m.), 24-hour average. APPENDIXES A–K TO PART 51 3 PM10—420 μg/m , 24-hour average. [RESERVED] CO—34 mg/m3 (30 p.p.m.), 8-hour average. 3 Ozone (O3)—800 μg/m (0.4 p.p.m.), 1-hour av- APPENDIX L TO PART 51—EXAMPLE REG- erage. ULATIONS FOR PREVENTION OF AIR 3 NO2—2,260 μg/m (1.2 ppm)—1-hour average; POLLUTION EMERGENCY EPISODES 565 μg/m3 (0.3 ppm), 24-hour average. The example regulations presented herein In addition to the levels listed for the reflect generally recognized ways of pre- above pollutants, meterological conditions venting air pollution from reaching levels are such that pollutant concentrations can that would cause imminent and substantial be expected to remain at the above levels for endangerment to the health of persons. twelve (12) or more hours or increase, or in States are required under subpart H to have the case of ozone, the situation is likely to emergency episodes plans but they are not reoccur within the next 24-hours unless con- required to adopt the regulations presented trol actions are taken. herein. (d) Emergency: The emergency level indi- 1.0 Air pollution emergency. This regulation cates that air quality is continuing to de- is designed to prevent the excessive buildup grade toward a level of significant harm to of air pollutants during air pollution epi- the health of persons and that the most sodes, thereby preventing the occurrence of stringent control actions are necessary. An an emergency due to the effects of these pol- emergency will be declared when any one of lutants on the health of persons. the following levels is reached at any moni- 1.1 Episode criteria. Conditions justifying toring site: 3 the proclamation of an air pollution alert, SO2—2,100 μg/m (0.8 p.p.m.), 24-hour average. 3 air pollution warning, or air pollution emer- PM10—500 μg/m , 24-hour average. gency shall be deemed to exist whenever the CO—46 mg/m3 (40 p.p.m.), 8-hour average. μ 3 Director determines that the accumulation Ozone (O3)—1,000 g/m (0.5 p.p.m.), 1-hour av- of air pollutants in any place is attaining or erage. μ 3 has attained levels which could, if such lev- NO2–3,000 g/m (1.6 ppm), 1-hour average; 750 els are sustained or exceeded, lead to a sub- μg/m3 (0.4 ppm), 24-hour average. stantial threat to the health of persons. In In addition to the levels listed for the making this determination, the Director will above pollutants, meterological conditions be guided by the following criteria: are such that pollutant concentrations can (a) Air Pollution Forecast: An internal be expected to remain at the above levels for watch by the Department of Air Pollution twelve (12) or more hours or increase, or in Control shall be actuated by a National the case of ozone, the situation is likely to

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reoccur within the next 24-hours unless con- quested by the Director in writing, prepare trol actions are taken. standby plans for reducing the emission of (e) Termination: Once declared, any status air pollutants during periods of an Air Pollu- reached by application of these criteria will tion Alert, Air Pollution Warning, and Air remain in effect until the criteria for that Pollution Emergency. Standby plans shall be level are no longer met. At such time, the designed to reduce or eliminate emissions of next lower status will be assumed. air pollutants in accordance with the objec- 1.2 Emission reduction plans. (a) Air Pollu- tives set forth in Tables I–III. tion Alert—When the Director declares an (c) Standby plans as required under section Air Pollution Alert, any person responsible 1.3(a) and (b) shall be in writing and identify for the operation of a source of air pollutants the sources of air pollutants, the approxi- as set forth in Table I shall take all Air Pol- mate amount of reduction of pollutants and lution Alert actions as required for such a brief description of the manner in which source of air pollutants and shall put into ef- the reduction will be achieved during an Air fect the preplanned abatement strategy for Pollution Alert, Air Pollution Warning, and an Air Pollution Alert. Air Pollution Emergency. (b) Air Pollution Warning—When the Di- (d) During a condition of Air Pollution rector declares an Air Pollution Warning, Alert, Air Pollution Warning, and Air Pollu- any person responsible for the operation of a tion Emergency, standby plans as required source of air pollutants as set forth in Table by this section shall be made available on II shall take all Air Pollution Warning ac- the premises to any person authorized to en- tions as required for such source of air pol- force the provisions of applicable rules and lutants and shall put into effect the regulations. preplanned abatement strategy for an Air (e) Standby plans as required by this sec- Pollution Warning. tion shall be submitted to the Director upon (c) Air Pollution Emergency—When the Di- request within thirty (30) days of the receipt rector declares an Air Pollution Emergency, of such request; such standby plans shall be any person responsible for the operation of a subject to review and approval by the Direc- source of air pollutants as described in Table tor. If, in the opinion of the Director, a III shall take all Air Pollution Emergency standby plan does not effectively carry out actions as required for such source of air pol- the objectives as set forth in Table I–III, the lutants and shall put into effect the Director may disapprove it, state his reason preplanned abatement strategy for an Air for disapproval and order the preparation of Pollution Emergency. an amended standby plan within the time pe- (d) When the Director determines that a riod specified in the order. specified criteria level has been reached at one or more monitoring sites solely because TABLE I—ABATEMENT STRATEGIES EMISSION of emissions from a limited number of REDUCTION PLANS ALERT LEVEL sources, he shall notify such source(s) that the preplanned abatement strategies of Ta- Part A. General bles I, II, and III or the standby plans are re- 1. There shall be no open burning by any quired, insofar as it applies to such source(s), persons of tree waste, vegetation, refuse, or and shall be put into effect until the criteria debris in any form. of the specified level are no longer met. 1.3 Preplanned abatement strategies, (a) Any 2. The use of incinerators for the disposal person responsible for the operation of a of any form of solid waste shall be limited to source of air pollutants as set forth in Tables the hours between 12 noon and 4 p.m. I–III shall prepare standby plans for reducing 3. Persons operating fuel-burning equip- the emission of air pollutants during periods ment which required boiler lancing or soot of an Air Pollution Alert, Air Pollution blowing shall perform such operations only Warning, and Air Pollution Emergency. between the hours of 12 noon and 4 p.m. Standby plans shall be designed to reduce or 4. Persons operating motor vehicles should eliminate emissions of air pollutants in ac- eliminate all unnecessary operations. cordance with the objectives set forth in Ta- Part B. Source curtailment bles I–III which are made a part of this section. Any person responsible for the operation of (b) Any person responsible for the oper- a source of air pollutants listed below shall ation of a source of air pollutants not set take all required control actions for this forth under section 1.3(a) shall, when re- Alert Level.

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Source of air pollution Control action

1. Coal or oil-fired electric power generating facilities ...... a. Substantial reduction by utilization of fuels having low ash and sulfur content. b. Maximum utilization of mid-day (12 noon to 4 p.m.) atmospheric turbulence for boiler lancing and soot blowing. c. Substantial reduction by diverting electric power generation to facilities outside of Alert Area. 2. Coal and oil-fired process steam generating facilities ...... a. Substantial reduction by utilization of fuels having low ash and sulfur content. b. Maximum utilization of mid-day (12 noon to 4 p.m.) atmospheric turbulence for boiler lancing and soot blowing. c. Substantial reduction of steam load demands consistent with continuing plant operations. 3. Manufacturing industries of the following classifications: a. Substantial reduction of air pollutants from manufacturing op- Primary Metals Industry. erations by curtailing, postponing, or deferring production and Petroleum Refining Operations. all operations. Chemical Industries. b. Maximum reduction by deferring trade waste disposal oper- Mineral Processing Industries. ations which emit solid particles, gas vapors or malodorous Paper and Allied Products. substances. Grain Industry. c. Maximum reduction of heat load demands for processing. d. Maximum utilization of mid-day (12 noon to 4 p.m.) atmospheric turbulence for boiler lancing and soot blowing.

TABLE II—EMISSION REDUCTION PLANS blowing shall perform such operations only between the hours of 12 noon and 4 p.m. WARNING LEVEL 4. Persons operating motor vehicles must Part A. General reduce operations by the use of car pools and increased use of public transportation and 1. There shall be no open burning by any elimination of unnecessary operation. persons of tree waste, vegetation, refuse, or debris in any form. Part B. Source curtailment 2. The use of incinerators for the disposal of any form of solid waste or liquid waste Any person responsible for the operation of shall be prohibited. a source of air pollutants listed below shall 3. Persons operating fuel-burning equip- take all required control actions for this ment which requires boiler lancing or soot Warning Level.

Source of air pollution Control action

1. Coal or oil-fired process steam generating facilities ...... a. Maximum reduction by utilization of fuels having lowest ash and sulfur content. b. Maximum utilization of mid-day (12 noon to 4 p.m.) atmospheric turbulence for boiler lancing and soot blowing. c. Maximum reduction by diverting electric power generation to facilities outside of Warning Area. 2. Oil and oil-fired process steam generating facilities ...... a. Maximum reduction by utilization of fuels having the lowest available ash and sulfur content. b. Maximum utilization of mid-day (12 noon to 4 p.m.) atmospheric turbulence for boiler lancing and soot blowing. c. Making ready for use a plan of action to be taken if an emergency develops. 3. Manufacturing industries which require considerable lead a. Maximum reduction of air contaminants from manufacturing time for shut-down including the following classifications: operations by, if necessary, assuming reasonable economic Petroleum Refining. hardships by postponing production and allied operation. Chemical Industries. b. Maximum reduction by deferring trade waste disposal oper- Primary Metals Industries. ations which emit solid particles, gases, vapors or malodorous Glass Industries. substances. Paper and Allied Products. c. Maximum reduction of heat load demands for processing. d. Maximum utilization of mid-day (12 noon to 4 p.m.) atmospheric turbulence for boiler lancing or soot blowing. 4. Manufacturing industries require relatively short lead times a. Elimination of air pollutants from manufacturing operations by for shut-down including the following classifications: ceasing, curtailing, postponing or deferring production and al- Primary Metals Industries. lied operations to the extent possible without causing injury to Chemical Industries. persons or damage to equipment. Mineral Processing Industries. b. Elimination of air pollutants from trade waste disposal proc- Grain Industry. esses which emit solid particles, gases, vapors or malodorous substances. c. Maximum reduction of heat load demands for processing. d. Maximum utilization of mid-day (12 noon to 4 p.m.) atmospheric turbulence for boiler lancing or soot blowing.

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TABLE III—EMISSION REDUCTION PLANS g. Banks, credit agencies other than banks, securities and commodities brokers, dealers, EMERGENCY LEVEL exchanges and services; offices of insurance carriers, agents and brokers, real estate of- Part A. General fices. 1. There shall be no open burning by any h. Wholesale and retail laundries, laundry persons of tree waste, vegetation, refuse, or services and cleaning and dyeing establish- debris in any form. ments; photographic studios; beauty shops, 2. The use of incinerators for the disposal barber shops, shoe repair shops. of any form of solid or liquid waste shall be i. Advertising offices; consumer credit re- prohibited. porting, adjustment and collection agencies; 3. All places of employment described duplicating, addressing, blueprinting; below shall immediately cease operations. photocopying, mailing, mailing list and sten- a. Mining and quarrying of nonmetallic ographic services; equipment rental services, minerals. commercial testing laboratories. b. All construction work except that which j. Automobile repair, automobile services, must proceed to avoid emergent physical garages. harm. k. Establishments rendering amusement c. All manufacturing establishments ex- and recreational services including motion cept those required to have in force an air picture theaters. pollution emergency plan. l. Elementary and secondary schools, col- d. All wholesale trade establishments; i.e., leges, universities, professional schools, jun- places of business primarily engaged in sell- ior colleges, vocational schools, and public ing merchandise to retailers, or industrial, and private libraries. commercial, institutional or professional users, or to other wholesalers, or acting as 4. All commercial and manufacturing es- agents in buying merchandise for or selling tablishments not included in this order will merchandise to such persons or companies, institute such actions as will result in max- except those engaged in the distribution of imum reduction of air pollutants from their drugs, surgical supplies and food. operation by ceasing, curtailing, or post- e. All offices of local, county and State poning operations which emit air pollutants government including authorities, joint to the extent possible without causing injury meetings, and other public bodies excepting to persons or damage to equipment. such agencies which are determined by the 5. The use of motor vehicles is prohibited chief administrative officer of local, county, except in emergencies with the approval of or State government, authorities, joint local or State police. meetings and other public bodies to be vital Part B. Source curtailment for public safety and welfare and the enforcement of the provisions of this order. Any person responsible for the operation of f. All retail trade establishments except a source of air pollutants listed below shall pharmacies, surgical supply distributors, and take all required control actions for this stores primarily engaged in the sale of food. Emergency Level.

Source of air pollution Control action

1. Coal or oil-fired electric power generating facilities ...... a. Maximum reduction by utilization of fuels having lowest ash and sulfur content. b. Maximum utilization of mid-day (12 noon to 4 p.m.) atmospheric turbulence for boiler lancing or soot blowing. c. Maximum reduction by diverting electric power generation to facilities outside of Emergency Area. 2. Coal and oil-fired process steam generating facilities ...... a. Maximum reduction by reducing heat and steam demands to absolute necessities consistent with preventing equipment damage. b. Maximum utilization of mid-day (12 noon to 4 p.m.) atmospheric turbulence for boiler lancing and soot blowing. c. Taking the action called for in the emergency plan. 3. Manufacturing industries of the following classifications: a. Elimination of air pollutants from manufacturing operations by Primary Metals Industries. ceasing, curtailing, postponing or deferring production and al- Petroleum Refining. lied operations to the extent possible without causing injury to Chemical Industries. persons or damage to equipment. Mineral Processing Industries. b. Elimination of air pollutants from trade waste disposal proc- Grain Industry. esses which emit solid particles, gases, vapors or malodorous Paper and Allied Products. substances. c. Maximum reduction of heat load demands for processing. d. Maximum utilization of mid-day (12 noon to 4 p.m.) atmospheric turbulence for boiler lancing or soot blowing.

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(Secs. 110, 301(a), 313, 319, Clean Air Act (42 U.S.C. 7410, 7601(a), 7613, 7619)) [36 FR 22398, Nov. 25, 1971; 36 FR 24002, Dec. 17, 1971, as amended at 37 FR 26312, Dec. 9, 1972; 40 FR 36333, Aug. 20, 1975; 41 FR 35676, Aug. 24, 1976; 44 FR 27570, May 10, 1979; 51 FR 40675, Nov. 7, 1986; 52 FR 24714, July 1, 1987]

APPENDIX M TO PART 51—RECOMMENDED 4.0 Quality Assurance Procedures. The per- TEST METHODS FOR STATE IMPLE- formance testing shall include a test method MENTATION PLANS performance audit (PA) during the performance test. The PAs consist of blind audit samples supplied by an accredited audit sam- Method 201—Determination of PM10 Emis- sions (Exhaust Gas Recycle Procedure). ple provider and analyzed during the performance test in order to provide a measure Method 201A—Determination of PM10 and of test data bias. Gaseous audit samples are PM2.5 Emissions From Stationary Sources (Constant Sampling Rate Procedure) designed to audit the performance of the Method 202—Dry Impinger Method for Deter- sampling system as well as the analytical mining Condensable Particulate Emissions system and must be collected by the sam- From Stationary Sources pling system during the compliance test just Method 203A—Visual Determination of Opac- as the compliance samples are collected. If a ity of Emissions from Stationary Sources liquid or solid audit sample is designed to for Time-Averaged Regulations. audit the sampling system, it must also be Method 203B—Visual Determination of Opac- collected by the sampling system during the compliance test. If multiple sampling sys- ity of Emissions from Stationary Sources tems or sampling trains are used during the for Time-Exception Regulations. compliance test for any of the test methods, Method 203C—Visual Determination of Opac- the tester is only required to use one of the ity of Emissions from Stationary Sources sampling systems per method to collect the for Instantaneous Regulations. audit sample. The audit sample must be ana- Method 204—Criteria for and Verification of lyzed by the same analyst using the same an- a Permanent or Temporary Total Enclo- alytical reagents and analytical system and sure. at the same time as the compliance samples. Method 204A—Volatile Organic Compounds Retests are required when there is a failure Content in Liquid Input Stream. to produce acceptable results for an audit Method 204B—Volatile Organic Compounds sample. However, if the audit results do not Emissions in Captured Stream. affect the compliance or noncompliance sta- Method 204C—Volatile Organic Compounds tus of the affected facility, the compliance Emissions in Captured Stream (Dilution authority may waive the reanalysis require- Technique). ment, further audits, or retests and accept Method 204D—Volatile Organic Compounds the results of the compliance test. Accept- Emissions in Uncaptured Stream from ance of the test results shall constitute a Temporary Total Enclosure. waiver of the reanalysis requirement, further Method 204E—Volatile Organic Compounds audits, or retests. The compliance authority Emissions in Uncaptured Stream from may also use the audit sample failure and Building Enclosure. the compliance test results as evidence to Method 204F—Volatile Organic Compounds determine the compliance or noncompliance Content in Liquid Input Stream (Distilla- status of the affected facility. A blind audit tion Approach). sample is a sample whose value is known Method 205—Verification of Gas Dilution only to the sample provider and is not re- Systems for Field Instrument Calibrations vealed to the tested facility until after it re- Method 207—Pre-Survey Procedure for Corn ports the measured value of the audit sam- Wet-Milling Facility Emission Sources ple. For pollutants that exist in the gas 1.0 Presented herein are recommended phase at ambient temperature, the audit test methods for measuring air sample shall consist of an appropriate con- pollutantemanating from an emission centration of the pollutant in air or nitrogen source. They are provided for States to use that will be introduced into the sampling in their plans to meet the requirements of system of the test method at or near the subpart K—Source Surveillance. same entry point as a sample from the emis- 2.0 The State may also choose to adopt sion source. If no gas phase audit samples other methods to meet the requirements of are available, an acceptable alternative is a subpart K of this part, subject to the normal sample of the pollutant in the same matrix plan review process. that would be produced when the sample is 3.0 The State may also meet the require- recovered from the sampling system as re- ments of subpart K of this part by adopting, quired by the test method. For samples that again subject to the normal plan review exist only in a liquid or solid form at ambi- process, any of the relevant methods in ap- ent temperature, the audit sample shall con- pendix A to 40 CFR part 60. sist of an appropriate concentration of the

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pollutant in the same matrix that would be may analyze the audit samples prior to col- produced when the sample is recovered from lecting the emission samples provided a rep- the sampling system as required by the test resentative of the compliance authority is method. An accredited audit sample provider present at the testing site. The tester may (AASP) is an organization that has been ac- request and the compliance authority may credited to prepare audit samples by an inde- grant a waiver to the requirement that a pendent, third party accrediting body. representative of the compliance authority a. The source owner, operator, or rep- must be present at the testing site during resentative of the tested facility shall obtain the field analysis of an audit sample. The an audit sample, if commercially available, source owner, operator, or representative from an AASP for each test method used for may report the results of the audit sample to regulatory compliance purposes. No audit the compliance authority and then report samples are required for the following test the results of the audit sample to the AASP methods: Methods 3A and 3C of appendix A– prior to collecting any emission samples. 3 of part 60 of this chapter, Methods 6C, 7E, The test protocol and final test report shall 9, and 10 of appendix A–4 of part 60, Methods document whether an audit sample was or- 18 and 19 of appendix A–6 of part 60, Methods dered and utilized and the pass/fail results as 20, 22, and 25A of appendix A–7 of part 60, applicable. Methods 30A and 30B of appendix A–8 of part b. An AASP shall have and shall prepare, 60, and Methods 303, 318, 320, and 321 of ap- analyze, and report the true value of audit pendix A of part 63 of this chapter. If mul- samples in accordance with a written tech- tiple sources at a single facility are tested nical criteria document that describes how during a compliance test event, only one audit samples will be prepared and distrib- audit sample is required for each method uted in a manner that will ensure the integ- used during a compliance test. The compli- rity of the audit sample program. An acceptance authority responsible for the compli- able technical criteria document shall con- ance test may waive the requirement to in- tain standard operating procedures for all of clude an audit sample if they believe that an the following operations: audit sample is not necessary. ‘‘Commer- 1. Preparing the sample; cially available’’ means that two or more 2. Confirming the true concentration of the independent AASPs have blind audit samples sample; available for purchase. If the source owner, 3. Defining the acceptance limits for the operator, or representative cannot find an results from a well qualified tester. This pro- audit sample for a specific method, the cedure must use well established statistical owner, operator, or representative shall con- methods to analyze historical results from sult the EPA Web site at the following URL, well qualified testers. The acceptance limits http://www.epa.gov/ttn/emc, to confirm wheth- shall be set so that there is 95 percent con- er there is a source that can supply an audit fidence that 90 percent of well qualified labs sample for that method. If the EPA Web site will produce future results that are within does not list an available audit sample at the acceptance limit range; least 60 days prior to the beginning of the 4. Providing the opportunity for the com- compliance test, the source owner, operator, pliance authority to comment on the se- or representative shall not be required to in- lected concentration level for an audit sam- clude an audit sample as part of the quality ple; assurance program for the compliance test. 5. Distributing the sample to the user in a When ordering an audit sample, the source manner that guarantees that the true value owner, operator, or representative shall give of the sample is unknown to the user; the sample provider an estimate for the con- 6. Recording the measured concentration centration of each pollutant that is emitted reported by the user and determining if the by the source or the estimated concentration measured value is within acceptable limits; of each pollutant based on the permitted 7. Report the results from each audit sam- level and the name, address, and phone num- ple in a timely manner to the compliance au- ber of the compliance authority. The source thority and to the source owner, operator, or owner, operator, or representative shall re- representative by the AASP. The AASP shall port the results for the audit sample along make both reports at the same time and in with a summary of the emissions test results the same manner or shall report to the com- for the audited pollutant to the compliance pliance authority first and then report to the authority and shall report the results of the source owner, operator, or representative. audit sample to the AASP. The source The results shall include the name of the fa- owner, operator, or representative shall cility tested, the date on which the compli- make both reports at the same time and in ance test was conducted, the name of the the same manner or shall report to the com- company performing the sample collection, pliance authority first and then report to the the name of the company that analyzed the AASP. If the method being audited is a compliance samples including the audit sam- method that allows the samples to be ana- ple, the measured result for the audit sam- lyzed in the field, and the tester plans to ple, and whether the testing company passed analyze the samples in the field, the tester or failed the audit. The AASP shall report

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the true value of the audit sample to the ments shall be posted on the EPA Web site compliance authority. The AASP may report at the following URL, http://www.epa.gov/ttn/ the true value to the source owner, operator, emc. or representative if the AASP’s operating plan ensures that no laboratory will receive METHOD 201—DETERMINATION OF PM10 the same audit sample twice. EMISSIONS 8. Evaluating the acceptance limits of sam- (EXHAUST GAS RECYCLE PROCEDURE) ples at least once every two years to determine in consultation with the voluntary con- 1. Applicability and Principle sensus standard body if they should be changed; 1.1 Applicability. This method applies to 9. Maintaining a database, accessible to the in-stack measurement of particulate the compliance authorities, of results from matter (PM) emissions equal to or less than the audit that shall include the name of the an aerodynamic diameter of nominally 10 μm facility tested, the date on which the compli- (PM10) from stationary sources. The EPA ance test was conducted, the name of the recognizes that condensible emissions not company performing the sample collection, collected by an in-stack method are also the name of the company that analyzed the PM10, and that emissions that contribute to compliance samples including the audit sam- ambient PM10 levels are the sum of condens- ple, the measured result for the audit sam- ible emissions and emissions measured by an ple, the true value of the audit sample, the in-stack PM10 method, such as this method acceptance range for the measured value, or Method 201A. Therefore, for establishing and whether the testing company passed or source contributions to ambient levels of failed the audit. PM10, such as for emission inventory pur- c. The accrediting body shall have a writ- poses, EPA suggests that source PM10 meas- ten technical criteria document that de- urement include both in-stack PM10 and con- scribes how it will ensure that the AASP is densible emissions. Condensible missions operating in accordance with the AASP tech- may be measured by an impinger analysis in nical criteria document that describes how combination with this method. audit samples are to be prepared and distrib- 1.2 Principle. A gas sample is uted. This document shall contain standard isokinetically extracted from the source. An operating procedures for all of the following in-stack cyclone is used to separate PM operations: greater than PM10, and an in-stack glass 1. Checking audit samples to confirm their fiber filter is used to collect the PM10. To true value as reported by the AASP; maintain isokinetic flow rate conditions at 2. Performing technical systems audits of the tip of the probe and a constant flow rate the AASP’s facilities and operating proce- through the cyclone, a clean, dried portion of dures at least once every 2 years. the sample gas at stack temperature is recy- 3. Providing standards for use by the vol- cled into the nozzle. The particulate mass is untary consensus standard body to approve determined gravimetrically after removal of the accrediting body that will accredit the uncombined water. audit sample providers. d. The technical criteria documents for the 2. Apparatus accredited sample providers and the accred- NOTE: Method 5 as cited in this method re- iting body shall be developed through a pub- fers to the method in 40 CFR part 60, appen- lic process guided by a voluntary consensus dix A. standards body (VCSB). The VCSB shall op- 2.1 Sampling Train. A schematic of the ex- erate in accordance with the procedures and haust of the exhaust gas recycle (EGR) train requirements in the Office of Management is shown in Figure 1 of this method. and Budget Circular A–119. A copy of Circular 2.1.1 Nozzle with Recycle Attachment. A–119 is available upon request by writing Stainless steel (316 or equivalent) with a the Office of Information and Regulatory Af- sharp tapered leading edge, and recycle at- fairs, Office of Management and Budget, 725 tachment welded directly on the side of the 17th Street, NW., Washington, DC 20503, by nozzle (see schematic in Figure 2 of this calling (202) 395–6880 or by downloading on- method). The angle of the taper shall be on line at http://standards.gov/standardslgov/ the outside. Use only straight sampling noz- a119.cfm. The VCSB shall approve all accred- zles. ‘‘Gooseneck’’ or other nozzle extensions iting bodies. The Administrator will review designed to turn the sample gas flow 90°, as all technical criteria documents. If the tech- in Method 5 are not acceptable. Locate a nical criteria documents do not meet the thermocouple in the recycle attachment to minimum technical requirements in this Ap- measure the temperature of the recycle gas pendix M, paragraphs b. through d., the tech- as shown in Figure 3 of this method. The re- nical criteria documents are not acceptable cycle attachment shall be made of stainless and the proposed audit sample program is steel and shall be connected to the probe and not capable of producing audit samples of nozzle with stainless steel fittings. Two noz- sufficient quality to be used in a compliance zle sizes, e.g., 0.125 and 0.160 in., should be test. All acceptable technical criteria docu- available to allow isokinetic sampling to be

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conducted over a range of flow rates. Cali- 2.2.1 Nozzle, Cyclone, and Filter Holder brate each nozzle as described in Method 5, Brushes. Nylon bristle brushes property sized Section 5.1. and shaped for cleaning the nozzle, cyclone, 2.1.2 PM10 Sizer. Cyclone, meeting the spec- filter holder, and probe or probe liner, with ifications in Section 5.7 of this method. stainless steel wire shafts and handles. 2.1.3 Filter Holder. 63mm, stainless steel. 2.2.2 Wash Bottles, Glass Sample Storage An Andersen filter, part number SE274, has Containers, Petri Dishes, Graduated Cylinder been found to be acceptable for the in-stack and Balance, Plastic Storage Containers, and filter. Funnels. Same as Method 5, Sections 2.2.2 NOTE: Mention of trade names or specific through 2.2.6 and 2.2.8, respectively. products does not constitute endorsement by 2.3 Analysis. Same as in Method 5, Section the Environmental Protection Agency. 2.3. 2.1.4 Pitot Tube. Same as in Method 5, Sec- tion 2.1.3. Attach the pitot to the pitot lines 3. Reagents with stainless steel fittings and to the cy- The reagents used in sampling, sample re- clone in a configuration similar to that covery, and analysis are the same as that shown in Figure 3 of this method. The pitot specified in Method 5, Sections 3.1, 3.2, and lines shall be made of heat resistant mate- 3.3, respectively. rial and attached to the probe with stainless steel fittings. 4. Procedure 2.1.5 EGR Probe. Stainless steel, 15.9-mm (5⁄8-in.) ID tubing with a probe liner, stainless 4.1 Sampling. The complexity of this meth- steel 9.53-mm (3⁄8-in.) ID stainless steel recy- od is such that, in order to obtain reliable re- cle tubing, two 6.35-mm (1⁄4-in.) ID stainless sults, testers should be trained and experi- steel tubing for the pitot tube extensions, enced with the test procedures. three thermocouple leads, and one power 4.1.1 Pretest Preparation. Same as in Meth- lead, all contained by stainless steel tubing od 5, Section 4.1.1. with a diameter of approximately 51 mm (2.0 4.1.2 Preliminary Determinations. Same as in.). Design considerations should include Method 5, Section 4.1.2, except use the direc- minimum weight construction materials suf- tions on nozzle size selection in this section. ficient for probe structural strength. Wrap Use of the EGR method may require a min- the sample and recycle tubes with a heating imum sampling port diameter of 0.2 m (6 in.). tape to heat the sample and recycle gases to Also, the required maximum number of sam- stack temperature. ple traverse points at any location shall be 2.1.6 Condenser. Same as in Method 5, Sec- 12. tion 2.1.7. 4.1.2.1 The cyclone and filter holder must 2.1.7 Umbilical Connector. Flexible tubing be in-stack or at stack temperature during with thermocouple and power leads of suffi- sampling. The blockage effects of the EGR cient length to connect probe to meter and sampling assembly will be minimal if the flow control console. 2.1.8 Vacuum Pump. Leak-tight, oil-less, cross-sectional area of the sampling assem- noncontaminating, with an absolute filter, bly is 3 percent or less of the cross-sectional ‘‘HEPA’’ type, at the pump exit. A Gast area of the duct and a pitot coefficient of 0.84 Model 0522–V103 G18DX pump has been found may be assigned to the pitot. If the cross- to be satisfactory. sectional area of the assembly is greater 2.1.9 Meter and Flow Control Console. Sys- than 3 percent of the cross-sectional area of tem consisting of a dry gas meter and cali- the duct, then either determine the pitot co- brated orifice for measuring sample flow rate efficient at sampling conditions or use a and capable of measuring volume to ±2 per- standard pitot with a known coefficient in a cent, calibrated laminar flow elements configuration with the EGR sampling assem- (LFE’s) or equivalent for measuring total bly such that flow disturbances are mini- and sample flow rates, probe heater control, mized. and manometers and magnehelic gauges (as 4.1.2.2 Construct a setup of pressure drops shown in Figures 4 and 5 of this method), or for various Dp’s and temperatures. A com- equivalent. Temperatures needed for calcula- puter is useful for these calculations. An ex- tions include stack, recycle, probe, dry gas ample of the output of the EGR setup pro- meter, filter, and total flow. Flow measure- gram is shown in Figure 6 of this method, ments include velocity head (Dp), orifice dif- and directions on its use are in section 4.1.5.2 ferential pressure (DH), total flow, recycle of this method. Computer programs, written flow, and total back-pressure through the in IBM BASIC computer language, to do system. these types of setup and reduction calcula- 2.1.10 Barometer. Same as in Method 5, tions for the EGR procedure, are available Section 2.1.9. through the National Technical Information 2.1.11 Rubber Tubing. 6.35-mm (1/4-in.) ID Services (NTIS), Accession number PB90– flexible rubber tubing. 500000, 5285 Port Royal Road, Springfield, VA 2.2 Sample Recovery. 22161.

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4.1.2.3 The EGR setup program allows the parts: the sample-side and the recycle-side. tester to select the nozzle size based on an- The sample-side leak-check is required at ticipated average stack conditions and prints the beginning of the run with the cyclone at- a setup sheet for field use. The amount of re- tached, and after the run with the cyclone cycle through the nozzle should be between removed. The cyclone is removed before the 10 and 80 percent. Inputs for the EGR setup post-test leak-check to prevent any disturb- program are stack temperature (minimum, ance of the collected sample prior to anal- maximum, and average), stack velocity ysis. The recycle-side leak-check tests the (minimum, maximum, and average), atmos- leak tight integrity of the recycle compo- pheric pressure, stack static pressure, meter nents and is required prior to the first test box temperature, stack moisture, percent 0 , 2 run and after each shipment. and percent CO in the stack gas, pitot coef- 2 4.1.4.1 Pretest Leak-Check. A pretest leak- ficient (Cp), orifice D H2, flow rate measurement calibration values [slope (m) and y- check of the entire sample-side, including intercept (b) of the calibration curve], and the cyclone and nozzle, is required. Use the the number of nozzles available and their di- leak-check procedure in Section 4.1.4.3 of ameters. this method to conduct a pretest leak-check. 4.1.2.4 A less rigorous calculation for the 4.1.4.2 Leak-Checks During Sample Run. setup sheet can be done manually using the Same as in Method 5, Section 4.1.4.1. equations on the example worksheets in Fig- 4.1.4.3 Post-Test Leak-Check. A leak-check ures 7, 8, and 9 of this method, or by a Hew- is required at the conclusion of each sam- lett-Packard HP41 calculator using the pro- pling run. Remove the cyclone before the gram provided in appendix D of the EGR op- leak-check to prevent the vacuum created by erators manual, entitled Applications Guide the cooling of the probe from disturbing the for Source PM10 Exhaust Gas Recycle Sampling collected sample and use the following proce- System. This calculation uses an approxima- dure to conduct a post-test leak-check. tion of the total flow rate and agrees within 4.1.4.3.1 The sample-side leak-check is per- 1 percent of the exact solution for pressure drops at stack temperatures from 38 to 260 °C formed as follows: After removing the cy- (100 to 500 °F) and stack moisture up to 50 clone, seal the probe with a leak-tight stop- percent. Also, the example worksheets use a per. Before starting pump, close the coarse constant stack temperature in the calcula- total valve and both recycle valves, and open tion, ingoring the complicated temperature completely the sample back pressure valve dependence from all three pressure drop and the fine total valve. After turning the equations. Errors for this at stack tempera- pump on, partially open the coarse total tures ±28 °C (±50 °F) of the temperature used valve slowly to prevent a surge in the main the setup calculations are within 5 per- nometer. Adjust the vacuum to at least 381 cent for flow rate and within 5 percent for mm Hg (15.0 in. Hg) with the fine total valve. cyclone cut size. If the desired vacuum is exceeded, either 4.1.2.5 The pressure upstream of the LFE’s leak-check at this higher vacuum or end the is assumed to be constant at 0.6 in. Hg in the leak-check as shown below and start over. EGR setup calculations. CAUTION: Do not decrease the vacuum with 4.1.2.6 The setup sheet constructed using any of the valves. This may cause a rupture this procedure shall be similar to Figure 6 of this method. Inputs needed for the calcula- of the filter. tion are the same as for the setup computer NOTE: A lower vacuum may be used, pro- except that stack velocities are not needed. vided that it is not exceeded during the test. 4.1.3 Preparation of Collection Train. Same 4.1.4.3.2 Leak rates in excess of 0.00057 m3/ as in Method 5, Section 4.1.3, except use the min (0.020 ft3/min) are unacceptable. If the following directions to set up the train. leak rate is too high, void the sampling run. 4.1.3.1 Assemble the EGR sampling device, 4.1.4.3.3 To complete the leak-check, slowly and attach it to probe as shown in Figure 3 remove the stopper from the nozzle until the of this method. If stack temperatures exceed vacuum is near zero, then immediately turn 260 °C (500 °F), then assemble the EGR cyclone without the O-ring and reduce the vac- off the pump. This procedure sequence pre- uum requirement to 130 mm Hg (5.0 in. Hg) in vents a pressure surge in the manometer the leak-check procedure in Section 4.1.4.3.2 fluid and rupture of the filter. of this method. 4.1.4.3.4 The recycle-side leak-check is per- 4.1.3.2 Connect the proble directly to the formed as follows: Close the coarse and fine filter holder and condenser as in Method 5. total valves and sample back pressure valve. Connect the condenser and probe to the Plug the sample inlet at the meter box. Turn meter and flow control console with the um- on the power and the pump, close the recycle bilical connector. Plug in the pump and at- valves, and open the total flow valves. Ad- tach pump lines to the meter and flow con- just the total flow fine adjust valve until a trol console. vacuum of 25 inches of mercury is achieved. 4.1.4 Leak-Check Procedure. The leak- If the desired vacuum is exceeded, either check for the EGR Method consists of two leak-check at this higher vacuum, or end the

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leak-check and start over. Minimum accept- 4.1.5.5 During the test run, monitor the able leak rates are the same as for the sam- probe and filter temperatures periodically, ple-side. If the leak rate is too high, void the and make adjustments as necessary to main- sampling run. tain the desired temperatures. If the sample 4.1.5 EGR Train Operation. Same as in loading is high, the filter may begin to blind Method 5, Section 4.1.5, except omit ref- or the cyclone may clog. The filter or the cy- erences to nomographs and recommenda- clone may be replaced during the sample tions about changing the filter assembly dur- run. Before changing the filter or cyclone, ing a run. conduct a leak-check (Section 4.1.4.2 of this 4.1.5.1 Record the data required on a data method). The total particulate mass shall be sheet such as the one shown in Figure 10 of the sum of all cyclone and the filter catch this method. Make periodic checks of the during the run. Monitor stack temperature manometer level and zero to ensure correct and Dp periodically, and make the necessary DH and Dp values. An acceptable procedure adjustments in sampling and recycle flow for checking the zero is to equalize the pres- rates to maintain isokinetic sampling and sure at both ends of the manometer by pull- the proper flow rate through the cyclone. At ing off the tubing, allowing the fluid to the end of the run, turn off the pump, close equilibrate and, if necessary, to re-zero. the coarse total valve, and record the final Maintain the probe temperature to within 11 dry gas meter reading. Remove the probe °C (20 °F) of stack temperature. from the stack, and conduct a post-test leak- 4.1.5.2 The procedure for using the example check as outlined in Section 4.1.4.3 of this EGR setup sheet is as follows: Obtain a stack method. velocity reading from the pitot manometer 4.2 Sample Recovery. Allow the probe to (Dp), and find this value on the ordinate axis cool. When the probe can be safely handled, of the setup sheet. Find the stack tempera- wipe off all external PM adhering to the out- ture on the abscissa. Where these two values side of the nozzle, cyclone, and nozzle at- intersect are the differential pressures nec- tachment, and place a cap over the nozzle to essary to achieve isokineticity and 10 μm cut prevent losing or gaining PM. Do not cap the size (interpolation may be necessary). nozzle tip tightly while the sampling train is 4.1.5.3 The top three numbers are differen- cooling, as this action would create a vacu- tial pressures (in. H2 O), and the bottom um in the filter holder. Disconnect the probe number is the percent recycle at these flow from the umbilical connector, and take the settings. Adjust the total flow rate valves, probe to the cleanup site. Sample recovery coarse and fine, to the sample value (DH) on should be conducted in a dry indoor area or, the setup sheet, and the recycle flow rate if outside, in an area protected from wind valves, coarse and fine, to the recycle flow and free of dust. Cap the ends of the on the setup sheet. impingers and carry them to the cleanup 4.1.5.4 For startup of the EGR sample train, site. Inspect the components of the train the following procedure is recommended. prior to and during disassembly to note any Preheat the cyclone in the stack for 30 min- abnormal conditions. Disconnect the pitot utes. Close both the sample and recycle from the cyclone. Remove the cyclone from coarse valves. Open the fine total, fine recy- the probe. Recover the sample as follows: cle, and sample back pressure valves half- 4.2.1 Container Number 1 (Filter). The recov- way. Ensure that the nozzle is properly ery shall be the same as that for Container aligned with the sample stream. After noting Number 1 in Method 5, Section 4.2. the Dp and stack temperature, select the ap- 4.2.2 Container Number 2 (Cyclone or Large propriate DH and recycle from the EGR setup PM Catch). The cyclone must be disassem- sheet. Start the pump and timing device si- bled and the nozzle removed in order to re- multaneously. Immediately open both the cover the large PM catch. Quantitatively re- coarse total and the coarse recycle valves cover the PM from the interior surfaces of slowly to obtain the approximate desired the nozzle and the cyclone, excluding the values. Adjust both the fine total and the ‘‘turn around’’ cup and the interior surfaces fine recycle valves to achieve more precisely of the exit tube. The recovery shall be the the desired values. In the EGR flow system, same as that for Container Number 2 in adjustment of either valve will result in a Method 5, Section 4.2.

change in both total and recycle flow rates, 4.2.3 Container Number 3 (PM10). Quan- and a slight iteration between the total and titatively recover the PM from all of the sur- recycle valves may be necessary. Because faces from cyclone exit to the front half of the sample back pressure valve controls the the in-stack filter holder, including the total flow rate through the system, it may ‘‘turn around’’ cup and the interior of the be necessary to adjust this valve in order to exit tube. The recovery shall be the same as obtain the correct flow rate. that for Container Number 2 in Method 5, NOTE: Isokinetic sampling and proper oper- Section 4.2. ation of the cyclone are not achieved unless 4.2.4 Container Number 4 (Silica Gel). Same the correct DH and recycle flow rates are as that for Container Number 3 in Method 5, maintained. Section 4.2.

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4.2.5 Impinger Water. Same as in Method 5, (10 °F). If this agreement is not met, adjust Section 4.2, under ‘‘Impinger Water.’’ or replace the probe heater controller. 4.3 Analysis. Same as in Method 5, Section 5.5 Temperature Gauges. Connect all 4.3, except handle EGR Container Numbers 1 thermocouples, and let the meter and flow and 2 like Container Number 1 in Method 5, control console equilibrate to ambient tem- EGR Container Numbers 3, 4, and 5 like Con- perature. All thermocouples shall agree to tainer Number 3 in Method 5, and EGR Con- within 1.1 °C (2.0 °F) with a standard mer- tainer Number 6 like Container Number 3 in cury-in-glass thermometer. Replace defec- Method 5. Use Figure 11 of this method to tive thermocouples. record the weights of PM collected. 5.6 Barometer. Calibrate against a stand- 4.4 Quality Control Procedures. Same as in ard mercury-in-glass barometer. Method 5, Section 4.4. 5.7 Probe Cyclone and Nozzle Combina- 4.5 PM10 Emission Calculation and Accept- tions. The probe cyclone and nozzle combina- ability of Results. Use the EGR reduction tions need not be calibrated if the cyclone program or the procedures in section 6 of meets the design specifications in Figure 12 this method to calculate PM10 emissions and of this method and the nozzle meets the de- the criteria in section 6.7 of this method to sign specifications in appendix B of the Ap- 3 determine the acceptability of the results. plication Guide for the Source PM 10 Exhaust Gas Recycle Sampling System, EPA/600/3–88–058. 5. Calibration This document may be obtained from Roy Maintain an accurate laboratory log of all Huntley at (919) 541–1060. If the nozzles do not calibrations. meet the design specifications, then test the 5.1 Probe Nozzle. Same as in Method 5, Sec- cyclone and nozzle combination for con- tion 5.1. formity with the performance specifications 5.2 Pitot Tube. Same as in Method 5, Sec- (PS’s) in Table 1 of this method. The purpose tion 5.2. of the PS tests is to determine if the cy- 5.3 Meter and Flow Control Console. clone’s sharpness of cut meets minimum per- 5.3.1 Dry Gas Meter. Same as in Method 5, formance criteria. If the cyclone does not Section 5.3. meet design specifications, then, in addition 5.3.2 LFE Gauges. Calibrate the recycle, to the cyclone and nozzle combination con- total, and inlet total LFE gauges with a ma- forming to the PS’s, calibrate the cyclone nometer. Read and record flow rates at 10, 50, and determine the relationship between flow and 90 percent of full scale on the total and rate, gas viscosity, and gas density. Use the recycle pressure gauges. Read and record procedures in Section 5.7.5 of this method to flow rates at 10, 20, and 30 percent of full conduct PS tests and the procedures in Sec- scale on the inlet total LFE pressure gauge. tion 5.8 of this method to calibrate the cy- Record the total and recycle readings to the clone. Conduct the PS tests in a wind tunnel nearest 0.3 mm (0.01 in.). Record the inlet described in Section 5.7.1 of this method and total LFE readings to the nearest 3 mm (0.1 using a particle generation system described in.). Make three separate measurements at in Section 5.7.2 of this method. Use five par- each setting and calculate the average. The ticle sizes and three wind velocities as listed maximum difference between the average in Table 2 of this method. Perform a min- pressure reading and the average manometer imum of three replicate measurements of reading shall not exceed 1 mm (0.05 in.). If collection efficiency for each of the 15 condi- the differences exceed the limit specified, ad- tions listed, for a minimum of 45 measure- just or replace the pressure gauge. After ments. each field use, check the calibration of the 5.7.1 Wind Tunnel. Perform calibration and pressure gauges. PS tests in a wind tunnel (or equivalent test 5.3.3 Total LFE. Same as the metering sys- apparatus) capable of establishing and main- tem in Method 5, Section 5.3. taining the required gas stream velocities 5.3.4 Recycle LFE. Same as the metering within 10 percent. system in Method 5, Section 5.3, except com- 5.7.2 Particle Generation System. The par- pletely close both the coarse and fine recycle ticle generation system shall be capable of valves. producing solid monodispersed dye particles 5.4 Probe Heater. Connect the probe to the with the mass median aerodynamic diame- meter and flow control console with the um- ters specified in Table 2 of this method. The bilical connector. Insert a thermocouple into particle size distribution verification should the probe sample line approximately half the be performed on an integrated sample ob- length of the probe sample line. Calibrate tained during the sampling period of each the probe heater at 66 °C (150 °F), 121 °C (250 test. An acceptable alternative is to verify °F), and 177 °C (350 °F). Turn on the power, the size distribution of samples obtained be- and set the probe heater to the specified fore and after each test, with both samples temperature. Allow the heater to equili- required to meet the diameter and brate, and record the thermocouple tempera- monodispersity requirements for an accept- ture and the meter and flow control console able test run. temperature to the nearest 0.5 °C (1 °F). The 5.7.2.1 Establish the size of the solid dye two temperatures should agree within 5.5 °C particles delivered to the test section of the

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wind tunnel using the operating parameters tem capable of measuring flow rates to with- of the particle generation system, and verify in 2 percent. the size during the tests by microscopic ex- 5.7.5 Performance Specification Procedure. amination of samples of the particles col- Establish the test particle generator oper- lected on a membrane filter. The particle ation and verify the particle size microscopi- size, as established by the operating param- cally. If mondispersity is to be verified by eters of the generation system, shall be with- measurements at the beginning and the end in the tolerance specified in Table 2 of this of the run rather than by an integrated sam- method. The precision of the particle size ple, these measurements may be made at verification technique shall be at least ±0.5 this time. μm, and the particle size determined by the 5.7.5.1 The cyclone cut size (D50) is defined verification technique shall not differ by as the aerodynamic diameter of a particle more than 10 percent from that established having a 50 percent probability of penetra- by the operating parameters of the particle tion. Determine the required cyclone flow generation system. rate at which D50 is 10 μm. A suggested pro- 5.7.2.2 Certify the monodispersity of the cedure is to vary the cyclone flow rate while particles for each test either by microscopic keeping a constant particle size of 10 μm. inspection of collected particles on filters or Measure the PM collected in the cyclone by other suitable monitoring techniques (mc), exit tube (mt), and filter (mf). Compute such as an optical particle counter followed the cyclone efficiency (E ) as follows: by a multichannel pulse height analyzer. If c the proportion of multiplets and satellites in m an aerosol exceeds 10 percent by mass, the E = c ×100 particle generation system is unacceptable c ()++ for purposes of this test. Multiplets are par- mmmctf ticles that are agglomerated, and satellites 5.7.5.2 Perform three replicates and cal- are particles that are smaller than the speci- culate the average cyclone efficiency as fol- fied size range. lows: 5.7.3 Schematic Drawings. Schematic drawings of the wind tunnel and blower system ()EEE++ and other information showing complete pro- = 123 cedural details of the test atmosphere gen- Eavg eration, verification, and delivery techniques 3 shall be furnished with calibration data to where E1, E2, and E3 are replicate measure- the reviewing agency. ments of Ec. 5.7.4 Flow Rate Measurement. Determine 5.7.5.3 Calculate the standard deviation (s) the cyclone flow rates with a dry gas meter for the replicate measurements of Ec as fol- and a stopwatch, or a calibrated orifice sys- lows:

1 ⎡ 2 ⎤ ()EEE++ 2 ⎢ 2 ++2 2 − 123⎥ ()EEE1 2 3 ⎢ 3 ⎥ σ=⎢ ⎥ ⎢ 2 ⎥ ⎢ ⎥ ⎣ ⎦

if s exceeds 0.10, repeat the replicate runs. tain ±5 percent precision on the total col- 5.7.5.4 Using the cyclone flow rate that lected mass as determined by the precision produces D50 for 10 μm, measure the overall and the sensitivity of the measuring tech- efficiency of the cyclone and nozzle, Eo, at nique. Determine separately the nozzle catch the particle sizes and nominal gas velocities (mn), cyclone catch (mc), cyclone exit tube in Table 2 of this method using this fol- catch (mt), and collection filter catch (mf). lowing procedure. 5.7.5.6 Calculate the overall efficiency (Eo) 5.7.5.5 Set the air velocity in the wind as follows: tunnel to one of the nominal gas velocities from Table 2 of this method. Establish ()mm+ isokinetic sampling conditions and the cor- E = nc ×100 rect flow rate through the sampler (cyclone o ()+++ and nozzle) using recycle capacity so that mmmmnctf the D50 is 10 μm. Sample long enough to ob- 451

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5.7.5.7 Do three replicates for each com- obtained in the PS tests in Section 5.7.5 may bination of gas velocities and particle sizes be used. in Table 2 of this method. Calculate Eo for 5.8.1.1 On log-log graph paper, plot the Rey- each particle size following the procedures nolds number (Re) on the abscissa, and the described in this section for determining effi- square root of the Stokes 50 number ciency. Calculate the standard deviation (s) 1 [(STK50) ⁄2] on the ordinate for each tempera- for the replicate measurements. If s exceeds ture. Use the following equations: 0.10, repeat the replicate runs. 5.7.6 Criteria for Acceptance. For each of 4ρQ the three gas stream velocities, plot the av- Re = cyc erage Eo as a function of particle size on Fig- πμ ure 13 of this method. Draw a smooth curve dcyc cyc for each velocity through all particle sizes. The curve shall be within the banded region 1 for all sizes, and the average Ec for a D50 for ⎡ 2 ⎤ 2 μ ± 10 m shall be 50 0.5 percent. 1 ⎢ 4QDcyc ()50 ⎥ 5.8 Cyclone Calibration Procedure. The 2 = ()Stk 50 purpose of this section is to develop the rela- ⎢ πμ 3 ⎥ tionship between flow rate, gas viscosity, gas ⎣⎢9 cyc()d cyc ⎦⎥ density, and D50. This procedure only needs to be done on those cyclones that do not where: 3 meet the design specifications in Figure 12 of Qcyc = Cyclone flow rate cm /sec. this method. r = Gas density, g/cm3. 5.8.1 Calculate cyclone flow rate. Deter- dcyc = Diameter of cyclone inlet, cm. mine the flow rates and D50’s for three dif- μ = Viscosity of gas through the cyclone, ferent particle sizes between 5 μm and 15 μm, cyc poise. one of which shall be 10 μm. All sizes must be within 0.5 μm. For each size, use a different D50 = Cyclone cut size, cm. temperature within 60 °C (108 °F) of the tem- 5.8.1.2 Use a linear regression analysis to perature at which the cyclone is to be used determine the slope (m), and the y-intercept and conduct triplicate runs. A suggested pro- (b). Use the following formula to determine cedure is to keep the particle size constant Q, the cyclone flow rate required for a cut and vary the flow rate. Some of the values size of 10 μm.

πμ ⎡ ⎤ = cyc ()b −−()Ts − (.)/(.)mm−−15 05 QKm[]3000()1 0./(.) 5⎢ ⎥mm 0 5 4 ⎣MPcs⎦

where: through 6.7, and 6.9 through 6.12, with the ad- Q = Cyclone flow rate for a cut size of 10 μm, dition of the following: cm3/sec. 6.1.2 Nomenclature. Bc = Moisture fraction of mixed cyclone gas, Ts = Stack gas temperature, °K, d = Diameter of nozzle, cm. by volume, dimensionless. C = Viscosity constant, 51.12 micropoise for K = 4.077 × 10¥3. 1 1 °K (51.05 micropoise for ° R). 5.8.2. Directions for Using Q. Refer to Sec- C2 = Viscosity constant, 0.372 micropoise/°K tion 5 of the EGR operators manual for di- (0.207 micropoise/° R). rections in using this expression for Q in the ¥4 C3 = Viscosity constant, 1.05 × 10 setup calculations. micropoise/°K2 (3.24 × 10¥5 micropoise/° R2). 6. Calculations C4 = Viscosity constant, 53.147 micropoise/ 6.1 The EGR data reduction calculations fraction O2. are performed by the EGR reduction com- C5 = Viscosity constant, 74.143 micropoise/ puter program, which is written in IBM fraction H2 O. BASIC computer language and is available D50 = Diameter of particles having a 50 per- through NTIS, Accession number PB90- cent probability of penetration, μm. 500000, 5285 Port Royal Road, Springfield, f02 = Stack gas fraction O2 by volume, dry Virginia 22161. Examples of program inputs basis.

and outputs are shown in Figure 14 of this K1 = 0.3858 °K/mm Hg (17.64 ° R/in. Hg). method. Mc = Wet molecular weight of mixed gas 6.1.1 Calculations can also be done manu- through the PM10 cyclone, g/g-mole (lb/ ally, as specified in Method 5, Sections 6.3 lb-mole).

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Md = Dry molecular weight of stack gas, g/g- q = Total sampling time, min. mole (lb/lb-mole). μcyc = Viscosity of mixed cyclone gas, Pbar = Barometer pressure at sampling site, micropoise. mm Hg (in. Hg). μLFE = Viscosity of gas laminar flow ele- Pin1 = Gauge pressure at inlet to total LFE, ments, micropoise. mm H2 O (in. H2 O). μstd = Viscosity of standard air, 180.1 P3 = Absolute stack pressure, mm Hg (in. micropoise. Hg). 6.2 PM10 Particulate Weight. Determine Q2 = Total cyclone flow rate at wet cyclone the weight of PM10 by summing the weights conditions, m3/min (ft3/min). obtained from Container Numbers 1 and 3, Qs(std) = Total cyclone flow rate at standard less the acetone blank. conditons, dscm/min (dscf/min). 6.3 Total Particulate Weight. Determine Tm = Average temperature of dry gas meter, the particulate catch for PM greater than °K (°R). PM10 from the weight obtained from Con- Ts = Average stack gas temperature, °K (°R). tainer Number 2 less the acetone blank, and Vw(std) = Volume of water vapor in gas sample add it to the PM10 particulate weight. (standard conditions), scm (scf). 6.4 PM10 Fraction. Determine the PM10 XT = Total LFE linear calibration constant, fraction of the total particulate weight by 3 3 m /[(min)(mm H2 O]) { ft /[(min)(in. H2 dividing the PM10 particulate weight by the O)]}. total particulate weight. YT = Total LFE linear calibration constant, 6.5 Total Cyclone Flow Rate. The average dscm/min (dscf/min). flow rate at standard conditions is deter- D PT = Pressure differential across total LFE, mined from the average pressure drop across mm H2 O, (in. H2 O). the total LFE and is calculated as follows:

⎡ μ ⎤ PP+ /.13 6 QKXPY=+⎢ Δ std ⎥ bar inl s() std1 T μ T ⎣ LFE ⎦ Tm

The flow rate, at actual cyclone condi- 6.6.1 Determine the water fraction of the tions, is calculated as follows: mixed gas through the cyclone by using the equation below. T ⎡ V ⎤ =+s m() std V Qs ⎢Qs() std ⎥ = w() std KP ⎣ θ ⎦ Bc 1 s QVθ + The flow rate, at actual cyclone condi- s() std w () std tions, is calculated as follows: 6.6.2 Calculate the cyclone gas viscosity as follows: μ ¥ T ⎡ V ⎤ cyc = C1 + C2 Ts + C3 Ts2 + C4 f02 C5 Bc =+s m() std 6.6.3 Calculate the molecular weight on a Qs ⎢Qs() std ⎥ KP ⎣ θ ⎦ wet basis of the cyclone gas as follows: 1 s Mc = Md(1 ¥ Bc) + 18.0(Bc) 6.6 Aerodynamic Cut Size. Use the fol- 6.6.4 If the cyclone meets the design speci- lowing procedure to determine the aero- fication in Figure 12 of this method, cal- dynamic cut size (D ). culate the actual D50 of the cyclone for the 50 run as follows:

⎡ T ⎤ 0.. 2 091⎡μ ⎤ 0 . 7091 D = β ⎢ s ⎥ ⎢ cyc ⎥ 50 1 ⎢ ⎥ ⎢ ⎥ ⎣ MPcs⎦ ⎣ Qs ⎦

where b1 = 0.1562. od, then use the following equation to cal- 6.6.5 If the cyclone does not meet the de- culate D50. sign specifications in Figure 12 of this meth-

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⎡ ⎤ ⎡ ⎤ − m MP 4Q (). − D = ()(3 10 )b () 7. 376× 10 4 ⎢ cs⎥ ⎢ s ⎥ d 15 m 50 ⎢ ⎥ ⎢ πμ ⎥ ⎣ Ts ⎦ ⎣ cyc ⎦

where: 2. McCain, J.D., J.W. Ragland, and A.D. m = Slope of the calibration curve obtained Williamson. Recommended Methodology for in Section 5.8.2. the Determination of Particles Size Distribu- b = y-intercept of the calibration curve ob- tions in Ducted Sources, Final Report. Pre- tained in Section 5.8.2. pared for the California Air Resources Board 6.7 Acceptable Results. Acceptability of by Southern Research Institute. May 1986. anisokinetic variation is the same as Method 3. Farthing, W.E., S.S. Dawes, A.D. 5, Section 6.12. Williamson, J.D. McCain, R.S. Martin, and 6.7.1 If 9.0 μm ≤D50 ≤11 μm and 90 ≤I ≤110, the J.W. Ragland. Development of Sampling results are acceptable. If D50 is greater than Methods for Source PM–10 Emissions. South- 11 μm, the Administrator may accept the re- ern Research Institute for the Environ- μ sults. If D50 is less than 9.0 m, reject the re- mental Protection Agency. April 1989. sults and repeat the test. 4. Application Guide for the Source PM10 Ex- 7. Bibliography haust Gas Recycle Sampling System, EPA/600/3– 88–058. 1. Same as Bibliography in Method 5.

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EXAMPLE EMISSION GAS RECYCLE AVERAGE VELOCITY (FT/SEC): 15.0 SETUP SHEET AMBIENT PRESSURE (IN HG): 29.92 STACK PRESSURE (IN H ): .10 VERSION 3.1 MAY 1986 20 GAS COMPOSITION:

TEST I.D.: SAMPLE SETUP H20 = 10.0%...... MD = 28.84 RUN DATE: 11/24/86 O2 = 20.9%...... MW = 27.75 LOCATION: SOURCE SIM CO2 = .0%...... (LB/LB MOLE) OPERATOR(S): RH JB NOZZLE DIAMETER (IN): .25 TARGET PRESSURE DROPS STACK CONDITIONS: AVERAGE TEMPERATURE (F): 200.0 TEMPERATURE (F)

DP(PTO) .. 150 161 172 183 194 206 217 228 0.026 ...... SAMPLE .49 .49 .48 .47 .46 .45 .45

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TOTAL 1.90 1.90 1.91 1.92 1.92 1.92 1.93 RECYCLE 2.89 2.92 2.94 2.97 3.00 3.02 3.05 % RCL 61% 61% 62% 62% 63% 63% 63% .031 ...... 58 .56 .55 .55 .55 .54 .53 .52 1.88 1.89 1.89 1.90 1.91 1.91 1.91 1.92 2.71 2.74 2.77 2.80 2.82 2.85 2.88 2.90 57% 57% 58% 58% 59% 59% 60% 60% .035 ...... 67 .65 .64 .63 .62 .61 .670 .59 1.88 1.88 1.89 1.89 1.90 1.90 1.91 1.91 2.57 2.60 2.63 2.66 2.69 2.72 2.74 2.74 54% 55% 55% 56% 56% 57% 57% 57% .039 ...... 75 .74 .72 .71 .70 .69 .67 .66 1.87 1.88 1.88 1.89 1.89 1.90 1.90 1.91 2.44 2.47 2.50 2.53 2.56 2.59 2.62 2.65 51% 52% 52% 53% 53% 54% 54% 55% Figure 6. Example EGR setup sheet.

Barometric pres- = lll DH2, in. H2O ...... = lll sure, Pbar, in. Hg. Molecular weight of Stack static pres- = lll stack gas, dry sure, Pg, in. H2 O. basis: Average stack tem- = lll Md = 0.44 perature, t , °F. s (%CO2) + 0.32 = lb/lb Meter temperature, = lll mole ° tm, F. (%O ) + 0.28 Gas analysis: 2 (%N2 + %CO) %CO2 ...... = lll %O ...... = lll Molecular weight of 2 stack gas, wet %N2 + %CO ...... = lll Fraction moisture = lll basis: M = M (1-B ) + = lll lb/lb mole content, Bws. w d ws Calibration data: 18Bws. Nozzle diameter, = lll Absolute stack pres- Dn in. sure: Pitot coefficient, = lll Ps = Pbar + (Pg/13.6) = lll in. Hg Cp.

2 Mt()+ 460 P KDHC= 846. 7242Δ () 1-Bdm s= ____ np@ ws + Mtw() s460 P bar

Desired meter orifice pressure (DH) for veloc- Gas analysis: ity head of stack gas (Dp): %O2 ...... = lll ΔΔ== Fraction moisture = lll HKp____ in. H2 O content, Bws. Figure 7. Example worksheet 1, meter ori- Calibration data: fice pressure head calculation. Nozzle diameter, Dn, = lll in. Barometric pressure, = lll Pitot coefficient, Cp ... = lll Pbar, in. Hg. Total LFE calibration = lll Absolute stack pressure, = lll constant, Xt. Ps, in. Hg. Total LFE calibration = lll Average stack tempera- = lll constant, T . ° t ture, Ts, R. Absolute pressure up- Meter temperature, Tm, = lll stream of LFE: °R. PLFE = Pbar + 0.6 ...... = lll in. Hg Molecular weight of = lll Viscosity of gas in total stack gas, wet basis, LFE: Md lb/lb mole. μLFE = 152.418 + 0.2552 = lll ¥5 Pressure upstream of = 0.6 Tm + 3.2355 × 10 LFE, in. Hg. Tm2 + 0.53147 (%O2). 460

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Viscosity of dry stack Constants: gas: μd = 152.418 + 0.2552 Ts = lll ¥5 + 3.2355 × 10 Ts2 + 0.53147 (%O2).

0. 7051 − μμTP K =×1. 5752 10 5 LFE m s d = ____ 1 0.. 2949 0 07051 PMLFE d T s

1 μ TD2 C ⎡ P ⎤ 2 K = 0. 1539 LFE m n p ⎢ s ⎥ 2 ⎢ ⎥ PLFE ⎣ Ts ⎦ μ −− +− BMBBws d[]1 0./. 2949() 1 18 d 74 143 ws() 1 ws K = =____ 3 μ − dws74. 143B

Average stack tempera- = lll K μ Y ° A =−1 LFE t =____ ture, Ts, R. 1 Meter temperature, Tm, = lll Xt 180. 1Xt °R. Molecular weight of = lll KK stack gas, dry basis, = 23 = M lb/lb mole. B1 1 ____ d ()MX2 Viscosity of LFE = lll wt gasμLFE,poise. /MATH> EC08NO91.035 EC08NO91.036 Total LFE pressure head: Absolute pressure up- = lll stream of LFE, PPLEin. 1 Hg. ΔΔ=−2 = Calibration data:. pABpt 11( ) ____ inHO . 2 Nozzle diameter, Dn, = lll Figure 8. Example worksheet 1, meter ori- in. fice pressure head calculation. Pitot coefficient, Cp ... = lll Barometric pressure, = lll Recycle LFE calibration = lll Pbar, in. Hg. constant, Xt Absolute stack pressure, = lll Recycle LFE calibration = lll Ps, in. Hg. constant, Yt

0. 7051 − μμTP K =×1. 5752 10 5 LFE m s d = ____ 1 0.. 2949 0 7051 PMLFE d T s

1 MTDC2 ⎡ P ⎤ 2 K = 0. 1539 LFE m n p ⎢ s ⎥ 2 ⎢ ⎥ PLFE ⎣ Ts ⎦ μ K = d = 4 0.. 2051 0 2949 μ − MMWdd()74.143 B ws

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μ Pressure head for recycle LFE: K1 LFEY r A =− = 1 2 ΔΔ=−2 = X r 180. 1 X r PABpr 22( ) ____ inHO . 2 Figure 9. Example worksheet 3, recycle ==KK42 LFE pressure head. B2 X r

Plant llllllllllllllllllll Acetone blank volume, ml lllllllll Date lllllllllllllllllllll Acetone wash volume, ml (2)———(3) llll Run no. lllllllllllllllllll Acetone blank conc., mg/mg (Equation 5–4, Filter no. llllllllllllllllll Method 5) lllllllllllllllll Amount liquid lost during transport llll

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Acetone wash blank, mg (Equation 5–5, Weight of particulate mat- Method 5) lllllllllllllllll ter, mg Container number Final Tare Weight Weight of particulate mat- weight weight gain ter, mg Container number Final Tare Weight Weight of PM10 ...... weight weight gain 2 ......

1 ...... Less acetone blank ...... 3 ...... Total ...... Total particulate weight ......

Less acetone blank ...... Figure 11. EGR method analysis sheet.

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TABLE 1—PERFORMANCE SPECIFICATIONS FOR TABLE 1—PERFORMANCE SPECIFICATIONS FOR SOURCE PM10 CYCLONES AND NOZZLE COM- SOURCE PM10 CYCLONES AND NOZZLE COM- BINATIONS BINATIONS—Continued

Parameter Units Specification Parameter Units Specification

1. Collection effi- Percent ...... Such that collec- 2. Cyclone cut size μm ...... 10 ±1 μm aero- ciency. tion efficiency (D50). dynamic diame- falls within enve- ter. lope specified by Section 5.7.6 and Figure 13.

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TABLE 2—PARTICLE SIZES AND NOMINAL GAS TABLE 2—PARTICLE SIZES AND NOMINAL GAS VELOCITIES FOR EFFICIENCY VELOCITIES FOR EFFICIENCY—Continued

Target gas velocities (m/sec) Particle size Target gas velocities (m/sec) Particle size μ a (μm)a ( m) 7 ±1.0 15 ±1.5 25 ±2.5 7 ±1.0 15 ±1.5 25 ±2.5

5 ±0.5 ...... 14 ±1.0 ...... ± 7 ±0.5 ...... 20 1.0 ...... 10 ±0.5 ...... (a) Mass median aerodynamic diameter.

EMISSION GAS RECYCLE, DATA REDUCTION, System Pressures: VERSION 3.4 MAY 1986 DH(ORI) ...... 1.18 INWG Test ID. Code: Chapel Hill 2. DP(TOT) ...... 1.91 INWG Test Location: Baghouse Outlet. P(INL) ...... 12.15 INWG Test Site: Chapel Hill. DP(RCL) ...... 2.21 INWG Test Date: 10/20/86. DP(PTO) ...... 0.06 INWG Operators(s): JB RH MH. Miscellanea: P(BAR) ...... 29.99 INWG Entered Run Data DP(STK) ...... 0.10 INWG Temperatures: V(DGM) ...... 13.744 FT3 T(STK) ...... 251.0 F TIME ...... 60.00 MIN T(RCL) ...... 259.0 F % CO2 ...... 8.00 T(LFE) ...... 81.0 F % O2 ...... 20.00 T(DGM) ...... 76.0 F NOZ (IN) ...... 0.2500 465

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Water Content: DH@(ORI) ...... 10 .980 Estimate ...... 0.0% M(TOT LFE) ...... 0 .2298 or B(TOT LFE) ...... ¥.0058 Condenser ...... 7.0 ML M(RCL LFE) ...... 0 .0948 Column ...... 0.0 GM B(RCL LFE) ...... ¥.0007 Raw Masses: Cyclone 1 ...... 21.7 MG DGM GAMMA ...... 0 .9940 Filter ...... 11.7 MG Reduced Data Impinger Residue .... 0.0 MG Blank Values: Stack Velocity (FT/SEC) ...... 15 .95 CYC Rinse ...... 0.0 MG Stack Gas Moisture (%) ...... 2 .4 Filter Holder Rinse 0.0 MG Sample Flow Rate (ACFM) ...... 0 .3104 Filter Blank ...... 0.0 MG Total Flow Rate (ACFM) ...... 0 .5819 Impinger Rinse ...... 0.0 MG Recycle Flow Rate (ACFM) ...... 0 .2760 Calibration Values: Percent Recycle ...... 46 .7 CP(PITOT) ...... 0 .840 Isokinetic Ratio (%) ...... 95 .1

(Particulate) (MG/DNCM) (GR/ACF) (GR/DCF) (LB/DSCF) (UM) (% <) (X 1E6)

Cyclone 1 ...... 10.15 35.8 56.6 0.01794 0.02470 3 .53701 Backup Filter ...... 30.5 0.00968 0.01332 1 .907 Particulate Total ...... 87.2 0.02762 0.03802 5 .444 Note: Figure 14. Example inputs and outputs of the EGR reduction program.

METHOD 201A—DETERMINATION OF PM10 gas filtration temperature never exceeds 30 AND PM2.5 EMISSIONS FROM STA- °C (85 °F), then use of Method 202 of appendix TIONARY SOURCES (CONSTANT SAMPLING M to this part is not required to measure RATE PROCEDURE) total primary PM. 1.3 Responsibility. You are responsible for 1.0 Scope and Applicability obtaining the equipment and supplies you 1.1 Scope. The U.S. Environmental Pro- will need to use this method. You must also tection Agency (U.S. EPA or ‘‘we’’) devel- develop your own procedures for following oped this method to describe the procedures this method and any additional procedures that the stack tester (‘‘you’’) must follow to to ensure accurate sampling and analytical measure filterable particulate matter (PM) measurements. emissions equal to or less than a nominal 1.4 Additional Methods. To obtain results, aerodynamic diameter of 10 micrometers you must have a thorough knowledge of the (PM10) and 2.5 micrometers (PM2.5). This following test methods found in appendices method can be used to measure coarse par- A–1 through A–3 of 40 CFR part 60: ticles (i.e., the difference between the meas- (a) Method 1—Sample and velocity tra- ured PM10 concentration and the measured verses for stationary sources. PM2.5 concentration). (b) Method 2—Determination of stack gas 1.2 Applicability. This method addresses velocity and volumetric flow rate (Type S the equipment, preparation, and analysis pitot tube). necessary to measure filterable PM. You can (c) Method 3—Gas analysis for the deter- use this method to measure filterable PM mination of dry molecular weight. from stationary sources only. Filterable PM (d) Method 4—Determination of moisture is collected in stack with this method (i.e., content in stack gases. the method measures materials that are (e) Method 5—Determination of particulate solid or liquid at stack conditions). If the gas matter emissions from stationary sources. filtration temperature exceeds 30 °C (85 °F), 1.5 Limitations. You cannot use this then you may use the procedures in this method to measure emissions in which water method to measure only filterable PM (ma- droplets are present because the size separa- terial that does not pass through a filter or tion of the water droplets may not be rep- a cyclone/filter combination). If the gas fil- resentative of the dry particle size released tration temperature exceeds 30 °C (85 °F), and into the air. To measure filterable PM10 and you must measure both the filterable and PM2.5 in emissions where water droplets are condensable (material that condenses after known to exist, we recommend that you use passing through a filter) components of total Method 5 of appendix A–3 to part 60. Because primary (direct) PM emissions to the atmos- of the temperature limit of the O-rings used phere, then you must combine the proce- in this sampling train, you must follow the dures in this method with the procedures in procedures in Section 8.6.1 to test emissions Method 202 of appendix M to this part for from stack gas temperatures exceeding 205 measuring condensable PM. However, if the °C (400 °F).

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1.6 Conditions. You can use this method PM2.5 cyclone downstream of the PM10 cy- to obtain particle sizing at 10 micrometers clone. Both cyclones were developed and and or 2.5 micrometers if you sample within evaluated as part of a conventional five- 80 and 120 percent of isokinetic flow. You can stage cascade cyclone train. The addition of also use this method to obtain total filter- a PM2.5 cyclone between the PM10 cyclone able particulate if you sample within 90 to and the stack temperature filter in the sam- 110 percent of isokinetic flow, the number of pling train supplements the measurement of sampling points is the same as required by PM10 with the measurement of PM2.5. With- Method 5 of appendix A–3 to part 60 or Meth- out the addition of the PM2.5 cyclone, the fil- od 17 of appendix A–6 to part 60, and the filterable particulate portion of the sampling ter temperature is within an acceptable train may be used to measure total and PM10 range for these methods. For Method 5, the emissions. Likewise, with the exclusion of acceptable range for the filter temperature the PM cyclone, the filterable particulate ° ° 10 is generally 120 C (248 F) unless a higher or portion of the sampling train may be used to lower temperature is specified. The accept- measure total and PM2.5 emissions. Figure 1 able range varies depending on the source, of Section 17 presents the schematic of the control technology and applicable rule or sampling train configured with this change. permit condition. To satisfy Method 5 criteria, you may need to remove the in-stack 3.0 Definitions filter and use an out-of-stack filter and recover the PM in the probe between the PM2.5 3.1 Condensable particulate matter (CPM) particle sizer and the filter. In addition, to means material that is vapor phase at stack satisfy Method 5 and Method 17 criteria, you conditions, but condenses and/or reacts upon may need to sample from more than 12 tra- cooling and dilution in the ambient air to verse points. Be aware that this method de- form solid or liquid PM immediately after termines in-stack PM10 and PM2.5 filterable discharge from the stack. Note that all CPM emissions by sampling from a recommended is assumed to be in the PM2.5 size fraction. maximum of 12 sample points, at a constant 3.2 Constant weight means a difference of flow rate through the train (the constant no more than 0.5 mg or one percent of total flow is necessary to maintain the size cuts of weight less tare weight, whichever is great- the cyclones), and with a filter that is at the er, between two consecutive weighings, with stack temperature. In contrast, Method 5 or no less than six hours of desiccation time be- Method 17 trains are operated isokinetically tween weighings. with varying flow rates through the train. 3.3 Filterable particulate matter (PM) means Method 5 and Method 17 require sampling particles that are emitted directly by a from as many as 24 sample points. Method 5 source as a solid or liquid at stack or release uses an out-of-stack filter that is maintained conditions and captured on the filter of a at a constant temperature of 120 °C (248 °F). stack test train. Further, to use this method in place of Meth- od 5 or Method 17, you must extend the sam- 3.4 Primary particulate matter (PM) (also pling time so that you collect the minimum known as direct PM) means particles that mass necessary for weighing each portion of enter the atmosphere as a direct emission this sampling train. Also, if you are using from a stack or an open source. Primary PM this method as an alternative to a test meth- has two components: Filterable PM and con- od specified in a regulatory requirement densable PM. These two PM components (e.g., a requirement to conduct a compliance have no upper particle size limit. or performance test), then you must receive 3.5 Primary PM2.5 (also known as direct approval from the authority that established PM2.5, total PM2.5, PM2.5, or combined filter- the regulatory requirement before you con- able PM2.5 and condensable PM) means PM duct the test. with an aerodynamic diameter less than or equal to 2.5 micrometers. These solid par- 2.0 Summary of Method ticles are emitted directly from an air emissions source or activity, or are the gaseous 2.1 Summary. To measure PM10 and PM2.5, extract a sample of gas at a predetermined or vaporous emissions from an air emissions constant flow rate through an in-stack sizing source or activity that condense to form PM device. The particle-sizing device separates at ambient temperatures. Direct PM2.5 emis- particles with nominal aerodynamic diame- sions include elemental carbon, directly ters of 10 micrometers and 2.5 micrometers. emitted organic carbon, directly emitted sul- To minimize variations in the isokinetic fate, directly emitted nitrate, and other in- sampling conditions, you must establish organic particles (including but not limited well-defined limits. After a sample is ob- to crustal material, metals, and sea salt). tained, remove uncombined water from the 3.6 Primary PM10 (also known as direct particulate, then use gravimetric analysis to PM10, total PM10, PM10, or the combination determine the particulate mass for each size of filterable PM10 and condensable PM) fraction. The original method, as promul- means PM with an aerodynamic diameter gated in 1990, has been changed by adding a equal to or less than 10 micrometers.

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4.0 Interferences vices must be cyclones that meet the design specifications shown in Figures 3, 4A, 4B, 5, You cannot use this method to measure and 6 of Section 17. Use a caliper to verify emissions where water droplets are present that the dimensions of the PM and PM because the size separation of the water 10 2.5 sizing devices are within ±0.02 cm of the de- droplets may not be representative of the dry particle size released into the air. Stacks sign specifications. Example suppliers of with entrained moisture droplets may have PM10 and PM2.5 sizing devices include the fol- water droplets larger than the cut sizes for lowing: the cyclones. These water droplets normally (a) Environmental Supply Company, Inc., contain particles and dissolved solids that 2142 E. Geer Street, Durham, North Carolina 27704. Telephone No.: (919) 956–9688; Fax: (919) become PM10 and PM2.5 following evaporation of the water. 682–0333. (b) Apex Instruments, 204 Technology Park 5.0 Safety Lane, Fuquay-Varina, North Carolina 27526. Telephone No.: (919) 557–7300 (phone); Fax: 5.1 Disclaimer. Because the performance (919) 557–7110. of this method may require the use of hazardous materials, operations, and equipment, 6.1.2.2 You may use alternative particle you should develop a health and safety plan sizing devices if they meet the requirements to ensure the safety of your employees who in Development and Laboratory Evaluation are on site conducting the particulate emis- of a Five-Stage Cyclone System, EPA–600/7– sion test. Your plan should conform with all 78–008 (http://cfpub.epa.gov/ols). applicable Occupational Safety and Health 6.1.3 Filter Holder. Use a filter holder Administration, Mine Safety and Health Ad- that is stainless steel (316 or equivalent). A ministration, and Department of Transpor- heated glass filter holder may be substituted tation regulatory requirements. Because of for the steel filter holder when filtration is the unique situations at some facilities and performed out-of-stack. Commercial-size fil- because some facilities may have more strin- ter holders are available depending upon gent requirements than is required by State project requirements, including commercial or federal laws, you may have to develop pro- stainless steel filter holders to support 25-, cedures to conform to the plant health and 47-, 63-, 76-, 90-, 101-, and 110-mm diameter fil- safety requirements. ters. Commercial size filter holders contain a fluoropolymer O-ring, a stainless steel 6.0 Equipment and Supplies screen that supports the particulate filter, Figure 2 of Section 17 shows details of the and a final fluoropolymer O-ring. Screw the combined cyclone heads used in this method. assembly together and attach to the outlet The sampling train is the same as Method 17 of cyclone IV. The filter must not be com- of appendix A–6 to part 60 with the exception pressed between the fluoropolymer O-ring and the filter housing. of the PM10 and PM2.5 sizing devices. The following sections describe the sampling train’s 6.1.4 Pitot Tube. You must use a pitot primary design features in detail. tube made of heat resistant tubing. Attach the pitot tube to the probe with stainless 6.1 Filterable Particulate Sampling Train steel fittings. Follow the specifications for Components. the pitot tube and its orientation to the inlet nozzle given in Section 6.1.1.3 of Method 6.1.1 Nozzle. You must use stainless steel 5 of appendix A–3 to part 60. (316 or equivalent) or fluoropolymer-coated stainless steel nozzles with a sharp tapered 6.1.5 Probe Extension and Liner. The leading edge. We recommend one of the 12 probe extension must be glass- or nozzles listed in Figure 3 of Section 17 be- fluoropolymer-lined. Follow the specifica- cause they meet design specifications when tions in Section 6.1.1.2 of Method 5 of appen- PM cyclones are used as part of the sam- dix A–3 to part 60. If the gas filtration tem- 10 ° ° pling train. We also recommend that you perature never exceeds 30 C (85 F), then the have a large number of nozzles in small di- probe may be constructed of stainless steel ameter increments available to increase the without a probe liner and the extension is likelihood of using a single nozzle for the en- not recovered as part of the PM. tire traverse. We recommend one of the noz- 6.1.6 Differential Pressure Gauge, Con- zles listed in Figure 4A or 4B of Section 17 densers, Metering Systems, Barometer, and because they meet design specifications Gas Density Determination Equipment. Fol- low the requirements in Sections 6.1.1.4 when PM2.5 cyclones are used without PM10 cyclones as part of the sampling train. through 6.1.3 of Method 5 of appendix A–3 to 6.1.2 PM10 and PM2.5 Sizing Device. part 60, as applicable. 6.1.2.1 Use stainless steel (316 or equiva- 6.2 Sample Recovery Equipment. lent) or fluoropolymer-coated PM10 and PM2.5 6.2.1 Filterable Particulate Recovery. Use sizing devices. You may use sizing devices the following equipment to quantitatively constructed of high-temperature specialty determine the amount of filterable PM re- metals such as Inconel, Hastelloy, or Haynes covered from the sampling train. 230. (See also Section 8.6.1.) The sizing de- (a) Cyclone and filter holder brushes.

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(b) Wash bottles. Two wash bottles are rec- calcium sulfate for the sample recovery and ommended. Any container material is ac- analysis. Unless otherwise indicated, all re- ceptable, but wash bottles used for sample agents must conform to the specifications and blank recovery must not contribute established by the Committee on Analytical more than 0.1 mg of residual mass to the Reagents of the American Chemical Society. CPM measurements. If such specifications are not available, then (c) Leak-proof sample containers. Con- use the best available grade. Additional in- tainers used for sample and blank recovery formation on each of these items is in the must not contribute more than 0.05 mg of re- following paragraphs. sidual mass to the CPM measurements. 7.2.1 Acetone. Use acetone that is stored (d) Petri dishes. For filter samples; glass or in a glass bottle. Do not use acetone from a polyethylene, unless otherwise specified by metal container because it will likely the Administrator. produce a high residue in the laboratory and (e) Graduated cylinders. To measure con- field reagent blanks. You must use acetone densed water to within 1 ml or 0.5 g. Grad- with blank values less than 1 part per mil- uated cylinders must have subdivisions not lion by weight residue. Analyze acetone greater than 2 ml. blanks prior to field use to confirm low (f) Plastic storage containers. Air-tight blank values. In no case shall a blank value containers to store silica gel. of greater than 0.0001 percent (1 part per mil- 6.2.2 Analysis Equipment. lion by weight) of the weight of acetone used (a) Funnel. Glass or polyethylene, to aid in in sample recovery be subtracted from the sample recovery. sample weight (i.e., the maximum blank cor- (b) Rubber policeman. To aid in transfer of rection is 0.1 mg per 100 g of acetone used to silica gel to container; not necessary if silica recover samples). gel is weighed in the field. 7.2.2 Particulate Sample Desiccant. Use (c) Analytical balance. Analytical balance indicating-type anhydrous calcium sulfate to capable of weighing at least 0.0001 g (0.1 mg). desiccate samples prior to weighing. (d) Balance. To determine the weight of the moisture in the sampling train compo- 8.0 Sample Collection, Preservation, Storage, nents, use an analytical balance accurate to and Transport ±0.5 g. 8.1 Qualifications. This is a complex test (e) Fluoropolymer beaker liners. method. To obtain reliable results, you 7.0 Reagents, Standards, and Sampling should be trained and experienced with in- Media stack filtration systems (such as cyclones, 7.1 Sample Collection. To collect a sam- impactors, and thimbles) and impinger and ple, you will need a filter and silica gel. You moisture train systems. must also have water and crushed ice. These 8.2 Preparations. Follow the pretest prep- items must meet the following specifica- aration instructions in Section 8.1 of Method tions. 5 of appendix A–3 to part 60. 7.1.1 Filter. Use a nonreactive, nondis- 8.3 Site Setup. You must complete the integrating glass fiber, quartz, or polymer following to properly set up for this test: filter that does not a have an organic binder. (a) Determine the sampling site location The filter must also have an efficiency of at and traverse points. least 99.95 percent (less than 0.05 percent (b) Calculate probe/cyclone blockage. penetration) on 0.3 micrometer dioctyl (c) Verify the absence of cyclonic flow. phthalate particles. You may use test data (d) Complete a preliminary velocity profile from the supplier’s quality control program and select a nozzle(s) and sampling rate. to document the PM filter efficiency. 8.3.1 Sampling Site Location and Traverse 7.1.2 Silica Gel. Use an indicating-type Point Determination. Follow the standard silica gel of 6 to 16 mesh. You must obtain procedures in Method 1 of appendix A–1 to approval from the regulatory authority that part 60 to select the appropriate sampling established the requirement to use this test site. Choose a location that maximizes the method to use other types of desiccants distance from upstream and downstream (equivalent or better) before you use them. flow disturbances. Allow the silica gel to dry for two hours at (a) Traverse points. The required max- 175 °C (350 °F) if it is being reused. You do imum number of total traverse points at any not have to dry new silica gel if the indicator location is 12, as shown in Figure 7 of Sec- shows the silica is active for moisture collection 17. You must prevent the disturbance tion. and capture of any solids accumulated on the 7.1.3 Crushed Ice. Obtain from the best inner wall surfaces by maintaining a 1-inch readily available source. distance from the stack wall (0.5 inch for 7.1.4 Water. Use deionized, ultra-filtered sampling locations less than 36.4 inches in water that contains 1.0 part per million by diameter with the pitot tube and 32.4 inches weight (1 milligram/liter) residual mass or without the pitot tube). During sampling, less to recover and extract samples. when the PM2.5 cyclone is used without the 7.2 Sample Recovery and Analytical Re- PM10, traverse points closest to the stack agents. You will need acetone and anhydrous walls may not be reached because the inlet

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to a PM2.5 cyclone is located approximately ducts, you must adjust the observed velocity 2.75 inches from the end of the cyclone. For pressures for the estimated blockage factor these cases, you may collect samples using whenever the combined sampling apparatus the procedures in Section 11.3.2.2 of Method 1 blocks more than three percent of the stack of appendix A–3 to part 60. You must use the or duct (see Sections 8.7.2.2 and 8.7.2.3 on the traverse point closest to the unreachable probe blockage factor and the final adjusted sampling points as replacement for the velocity pressure, respectively). (NOTE: Valid unreachable points. You must extend the sampling with the combined PM2.5/PM10 cy- sampling time at the replacement sampling clones cannot be performed with this method point to include the duration of the if the average stack blockage from the sam- unreachable traverse points. pling assembly is greater than six percent, (b) Round or rectangular duct or stack. If i.e., the stack diameter is less than 26.5 a duct or stack is round with two ports lo- inches.) cated 90° apart, use six sampling points on 8.3.3 Cyclonic Flow. Do not use the com- each diameter. Use a 3x4 sampling point lay- bined cyclone sampling head at sampling lo- out for rectangular ducts or stacks. Consult cations subject to cyclonic flow. Also, you with the Administrator to receive approval must follow procedures in Method 1 of appen- for other layouts before you use them. dix A–1 to part 60 to determine the presence (c) Sampling ports. You must determine if or absence of cyclonic flow and then perform the sampling ports can accommodate the in- the following calculations: stack cyclones used in this method. You may (a) As per Section 11.4 of Method 1 of ap- need larger diameter sampling ports than pendix A–1 to part 60, find and record the those used by Method 5 of appendix A–3 to angle that has a null velocity pressure for part 60 or Method 17 of appendix A–6 to part each traverse point using an S-type pitot 60 for total filterable particulate sampling. tube. When you use nozzles smaller than 0.16 inch (b) Average the absolute values of the an- in diameter and either a PM or a combined 10 gles that have a null velocity pressure. Do PM and PM sampling apparatus, the sam- 10 2.5 not use the sampling location if the average pling port diameter may need to be six absolute value exceeds 20°. (NOTE: You can inches in diameter to accommodate the en- minimize the effects of cyclonic flow condi- tire apparatus because the conventional 4- tions by moving the sampling location, plac- inch diameter port may be too small due to ing gas flow straighteners upstream of the the combined dimension of the PM10 cyclone and the nozzle extending from the cyclone, sampling location, or applying a modified which will likely exceed the internal diame- sampling approach as described in EPA ter of the port. A 4-inch port should be ade- Guideline Document GD–008, Particulate Emissions Sampling in Cyclonic Flow. You quate for the single PM2.5 sampling apparatus. However, do not use the conventional may need to obtain an alternate method ap- 4-inch diameter port in any circumstances in proval from the regulatory authority that which the combined dimension of the cy- established the requirement to use this test clone and the nozzle extending from the cy- method prior to using a modified sampling clone exceeds the internal diameter of the approach.) port. (NOTE: If the port nipple is short, you 8.3.4 Preliminary Velocity Profile. Con- may be able to ‘‘hook’’ the sampling head duct a preliminary velocity traverse by fol- through a smaller port into the duct or lowing Method 2 of appendix A–1 to part 60 stack.) velocity traverse procedures. The purpose of 8.3.2 Probe/Cyclone Blockage Calcula- the preliminary velocity profile is to deter- tions. Follow the procedures in the next two mine all of the following: sections, as appropriate. (a) The gas sampling rate for the combined 8.3.2.1 Ducts with diameters greater than probe/cyclone sampling head in order to 36.4 inches. Based on commercially available meet the required particle size cut. cyclone assemblies for this procedure, ducts (b) The appropriate nozzle to maintain the with diameters greater than 36.4 inches have required gas sampling rate for the velocity blockage effects less than three percent, as pressure range and isokinetic range. If the illustrated in Figure 8 of Section 17. You isokinetic range cannot be met (e.g., batch must minimize the blockage effects of the processes, extreme process flow or tempera- combination of the in-stack nozzle/cyclones, ture variation), void the sample or use meth- pitot tube, and filter assembly that you use ods subject to the approval of the Adminis- by keeping the cross-sectional area of the as- trator to correct the data. The acceptable sembly at three percent or less of the cross- variation from isokinetic sampling is 80 to sectional area of the duct. 120 percent and no more than 100 ± 21 percent 8.3.2.2 Ducts with diameters between 25.7 (2 out of 12 or 5 out of 24) sampling points and 36.4 inches. Ducts with diameters be- outside of this criteria. tween 25.7 and 36.4 inches have blockage ef- (c) The necessary sampling duration to ob- fects ranging from three to six percent, as il- tain sufficient particulate catch weights. lustrated in Figure 8 of Section 17. There- 8.3.4.1 Preliminary traverse. You must use fore, when you conduct tests on these small an S-type pitot tube with a conventional

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thermocouple to conduct the traverse. Con- tains typical collection efficiencies of var- duct the preliminary traverse as close as ious particulate control devices and example possible to the anticipated testing time on calculations showing how to estimate uncon- sources that are subject to hour-by-hour gas trolled total particulate emissions, uncon- flow rate variations of approximately ± 20 trolled size-specific emissions, and con- percent and/or gas temperature variations of trolled size-specific particulate emissions. approximately ± 28 °C (± 50 °F). (Note: You (http://www.epa.gov/ttnchie1/ap42.) should be aware that these variations can 8.4 Pre-test Calculations. You must per- cause errors in the cyclone cut diameters form pre-test calculations to help select the and the isokinetic sampling velocities.) appropriate gas sampling rate through cy- 8.3.4.2 Velocity pressure range. Insert the S- clone I (PM10) and cyclone IV (PM2.5). Choos- type pitot tube at each traverse point and ing the appropriate sampling rate will allow record the range of velocity pressures meas- you to maintain the appropriate particle cut ured on data form in Method 2 of appendix diameters based upon preliminary gas A–1 to part 60. You will use this later to se- stream measurements, as specified in Table 2 lect the appropriate nozzle. of Section 17. 8.3.4.3 Initial gas stream viscosity and molec- 8.4.1 Gas Sampling Rate. The gas sam- ular weight. Determine the average gas tem- pling rate is defined by the performance perature, average gas oxygen content, aver- curves for both cyclones, as illustrated in age carbon dioxide content, and estimated Figure 10 of Section 17. You must use the moisture content. You will use this informa- calculations in Section 8.5 to achieve the ap- tion to calculate the initial gas stream vis- propriate cut size specification for each cy- cosity (Equation 3) and molecular weight clone. The optimum gas sampling rate is the OTE: You must follow (Equations 1 and 2). (N overlap zone defined as the range below the the instructions outlined in Method 4 of ap- cyclone IV 2.25 micrometer curve down to pendix A–3 to part 60 or Alternative Moisture the cyclone I 11.0 micrometer curve (area be- Measurement Method Midget Impingers tween the two dark, solid lines in Figure 10 (ALT–008) to estimate the moisture content. of Section 17). You may use a wet bulb-dry bulb measurement or hand-held hygrometer measurement 8.4.2 Choosing the Appropriate Sampling to estimate the moisture content of sources Rate. You must select a gas sampling rate in with gas temperatures less than 71 °C (160 the middle of the overlap zone (discussed in °F).) Section 8.4.1), as illustrated in Figure 10 of 8.3.4.4 Approximate PM concentration in the Section 17, to maximize the acceptable toler- gas stream. Determine the approximate PM ance for slight variations in flow character- concentration for the PM and the PM to istics at the sampling location. The overlap 2.5 2.5 zone is also a weak function of the gas com- PM10 components of the gas stream through qualitative measurements or estimates from position. (NOTE: The acceptable range is lim- precious stack particulate emissions tests. ited, especially for gas streams with tem- Having an idea of the particulate concentra- peratures less than approximately 100 °F. At tion in the gas stream is not essential but lower temperatures, it may be necessary to will help you determine the appropriate sam- perform the PM10 and PM2.5 separately in pling time to acquire sufficient PM weight order to meet the necessary particle size cri- for better accuracy at the source emission teria shown in Table 2 of Section 17.) level. The collectible PM weight require- 8.5 Test Calculations. You must perform ments depend primarily on the types of filter all of the calculations in Table 3 of Section media and weighing capabilities that are 17 and the calculations described in Sections available and needed to characterize the 8.5.1 through 8.5.5. emissions. Estimate the collectible PM con- 8.5.1 Assumed Reynolds Number. You centrations in the greater than 10 microm- must select an assumed Reynolds number eter, less than or equal to 10 micrometers (Nre) using Equation 10 and an estimated and greater than 2.5 micrometers, and less sampling rate or from prior experience under than or equal to 2.5 micrometer size ranges. the stack conditions determined using Meth- Typical PM concentrations are listed in ods 1 through 4 to part 60. You will perform Table 1 of Section 17. Additionally, relevant initial test calculations based on an assumed sections of AP–42, Compilation of Air Pollut- Nre for the test to be performed. You must ant Emission Factors, may contain particle verify the assumed Nre by substituting the size distributions for processes characterized sampling rate (Qs) calculated in Equation 7 in those sections, and appendix B2 of AP–42 into Equation 10. Then use Table 5 of Section contains generalized particle size distribu- 17 to determine if the Nre used in Equation 5 tions for nine industrial process categories was correct. (e.g., stationary internal combustion engines 8.5.2 Final Sampling Rate. Recalculate firing gasoline or diesel fuel, calcining of ag- the final Qs if the assumed Nre used in your gregate or unprocessed ores). The generalized initial calculation is not correct. Use Equa- particle size distributions can be used if tion 7 to recalculate the optimum Qs. source-specific particle size distributions are 8.5.3 Meter Box DH. Use Equation 11 to unavailable. Appendix B2 of AP–42 also con- calculate the meter box orifice pressure drop

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(DH) after you calculate the optimum sam- dent because even if there are slight vari- pling rate and confirm the Nre. (NOTE: The ations in the gas flow rate, gas temperature, stack gas temperature may vary during the or gas composition during the actual test, test, which could affect the sampling rate. If you have the maximum assurance of satis- the stack gas temperature varies, you must fying the isokinetic criteria. Generally, one make slight adjustments in the meter box of the two candidate nozzles selected will be DH to maintain the correct constant cut di- closer to optimum (see Section 8.5.4).

ameters. Therefore, use Equation 11 to recal- (b) When testing is for PM2.5 only, you are culate the DH values for 50 °F above and allowed a 16 percent failure rate, rounded to below the stack temperature measured dur- the nearest whole number, of sampling ing the preliminary traverse (see Section points that are outside the range of the Dpmin 8.3.4.1), and document this information in and Dpmax. If the coarse fraction for PM10 de- Table 4 of Section 17.) termination is included, you are allowed 8.5.4 Choosing a Sampling Nozzle. Select only an eight percent failure rate of the sam- one or more nozzle sizes to provide for near pling points, rounded to the nearest whole isokinetic sampling rate (see Section 1.6). number, outside the Dpmin and Dpmax. This will also minimize an isokinetic sam- 8.5.5.1 Precheck. Visually check the se- pling error for the particles at each point. lected nozzle for dents before use. First calculate the mean stack gas velocity 8.5.5.2 Attach the pre-selected nozzle. Screw (v ) using Equation 13. See Section 8.7.2 for s the pre-selected nozzle onto the main body of information on correcting for blockage and cyclone I using fluoropolymer tape. Use a use of different pitot tube coefficients. Then union and cascade adaptor to connect the cy- use Equation 14 to calculate the diameter (D) clone IV inlet to the outlet of cyclone I (see of a nozzle that provides for isokinetic sam- Figure 2 of Section 17). pling at the mean vs at flow Qs. From the available nozzles one size smaller and one 8.6 Sampling Train Preparation. A sche- size larger than this diameter, D, select the matic of the sampling train used in this most appropriate nozzle. Perform the fol- method is shown in Figure 1 of Section 17. lowing steps for the selected nozzle. First, assemble the train and complete the 8.5.4.1 Minimum/maximum nozzle/stack ve- leak check on the combined cyclone sam- locity ratio. Use Equation 15 to determine the pling head and pitot tube. Use the following velocity of gas in the nozzle. Use Equation 16 procedures to prepare the sampling train. to calculate the minimum nozzle/stack ve- (NOTE: Do not contaminate the sampling train during preparation and assembly. Keep locity ratio (Rmin). Use Equation 17 to calculate the maximum nozzle/stack velocity all openings, where contamination can occur, covered until just prior to assembly or ratio (Rmax). 8.5.4.2 Minimum gas velocity. Use Equation until sampling is about to begin.) 18 to calculate the minimum gas velocity 8.6.1 Sampling Head and Pitot Tube. As- (vmin) if Rmin is an imaginary number (nega- semble the combined cyclone train. The O- tive value under the square root function) or rings used in the train have a temperature ° ° if Rmin is less than 0.5. Use Equation 19 to cal- limit of approximately 205 C (400 F). Use culate vmin if Rmin is ≥0.5. cyclones with stainless steel sealing rings for 8.5.4.3 Maximum stack velocity. Use Equa- stack temperatures above 205 °C (400 °F) up tion 20 to calculate the maximum stack ve- to 260 °C (500 °F). You must also keep the locity (vmax) if Rmax is less than 1.5. Use Equa- nozzle covered to protect it from nicks and tion 21 to calculate the stack velocity if Rmax scratches. This method may not be suitable is ≥1.5. for sources with stack gas temperatures ex- 8.5.4.4 Conversion of gas velocities to velocity ceeding 260 °C (500 °F) because the threads of pressure. Use Equation 22 to convert vmin to the cyclone components may gall or seize, minimum velocity pressure, Dpmin. Use Equa- thus preventing the recovery of the collected tion 23 to convert vmax to maximum velocity PM and rendering the cyclone unusable for pressure, Dpmax. subsequent use. You may use stainless steel 8.5.4.5 Comparison to observed velocity pres- cyclone assemblies constructed with bolt-to- sures. Compare minimum and maximum ve- gether rather than screw-together assem- locity pressures with the observed velocity blies at temperatures up to 538 °C (1,000 °F). pressures at all traverse points during the You must use ‘‘break-away’’ or expendable preliminary test (see Section 8.3.4.2). stainless steel bolts that can be over-torqued 8.5.5 Optimum Sampling Nozzle. The noz- and broken if necessary to release cyclone zle you selected is appropriate if all the ob- closures, thus allowing you to recover PM served velocity pressures during the prelimi- without damaging the cyclone flanges or nary test fall within the range of the Dpmin contaminating the samples. You may need to and Dpmax. Make sure the following require- use specialty metals to achieve reliable par- ments are met then follow the procedures in ticulate mass measurements above 538 °C Sections 8.5.5.1 and 8.5.5.2. (1,000 °F). The method can be used at tem- (a) Choose an optimum nozzle that pro- peratures up to 1,371 °C (2,500 °F) using spe- vides for isokinetic sampling conditions as cially constructed high-temperature stain- close to 100 percent as possible. This is pru- less steel alloys (Hastelloy or Haynes 230)

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with bolt-together closures using break- 8.6.5 Leak Check. Use the procedures out- away bolts. lined in Section 8.4 of Method 5 of appendix 8.6.2 Filterable Particulate Filter Holder A–3 to part 60 to leak check the entire sam- and Pitot Tube. Attach the pre-selected fil- pling system. Specifically perform the fol- ter holder to the end of the combined cy- lowing procedures: clone sampling head (see Figure 2 of Section 8.6.5.1 Sampling train. You must pretest 17). Attach the S-type pitot tube to the com- the entire sampling train for leaks. The pre- bined cyclones after the sampling head is test leak check must have a leak rate of not fully attached to the end of the probe. (NOTE: more than 0.02 actual cubic feet per minute The pitot tube tip must be mounted slightly or four percent of the average sample flow beyond the combined head cyclone sampling during the test run, whichever is less. Addi- assembly and at least one inch off the gas tionally, you must conduct the leak check at flow path into the cyclone nozzle. This is a vacuum equal to or greater than the vacu- similar to the pitot tube placement in Meth- um anticipated during the test run. Enter od 17 of appendix A–6 to part 60.) Securely the leak check results on the analytical data fasten the sensing lines to the outside of the sheet (see Section 11.1) for the specific test. probe to ensure proper alignment of the pitot (NOTE: Do not conduct a leak check during tube. Provide unions on the sensing lines so port changes.) that you can connect and disconnect the S- 8.6.5.2 Pitot tube assembly. After you leak type pitot tube tips from the combined cy- check the sample train, perform a leak clone sampling head before and after each check of the pitot tube assembly. Follow the run. Calibrate the pitot tube on the sampling procedures outlined in Section 8.4.1 of Meth- head according to the most current ASTM od 5 of appendix A–3 to part 60. International D3796 because the cyclone body 8.6.6 Sampling Head. You must preheat is a potential source flow disturbance and the combined sampling head to the stack will change the pitot coefficient value from temperature of the gas stream at the test lo- the baseline (isolated tube) value. cation (±10 °C, ±50 °F). This will heat the 8.6.3 Filter. You must number and tare sampling head and prevent moisture from the filters before use. To tare the filters, des- condensing from the sample gas stream. iccate each filter at 20 ±5.6 °C (68 ±10 °F) and 8.6.6.1 Warmup. You must complete a pas- ambient pressure for at least 24 hours and sive warmup (of 30–40 min) within the stack weigh at intervals of at least six hours to a before the run begins to avoid internal con- constant weight. (See Section 3.0 for a defini- densation. tion of constant weight.) Record results to 8.6.6.2 Shortened warmup. You can shorten the nearest 0.1 mg. During each weighing, the warmup time by thermostated heating the filter must not be exposed to the labora- outside the stack (such as by a heat gun). tory atmosphere for longer than two minutes Then place the heated sampling head inside and a relative humidity above 50 percent. Al- the stack and allow the temperature to ternatively, the filters may be oven-dried at equilibrate. 104 °C (220 °F) for two to three hours, des- 8.7 Sampling Train Operation. Operate iccated for two hours, and weighed. Use the sampling train the same as described in tweezers or clean disposable surgical gloves Section 4.1.5 of Method 5 of appendix A–3 to to place a labeled (identified) and pre- part 60, but use the procedures in this sec- weighed filter in the filter holder. You must tion for isokinetic sampling and flow rate center the filter and properly place the gas- adjustment. Maintain the flow rate cal- ket so that the sample gas stream will not culated in Section 8.4.1 throughout the run, circumvent the filter. The filter must not be provided the stack temperature is within 28 compressed between the gasket and the filter °C (50 °F) of the temperature used to cal- housing. Check the filter for tears after the culate DH. If stack temperatures vary by assembly is completed. Then screw or clamp more than 28 °C (50 °F), use the appropriate the filter housing together to prevent the DH value calculated in Section 8.5.3. Deter- seal from leaking. mine the minimum number of traverse 8.6.4 Moisture Trap. If you are measuring points as in Figure 7 of Section 17. Deter- only filterable particulate (or you are sure mine the minimum total projected sampling that the gas filtration temperature will be time based on achieving the data quality ob- maintained below 30 °C (85 °F)), then an jectives or emission limit of the affected fa- empty modified Greenburg Smith impinger cility. We recommend that you round the followed by an impinger containing silica gel number of minutes sampled at each point to is required. Alternatives described in Method the nearest 15 seconds. Perform the following 5 of appendix A–3 to part 60 may also be used procedures: to collect moisture that passes through the 8.7.1 Sample Point Dwell Time. You must ambient filter. If you are measuring conden- calculate the flow rate-weighted dwell time sable PM in combination with this method, (that is, sampling time) for each sampling then follow the procedures in Method 202 of point to ensure that the overall run provides appendix M of this part for moisture collec- a velocity-weighted average that is rep- tion. resentative of the entire gas stream. Vary

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the dwell time at each traverse point propor- inches because the blockage is greater than tionately with the point velocity. Calculate six percent. For stacks with a diameter less the dwell time at each of the traverse points than 26.5 inches, PM2.5 particulate measure- using Equation 24. You must use the data ments may be possible using only a PM2.5 cy- from the preliminary traverse to determine clone, pitot tube, and in-stack filter. If the the average velocity pressure (Dpavg). You blockage exceeds three percent but is less must use the velocity pressure measured than six percent, you must follow the proce- during the sampling run to determine the ve- dures outlined in Method 1A of appendix A– locity pressure at each point (Dpn). Here, Ntp 1 to part 60 to conduct tests. You must con- equals the total number of traverse points. duct the velocity traverse downstream of the Each traverse point must have a dwell time sampling location or immediately before the of at least two minutes. test run. 8.7.2 Adjusted Velocity Pressure. When se- 8.7.3 Sample Collection. Collect samples lecting your sampling points using your pre- the same as described in Section 4.1.5 of liminary velocity traverse data, your pre- Method 5 of appendix A–3 to part 60, except liminary velocity pressures must be adjusted use the procedures in this section for to take into account the increase in velocity isokinetic sampling and flow rate adjust- due to blockage. Also, you must adjust your ment. Maintain the flow rate calculated in preliminary velocity data for differences in Section 8.5 throughout the run, provided the pitot tube coefficients. Use the following in- stack temperature is within 28 °C (50 °F) of structions to adjust the preliminary velocity the temperature used to calculate DH. If pressure. stack temperatures vary by more than 28 °C 8.7.2.1 Different pitot tube coefficient. You (50 °F), use the appropriate DH value cal- must use Equation 25 to correct the recorded culated in Section 8.5.3. Calculate the dwell preliminary velocity pressures if the pitot time at each traverse point as in Equation tube mounted on the combined cyclone sam- 24. In addition to these procedures, you must pling head has a different pitot tube coeffi- also use running starts and stops if the static cient than the pitot tube used during the pressure at the sampling location is less preliminary velocity traverse (see Section than minus 5 inches water column. This pre- 8.3.4). vents back pressure from rupturing the sam- 8.7.2.2 Probe blockage factor. You must ple filter. If you use a running start, adjust use Equation 26 to calculate an average the flow rate to the calculated value after probe blockage correction factor (b ) if the f you perform the leak check (see Section 8.4). diameter of your stack or duct is between 8.7.3.1 Level and zero manometers. Periodi- 25.7 and 36.4 inches for the combined PM2.5/ PM sampling head and pitot and between cally check the level and zero point of the 10 manometers during the traverse. Vibrations 18.8 and 26.5 inches for the PM2.5 cyclone and pitot. A probe blockage factor is calculated and temperature changes may cause them to because of the flow blockage caused by the drift. relatively large cross-sectional area of the 8.7.3.2 Portholes. Clean the portholes prior cyclone sampling head, as discussed in Sec- to the test run. This will minimize the tion 8.3.2.2 and illustrated in Figures 8 and 9 chance of collecting deposited material in of Section 17. You must determine the cross- the nozzle. sectional area of the cyclone head you use 8.7.3.3 Sampling procedures. Verify that the and determine its stack blockage factor. combined cyclone sampling head tempera- (Note: Commercially-available sampling ture is at stack temperature. You must heads (including the PM10 cyclone, PM2.5 cy- maintain the temperature of the cyclone clone, pitot and filter holder) have a pro- sampling head within ±10 °C (±18 °F) of the jected area of approximately 31.2 square stack temperature. (NOTE: For many stacks, inches when oriented into the gas stream.) portions of the cyclones and filter will be ex- As the probe is moved from the outermost to ternal to the stack during part of the sam- the innermost point, the amount of blockage pling traverse. Therefore, you must heat and/ that actually occurs ranges from approxi- or insulate portions of the cyclones and fil- mately 13 square inches to the full 31.2 ter that are not within the stack in order to square inches plus the blockage caused by maintain the sampling head temperature at the probe extension. The average cross-sec- the stack temperature. Maintaining the tem- tional area blocked is 22 square inches. perature will ensure proper particle sizing 8.7.2.3 Final adjusted velocity pressure. Cal- and prevent condensation on the walls of the culate the final adjusted velocity pressure cyclones.) To begin sampling, remove the (Dps2) using Equation 27. (NOTE: Figures 8 and protective cover from the nozzle. Position 9 of Section 17 illustrate that the blockage the probe at the first sampling point with effect of the combined PM10, PM2.5 cyclone the nozzle pointing directly into the gas sampling head, and pitot tube increases rap- stream. Immediately start the pump and ad- idly below stack diameters of 26.5 inches. just the flow to calculated isokinetic condi- Therefore, the combined PM10, PM2.5 filter tions. Ensure the probe/pitot tube assembly sampling head and pitot tube is not applica- is leveled. (NOTE: When the probe is in posi- ble for stacks with a diameter less than 26.5 tion, block off the openings around the probe

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and porthole to prevent unrepresentative di- ditions were maintained throughout the lution of the gas stream. Take care to mini- testing period. mize contamination from material used to 8.7.4.2 Sampling train data. Use the sam- block the flow or insulate the sampling head pling train data to confirm that the meas- during collection at the first sampling ured particulate emissions are accurate and point.) complete. (a) Traverse the stack cross-section, as re- 8.7.5 Sample Recovery. First remove the quired by Method 1 of appendix A–1 to part sampling head (combined cyclone/filter as- 60, with the exception that you are only re- sembly) from the train probe. After the sam- quired to perform a 12-point traverse. Do not ple head is removed, perform a post-test leak bump the cyclone nozzle into the stack walls check of the probe and sample train. Then when sampling near the walls or when re- recover the components from the cyclone/fil- moving or inserting the probe through the ter. Refer to the following sections for more portholes. This will minimize the chance of detailed information. extracting deposited materials. 8.7.5.1 Remove sampling head. After cooling (b) Record the data required on the field and when the probe can be safely handled, test data sheet for each run. Record the ini- wipe off all external surfaces near the cy- tial dry gas meter reading. Then take dry clone nozzle and cap the inlet to the cyclone gas meter readings at the following times: to prevent PM from entering the assembly. the beginning and end of each sample time Remove the combined cyclone/filter sam- increment; when changes in flow rates are pling head from the probe. Cap the outlet of made; and when sampling is halted. Compare the filter housing to prevent PM from enter- the velocity pressure measurements (Equa- ing the assembly. 8.7.5.2 Leak check probe/sample train assem- tions 22 and 23) with the velocity pressure bly (post-test). Leak check the remainder of measured during the preliminary traverse. the probe and sample train assembly (includ- Keep the meter box H at the value cal- D ing meter box) after removing the combined culated in Section 8.5.3 for the stack tem- cyclone head/filter. You must conduct the perature that is observed during the test. leak rate at a vacuum equal to or greater Record all point-by-point data and other than the maximum vacuum achieved during source test parameters on the field test data the test run. Enter the results of the leak sheet. Do not leak check the sampling sys- check onto the field test data sheet. If the tem during port changes. leak rate of the sampling train (without the (c) Maintain flow until the sampling head combined cyclone sampling head) exceeds is completely removed from the sampling 0.02 actual cubic feet per minute or four per- port. You must restart the sampling flow cent of the average sampling rate during the prior to inserting the sampling head into the test run (whichever is less), the run is in- sampling port during port changes. valid and must be repeated. (d) Maintain the flow through the sampling 8.7.5.3 Weigh or measure the volume of the system at the last sampling point. At the liquid collected in the water collection impingers conclusion of the test, remove the pitot tube and silica trap. Measure the liquid in the first and combined cyclone sampling head from impingers to within 1 ml using a clean grad- the stack while the train is still operating uated cylinder or by weighing it to within 0.5 (running stop). Make sure that you do not g using a balance. Record the volume of the scrape the pitot tube or the combined cy- liquid or weight of the liquid present to be clone sampling head against the port or used to calculate the moisture content of the stack walls. Then stop the pump and record effluent gas. the final dry gas meter reading and other 8.7.5.4 Weigh the silica impinger. If a bal- test parameters on the field test data sheet. ance is available in the field, weigh the silica (NOTE: After you stop the pump, make sure impinger to within 0.5 g. Note the color of you keep the combined cyclone head level to the indicating silica gel in the last impinger avoid tipping dust from the cyclone cups to determine whether it has been completely into the filter and/or down-comer lines.) spent and make a notation of its condition. 8.7.4 Process Data. You must document If you are measuring CPM in combination data and information on the process unit with this method, the weight of the silica gel tested, the particulate control system used can be determined before or after the post- to control emissions, any non-particulate test nitrogen purge is complete (See Section control system that may affect particulate 8.5.3 of Method 202 of appendix M to this emissions, the sampling train conditions, part). and weather conditions. Record the site bar- 8.7.5.5 Recovery of PM. Recovery involves ometric pressure and stack pressure on the the quantitative transfer of particles in the field test data sheet. Discontinue the test if following size range: greater than 10 microm- the operating conditions may cause non-rep- eters; less than or equal to 10 micrometers resentative particulate emissions. but greater than 2.5 micrometers; and less 8.7.4.1 Particulate control system data. Use than or equal to 2.5 micrometers. You must the process and control system data to deter- use a nylon or fluoropolymer brush and an mine whether representative operating con- acetone rinse to recover particles from the

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combined cyclone/filter sampling head. Use liquid water from the emission gases. If you the following procedures for each container: collected condensable PM using Method 202 (a) Container #1, Less than or equal to of appendix M to this part in conjunction PM2.5 micrometer filterable particulate. Use with using this method, you must follow the tweezers and/or clean disposable surgical procedures in Method 202 of appendix M to gloves to remove the filter from the filter this part to recover impingers and silica used holder. Place the filter in the Petri dish that to collect moisture. you labeled with the test identification and (f) Container #6, Silica gel absorbent. Trans- Container #1. Using a dry brush and/or a fer the silica gel to its original container la- sharp-edged blade, carefully transfer any PM beled with test identification and Container and/or filter fibers that adhere to the filter #6 and seal. A funnel may make it easier to holder gasket or filter support screen to the pour the silica gel without spilling. A rubber Petri dish. Seal the container. This con- policeman may be used as an aid in removing tainer holds particles less than or equal to the silica gel from the impinger. It is not 2.5 micrometers that are caught on the in- necessary to remove the small amount of stack filter. (Note: If the test is conducted silica gel dust particles that may adhere to for PM10 only, then Container #1 would be the impinger wall and are difficult to refor less than or equal to PM10 micrometer fil- move. Since the gain in weight is to be used terable particulate.) for moisture calculations, do not use any (b) Container #2, Greater than PM10 microm- water or other liquids to transfer the silica eter filterable particulate. Quantitatively re- gel. If the silica gel has been weighed in the cover the PM from the cyclone I cup and field to measure water content, it can be dis- brush cleaning and acetone rinses of the cy- carded. Otherwise, the contents of Container clone cup, internal surface of the nozzle, and #6 are weighed during sample analysis. cyclone I internal surfaces, including the (g) Container #7, Acetone field reagent blank. outside surface of the downcomer line. Seal Take approximately 200 ml of the acetone di- the container and mark the liquid level on rectly from the wash bottle you used and the outside of the container you labeled with place it in Container #7 labeled ‘‘Acetone test identification and Container #2. You Field Reagent Blank.’’ must keep any dust found on the outside of 8.7.6 Transport Procedures. Containers cyclone I and cyclone nozzle external sur- must remain in an upright position at all faces out of the sample. This container holds times during shipping. You do not have to PM greater than 10 micrometers. ship the containers under dry or blue ice. (c) Container #3, Filterable particulate less than or equal to 10 micrometer and greater than 9.0 Quality Control 2.5 micrometers. Place the solids from cyclone 9.1 Daily Quality Checks. You must per- cup IV and the acetone (and brush cleaning) form daily quality checks of field log books rinses of the cyclone I turnaround cup (above and data entries and calculations using data inner downcomer line), inside of the quality indicators from this method and downcomer line, and interior surfaces of cy- your site-specific test plan. You must review clone IV into Container #3. Seal the con- and evaluate recorded and transferred raw tainer and mark the liquid level on the out- data, calculations, and documentation of side of the container you labeled with test testing procedures. You must initial or sign identification and Container #3. This con- log book pages and data entry forms that tainer holds PM less than or equal to 10 mi- were reviewed. crometers but greater than 2.5 micrometers. 9.2 Calculation Verification. Verify the (d) Container #4, Less than or equal to PM2.5 calculations by independent, manual checks. micrometers acetone rinses of the exit tube of cy- You must flag any suspect data and identify clone IV and front half of the filter holder. the nature of the problem and potential ef- Place the acetone rinses (and brush cleaning) fect on data quality. After you complete the of the exit tube of cyclone IV and the front test, prepare a data summary and compile half of the filter holder in container #4. Seal all the calculations and raw data sheets. the container and mark the liquid level on 9.3 Conditions. You must document data the outside of the container you labeled with and information on the process unit tested, test identification and Container #4. This the particulate control system used to con- container holds PM that is less than or equal trol emissions, any non-particulate control to 2.5 micrometers. system that may affect particulate emis- (e) Container #5, Cold impinger water. If the sions, the sampling train conditions, and water from the cold impinger used for mois- weather conditions. Discontinue the test if ture collection has been weighed in the field, the operating conditions may cause non-rep- it can be discarded. Otherwise, quan- resentative particulate emissions. titatively transfer liquid from the cold im- 9.4 Field Analytical Balance Calibration pinger that follows the ambient filter into a Check. Perform calibration check procedures clean sample bottle (glass or plastic). Mark on field analytical balances each day that the liquid level on the bottle you labeled they are used. You must use National Insti- with test identification and Container #5. tute of Standards and Technology (NIST)- This container holds the remainder of the traceable weights at a mass approximately

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equal to the weight of the sample plus con- equipment has been returned to the shop. tainer you will weigh. Your pre-test and post-test calibrations 10.0 Calibration and Standardization must agree within ±5 percent. Maintain a log of all filterable particulate sampling and analysis calibrations. Include 11.0 Analytical Procedures copies of the relevant portions of the calibra- 11.1 Analytical Data Sheet. Record all tion and field logs in the final test report. data on the analytical data sheet. Obtain the 10.1 Gas Flow Velocities. You must use an data sheet from Figure 5–6 of Method 5 of ap- S-type pitot tube that meets the required pendix A–3 to part 60. Alternatively, data EPA specifications (EPA Publication 600/4– may be recorded electronically using soft- 77–0217b) during these velocity measure- ware applications such as the Electronic Re- ments. (Note: If, as specified in Section porting Tool located at http://www.epa.gov/ 8.7.2.3, testing is performed in stacks less ttn/chief/ert/ertltool.html. than 26.5 inches in diameter, testers may use 11.2 Dry Weight of PM. Determine the dry a standard pitot tube according to the re- weight of particulate following procedures quirements in Method 1 or 2 of appendix A– outlined in this section. 3 to part 60 of this chapter.) You must also complete the following: 11.2.1 Container #1, Less than or Equal to (a) Visually inspect the S-type pitot tube PM2.5 Micrometer Filterable Particulate. before sampling. Transfer the filter and any loose particulate (b) Leak check both legs of the pitot tube from the sample container to a tared weigh- before and after sampling. ing dish or pan that is inert to solvent or (c) Maintain proper orientation of the S- mineral acids. Desiccate for 24 hours in a type pitot tube while making measurements. dessicator containing anhydrous calcium 10.1.1 S-type Pitot Tube Orientation. The sulfate. Weigh to a constant weight and re- S-type pitot tube is properly oriented when port the results to the nearest 0.1 mg. (See the yaw and the pitch axis are 90 degrees to Section 3.0 for a definition of Constant the air flow. weight.) If constant weight requirements 10.1.2 Average Velocity Pressure Record. cannot be met, the filter must be treated as Instead of recording either high or low val- described in Section 11.2.1 of Method 202 of ues, record the average velocity pressure at appendix M to this part. Note: The nozzle each point during flow measurements. and front half wash and filter collected at or 10.1.3 Pitot Tube Coefficient. Determine below 30 °C (85 °F) may not be heated and the pitot tube coefficient based on physical must be maintained at or below 30 °C (85 °F). measurement techniques described in Meth- 11.2.2 Container #2, Greater than PM10 Mi- od 2 of appendix A–1 to part 60. (NOTE: You crometer Filterable Particulate Acetone must calibrate the pitot tube on the sam- Rinse. Separately treat this container like pling head because of potential interferences Container #4. from the cyclone body. Refer to Section 8.7.2 11.2.3 Container #3, Filterable Particulate for additional information.) Less than or Equal to 10 Micrometer and 10.2 Thermocouple Calibration. You must Greater than 2.5 Micrometers Acetone Rinse. calibrate the thermocouples using the proce- Separately treat this container like Con- dures described in Section 10.3.1 of Method 2 tainer #4. of appendix A–1 to part 60 or Alternative 11.2.4 Container #4, Less than or Equal to Method 2 Thermocouple Calibration (ALT– PM2.5 Micrometers Acetone Rinse of the Exit 011). Calibrate each temperature sensor at a Tube of Cyclone IV and Front Half of the Fil- minimum of three points over the antici- ter Holder. Note the level of liquid in the pated range of use against a NIST-traceable container and confirm on the analysis sheet thermometer. Alternatively, a reference whether leakage occurred during transport. thermocouple and potentiometer calibrated If a noticeable amount of leakage has oc- against NIST standards can be used. curred, either void the sample or use meth- 10.3 Nozzles. You may use stainless steel ods (subject to the approval of the Adminis- (316 or equivalent), high-temperature steel trator) to correct the final results. Quan- alloy, or fluoropolymer-coated nozzles for titatively transfer the contents to a tared isokinetic sampling. Make sure that all noz- 250 ml beaker or tared fluoropolymer beaker zles are thoroughly cleaned, visually in- liner, and evaporate to dryness at room tem- spected, and calibrated according to the pro- perature and pressure in a laboratory hood. cedure outlined in Section 10.1 of Method 5 of Desiccate for 24 hours and weigh to a con- appendix A–3 to part 60. stant weight. Report the results to the near- 10.4 Dry Gas Meter Calibration. Calibrate est 0.1 mg. your dry gas meter following the calibration 11.2.5 Container #5, Cold Impinger Water. procedures in Section 16.1 of Method 5 of ap- If the amount of water has not been deter- pendix A–3 to part 60. Also, make sure you mined in the field, note the level of liquid in fully calibrate the dry gas meter to deter- the container and confirm on the analysis mine the volume correction factor prior to sheet whether leakage occurred during field use. Post-test calibration checks must transport. If a noticeable amount of leakage be performed as soon as possible after the has occurred, either void the sample or use

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methods (subject to the approval of the Ad- Dp = Physical particle size, micrometers. ministrator) to correct the final results. D50 = Particle cut diameter, micrometers. Measure the liquid in this container either D50–1 = Re-calculated particle cut diameters volumetrically to ±1 ml or gravimetrically based on re-estimated Cr, micrometers. to ±0.5 g. D50LL = Cut diameter for cyclone I cor- 11.2.6 Container #6, Silica Gel Absorbent. responding to the 2.25 micrometer cut di- Weigh the spent silica gel (or silica gel plus ameter for cyclone IV, micrometers. impinger) to the nearest 0.5 g using a bal- D50N = D50 value for cyclone IV calculated ance. This step may be conducted in the during the Nth iterative step, microm- field. eters. 11.2.7 Container #7, Acetone Field Rea- D50(N ∂ 1) = D50 value for cyclone IV cal- gent Blank. Use 150 ml of acetone from the culated during the N + 1 iterative step, blank container used for this analysis. micrometers. Transfer 150 ml of the acetone to a clean 250- D50T = Cyclone I cut diameter corresponding ml beaker or tared fluoropolymer beaker to the middle of the overlap zone shown liner. Evaporate the acetone to dryness at in Figure 10 of Section 17, micrometers. room temperature and pressure in a labora- I = Percent isokinetic sampling, tory hood. Following evaporation, desiccate dimensionless. ° the residue for 24 hours in a desiccator con- Kp = 85.49, ((ft/sec)/(pounds/mole - R)). taining anhydrous calcium sulfate. Weigh ma = Mass of residue of acetone after evapo- and report the results to the nearest 0.1 mg. ration, mg. Md = Molecular weight of dry gas, pounds/ 12.0 Calculations and Data Analysis pound mole. mg = Milligram. 12.1 Nomenclature. Report results in mg/L = Milligram per liter. International System of Units (SI units) un- Mw = Molecular weight of wet gas, pounds/ less the regulatory authority that estab- pound mole. lished the requirement to use this test meth- M1 = Milligrams of PM collected on the fil- od specifies reporting in English units. The ter, less than or equal to 2.5 microm- following nomenclature is used. eters. A = Area of stack or duct at sampling loca- M2 = Milligrams of PM recovered from Con- tion, square inches. tainer #2 (acetone blank corrected), An = Area of nozzle, square feet. greater than 10 micrometers. bf = Average blockage factor calculated in M3 = Milligrams of PM recovered from Con- Equation 26, dimensionless. tainer #3 (acetone blank corrected), less Bws = Moisture content of gas stream, frac- than or equal to 10 and greater than 2.5 tion (e.g., 10 percent H2O is Bws = 0.10). micrometers. C = Cunningham correction factor for par- M4 = Milligrams of PM recovered from Con- ticle diameter, Dp, and calculated using tainer #4 (acetone blank corrected), less the actual stack gas temperature, than or equal to 2.5 micrometers. dimensionless. Ntp = Number of iterative steps or total tra- %CO2 = Carbon Dioxide content of gas verse points. stream, percent by volume. Nre = Reynolds number, dimensionless. Ca = Acetone blank concentration, mg/mg. %O2,wet = Oxygen content of gas stream, % by CfPM10 = Conc. of filterable PM10, gr/DSCF. volume of wet gas. CfPM2.5 = Conc. of filterable PM2.5, gr/DSCF. (NOTE: The oxygen percentage used in Equa- Cp = Pitot coefficient for the combined cy- tion 3 is on a wet gas basis. That means clone pitot, dimensionless. that since oxygen is typically measured Cp′ = Coefficient for the pitot used in the pre- on a dry gas basis, the measured percent liminary traverse, dimensionless. O2 must be multiplied by the quantity (1– Cr = Re-estimated Cunningham correction Bws) to convert to the actual volume factor for particle diameter equivalent to fraction. Therefore, %O2,wet = (1–Bws) * the actual cut size diameter and cal- %O2, dry)

culated using the actual stack gas tem- Pbar = Barometric pressure, inches Hg. perature, dimensionless. Ps = Absolute stack gas pressure, inches Hg. Ctf = Conc. of total filterable PM, gr/DSCF. Qs = Sampling rate for cyclone I to achieve ¥ C1 = 150.3162 (micropoise) specified D50. 0.5 C2 = 18.0614 (micropoise/K ) = 13.4622 QsST = Dry gas sampling rate through the (micropoise/R0.5) sampling assembly, DSCFM. × 6 2 × 6 C3 = 1.19183 10 (micropoise/K ) = 3.86153 10 QI = Sampling rate for cyclone I to achieve 2 (micropoise/R ) specified D50. C4 = 0.591123 (micropoise) Rmax = Nozzle/stack velocity ratio parameter, C5 = 91.9723 (micropoise) dimensionless. ¥5 2 C6 = 4.91705 × 10 (micropoise/K ) = 1.51761 × Rmin = Nozzle/stack velocity ratio parameter, 10¥5 (micropoise/R2) dimensionless. D = Inner diameter of sampling nozzle Tm = Meter box and orifice gas temperature, mounted on Cyclone I, inches. °R.

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tn = Sampling time at point n, min. 12.2 Calculations. Perform all of the cal- tr = Total projected run time, min. culations found in Table 6 of Section 17. Ts = Absolute stack gas temperature, °R. Table 6 of Section 17 also provides instruc- t1 = Sampling time at point 1, min. tions and references for the calculations. vmax = Maximum gas velocity calculated from 12.3 Analyses. Analyze D50 of cyclone IV Equations 18 or 19, ft/sec. and the concentrations of the PM in the var- vmin = Minimum gas velocity calculated from ious size ranges. Equations 16 or 17, ft/sec. 12.3.1 D50 of Cyclone IV. To determine the vn = Sample gas velocity in the nozzle, ft/sec. actual D50 for cyclone IV, recalculate the vs = Velocity of stack gas, ft/sec. Cunningham correction factor and the Rey- Va = Volume of acetone blank, ml. nolds number for the best estimate of cy- Vaw = Volume of acetone used in sample re- clone IV D50. The following sections describe covery wash, ml. additional information on how to recalculate Vc = Quantity of water captured in impingers the Cunningham correction factor and deter- and silica gel, ml. mine which Reynolds number to use. Vm = Dry gas meter volume sampled, ACF. 12.3.1.1 Cunningham correction factor. Re- Vms = Dry gas meter volume sampled, cor- calculate the initial estimate of the rected to standard conditions, DSCF. Cunningham correction factor using the actual test data. Insert the actual test run Vws = Volume of water vapor, SCF. data and D of 2.5 micrometers into Equa- Vic = Volume of impinger contents sample, 50 ml. tion 4. This will give you a new Cunningham correction factor based on actual data. Wa = Weight of blank residue in acetone used to recover samples, mg. 12.3.1.2 Initial D50 for cyclone IV. Deter- mine the initial estimate for cyclone IV D W2,3,4 = Weight of PM recovered from Con- 50 tainers #2, #3, and #4, mg. using the test condition Reynolds number calculated with Equation 10 as indicated in Z = Ratio between estimated cyclone IV D50 values, dimensionless. Table 3 of Section 17. Refer to the following DH = Meter box orifice pressure drop, inches instructions. W.C. (a) If the Reynolds number is less than 3,162, calculate the D50 for cyclone IV with DH@ = Pressure drop across orifice at flow rate of 0.75 SCFM at standard conditions, Equation 34, using actual test data. inches W.C. (b) If the Reynolds number is greater than or equal to 3,162, calculate the D for cy- (NOTE: Specific to each orifice and meter 50 clone IV with Equation 35 using actual test box.) data. [( p)0.5] = Average of square roots of the D avg (c) Insert the ‘‘new’’ D50 value calculated velocity pressures measured during the by either Equation 34 or 35 into Equation 36 preliminary traverse, inches W.C. to re-establish the Cunningham Correction p = Observed velocity pressure using S- D m Factor (Cr). (NOTE: Use the test condition type pitot tube in preliminary traverse, calculated Reynolds number to determine inches W.C. the most appropriate equation (Equation 34 Dpavg = Average velocity pressure, inches or 35).) W.C. 12.3.1.3 Re-establish cyclone IV D50. Use the Dpmax = Maximum velocity pressure, inches re-established Cunningham correction factor W.C. (calculated in the previous step) and the cal- Dpmin = Minimum velocity pressure, inches culated Reynolds number to determine D50–1. W.C. (a) Use Equation 37 to calculate the re-es- Dpn = Velocity pressure measured at point n tablished cyclone IV D50–1 if the Reynolds during the test run, inches W.C. number is less than 3,162. Dps = Velocity pressure calculated in Equa- (b) Use Equation 38 to calculate the re-es- tion 25, inches W.C. tablished cyclone IV D50–1 if the Reynolds Dps1 = Velocity pressure adjusted for com- number is greater than or equal to 3,162. bined cyclone pitot tube, inches W.C. 12.3.1.4 Establish ‘‘Z’’ values. The ‘‘Z’’ Dps2 = Velocity pressure corrected for block- value is the result of an analysis that you age, inches W.C. must perform to determine if the Cr is ac- Dp1 = Velocity pressure measured at point 1, ceptable. Compare the calculated cyclone IV inches W.C. D50 (either Equation 34 or 35) to the re-estab- g = Dry gas meter gamma value, lished cyclone IV D50–1 (either Equation 36 or dimensionless. 37) values based upon the test condition cal- μ = Gas viscosity, micropoise. culated Reynolds number (Equation 39). Fol- q = Total run time, min. low these procedures. ra = Density of acetone, mg/ml (see label on (a) Use Equation 39 to calculate the ‘‘Z’’ bottle). values. If the ‘‘Z’’ value is between 0.99 and 12.0 = Constant calculated as 60 percent of 1.01, the D50–1 value is the best estimate of 20.5 square inch cross-sectional area of the cyclone IV D50 cut diameter for your test combined cyclone head, square inches. run.

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(b) If the ‘‘Z’’ value is greater than 1.01 or 12.3.2.3 Particulate weight catch per size less than 0.99, re-establish a Cr based on the fraction. Correct each of the PM weights per D50–1 value determined in either Equations 36 size fraction by subtracting the acetone or 37, depending upon the test condition Rey- blank weight (i.e., M2,3,4–Wa). (NOTE: Do not nolds number. subtract a blank value of greater than 0.1 mg per 100 ml of the acetone used from the sam- (c) Use the second revised Cr to re-calculate ple recovery.) Use the following procedures. the cyclone IV D50. (d) Repeat this iterative process as many (a) Use Equation 45 to calculate the PM re- times as necessary using the prescribed covered from Containers #1, #2, #3, and #4. equations until you achieve the criteria doc- This is the total collectible PM (Ctf). umented in Equation 40. (b) Use Equation 46 to determine the quantitative recovery of PM (C ) from Con- 12.3.2 Particulate Concentration. Use the 10 fPM10 tainers #1, #3, and #4. particulate catch weights in the combined (c) Use Equation 47 to determine the quan- cyclone sampling train to calculate the con- titative recovery of PM2.5 (CfPM2.5) recovered centration of PM in the various size ranges. from Containers #1 and #4. You must correct the concentrations for the 12.4 Reporting. You must prepare a test acetone blank. report following the guidance in EPA Guid- 12.3.2.1 Acetone blank concentration. Use ance Document 043, Preparation and Review Equation 42 to calculate the acetone blank of Test Reports (December 1998). concentration (Ca). 12.5 Equations. Use the following equa- 12.3.2.2 Acetone blank residue weight. Use tions to complete the calculations required Equation 44 to calculate the acetone blank in this test method. weight (Wa (2,3,4)). Subtract the weight of the Molecular Weight of Dry Gas. Calculate the acetone blank from the particulate weight molecular weight of the dry gas using Equa- catch in each size fraction. tion 1.

Molecular Weight of Wet Gas. Calculate the molecular weight of the stack gas on a wet basis using Equation 2.

Gas Stream Viscosity. Calculate the gas equation uses constants for gas temperatures stream viscosity using Equation 3. This in °R.

Cunningham Correction Factor. The Cunningham correction factor is calculated for a 2.25 micrometer diameter particle.

Lower Limit Cut Diameter for Cyclone I for tion factor is calculated for a 2.25 microm- Nre Less than 3,162. The Cunningham correc- eter diameter particle.

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Cut Diameter for Cyclone I for the Middle of the Overlap Zone.

Sampling Rate Using Both PM10 and PM2.5 Cyclones.

Sampling Rate Using Only PM2.5 Cyclone.

Reynolds Number.

Meter Box Orifice Pressure Drop.

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Lower Limit Cut Diameter for Cyclone I for Cunningham correction factor is calculated Nre Greater than or Equal to 3,162. The for a 2.25 micrometer diameter particle.

Velocity of Stack Gas. Correct the mean preliminary velocity pressure for Cp and blockage using Equations 25, 26, and 27.

Calculated Nozzle Diameter for Acceptable Sampling Rate.

Velocity of Gas in Nozzle.

Minimum Nozzle/Stack Velocity Ratio Param- eter.

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Maximum Nozzle/Stack Velocity Ratio Param- eter.

Minimum Gas Velocity for Rmin Less than 0.5.

Minimum Gas Velocity for Rmin Greater than or Equal to 0.5.

Maximum Gas Velocity for Rmax Less than to 1.5.

Maximum Gas Velocity for Rmax Greater than or Equal to 1.5.

Minimum Velocity Pressure.

Maximum Velocity Pressure.

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Sampling Dwell Time at Each Point. Ntp is must use the preliminary velocity traverse the total number of traverse points. You data.

Adjusted Velocity Pressure.

Average Probe Blockage Factor.

Velocity Pressure.

Dry Gas Volume Sampled at Standard Condi- tions.

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Sample Flow Rate at Standard Conditions.

Volume of Water Vapor.

Moisture Content of Gas Stream.

Sampling Rate.

(NOTE: The viscosity and Reynolds Number Actual Particle Cut Diameter for Cyclone I. must be recalculated using the actual stack This is based on actual temperatures and temperature, moisture, and oxygen content.) pressures measured during the test run.

Particle Cut Diameter for Nre Less than 3,162 the actual test data and a D50 for 2.5 microm- for Cyclone IV. C must be recalculated using eter diameter particle size.

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Particle Cut Diameter for Nre Greater than or culated using the actual test run data and a Equal to 3,162 for Cyclone IV. C must be recal- D50 for 2.5 micrometer diameter particle size.

Re-estimated Cunningham Correction Factor. priate D50 from Equation 33 or 34 (or Equa- You must use the actual test run Reynolds tion 37 or 38 if reiterating). Number (Nre) value and select the appro-

Re-calculated Particle Cut Diameter for Nre Less than 3,162.

Re-calculated Particle Cut Diameter for N Greater than or Equal to 3,162.

Ratio (Z) Between D50 and D50–1 Values.

Acceptance Criteria for Z Values. The number of iterative steps is represented by N.

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Percent Isokinetic Sampling.

Acetone Blank Concentration.

Acetone Blank Correction Weight.

Acetone Blank Weight.

Concentration of Total Filterable PM.

Concentration of Filterable PM10.

Concentration of Filterable PM2.5.

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13.0 Method Performance 16.0 References

13.1 Field evaluation of PM10 and total (1) Dawes, S.S., and W.E. Farthing. 1990. PM showed that the precision of constant ‘‘Application Guide for Measurement of sampling rate method was the same mag- PM2.5 at Stationary Sources,’’ U.S. Environ- nitude as Method 17 of appendix A–6 to part mental Protection Agency, Atmospheric Re- 60 (approximately five percent). Precision in search and Exposure Assessment Laboratory, PM10 and total PM between multiple trains Research Triangle Park, NC, 27511, EPA–600/ showed standard deviations of four to five 3–90/057 (NTIS No.: PB 90–247198). percent and total mass compared to 4.7 per- (2) Farthing, et al. 1988a. ‘‘PM10 Source cent observed for Method 17 in simultaneous Measurement Methodology: Field Studies,’’ test runs at a Portland cement clinker cool- EPA 600/3–88/055, NTIS PB89–194278/AS, U.S. er exhaust. The accuracy of the constant Environmental Protection Agency, Research sampling rate PM10 method for total mass, Triangle Park, NC 27711. referenced to Method 17, was ¥2 ±4.4 percent (3) Farthing, W.E., and S.S. Dawes. 1988b. (Farthing, 1988a). Meas- 13.2 Laboratory evaluation and guidance ‘‘Application Guide for Source PM10 urement with Constant Sampling Rate,’’ for PM10 cyclones were designed to limit error due to spatial variations to 10 percent. EPA/600/3–88–057, U.S. Environmental Protec- The maximum allowable error due to an tion Agency, Research Triangle Park, NC isokinetic sampling was limited to ±20 per- 27711. cent for 10 micrometer particles in labora- (4) Richards, J.R. 1996. ‘‘Test protocol: PCA tory tests (Farthing, 1988b). PM10/PM2.5 Emission Factor Chemical Char- 13.3 A field evaluation of the revised acterization Testing,’’ PCA R&D Serial No. Method 201A by EPA showed that the detec- 2081, Portland Cement Association. tion limit was 2.54 mg for total filterable (5) U.S. Environmental Protection Agency, PM, 1.44 mg for filterable PM10, and 1.35 mg Federal Reference Methods 1 through 5 and for PM2.5. The precision resulting from 10 Method 17, 40 CFR part 60, Appendix A–1 quadruplicate tests (40 test runs) conducted through A–3 and A–6. for the field evaluation was 6.7 percent rel- (6) U.S. Environmental Protection Agency. ative standard deviation. The field evalua- 2010. ‘‘Field Evaluation of an Improved Meth- tion also showed that the blank expected od for Sampling and Analysis of Filterable from Method 201A was less than 0.9 mg (EPA, and Condensable Particulate Matter.’’ Office 2010). of Air Quality Planning and Standards, Sec- tor Policy and Program Division Monitoring 14.0 Alternative Procedures Policy Group. Research Triangle Park, NC Alternative methods for estimating the 27711. moisture content (ALT–008) and thermocouple calibration (ALT–011) can be found at 17.0 Tables, Diagrams, Flowcharts, and http://www.epa.gov/ttn/emc/approalt.html. Validation Data You must use the following tables, dia- 15.0 Waste Management grams, flowcharts, and data to complete this [Reserved] test method successfully.

TABLE 1—TYPICAL PM CONCENTRATIONS

Particle size range Concentration and % by weight

Total collectible particulate ...... 0.015 gr/DSCF. Less than or equal to 10 and greater than 2.5 micrometers ...... 40% of total collectible PM. ≤2.5 micrometers ...... 20% of total collectible PM.

TABLE 2—REQUIRED CYCLONE CUT DIAMETERS (D50)

Min. cut Max. cut Cyclone diameter diameter (micrometer) (micrometer)

PM10 Cyclone (Cyclone I from five stage cyclone) ...... 9 11 PM2.5 Cyclone (Cyclone IV from five stage cyclone) ...... 2.25 2.75

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TABLE 3—TEST CALCULATIONS

If you are using . . . To calculate . . . Then use . . .

Preliminary data ...... Dry gas molecular weight, Md ...... Equation 1. a Dry gas molecular weight (Md) and preliminary wet gas molecular weight, MW ...... Equation 2. moisture content of the gas stream. Stack gas temperature, and oxygen and moisture gas viscosity, μ ...... Equation 3. content of the gas stream. Gas viscosity, μ ...... Cunningham correction factor b, C ...... Equation 4. c Reynolds Number (Nre) ...... Preliminary lower limit cut diameter for cyclone I, Equation 5. Nre less than 3,162 ...... D50LL. D50LL from Equation 5 ...... Cut diameter for cyclone I for middle of the over- Equation 6. lap zone, D50T.

D50T from Equation 6 ...... Final sampling rate for cyclone I, QI(Qs) ...... Equation 7.

D50 for PM2.5 cyclone and Nre less than 3,162 ...... Final sampling rate for cyclone IV, QIV ...... Equation 8. D50 for PM2.5 cyclone and Nre greater than or equal Final sampling rate for cyclone IV, QIV ...... Equation 9. to 3,162.

QI(Qs) from Equation 7 ...... Verify the assumed Reynolds number, Nre ...... Equation 10. a Use Method 4 to determine the moisture content of the stack gas. Use a wet bulb-dry bulb measurement device or hand-held hygrometer to estimate moisture content of sources with gas temperature less than 160 °F. b For the lower cut diameter of cyclone IV, 2.25 micrometer. c Verify the assumed Reynolds number, using the procedure in Section 8.5.1, before proceeding to Equation 11.

TABLE 4—DH VALUES BASED ON PRELIMINARY TRAVERSE DATA

Stack Temperature (°R) Ts—50° Ts Ts + 50°

DH, (inches W.C.) a a a a These values are to be filled in by the stack tester.

TABLE 5—VERIFICATION OF THE ASSUMED REYNOLDS NUMBER

If the Nre is... Then... And...

Less than 3,162 ...... Calculate DH for the meter box Assume original D50LL is correct

Greater than or equal to 3,162 ...... Recalculate D50LL using Equa- Substitute the ‘‘new’’ D50LL tion 12. into Equation 6 to recalculate D50T.

TABLE 6—CALCULATIONS FOR RECOVERY OF PM10 AND PM2.5

Calculations Instructions and References

Average dry gas meter temperature ...... See field test data sheet. Average orifice pressure drop ...... See field test data sheet.

Dry gas volume (Vms) ...... Use Equation 28 to correct the sample volume measured by the dry gas meter to standard conditions (20 °C, 760 mm Hg or 68 °F, 29.92 inches Hg).

Dry gas sampling rate (QsST) ...... Must be calculated using Equation 29. Volume of water condensed (Vws) ...... Use Equation 30 to determine the water condensed in the impingers and silica gel combination. Determine the total moisture catch by measuring the change in volume or weight in the impingers and weighing the silica gel.

Moisture content of gas stream (Bws) ...... Calculate this using Equation 31. Sampling rate (Qs) ...... Calculate this using Equation 32. Test condition Reynolds numbera ...... Use Equation 10 to calculate the actual Reynolds number during test conditions.

Actual D50 of cyclone I ...... Calculate this using Equation 33. This calculation is based on the average temperatures and pressures measured during the test run.

Stack gas velocity (vs) ...... Calculate this using Equation 13. Percent isokinetic rate (%I) ...... Calculate this using Equation 41.

a Calculate the Reynolds number at the cyclone IV inlet during the test based on: (1) The sampling rate for the combined cyclone head, (2) the actual gas viscosity for the test, and (3) the dry and wet gas stream molecular weights.

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METHOD 202—DRY IMPINGER METHOD FOR DE- emissions to the atmosphere, then you must TERMINING CONDENSABLE PARTICULATE combine the procedures in this method with EMISSIONS FROM STATIONARY SOURCES the procedures in Method 201A of appendix M to this part for measuring filterable PM. 1.0 Scope and Applicability However, if the gas filtration temperature 1.1 Scope. The U.S. Environmental Pro- never exceeds 30 °C (85 °F), then use of this tection Agency (U.S. EPA or ‘‘we’’) devel- method is not required to measure total pri- oped this method to describe the procedures mary PM. that the stack tester (‘‘you’’) must follow to (b) If Method 17 of appendix A–6 to part 60 measure condensable particulate matter is used in conjunction with this method and (CPM) emissions from stationary sources. constant weight requirements for the in- This method includes procedures for meas- stack filter cannot be met, the Method 17 fil- uring both organic and inorganic CPM. 1.2 Applicability. This method addresses ter and sampling nozzle rinse must be treat- the equipment, preparation, and analysis ed as described in Sections 8.5.4.4 and 11.2.1 necessary to measure only CPM. You can use of this method. (See Section 3.0 for a defini- this method only for stationary source emis- tion of constant weight.) Extracts resulting sion measurements. You can use this method from the use of this procedure must be fil- to measure CPM from stationary source tered to remove filter fragments before the emissions after filterable particulate matter filter is processed and weighed. (PM) has been removed. CPM is measured in 1.3 Responsibility. You are responsible for the emissions after removal from the stack obtaining the equipment and supplies you and after passing through a filter. will need to use this method. You should also (a) If the gas filtration temperature ex- develop your own procedures for following ° ° ceeds 30 C (85 F) and you must measure this method and any additional procedures both the filterable and condensable (material to ensure accurate sampling and analytical that condenses after passing through a filter) measurements. components of total primary (direct) PM

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1.4 Additional Methods. To obtain reliable filter represents the CPM. Compared to the results, you should have a thorough knowl- version of Method 202 that was promulgated edge of the following test methods that are on December 17, 1991, this method eliminates found in appendices A–1 through A–3 and A– the use of water as the collection media in 6 to part 60, and in appendix M to this part: impingers and includes the addition of a con- (a) Method 1—Sample and velocity tra- denser followed by a water dropout impinger verses for stationary sources. immediately after the final in-stack or heat- (b) Method 2—Determination of stack gas ed filter. This method also includes the addi- velocity and volumetric flow rate (Type S tion of one modified Greenburg Smith im- pitot tube). pinger (backup impinger) and a CPM filter (c) Method 3—Gas analysis for the deter- following the water dropout impinger. Fig- mination of dry molecular weight. ure 1 of Section 18 presents the schematic of (d) Method 4—Determination of moisture the sampling train configured with these content in stack gases. changes. (e) Method 5—Determination of particulate 2.1.1 Condensable PM. CPM is collected in matter emissions from stationary sources. the water dropout impinger, the modified (f) Method 17—Determination of particu- Greenburg Smith impinger, and the CPM fil- late matter emissions from stationary ter of the sampling train as described in this sources (in-stack filtration method). method. The impinger contents are purged (g) Method 201A—Determination of PM10 with nitrogen immediately after sample col- and PM2.5 emissions from stationary sources lection to remove dissolved sulfur dioxide (Constant sampling rate procedure). (SO2) gases from the impinger. The CPM fil- (h) You will need additional test methods ter is extracted with water and hexane. The to measure filterable PM. You may use impinger solution is then extracted with Method 5 (including Method 5A, 5D and 5I hexane. The organic and aqueous fractions but not 5B, 5E, 5F, 5G, or 5H) of appendix A– are dried and the residues are weighed. The 3 to part 60, or Method 17 of appendix A–6 to total of the aqueous and organic fractions part 60, or Method 201A of appendix M to this represents the CPM. part to collect filterable PM from stationary 2.1.2 Dry Impinger and Additional Filter. ° ° sources with temperatures above 30 C (85 F) The potential artifacts from SO2 are reduced in conjunction with this method. However, if using a condenser and water dropout im- the gas filtration temperature never exceeds pinger to separate CPM from reactive gases. 30 °C (85 °F), then use of this method is not No water is added to the impingers prior to required to measure total primary PM. the start of sampling. To improve the collec- 1.5 Limitations. You can use this method tion efficiency of CPM, an additional filter to measure emissions in stacks that have en- (the ‘‘CPM filter’’) is placed between the sec- trained droplets only when this method is ond and third impingers. combined with a filterable PM test method that operates at high enough temperatures 3.0 Definitions to cause water droplets sampled through the 3.1 Condensable PM (CPM) means material probe to become vaporous. that is vapor phase at stack conditions, but 1.6 Conditions. You must maintain condenses and/or reacts upon cooling and di- isokinetic sampling conditions to meet the lution in the ambient air to form solid or liq- requirements of the filterable PM test meth- uid PM immediately after discharge from od used in conjunction with this method. the stack. Note that all condensable PM is You must sample at the required number of assumed to be in the PM2.5 size fraction. sampling points specified in Method 5 of ap- 3.2 Constant weight means a difference of pendix A–3 to part 60, Method 17 of appendix no more than 0.5 mg or one percent of total A–6 to part 60, or Method 201A of appendix M weight less tare weight, whichever is great- to this part. Also, if you are using this meth- er, between two consecutive weighings, with od as an alternative to a required perform- no less than six hours of desiccation time be- ance test method, you must receive approval tween weighings. from the regulatory authority that estab- 3.3 Field Train Proof Blank. A field train lished the requirement to use this test meth- proof blank is recovered on site from a clean, od prior to conducting the test. fully-assembled sampling train prior to con- 2.0 Summary of Method ducting the first emissions test. 3.4 Filterable PM means particles that are 2.1 Summary. The CPM is collected in dry emitted directly by a source as a solid or liq- impingers after filterable PM has been col- uid at stack or release conditions and cap- lected on a filter maintained as specified in tured on the filter of a stack test train. either Method 5 of appendix A–3 to part 60, 3.5 Primary PM (also known as direct PM) Method 17 of appendix A–6 to part 60, or means particles that enter the atmosphere Method 201A of appendix M to this part. The as a direct emission from a stack or an open organic and aqueous fractions of the source. Primary PM comprises two compo- impingers and an out-of-stack CPM filter are nents: filterable PM and condensable PM. then taken to dryness and weighed. The These two PM components have no upper total of the impinger fractions and the CPM particle size limit.

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3.6 Primary PM2.5 (also known as direct or federal laws, you may have to develop pro- PM2.5, total PM2.5, PM2.5, or combined filter- cedures to conform to the plant health and able PM2.5 and condensable PM) means PM safety requirements. with an aerodynamic diameter less than or equal to 2.5 micrometers. These solid par- 6.0 Equipment and Supplies ticles are emitted directly from an air emis- The equipment used in the filterable par- sions source or activity, or are the gaseous ticulate portion of the sampling train is de- emissions or liquid droplets from an air scribed in Methods 5 and 17 of appendix A–1 emissions source or activity that condense to form PM at ambient temperatures. Direct through A–3 and A–6 to part 60 and Method 201A of appendix M to this part. The equip- PM2.5 emissions include elemental carbon, directly emitted organic carbon, directly emit- ment used in the CPM portion of the train is ted sulfate, directly emitted nitrate, and described in this section. other inorganic particles (including but not 6.1 Condensable Particulate Sampling limited to crustal material, metals, and sea Train Components. The sampling train for salt). this method is used in addition to filterable 3.7 Primary PM10 (also known as direct particulate collection using Method 5 of ap- PM10, total PM10, PM10, or the combination pendix A–3 to part 60, Method 17 of appendix of filterable PM10 and condensable PM) A–6 to part 60, or Method 201A of appendix M means PM with an aerodynamic diameter to this part. This method includes the fol- equal to or less than 10 micrometers. lowing exceptions or additions: 3.8 ASTM E617–13. ASTM E617–13 ‘‘Stand- 6.1.1 Probe Extension and Liner. The ard Specification for Laboratory Weights probe extension between the filterable par- and Precisions Mass Standards,’’ approved ticulate filter and the condenser must be May 1, 2013, was developed and adopted by glass- or fluoropolymer-lined. Follow the the American Society for Testing and Mate- specifications for the probe liner specified in rials (ASTM). The standards cover weights Section 6.1.1.2 of Method 5 of appendix A–3 to and mass standards used in laboratories for part 60. specific classes. The ASTM E617–13 standard 6.1.2 Condenser and Impingers. You must has been approved for incorporation by ref- add the following components to the filter- erence by the Director of the Office of the able particulate sampling train: A Method 23 Federal Register in accordance with 5 U.S.C. type condenser as described in Section 2.1.2 552(a) and 1 CFR part 51. The standard may of Method 23 of appendix A–8 to part 60, fol- be obtained from http://www.astm.org or from lowed by a water dropout impinger or flask, the ASTM at 100 Barr Harbor Drive, P.O. Box followed by a modified Greenburg-Smith im- C700, West Conshohocken, PA 19428–2959. All pinger (backup impinger) with an open tube approved material is available for inspection tip as described in Section 6.1.1.8 of Method at EPA WJC West Building, Room 3334, 1301 5 of appendix A–3 to part 60. Constitution Ave. NW., Washington, DC 20460, telephone number 202–566–1744. It is 6.1.3 CPM Filter Holder. The modified also available for inspection at the National Greenburg-Smith impinger is followed by a Archives and Records Administration filter holder that is either glass, stainless (NARA). For information on the availability steel (316 or equivalent), or fluoropolymer- of this material at NARA, call 202–741–6030 or coated stainless steel. Commercial size filter go to http://www.archives.gov/federallregister/ holders are available depending on project codeloflfederallregulattions/ requirements. Use a commercial filter holder ibrllocations.html. capable of supporting 47 mm or greater diameter filters. Commercial size filter holders 4.0 Interferences contain a fluoropolymer O-ring, stainless [Reserved] steel, ceramic or fluoropolymer filter support and a final fluoropolymer O-ring. A fil- 5.0 Safety ter that meets the requirements specified in Section 7.1.1 may be placed behind the CPM Disclaimer. Because the performance of this method may require the use of haz- filter to reduce the pressure drop across the ardous materials, operations, and equipment, CPM filter. This support filter is not part of you should develop a health and safety plan the PM sample and is not recovered with the to ensure the safety of your employees who CPM filter. At the exit of the CPM filter, in- are on site conducting the particulate emis- stall a fluoropolymer-coated or stainless sion test. Your plan should conform with all steel encased thermocouple that is in con- applicable Occupational Safety and Health tact with the gas stream. Administration, Mine Safety and Health Ad- 6.1.4 Long Stem Impinger Insert. You will ministration, and Department of Transpor- need a long stem modified Greenburg Smith tation regulatory requirements. Because of impinger insert for the water dropout im- the unique situations at some facilities and pinger to perform the nitrogen purge of the because some facilities may have more strin- sampling train. gent requirements than is required by State 6.2 Sample Recovery Equipment.

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6.2.1 Condensable PM Recovery. Use the You will find additional information on each following equipment to quantitatively deter- of these items in the following summaries. mine the amount of CPM recovered from the 7.1.1 CPM Filter. You must use a nonreac- sampling train. tive, nondisintegrating polymer filter that (a) Nitrogen purge line. You must use inert does not have an organic binder and does not tubing and fittings capable of delivering at contribute more than 0.5 mg of residual mass least 14 liters/min of nitrogen gas to the im- to the CPM measurements. The CPM filter pinger train from a standard gas cylinder must also have an efficiency of at least 99.95 (see Figures 2 and 3 of Section 18). You may percent (less than 0.05 percent penetration) use standard 0.6 centimeters (1⁄4 inch) tubing on 0.3 micrometer dioctyl phthalate par- and compression fittings in conjunction with ticles. You may use test data from the sup- an adjustable pressure regulator and needle plier’s quality control program to document valve. the CPM filter efficiency. (b) Rotameter. You must use a rotameter 7.1.2 Silica Gel. Use an indicating-type capable of measuring gas flow up to 20 L/min. silica gel of six to 16 mesh. You must obtain The rotameter must be accurate to five per- approval of the Administrator for other cent of full scale. types of desiccants (equivalent or better) be- (c) Nitrogen gas purging system. Com- fore you use them. Allow the silica gel to dry pressed ultra-pure nitrogen, regulator, and for two hours at 175 °C (350 °F) if it is being filter must be capable of providing at least 14 reused. You do not have to dry new silica gel L/min purge gas for one hour through the if the indicator shows the silica gel is active sampling train. for moisture collection. (d) Amber glass bottles (500 ml). 7.1.3 Water. Use deionized, ultra-filtered 6.2.2 Analysis Equipment. The following water that contains 1.0 parts per million by equipment is necessary for CPM sample weight (ppmw) (1 mg/L) residual mass or less analysis: to recover and extract samples. (a) Separatory Funnel. Glass, 1 liter. 7.1.4 Crushed Ice. Obtain from the best (b) Weighing Tins. 50 ml. Glass evaporation readily available source. vials, fluoropolymer beaker liners, or alu- 7.1.5 Nitrogen Gas. Use Ultra-High Purity minum weighing tins can be used. compressed nitrogen or equivalent to purge (c) Glass Beakers. 300 to 500 ml. the sampling train. The compressed nitrogen (d) Drying Equipment. A desiccator con- you use to purge the sampling train must taining anhydrous calcium sulfate that is contain no more than 1 parts per million by maintained below 10 percent relative humid- volume (ppmv) oxygen, 1 ppmv total hydro- ity, and a hot plate or oven equipped with carbons as carbon, and 2 ppmv moisture. The temperature control. compressed nitrogen must not contribute (e) Glass Pipets. 5 ml. more than 0.1 mg of residual mass per purge. (f) Burette. Glass, 0 to 100 ml in 0.1 ml 7.2 Sample Recovery and Analytical Re- graduations. agents. You will need acetone, hexane, anhy- (g) Analytical Balance. Analytical balance drous calcium sulfate, ammonia hydroxide, capable of weighing at least 0.0001 g (0.1 mg). and deionized water for the sample recovery (h) pH Meter or Colormetric pH Indicator. and analysis. Unless otherwise indicated, all The pH meter or colormetric pH indicator reagents must conform to the specifications (e.g., phenolphthalein) must be capable of de- established by the Committee on Analytical termining the acidity of liquid within 0.1 pH Reagents of the American Chemical Society. units. If such specifications are not available, then (i) Sonication Device. The device must use the best available grade. Additional in- have a minimum sonication frequency of 20 formation on each of these items is in the kHz and be approximately four to six inches following paragraphs: deep to accommodate the sample extractor 7.2.1 Acetone. Use acetone that is stored tube. in a glass bottle. Do not use acetone from a (j) Leak-Proof Sample Containers. Con- metal container because it normally pro- tainers used for sample and blank recovery duces a high residual mass in the laboratory must not contribute more than 0.05 mg of re- and field reagent blanks. You must use ace- sidual mass to the CPM measurements. tone that has a blank value less than 1.0 (k) Wash bottles. Any container material ppmw (0.1 mg/100 g) residue. is acceptable, but wash bottles used for sam- 7.2.2 Hexane, American Chemical Society ple and blank recovery must not contribute grade. You must use hexane that has a blank more than 0.1 mg of residual mass to the residual mass value less than 1.0 ppmw (0.1 CPM measurements. mg/100 g) residue. 7.2.3 Water. Use deionized, ultra-filtered 7.0 Reagents and Standards water that contains 1 ppmw (1 mg/L) residual 7.1 Sample Collection. To collect a sam- mass or less to recover material caught in ple, you will need a CPM filter, crushed ice, the impinger. and silica gel. You must also have water and 7.2.4 Condensable Particulate Sample nitrogen gas to purge the sampling train. Desiccant. Use indicating-type anhydrous

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calcium sulfate to desiccate water and or- bake glassware at 300 °C for six hours prior ganic extract residue samples prior to weigh- to beginning tests at each source category ing. sampled at a facility. As an alternative to 7.2.5 Ammonium Hydroxide. Use National baking glassware, a field train proof blank, Institute of Standards and Technology-trace- as specified in Section 8.5.4.10, can be per- able or equivalent (0.1 N) NH4OH. formed on the sampling train glassware that 7.2.6 Standard Buffer Solutions. Use one is used to collect CPM samples. Prior to each buffer solution with a neutral pH and a sec- sampling run, the train glassware used to ond buffer solution with an acid pH of no less collect condensable PM must be rinsed thor- than 4. oughly with deionized, ultra-filtered water that that contains 1 ppmw (1 mg/L) residual 8.0 Sample Collection, Preservation, Storage, mass or less. and Transport 8.4.1 Condenser and Water Dropout Im- 8.1 Qualifications. This is a complex test pinger. Add a Method 23 type condenser and method. To obtain reliable results, you a condensate dropout impinger without bub- should be trained and experienced with in- bler tube after the final probe extension that stack filtration systems (such as, cyclones, connects the in-stack or out-of-stack hot fil- impactors, and thimbles) and impinger and ter assembly with the CPM sampling train. moisture train systems. The Method 23 type stack gas condenser is 8.2 Preparations. You must clean all described in Section 2.1.2 of Method 23. The glassware used to collect and analyze sam- condenser must be capable of cooling the ples prior to field tests as described in Sec- stack gas to less than or equal to 30 °C (85 tion 8.4 prior to use. Cleaned glassware must °F). be used at the start of each new source cat- 8.4.2 Backup Impinger. The water dropout egory tested at a single facility. Analyze lab- impinger is followed by a modified oratory reagent blanks (water, acetone, and Greenburg Smith impinger (backup im- hexane) before field tests to verify low blank pinger) with no taper (see Figure 1 of Section concentrations. Follow the pretest prepara- 18). Place the water dropout and backup tion instructions in Section 8.1 of Method 5. impingers in an insulated box with water at 8.3 Site Setup. You must follow the proce- less than or equal to 30 °C (less than or equal dures required in Methods 5, 17, or 201A, to 85 °F). At the start of the tests, the water whichever is applicable to your test require- dropout and backup impingers must be ments including: clean, without any water or reagent added. (a) Determining the sampling site location 8.4.3 CPM Filter. Place a filter holder and traverse points. with a filter meeting the requirements in (b) Calculating probe/cyclone blockage (as Section 7.1.1 after the backup impinger. The appropriate). connection between the CPM filter and the (c) Verifying the absence of cyclonic flow. moisture trap impinger must include a ther- (d) Completing a preliminary velocity pro- mocouple fitting that provides a leak-free file, and selecting a nozzle(s) and sampling seal between the thermocouple and the stack rate. gas. (NOTE: A thermocouple well is not suffi- 8.3.1 Sampling Site Location. Follow the cient for this purpose because the standard procedures in Method 1 of appendix fluoropolymer- or steel-encased thermo- A–1 to part 60 to select the appropriate sam- couple must be in contact with the sample pling site. Choose a location that maximizes gas.) the distance from upstream and downstream 8.4.4 Moisture Traps. You must use a flow disturbances. modified Greenburg-Smith impinger con- 8.3.2 Traverse points. Use the required taining 100 ml of water, or the alternative number of traverse points at any location, as described in Method 5 of appendix A–3 to part found in Methods 5, 17, or 201A, whichever is 60, followed by an impinger containing silica applicable to your test requirements. You gel to collect moisture that passes through must prevent the disturbance and capture of the CPM filter. You must maintain the gas any solids accumulated on the inner wall temperature below 20 °C (68 °F) at the exit of surfaces by maintaining a 1-inch distance the moisture traps. from the stack wall (0.5 inch for sampling lo- 8.4.5 Silica Gel Trap. Place 200 to 300 g of cations less than 24 inches in diameter). silica gel in each of several air-tight con- 8.4 Sampling Train Preparation. A sche- tainers. Weigh each container, including sili- matic of the sampling train used in this ca gel, to the nearest 0.5 g, and record this method is shown in Figure 1 of Section 18. weight on the filterable particulate data All glassware that is used to collect and ana- sheet. As an alternative, the silica gel need lyze samples must be cleaned prior to the not be preweighed, but may be weighed di- test with soap and water, and rinsed using rectly in its impinger or sampling holder tap water, deionized water, acetone, and fi- just prior to train assembly. nally, hexane. It is important to completely 8.4.6 Leak-Check (Pretest). Use the proce- remove all silicone grease from areas that dures outlined in Method 5 of appendix A–3 will be exposed to the hexane rinse during to part 60, Method 17 of appendix A–6 to part sample recovery. After cleaning, you must 60, or Method 201A of appendix M to this part

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as appropriate to leak check the entire sam- um equal to or greater than the maximum pling system. Specifically, perform the fol- vacuum achieved during the test run. If the lowing procedures: leak rate of the sampling train exceeds 0.02 8.4.6.1 Sampling train. You must pretest actual cubic feet per minute or four percent the entire sampling train for leaks. The pre- of the average sampling rate during the test test leak-check must have a leak rate of not run (whichever is less), then the run is in- more than 0.02 actual cubic feet per minute valid and you must repeat it. or 4 percent of the average sample flow dur- 8.5.3 Post-Test Nitrogen Purge. As soon as ing the test run, whichever is less. Addition- possible after the post-test leak-check, de- ally, you must conduct the leak-check at a tach the probe, any cyclones, and in-stack or vacuum equal to or greater than the vacuum hot filters from the condenser and impinger anticipated during the test run. Enter the train. If no water was collected before the leak-check results on the field test data CPM filter, then you may skip the remaining sheet for the filterable particulate method. purge steps and proceed with sample recov- (NOTE: Conduct leak-checks during port ery (see Section 8.5.4). You may purge the changes only as allowed by the filterable CPM sampling train using the sampling sys- particulate method used with this method.) tem meter box and vacuum pump or by pass- 8.4.6.2 Pitot tube assembly. After you ing nitrogen through the train under pres- leak-check the sample train, perform a leak- sure. For either type of purge, you must first check of the pitot tube assembly. Follow the attach the nitrogen supply line to a purged procedures outlined in Section 8.4.1 of Meth- inline filter. od 5. 8.5.3.1 If you choose to conduct a pressur- 8.5 Sampling Train Operation. Operate ized nitrogen purge at the completion of the sampling train as described in the filter- CPM sample collection, you may purge the able particulate sampling method (i.e., Meth- entire CPM sample collection train from the od 5 of appendix A–3 to part 60, Method 17 of condenser inlet to the CPM filter holder out- appendix A–6 to part 60, or Method 201A of let or you may quantitatively transfer the appendix M to this part) with the following water collected in the condenser and the additions or exceptions: water dropout impinger to the backup im- 8.5.1 Impinger and CPM Filter Assembly. 8.5.1.1 Monitor the moisture condensation pinger and purge only the backup impinger in the knockout and backup impingers. If and the CPM filter. You must measure the the accumulated water from moisture con- water in the knockout and backup impingers densation overwhelms the knockout im- and record the volume or weight as part of pinger, i.e., the water level is more than ap- the moisture collected during sampling as proximately one-half the capacity of the specified in Section 8.5.3.4. knockout impinger, or if water accumulates 8.5.3.1.1 If you choose to conduct a purge in the backup impinger sufficient to cover of the entire CPM sampling train, you must the impinger insert tip, then you may inter- replace the short stem impinger insert in the rupt the sampling run, recover and weigh the knock out impinger with a standard modi- moisture accumulated in the knockout and fied Greenburg Smith impinger insert. backup impinger, reassemble and leak check 8.5.3.1.2 If you choose to combine the the sampling train, and resume the sampling knockout and backup impinger catch prior run. You must purge the water collected dur- to purge, you must purge the backup im- ing the test interruption as soon as practical pinger and CPM filter holder. following the procedures in Section 8.5.3. 8.5.3.1.3 If the tip of the impinger insert 8.5.1.2 You must include the weight or does not extend below the water level (in- volume of the moisture in your moisture cal- cluding the water transferred from the first culation and you must combine the recov- impinger if this option was chosen), you ered water with the appropriate sample frac- must add a measured amount of degassed, tion for subsequent CPM analysis. deionized ultra-filtered water that contains 1 8.5.1.3 Use the field data sheet for the fil- ppmw (1 mg/L) residual mass or less until the terable particulate method to record the impinger tip is at least 1 centimeter below CPM filter temperature readings at the be- the surface of the water. You must record ginning of each sample time increment and the amount of water added to the water when sampling is halted. Maintain the CPM dropout impinger (Vp)(see Figure 4 of Sec- filter greater than 20 °C (greater than 65 °F) tion 18) to correct the moisture content of but less than or equal to 30 °C (less than or the effluent gas. (Note: Prior to use, water equal to 85 °F) during sample collection. must be degassed using a nitrogen purge bub- (Note: Maintain the temperature of the CPM bled through the water for at least 15 min- filter assembly as close to 30 °C (85 °F) as fea- utes to remove dissolved oxygen). sible.) 8.5.3.1.4 To perform the nitrogen purge 8.5.2 Leak-Check Probe/Sample Train As- using positive pressure nitrogen flow, you sembly (Post-Test). Conduct the leak rate must start with no flow of gas through the check according to the filterable particulate clean purge line and fittings. Connect the fil- sampling method used during sampling. If ter outlet to the input of the impinger train required, conduct the leak-check at a vacu- and disconnect the vacuum line from the

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exit of the silica moisture collection im- liquid collected in the moisture traps has not pinger (see Figure 3 of Section 18). You may been determined prior to conducting the ni- purge only the CPM train by disconnecting trogen purge, maintain the temperature of the moisture train components if you meas- the moisture traps following the CPM filter ure moisture in the field prior to the nitro- to prevent removal of moisture during the gen purge. You must increase the nitrogen purge. If necessary, add more ice during the flow gradually to avoid over-pressurizing the purge to maintain the gas temperature impinger array. You must purge the CPM measured at the exit of the silica gel im- train at a minimum of 14 liters per minute pinger below 20 °C (68 °F). Continue the purge for at least one hour. At the conclusion of under these conditions for at least one hour, the purge, turn off the nitrogen delivery sys- checking the rotameter and DH@ value(s) pe- tem. riodically. At the conclusion of the purge, si- 8.5.3.2 If you choose to conduct a nitrogen multaneously turn off the delivery and purge on the complete CPM sampling train pumping systems. using the sampling system meter box and 8.5.3.4 Weigh the liquid, or measure the vacuum pump, replace the short stem im- volume of the liquid collected in the drop- pinger insert with a modified Greenberg out, impingers, and silica trap if this has not Smith impinger insert. The impinger tip been done prior to purging the sampling length must extend below the water level in train. Measure the liquid in the water drop- the impinger catch. out impinger to within 1 ml using a clean (a) You must conduct the purge on the graduated cylinder or by weighing it to with- complete CPM sampling train starting at the in 0.5 g using a balance. Record the volume inlet of the condenser. If insufficient water or weight of liquid present to be used to cal- was collected, you must add a measured culate the moisture content of the effluent amount of degassed, deionized ultra-filtered gas in the field log notebook. water that contains 1 ppmw (1 mg/L) residual 8.5.3.5 If a balance is available in the field, mass or less until the impinger tip is at least weigh the silica impinger to within 0.5 g. 1 centimeter below the surface of the water. Note the color of the indicating silica gel in You must record the amount of water added the last impinger to determine whether it to the water dropout impinger (Vp) (see Fig- has been completely spent, and make a nota- ure 4 of Section 18) to correct the moisture tion of its condition in the field log note- content of the effluent gas. (NOTE: Prior to book. use, water must be degassed using a nitrogen 8.5.4 Sample Recovery. purge bubbled through the water for at least 8.5.4.1 Recovery of filterable PM. Recovery 15 minutes to remove dissolved oxygen.) of filterable PM involves the quantitative (b) You must start the purge using the transfer of particles according to the filter- sampling train vacuum pump with no flow of able particulate sampling method (i.e., Meth- gas through the clean purge line and fittings. od 5 of appendix A–3 to part 60, Method 17 of Connect the filter outlet to the input of the appendix A–6 to part 60, or Method 201A of impinger train (see Figure 2 of Section 18). appendix M to this part). To avoid over- or under-pressurizing the im- 8.5.4.2 CPM Container #1, Aqueous liquid pinger array, slowly commence the nitrogen impinger contents. Quantitatively transfer liq- gas flow through the line while simulta- uid from the dropout and the backup neously opening the meter box pump impingers prior to the CPM filter into a valve(s). Adjust the pump bypass and/or ni- clean, leak-proof container labeled with test trogen delivery rates to obtain the following identification and ‘‘CPM Container #1, Aque- conditions: 14 liters/min or DH@ and a posi- ous Liquid Impinger Contents.’’ Rinse all tive overflow rate through the rotameter of sampling train components including the less than 2 liters/min. The presence of a posi- back half of the filterable PM filter holder, tive overflow rate guarantees that the nitro- the probe extension, condenser, each im- gen delivery system is operating at greater pinger and the connecting glassware, and the than ambient pressure and prevents the pos- front half of the CPM filter housing twice sibility of passing ambient air (rather than with water. Recover the rinse water, and add nitrogen) through the impingers. Continue it to CPM Container #1. Mark the liquid the purge under these conditions for at least level on the container. one hour, checking the rotameter and DH@ 8.5.4.3 CPM Container #2, Organic rinses. value(s) at least every 15 minutes. At the Follow the water rinses of the back half of conclusion of the purge, simultaneously turn the filterable PM filter holder, probe exten- off the delivery and pumping systems. sion, condenser, each impinger, and all of the 8.5.3.3 During either purge procedure, con- connecting glassware and front half of the tinue operation of the condenser recircula- CPM filter with an acetone rinse. Recover tion pump, and heat or cool the water sur- the acetone rinse into a clean, leak-proof rounding the first two impingers to maintain container labeled with test identification the gas temperature measured at the exit of and ‘‘CPM Container #2, Organic Rinses.’’ the CPM filter greater than 20 °C (greater Then repeat the entire rinse procedure with than 65 °F), but less than or equal to 30 °C two rinses of hexane, and save the hexane (less than or equal to 85 °F). If the volume of rinses in the same container as the acetone

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rinse (CPM Container #2). Mark the liquid used for sample recovery and place it in a level on the jar. clean, leak-proof container labeled with test 8.5.4.4 CPM Container #3, CPM filter sam- identification and ‘‘CPM Container #8, ple. Use tweezers and/or clean disposable sur- Hexane Field Reagent Blank’’ (see Section gical gloves to remove the filter from the 11.2.8 for analysis). Mark the liquid level on CPM filter holder. Place the filter in the the container. Collect one hexane field rea- Petri dish labeled with test identification gent blank from the lot(s) of solvent used for and ‘‘CPM Container #3, Filter Sample.’’ the test. 8.5.4.5 CPM Container #4, Cold impinger 8.5.4.10 Field train proof blank. If you did water. You must weigh or measure the vol- not bake the sampling train glassware as ume of the contents of CPM Container #4 ei- specified in Section 8.4, you must conduct a ther in the field or during sample analysis field train proof blank as specified in Sec- (see Section 11.2.4). If the water from the cold tions 8.5.4.11 and 8.5.4.12 to demonstrate the impinger has been weighed in the field, it cleanliness of sampling train glassware. can be discarded. Otherwise, quantitatively 8.5.4.11 CPM Container #9, Field train proof transfer liquid from the cold impinger that blank, inorganic rinses. Prior to conducting follows the CPM filter into a clean, leak- the emission test, rinse the probe extension, proof container labeled with test identifica- condenser, each impinger and the connecting tion and ‘‘CPM Container #4, Cold Water Im- glassware, and the front half of the CPM fil- pinger.’’ Mark the liquid level on the con- ter housing twice with water. Recover the tainer. CPM Container #4 holds the remain- rinse water and place it in a clean, leak- der of the liquid water from the emission proof container labeled with test identifica- gases. tion and ‘‘CPM Container #9, Field Train 8.5.4.6 CPM Container #5, Silica gel absorb- Proof Blank, Inorganic Rinses.’’ Mark the ent. You must weigh the contents of CPM liquid level on the container. Container #5 in the field or during sample 8.5.4.12 CPM Container #10, Field train analysis (see Section 11.2.5). If the silica gel proof blank, organic rinses. Follow the water has been weighed in the field to measure rinse of the probe extension, condenser, each water content, then it can be discarded or re- impinger and the connecting glassware, and covered for reuse. Otherwise, transfer the the front half of the CPM filter housing with silica gel to its original container labeled an acetone rinse. Recover the acetone rinse with test identification and ‘‘CPM Container into a clean, leak-proof container labeled #5, Silica Gel Absorbent’’ and seal. You may with test identification and ‘‘CPM Container use a funnel to make it easier to pour the #10, Field Train Proof Blank, Organic silica gel without spilling. You may also use Rinses.’’ Then repeat the entire rinse proce- a rubber policeman as an aid in removing the dure with two rinses of hexane and save the silica gel from the impinger. It is not necessary to remove the small amount of silica hexane rinses in the same container as the gel dust particles that may adhere to the im- acetone rinse (CPM Container #10). Mark the pinger wall and are difficult to remove. liquid level on the container. Since the gain in weight is to be used for 8.5.5 Transport procedures. Containers moisture calculations, do not use any water must remain in an upright position at all or other liquids to transfer the silica gel. times during shipping. You do not have to 8.5.4.7 CPM Container #6, Acetone field rea- ship the containers under dry or blue ice. gent blank. Take approximately 200 ml of the However, samples must be maintained at or ° ° acetone directly from the wash bottle you below 30 C (85 F) during shipping. used for sample recovery and place it in a 9.0 Quality Control clean, leak-proof container labeled with test identification and ‘‘CPM Container #6, Ace- 9.1 Daily Quality Checks. You must per- tone Field Reagent Blank’’ (see Section 11.2.6 form daily quality checks of field log note- for analysis). Mark the liquid level on the books and data entries and calculations container. Collect one acetone field reagent using data quality indicators from this blank from the lot(s) of solvent used for the method and your site-specific test plan. You test. must review and evaluate recorded and 8.5.4.8 CPM Container #7, Water field rea- transferred raw data, calculations, and docu- gent blank. Take approximately 200 ml of the mentation of testing procedures. You must water directly from the wash bottle you used initial or sign log notebook pages and data for sample recovery and place it in a clean, entry forms that were reviewed. leak-proof container labeled with test identi- 9.2 Calculation Verification. Verify the fication and ‘‘CPM Container #7, Water Field calculations by independent, manual checks. Reagent Blank’’ (see Section 11.2.7 for anal- You must flag any suspect data and identify ysis). Mark the liquid level on the container. the nature of the problem and potential ef- Collect one water field reagent blank from fect on data quality. After you complete the the lot(s) of water used for the test. test, prepare a data summary and compile 8.5.4.9 CPM Container #8, Hexane field rea- all the calculations and raw data sheets. gent blank. Take approximately 200 ml of the 9.3 Conditions. You must document data hexane directly from the wash bottle you and information on the process unit tested,

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the particulate control system used to con- 4. You must purge the assembled train as de- trol emissions, any non-particulate control scribed in section 8.5.3. You must recover system that may affect particulate emis- field train blank samples as described in sec- sions, the sampling train conditions, and tion 8.5.4. From the field sample weight, you weather conditions. Discontinue the test if will subtract the condensable particulate the operating conditions may cause non-rep- mass you determine with this blank train or resentative particulate emissions. 0.002 g (2.0 mg), whichever is less. 9.4 Field Analytical Balance Calibration Check. Perform calibration check procedures 10.0 Calibration and Standardization on field analytical balances each day that Maintain a field log notebook of all con- they are used. You must use National Insti- densable particulate sampling and analysis tute of Standards and Technology (NIST)- calibrations. Include copies of the relevant traceable weights at a mass approximately portions of the calibration and field logs in equal to the weight of the sample plus con- the final test report. tainer you will weigh. 10.1 Thermocouple Calibration. You must 9.5 Glassware. Use class A volumetric calibrate the thermocouples using the proce- glassware for titrations, or calibrate your dures described in Section 10.3.1 of Method 2 equipment against NIST-traceable glass- of appendix A–1 to part 60 or Alternative ware. Method 2, Thermocouple Calibration (ALT– 9.6 Laboratory Analytical Balance Cali- 011) (http://www.epa.gov/ttn/emc). Calibrate bration Check. Check the calibration of your each temperature sensor at a minimum of laboratory analytical balance each day that three points over the anticipated range of you weigh CPM samples. You must use NIST use against a NIST-traceable thermometer. Class S weights at a mass approximately Alternatively, a reference thermocouple and equal to the weight of the sample plus con- potentiometer calibrated against NIST tainer you will weigh. standards can be used. 9.7 Laboratory Reagent Blanks. You 10.2 Ammonium Hydroxide. The 0.1 N should run blanks of water, acetone, and NH4OH used for titrations in this method is hexane used for field recovery and sample made as follows: Add 7 ml of concentrated analysis. Analyze at least one sample (150 ml (14.8 M) NH4OH to l liter of water. Stand- minimum) of each lot of reagents that you ardize against standardized 0.1 N H2SO4, and plan to use for sample recovery and analysis calculate the exact normality using a proce- before you begin testing. These blanks are dure parallel to that described in Section 10.5 not required by the test method, but running of Method 6 of appendix A–4 to 40 CFR part blanks before field use is advisable to verify 60. Alternatively, purchase 0.1 N NH4OH that low blank concentrations, thereby reducing has been standardized against a NIST ref- the potential for a high field blank on test erence material. Record the normality on samples. the CPM Work Table (see Figure 6 of Section 9.8 Field Reagent Blanks. You should run 18). at least one field reagent blank of water, ac- 10.3 Field Balance Calibration Check. etone, and hexane you use for field recovery. Check the calibration of the balance used to These blanks are not required by the test weigh impingers with a weight that is at method, but running independent field rea- least 500g or within 50g of a loaded impinger. gent blanks is advisable to verify that low The weight must be ASTM E617–13 ‘‘Stand- blank concentrations were maintained dur- ard Specification for Laboratory Weights ing field solvent use and demonstrate that and Precision Mass Standards’’ Class 6 (or reagents have not been contaminated during better). Daily before use, the field balance field tests. must measure the weight within ± 0.5g of the 9.9 Field Train Proof Blank. If you are certified mass. If the daily balance calibra- not baking glassware as specified in Section tion check fails, perform corrective meas- 8.4, you must recover a minimum of one field ures and repeat the check before using bal- train proof blank for the sampling train used ance. for testing each new source category at a 10.4 Analytical Balance Calibration. Per- single facility. You must assemble the sam- form a multipoint calibration (at least five pling train as it will be used for testing. You points spanning the operational range) of the must recover the field train proof blank sam- analytical balance before the first use, and ples as described in Section 8.5.4.11 and semiannually thereafter. The calibration of 8.5.4.12. the analytical balance must be conducted 9.10 Field Train Recovery Blank. You using ASTM E617–13 ‘‘Standard Specification must recover a minimum of one field train for Laboratory Weights and Precision Mass blank for each source category tested at the Standards’’ Class 2 (or better) tolerance facility. You must recover the field train weights. Audit the balance each day it is blank after the first or second run of the used for gravimetric measurements by test. You must assemble the sampling train weighing at least one ASTM E617–13 Class 2 as it will be used for testing. Prior to the tolerance (or better) calibration weight that purge, you must add 100 ml of water to the corresponds to 50 to 150 percent of the weight first impinger and record this data on Figure of one filter or between 1g and 5g. If the scale

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cannot reproduce the value of the calibration tents of Container #2. Repeat this extraction weight to within 0.5mg of the certified mass, step twice for a total of three extractions. perform corrective measures, and conduct 11.2.2 CPM Container #1, Aqueous Liquid the multipoint calibration before use. Impinger Contents. Analyze the water soluble CPM in Container #1 as described in this 11.0 Analytical Procedures section. Place the contents of Container #1 11.1 Analytical Data Sheets. (a) Record into a separatory funnel. Add approximately the filterable particulate field data on the 30 ml of hexane to the funnel, mix well, and appropriate (i.e., Method 5, 17, or 201A) ana- pour off the upper organic phase. Repeat this lytical data sheets. Alternatively, data may procedure twice with 30 ml of hexane each be recorded electronically using software ap- time combining the organic phase from each plications such as the Electronic Reporting extraction. Each time, leave a small amount Tool available at http://www.epa.gov/ttn/chief/ of the organic/hexane phase in the sepa- ert/ertltool.html. Record the condensable par- ratory funnel, ensuring that no water is col- ticulate data on the CPM Work Table (see lected in the organic phase. This extraction Figure 6 of Section 18). should yield about 90 ml of organic extract. (b) Measure the liquid in all containers ei- Combine the organic extract from Container ther volumetrically to ±1 ml or gravimetri- #1 with the organic train rinse in Container cally to ±0.5 g. Confirm on the filterable par- #2. ticulate analytical data sheet whether leak- 11.2.2.1 Determine the inorganic fraction age occurred during transport. If a notice- weight. Transfer the aqueous fraction from able amount of leakage has occurred, either the extraction to a clean 500-ml or smaller void the sample or use methods (subject to beaker. Evaporate to no less than 10 ml liq- the approval of the Administrator) to correct uid on a hot plate or in the oven at 105 °C and the final results. allow to dry at room temperature (not to ex- 11.2 Condensable PM Analysis. See the ceed 30 °C (85 °F)). You must ensure that flow chart in Figure 7 of Section 18 for the water and volatile acids have completely steps to process and combine fractions from evaporated before neutralizing nonvolatile the CPM train. acids in the sample. Following evaporation, 11.2.1 Container #3, CPM Filter Sample. If desiccate the residue for 24 hours in a desic- the sample was collected by Method 17 or cator containing anhydrous calcium sulfate. Method 201A with a stack temperature below Weigh at intervals of at least 6 hours to a ° ° 30 C (85 F), transfer the filter and any loose constant weight. (See section 3.0 for a defini- PM from the sample container to a tared tion of constant weight.) Report results to glass weighing dish. (See Section 3.0 for a the nearest 0.1 mg on the CPM Work Table definition of constant weight.) Desiccate the (see Figure 6 of section 18) and proceed di- sample for 24 hours in a desiccator con- rectly to section 11.2.3. If the residue cannot taining anhydrous calcium sulfate. Weigh to be weighed to constant weight, re-dissolve a constant weight and report the results to the residue in 100 ml of deionized distilled the nearest 0.1 mg. [Note: In-stack filter ultra-filtered water that contains 1 ppmw (1 samples collected at 30 °C (85 °F) may include mg/L) residual mass or less and continue to both filterable insoluble particulate and con- section 11.2.2.2. densable particulate. The nozzle and front half wash and filter collected at or below 30 11.2.2.2 Use titration to neutralize acid in °C (85 °F) may not be heated and must be the sample and remove water of hydration. If maintained at or below 30 °C (85 °F).] If the used, calibrate the pH meter with the neu- sample was collected by Method 202, extract tral and acid buffer solutions. Then titrate the CPM filter as follows: the sample with 0.1N NH4OH to a pH of 7.0, as 11.2.1.1 Extract the water soluble (aque- indicated by the pH meter or colorimetric ous or inorganic) CPM from the CPM filter indicator. Record the volume of titrant used by folding the filter in quarters and placing on the CPM Work Table (see Figure 6 of sec- it into a 50-ml extraction tube. Add suffi- tion 18). cient deionized, ultra-filtered water to cover 11.2.2.3 Using a hot plate or an oven at 105 the filter (e.g., 10 ml of water). Place the ex- °C, evaporate the aqueous phase to approxi- tractor tube into a sonication bath and ex- mately 10 ml. Quantitatively transfer the tract the water-soluble material for a min- beaker contents to a clean, 50-ml pre-tared imum of two minutes. Combine the aqueous weighing tin and evaporate to dryness at extract with the contents of Container #1. room temperature (not to exceed 30 °C (85 Repeat this extraction step twice for a total °F)) and pressure in a laboratory hood. Fol- of three extractions. lowing evaporation, desiccate the residue for 11.2.1.2 Extract the organic soluble CPM 24 hours in a desiccator containing anhy- from the CPM filter by adding sufficient drous calcium sulfate. Weigh at intervals of hexane to cover the filter (e.g., 10 ml of at least 6 hours to a constant weight. (See hexane). Place the extractor tube into a section 3.0 for a definition of constant sonication bath and extract the organic solu- weight.) Report results to the nearest 0.1 mg ble material for a minimum of two minutes. on the CPM Work Table (see Figure 6 of sec- Combine the organic extract with the con- tion 18).

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11.2.2.4 Calculate the correction factor to the water to a clean 250-ml beaker, and evap- ∂ subtract the NH4 retained in the sample orate to approximately 10 ml liquid in the using Equation 1 in section 12. oven at 105 °C. Quantitatively transfer the 11.2.3 CPM Container #2, Organic Frac- beaker contents to a clean 50 ml pre-tared tion Weight Determination. Analyze the or- weighing tin and evaporate to dryness at ganic soluble CPM in Container #2 as de- room temperature (not to exceed 30 °C (85 scribed in this section. Place the organic °F)) and pressure in a laboratory hood. Fol- phase in a clean glass beaker. Evaporate the lowing evaporation, desiccate the residue for organic extract at room temperature (not to 24 hours in a desiccator containing anhy- exceed 30 °C (85 °F)) and pressure in a labora- drous calcium sulfate. Weigh at intervals of tory hood to not less than 10 ml. Quan- at least six hours to a constant weight (i.e., titatively transfer the beaker contents to a less than or equal to 0.5 mg change from pre- clean 50-ml pre-tared weighing tin and evap- vious weighing) and report results to the orate to dryness at room temperature (not to nearest 0.1 mg on Figure 4 of Section 18. exceed 30 °C (85 °F)) and pressure in a labora- 11.2.8 Hexane Field Reagent Blank, Con- tory hood. Following evaporation, desiccate tainer #8. Use 150 ml of hexane from the the organic fraction for 24 hours in a desic- blank container for this analysis. Transfer cator containing anhydrous calcium sulfate. 150 ml of the hexane to a clean 250-ml beak- Weigh at intervals of at least six hours to a er. Evaporate the hexane at room tempera- constant weight (i.e., less than or equal to 0.5 ture (not to exceed 30 °C (85 °F)) and pressure mg change from previous weighing), and re- in a laboratory hood to approximately 10 ml. port results to the nearest 0.1 mg on the Quantitatively transfer the beaker contents CPM Work Table (see Figure 6 of Section 18). to a clean 50-ml pre-tared weighing tin and 11.2.4 CPM Container #4, Cold Impinger evaporate to dryness at room temperature Water. If the amount of water has not been (not to exceed 30 °C (85 °F)) and pressure in determined in the field, note the level of liq- a laboratory hood. Following evaporation, uid in the container, and confirm on the fil- desiccate the residue for 24 hours in a desic- terable particulate analytical data sheet cator containing anhydrous calcium sulfate. whether leakage occurred during transport. Weigh at intervals of at least six hours to a If a noticeable amount of leakage has oc- constant weight (i.e., less than or equal to 0.5 curred, either void the sample or use meth- mg change from previous weighing), and re- ods (subject to the approval of the Adminis- port results to the nearest 0.1 mg on Figure trator) to correct the final results. Measure 4 of Section 18. the liquid in Container #4 either ± volumetrically to 1 ml or gravimetrically 12.0 Calculations and Data Analysis to ±0.5 g, and record the volume or weight on the filterable particulate analytical data 12.1 Nomenclature. Report results in sheet of the filterable PM test method. International System of Units (SI units) un- 11.2.5 CPM Container #5, Silica Gel Ab- less the regulatory authority for testing sorbent. Weigh the spent silica gel (or silica specifies English units. The following no- gel plus impinger) to the nearest 0.5 g using menclature is used. a balance. This step may be conducted in the DH@ = Pressure drop across orifice at flow field. Record the weight on the filterable rate of 0.75 SCFM at standard conditions, particulate analytical data sheet of the fil- inches of water column (NOTE: Specific to terable PM test method. each orifice and meter box). 11.2.6 Container #6, Acetone Field Rea- 17.03 = mg/milliequivalents for ammonium gent Blank. Use 150 ml of acetone from the ion. blank container used for this analysis. ACFM = Actual cubic feet per minute. Transfer 150 ml of the acetone to a clean 250- C = Concentration of the condensable PM ml beaker. Evaporate the acetone at room cpm in the stack gas, dry basis, corrected to temperature (not to exceed 30 °C (85 °F)) and standard conditions, milligrams/dry pressure in a laboratory hood to approxi- standard cubic foot. mately 10 ml. Quantitatively transfer the ∂ beaker contents to a clean 50-ml pre-tared mc = Mass of the NH4 added to sample to weighing tin, and evaporate to dryness at form ammonium sulfate, mg. room temperature (not to exceed 30 °C (85 mcpm = Mass of the total condensable PM, °F)) and pressure in a laboratory hood. Fol- mg. lowing evaporation, desiccate the residue for mfb = Mass of total CPM in field train recov- 24 hours in a desiccator containing anhy- ery blank, mg. drous calcium sulfate. Weigh at intervals of mg = Milligrams. at least six hours to a constant weight (i.e., mg/L = Milligrams per liter. less than or equal to 0.5 mg change from pre- mi = Mass of inorganic CPM, mg. vious weighing), and report results to the mib = Mass of inorganic CPM in field train re- nearest 0.1 mg on Figure 4 of Section 19. covery blank, mg. 11.2.7 Water Field Reagent Blank, Con- mo = Mass of organic CPM, mg. tainer #7. Use 150 ml of the water from the mob = Mass of organic CPM in field train blank container for this analysis. Transfer blank, mg.

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mr = Mass of dried sample from inorganic Vp = Volume of water added during train fraction, mg. purge. N = Normality of ammonium hydroxide 12.2 Calculations. Use the following equa- titrant. tions to complete the calculations required ppmv = Parts per million by volume. ppmw = Parts per million by weight. in this test method. Enter the appropriate results from these calculations on the CPM Vm(std) = Volume of gas sample measured by the dry gas meter, corrected to standard Work Table (see Figure 6 of Section 18). conditions, dry standard cubic meter 12.2.1 Mass of ammonia correction. Cor- (dscm) or dry standard cubic foot (dscf) rection for ammonia added during titration as defined in Equation 5–1 of Method 5. of 100 ml aqueous CPM sample. This calcula- Vt = Volume of NH4OH titrant, ml. tion assumes no waters of hydration.

12.2.2 Mass of the Field Train Recovery field train recovery blank, mfb, shall not ex- Blank (mg). Per Section 9.10, the mass of the ceed 2.0 mg.

12.2.3 Mass of Inorganic CPM (mg).

12.2.4 Total Mass of CPM (mg).

12.2.5 Concentration of CPM (mg/dscf).

12.3 Emissions Test Report. You must pre- 14.0 Pollution Prevention pare a test report following the guidance in [Reserved] EPA Guidance Document 043 (Preparation and Review of Test Reports. December 1998). 15.0 Waste Management 13.0 Method Performance Solvent and water are evaporated in a laboratory hood during analysis. No liquid An EPA field evaluation of the revised waste is generated in the performance of this Method 202 showed the following precision in method. Organic solvents used to clean sam- the results: approximately 4 mg for total pling equipment should be managed as RCRA CPM, approximately 0.5 mg for organic CPM, organic waste. and approximately 3.5 mg for inorganic CPM.

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16.0 Alternative Procedures Management Association Hazardous Waste Combustion Specialty Conference. St. Louis, Alternative Method 2, Thermocouple Cali- Missouri. November 2–3, 2005. bration (ALT–011) for the thermocouple calibration can be found at http://www.epa.gov/ (7) Texas Air Control Board, Laboratory ttn/emc/approalt.html. Division. 1976. ‘‘Determination of Particulate in Stack Gases Containing Sulfuric Acid and/ 17.0 References or Sulfur Dioxide.’’ Laboratory Methods for Determination of Air Pollutants. Modified (1) Commonwealth of Pennsylvania, De- December 3, 1976. partment of Environmental Resources. 1960. (8) Puget Sound Air Pollution Control Chapter 139, Sampling and Testing (Title 25, Agency, Engineering Division. 1983. ‘‘Partic- Rules and Regulations, part I, Department of ulate Source Test Procedures Adopted by Environmental Resources, Subpart C, Pro- Puget Sound Air Pollution Control Agency tection of Natural Resources, Article III, Air Resources). January 8, 1960. Board of Directors.’’ Seattle, Washington. (2) DeWees, W.D. and K.C. Steinsberger. August 11, 1983. 1989. ‘‘Method Development and Evaluation (9) U.S. Environmental Protection Agency, of Draft Protocol for Measurement of Con- Federal Reference Methods 1 through 5 and densable Particulate Emissions.’’ Draft Re- Method 17, 40 CFR 60, appendix A–1 through port. November 17, 1989. A–3 and A–6. (3) DeWees, W.D., K.C. Steinsberger, G.M. (10) U.S. Environmental Protection Agen- Plummer, L.T. Lay, G.D. McAlister, and R.T. cy. 2008. ‘‘Evaluation and Improvement of Shigehara. 1989. ‘‘Laboratory and Field Eval- Condensable PM Measurement,’’ EPA Con- uation of EPA Method 5 Impinger Catch for tract No. EP–D–07–097, Work Assignment 2– Measuring Condensable Matter from Sta- 03, October 2008. tionary Sources.’’ Paper presented at the (11) U.S. Environmental Protection Agen- 1989 EPA/AWMA International Symposium cy. 2005. ‘‘Laboratory Evaluation of Method on Measurement of Toxic and Related Air 202 to Determine Fate of SO2 in Impinger Pollutants. Raleigh, North Carolina. May 1– Water,’’ EPA Contract No. 68–D–02–061, Work 5, 1989. Assignment 3–14, September 30, 2005. (4) Electric Power Research Institute (12) U.S. Environmental Protection Agen- (EPRI). 2008. ‘‘Laboratory Comparison of cy. 2010. Field valuation of an Improved Methods to Sample and Analyze Condensable Method for Sampling and Analysis of Filter- PM.’’ EPRI Agreement EP–P24373/C11811 able and Condensable Particulate Matter. Of- Condensable Particulate Methods: EPRI Col- fice of Air Quality Planning and Standards, laboration with EPA, October 2008. Sector Policy and Program Division Moni- (5) Nothstein, Greg. Masters Thesis. Uni- toring Policy Group. Research Triangle versity of Washington. Department of Envi- Park, NC 27711. ronmental Health. Seattle, Washington. (13) Wisconsin Department of Natural Re- (6) Richards, J., T. Holder, and D. Goshaw. sources. 1988. Air Management Operations 2005. ‘‘Optimized Method 202 Sampling Train Handbook, Revision 3. January 11, 1988. to Minimize the Biases Associated with Method 202 Measurement of Condensable PM 18.0 Tables, Diagrams, Flowcharts, and Emissions.’’ Paper presented at Air & Waste Validation Data

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METHOD 203A—VISUAL DETERMINATION OF ure a distance of 1000 meters with a min- OPACITY OF EMISSIONS FROM STATIONARY imum accuracy of ±10 percent. SOURCES FOR TIME-AVERAGED REGULA- 6.4 Abney Level (optional). This device for TIONS determining the vertical viewing angle should measure within 5 degrees. 1.0 Scope and Application 6.5 Sling Psychrometer (optional). In case of the formation of a steam plume, a wet- and What is Method 203A? dry-bulb thermometer, accurate to 0.5 °C, are Method 203A is an example test method mounted on a sturdy assembly and swung suitable for State Implementation Plans rapidly in the air in order to determine the (SIP) and is applicable to the determination relative humidity. of the opacity of emissions from sources of 6.6 Binoculars (optional). Binoculars are visible emissions for time-averaged regula- recommended to help identify stacks and to tions. A time-averaged regulation is any reg- characterize the plume. An 8 × 50 or 10 × 50 ulation that requires averaging visible emis- magnification, color-corrected coated lenses sion data to determine the opacity of visible and rectilinear field of view is recommended. emissions over a specific time period. 6.7 Camera (optional). A camera is often Method 203A is virtually identical to EPA’s used to document the emissions before and Method 9 of 40 CFR Part 60, Appendix A, ex- after the actual opacity determination. cept for the data-reduction procedures, 6.8 Safety Equipment. The following safety which provide for averaging times other than equipment, which should be approved by the 6 minutes. Therefore, using Method 203A Occupational Safety and Health Association with a 6-minute averaging time would be the (OSHA), is recommended: orange or yellow same as following EPA Method 9. The certifi- hard hat, eye and ear protection, and steel- cation procedures for this method are iden- toed safety boots. tical to those provided in Method 9 and are 6.9 Clipboard and Accessories (optional). A provided here, in full, for clarity and conven- clipboard, several ball-point pens (black ink ience. An example visible emission observa- recommended), a rubber band, and several tion form and instructions for its use can be visible emission observation forms facilitate found in reference 7 of Section 17 of Method documentation. 9. 7.0 Reagents and Standards (Reserved] 2.0 Summary of Method 8.0 Sample Collection, Preservation, Storage, The opacity of emissions from sources of and Transport visible emissions is determined visually by an observer certified according to the proce- What is the Test Procedure? dures in Section 10 of this method. Readings An observer qualified in accordance with taken every 15 seconds are averaged over a Section 10 of this method must use the fol- time period specified in the applicable regu- lowing procedures to visually determine the lation ranging from 2 minutes to 6 minutes. opacity of emissions from stationary sources. 3.0 Definitions [Reserved] 8.1 Procedure for Emissions from Stacks. 4.0 Interferences [Reserved] These procedures are applicable for visually determining the opacity of stack emissions 5.0 Safety [Reserved] by a qualified observer. 8.1.1 Position. You must stand at a dis- 6.0 Equipment and Supplies tance sufficient to provide a clear view of the emissions with the sun oriented in the 140- What equipment and supplies are needed? degree sector to your back. Consistent with 6.1 Stop Watch. Two watches are required maintaining the above requirement as much that provide a continuous display of time to as possible, you must make opacity observa- the nearest second. tions from a position such that the line of vi- 6.2 Compass (optional). A compass is useful sion is approximately perpendicular to the for determining the direction of the emission plume direction, and when observing opacity point from the spot where the visible emis- of emissions from rectangular outlets (e.g., sions (VE) observer stands and for deter- roof monitors, open baghouses, non-circular mining the wind direction at the source. For stacks), approximately perpendicular to the accurate readings, the compass should be longer axis of the outlet. You should not in- magnetic with resolution better than 10 de- clude more than one plume in the line of grees. It is suggested that the compass be sight at a time when multiple plumes are in- jewel-mounted and liquid-filled to dampen volved and, in any case, make opacity obser- the needle swing; map reading compasses are vations with the line of sight perpendicular excellent. to the longer axis of such a set of multiple 6.3 Range Finder (optional). Range finders stacks (e.g., stub stacks on baghouses). determine distances from the observer to the 8.1.2 Field Records. You must record the emission point. The instrument should meas- name of the plant, emission location, type of

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facility, observer’s name and affiliation, a smoke meter which meets the requirements sketch of the observer’s position relative to of Section 10.3 of this method. Certification the source, and the date on a field data tests that do not meet the requirements of sheet. An example visible emission observa- Sections 10.2 and 10.3 of this method are not tion form can be found in reference 7 of Sec- valid. tion 17 of this method. You must record the The certification must be valid for a period time, estimated distance to the emission lo- of 6 months, and after each 6-month period, cation, approximate wind direction, esti- the qualification procedures must be re- mated wind speed, description of the sky peated by an observer in order to retain cer- condition (presence and color of clouds), and tification. plume background on the field data sheet at 10.2 What is the Certification Procedure? the time opacity readings are initiated and The certification test consists of showing the completed. candidate a complete run of 50 plumes, 25 8.1.3 Observations. You must make opacity black plumes and 25 white plumes, generated observations at the point of greatest opacity by a smoke generator. Plumes must be pre- in that portion of the plume where con- sented in random order within each set of 25 densed water vapor is not present. Do not black and 25 white plumes. The candidate as- look continuously at the plume but, instead, signs an opacity value to each plume and observe the plume momentarily at 15-second records the observation on a suitable form. intervals. At the completion of each run of 50 readings, 8.1.3.1 Attached Steam Plumes. When con- the score of the candidate is determined. If a densed water vapor is present within the candidate fails to qualify, the complete run plume as it emerges from the emission out- of 50 readings must be repeated in any retest. let, you must make opacity observations be- The smoke test may be administered as part yond the point in the plume at which con- of a smoke school or training program, and densed water vapor is no longer visible. You may be preceded by training or familiariza- must record the approximate distance from tion runs of the smoke generator during the emission outlet to the point in the plume which candidates are shown black and white at which the observations are made. plumes of known opacity. 8.1.3.2 Detached Steam Plumes. When water 10.3 Smoke Generator. vapor in the plume condenses and becomes 10.3.1 What are the Smoke Generator Speci- visible at a distinct distance from the emis- fications? Any smoke generator used for the sion outlet, you must make the opacity ob- purpose of Section 10.2 of this method must servation at the emission outlet prior to the be equipped with a smoke meter installed to condensation of water vapor and the forma- measure opacity across the diameter of the tion of the steam plume. smoke generator stack. The smoke meter 8.2 Recording Observations. You must output must display in-stack opacity, based record the opacity observations to the near- upon a path length equal to the stack exit est 5 percent every 15 seconds on an observa- diameter on a full 0 to 100 percent chart re- tional record sheet such as the example visi- corder scale. The smoke meter optical design ble emission observation form in reference 7 and performance must meet the specifica- of Section 17 of this method. Each observations shown in Table 203A–1 of this method. tion recorded represents the average opacity The smoke meter must be calibrated as pre- of emissions for a 15-second period. The over- scribed in Section 10.3.2 of this method prior all length of time for which observations are to conducting each smoke reading test. At recorded must be appropriate to the aver- the completion of each test, the zero and aging time specified in the applicable regula- span drift must be checked and, if the drift tion. exceeds ±1 percent opacity, the condition must be corrected prior to conducting any 9.0 Quality Control [Reserved] subsequent test runs. The smoke meter must be demonstrated at the time of installation 10.0 Calibration and Standardization to meet the specifications listed in Table 10.1 What are the Certification Require- 203A–1 of this method. This demonstration ments? To receive certification as a qualified must be repeated following any subsequent observer, you must be trained and knowl- repair or replacement of the photocell or as- edgeable on the procedures in Section 8.0 of sociated electronic circuitry including the this method, be tested and demonstrate the chart recorder or output meter, or every 6 ability to assign opacity readings in 5 per- months, whichever occurs first. cent increments to 25 different black plumes 10.3.2 How is the Smoke Meter Calibrated? and 25 different white plumes, with an error The smoke meter is calibrated after allowing not to exceed 15 percent opacity on any one a minimum of 30 minutes warm-up by alter- reading and an average error not to exceed nately producing simulated opacity of 0 per- 7.5 percent opacity in each category. You cent and 100 percent. When a stable response must be tested according to the procedures at 0 percent or 100 percent is noted, the described in Section 10.2 of this method. Any smoke meter is adjusted to produce an out- smoke generator used pursuant to Section put of 0 percent or 100 percent, as appro- 10.2 of this method must be equipped with a priate. This calibration must be repeated

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until stable 0 percent and 100 percent read- ters calibrated within 2 percent. Care should ings are produced without adjustment. Simu- be taken when inserting the filters to pre- lated 0 percent and 100 percent opacity val- vent stray light from affecting the meter. ues may be produced by alternately switch- Make a total of five non-consecutive reading the power to the light source on and off ings for each filter. The maximum opacity while the smoke generator is not producing error on any one reading shall be ±3 percent. smoke. 10.3.3.6 Zero and Span Drift. Determine the 10.3.3 How is the Smoke Meter Evaluated? zero and span drift by calibrating and oper- The smoke meter design and performance ating the smoke generator in a normal man- are to be evaluated as follows: ner over a 1-hour period. The drift is meas- 10.3.3.1 Light Source. You must verify from ured by checking the zero and span at the manufacturer’s data and from voltage meas- end of this period. urements made at the lamp, as installed, 10.3.3.7 Response Time. Determine the re- that the lamp is operated within 5 percent of sponse time by producing the series of five the nominal rated voltage. simulated 0 percent and 100 percent opacity 10.3.3.2 Spectral Response of the Photocell. values and observing the time required to You must verify from manufacturer’s data reach stable response. Opacity values of 0 that the photocell has a photopic response; percent and 100 percent may be simulated by i.e., the spectral sensitivity of the cell must alternately switching the power to the light closely approximate the standard spectral- source off and on while the smoke generator luminosity curve for photopic vision which is is not operating. referenced in (b) of Table 203A–1 of this method. 11.0 Analytical Procedures [Reserved] 10.3.3.3 Angle of View. You must check 12.0 Data Analysis and Calculations construction geometry to ensure that the total angle of view of the smoke plume, as 12.1 Time-Averaged Regulations. A set of seen by the photocell, does not exceed 15 de- observations is composed of an appropriate grees. Calculate the total angle of view as number of consecutive observations deter- follows: mined by the averaging time specified (i.e., 8 j = 2 tan¥1 (d/2L) observations for a two minute average). Di- v vide the recorded observations into sets of Where: appropriate time lengths for the specified jv = Total angle of view averaging time. Sets must consist of con- d = The photocell diameter + the diameter of secutive observations; however, observations the limiting aperture immediately preceding and following inter- L = Distance from the photocell to the lim- rupted observations shall be deemed con- iting aperture. secutive. Sets need not be consecutive in The limiting aperture is the point in the time and in no case shall two sets overlap. path between the photocell and the smoke For each set of observations, calculate the plume where the angle of view is most re- average opacity by summing the opacity stricted. In smoke generator smoke meters, readings taken over the appropriate time pe- this is normally an orifice plate. riod and dividing by the number of readings. 10.3.3.4 Angle of Projection. You must For example, for a 2-minute average, eight check construction geometry to ensure that consecutive readings would be averaged by the total angle of projection of the lamp on adding the eight readings and dividing by the smoke plume does not exceed 15 degrees. eight. Calculate the total angle of projection as follows: 13.0 Method Performance ¥1 jp = 2 tan (d/2L) 13.1 Time-averaging Performances. The ac- Where: curacy of test procedures for time-averaged regulations was evaluated through field jp = Total angle of projection studies that compare the opacity readings to d = The sum of the length of the lamp fila- a transmissometer. Analysis of these data ment + the diameter of the limiting aper- shows that, as the time interval for aver- ture aging increases, the positive error decreases. L = The distance from the lamp to the lim- For example, over a 2-minute time period, 90 iting aperture. percent of the results underestimated opac- 10.3.3.5 Calibration Error. Using neutral- ity or overestimated opacity by less than 9.5 density filters of known opacity, you must percent opacity, while over a 6-minute time check the error between the actual response period, 90 percent of the data have less than and the theoretical linear response of the a 7.5 percent positive error. Overall, the field smoke meter. This check is accomplished by studies demonstrated a negative bias. Over a first calibrating the smoke meter according 2-minute time period, 57 percent of the data to Section 10.3.2 of this method and then in- have zero or negative error, and over a 6- serting a series of three neutral-density fil- minute time period, 58 percent of the data ters of nominal opacity of 20, 50, and 75 per- have zero or negative error. This means that cent in the smoke meter path length. Use fil- observers are more likely to assign opacity

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values that are below, rather than above, the Systems. Volume III, Section 3.1.2. Sta- actual opacity value. Consequently, a larger tionary Source Specific Methods. EPA–600–4– percentage of noncompliance periods will be 77–027b. August 1977. Office of Research and reported as compliant periods rather than Development Publications, 26 West Clair compliant periods reported as violations. Street, Cincinnati, OH. Table 203A–2 highlights the precision data 4. Office of Air Quality Planning and Stand- results from the June 1985 report: ‘‘Opacity ards. ‘‘Opacity Error for Averaging and Non- Errors for Averaging and Non Averaging averaging Data Reduction and Reporting Data Reduction and Reporting Techniques.’’ Techniques.’’ Final Report–SR–1–6–85. Emis- sion Measurement Branch, Research Tri- 14.0 Pollution Prevention [Reserved] angle Park, NC. June 1985. 15.0 Waste Management [Reserved] 5. U.S. Environmental Protection Agency. Preparation, Adoption, and Submittal of 16.0 Alternative Procedures [Reserved] State Implementation Plans. Methods for Measurement of PM Emissions from Sta- 17.0 References 10 tionary Sources. Final Rule. FEDERAL REG- 1. U.S. Environmental Protection Agency. ISTER. Washington, DC. U.S. Government Standards of Performance for New Sta- Printing Office. Volume 55, No. 74. Pages tionary Sources; Appendix A; Method 9 for 14246–14279. April 17, 1990. Visual Determination of the Opacity of 6. Office of Air Quality Planning and Stand- Emissions from Stationary Sources. Final ards. ‘‘Collaborative Study of Opacity Obser- Rule. 39 FR 219. Washington, DC. U.S. Gov- vations of Fugitive Emissions from Unpaved ernment Printing Office. November 12, 1974. Roads by Certified Observers.’’ Emission 2. Office of Air and Radiation. ‘‘Quality As- Measurement Branch, Research Triangle surance Guideline for Visible Emission Park, NC. October 1986. Training Programs.’’ EPA–600/S4–83–011. 7. Office of Air Quality Planning and Stand- Quality Assurance Division. Research Tri- ards. ‘‘Field Data Forms and Instructions for angle Park, NC. May 1982. EPA Methods 203A, 203B, and 203C.’’ EPA 455/ 3. Office of Research and Development. R–93–005. Stationary Source Compliance Di- ‘‘Method 9—Visible Determination of the vision, Washington, DC, June 1993. Opacity of Emissions from Stationary Sources.’’ February 1984. Quality Assurance 18.0 Tables, Diagrams, Flowcharts, and Handbook for Air Pollution Measurement Validation Data

TABLE 203A–1—SMOKE METER DESIGN AND PERFORMANCE SPECIFICATIONS

Parameter Specification

a. Light Source ...... Incandescent lamp operated at nominal rated voltage. b. Spectral response of photocell ...... Photopic (daylight spectral response of the human eye—Cita- tion 3). c. Angle of view ...... 15° maximum total angle. d. Angle of projection ...... 15° maximum total angle. e. Calibration error ...... ±3% opacity, maximum. f. Zero and span drift ...... ±1% opacity, 30 minutes g. Response time ...... 5 seconds.

TABLE 203A–2—PRECISION BETWEEN OBSERVERS: OPACITY AVERAGING

Standard Amount with Averaging period Number of deviation <7.5% opacity observations (% opacity) difference

15-second ...... 140,250 3.4 87 2 minutes ...... 17,694 2.6 92 3 minutes ...... 11,836 2.4 92 6 minutes ...... 5,954 2.1 93

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METHOD 203B—VISUAL DETERMINATION OF corded must be appropriate to the applicable OPACITY OF EMISSIONS FROM STATIONARY regulation. SOURCES FOR TIME-EXCEPTION REGULA- TIONS 9.0 Quality Control [Reserved]

1.0 Scope and Application 10.0 Calibration and Standardization

What is Method 203B? The Calibration and Standardization requirements are the same as specified in Sec- Method 203B is an example test method tion 10 of Method 203A. suitable for State Implementation Plans (SIPs) and is applicable to the determination 11.0 Analytical Procedures [Reserved] of the opacity of emissions from sources of visible emissions for time-exception regula- 12.0 Data Analysis and Calculations tions. A time-exception regulation means Data Reduction for Time-Exception Regu- any regulation that allows predefined peri- lations. For a time-exception regulation, re- ods of opacity above the otherwise applicable duce opacity observations as follows: Count opacity limit (e.g., allowing exceedances of the number of observations above the appli- 20 percent opacity for 3 minutes in 1 hour.) cable standard and multiply that number by Method 203B is virtually identical to EPA’s 0.25 to determine the minutes of emissions Method 9 of 40 CFR part 60, Appendix A, ex- above the target opacity. cept for the data-reduction procedures, which have been modified to apply to time- 13.0 Method Performance exception regulations. The certification procedures for this method are identical to 13.1 Time-Exception Regulations. ‘‘Opacity those provided in Method 9. An example of a Errors for Averaging and Non-Averaging visible emission observation form and in- Data Reduction and Reporting Techniques’’ structions for its use can be found in ref- analyzed the time errors associated with erence 7 of Section 17 of Method 203A. false compliance or false non-compliance determinations resulting from a sample of 1110 2.0 Summary of Method opacity readings with 6-minute observation periods. The study applied a 20 percent opac- The opacity of emissions from sources of ity standard. Fifty-one percent of the data visible emissions is determined visually by a showed zero error in time determinations. qualified observer. The standard deviation was 97.5 seconds for the 6-minute time period. 3.0 Definitions [Reserved] 13.1.1 Overall, the study showed a negative 4.0 Interferences [Reserved] bias. Each reading is associated with a 15-second block of time. The readings were multi- 5.0 Safety [Reserved] plied by 15 seconds and the resulting time spent above the standard was compared to 6.0 Equipment and Supplies the transmissometer results. The average amount of time that observations deviated What equipment and supplies are needed? from the transmissometer’s determinations The same as specified in Section 6.0 of was ¥8.3 seconds. Seventy percent of the Method 203A. time determinations were either correct or underestimated the time of excess emissions. 7.0 Reagents and Standards [Reserved] Consequently, a larger percentage of noncompliance periods would be reported as 8.0 Sample Collection, Preservation, Storage, compliant periods rather than compliant pe- and Transport riods reported as violations. What is the Test Procedure? 13.1.2 Some time-exception regulations reduce the data by averaging over 1-minute peri- The observer qualified in accordance with ods and then counting those minutes above the Section 10 of Method 203A must use the fol- standard. This data reduction procedure re- lowing procedures for visually determining sults in a less stringent standard than deter- the opacity of emissions. minations resulting from data reduction pro- 8.1 Procedures for Emissions From Sta- cedures of Method 203B. tionary Sources. The procedures for emissions from stationary sources are the same as 14.0 Pollution Prevention [Reserved] specified in 8.1 of Method 203A. 8.2 Recording Observations. You must 15.0 Waste Management [Reserved] record opacity observations to the nearest 5 percent at 15-second intervals on an observa- 16.0 Alternative Procedures [Reserved] tional record sheet. Each observation re- 17.0 References corded represents the average opacity of emissions for a 15-second period. The overall The references are the same as specified in length of time for which observations are re- Section 17 of Method 203A.

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18.0 Tables, Diagrams, Flowcharts, and ously at the plume, instead, observe the Validation Data [Reserved] plume momentarily at 5-second intervals. 8.1.3.1 Attached Steam Plumes. Same as METHOD 203C—VISUAL DETERMINATION OF Section 8.1.3.1 of Method 203A. OPACITY OF EMISSIONS FROM STATIONARY 8.1.3.2 Detached Steam Plumes. Same as SOURCES FOR INSTANTANEOUS LIMITATION Section 8.1.3.2 of Method 203A. REGULATIONS 8.2 Recording Observations. You must 1.0 Scope and Application record opacity observations to the nearest 5 percent at 5-second intervals on an observa- What is Method 203C? tional record sheet. Each observation re- Method 203C is an example test method corded represents the average of emissions suitable for State Implementation Plans for the 5-second period. The overall time for (SIPs) and is applicable to the determination which recordings are made must be of a of the opacity of emissions from sources of length appropriate to the applicable regula- visible emissions for regulations with an in- tion for which opacity is being measured. stantaneous opacity limitation. An instantaneous opacity limitation is an opacity limit 9.0 Quality Control [Reserved] which is never to be exceeded. Method 203C is virtually identical to EPA’s 10.0 Calibration and Standardization Method 9 of 40 CFR Part 60, Appendix A, ex- The calibration and standardization proce- cept for 5-second reading intervals and the dures are the same as Section 10 of Method data-reduction procedures, which have been 203A. modified for instantaneous limitation regulations. The certification procedures for this 11.0 Analytical Procedures [Reserved] method are virtually identical to Method 9. An example visible emission observation 12.0 Data Analysis and Calculations form and instructions for its use can be found in reference 7 of Section 17 of Method 12.1 Data Reduction for Instantaneous Limi- 203A. tation Regulations. For an instantaneous limitation regulation, a 1-minute averaging 2.0 Summary of Method time will be used. You must divide the obser- The opacity of emissions from sources of vations recorded on the record sheet into visible emissions is determined visually by sets of consecutive observations. A set is an observer certified according to the proce- composed of the consecutive observations dures in Section 10 of Method 203A. made in 1 minute. Sets need not be consecutive in time, and in no case must two sets 3.0 Definitions [Reserved] overlap. You must reduce opacity observations by dividing the sum of all observations 4.0 Interferences [Reserved] recorded in a set by the number of observa- 5.0 Safety [Reserved] tions recorded in each set. 12.2 Reduce opacity observations by aver- 6.0 Equipment and Supplies aging 12 consecutive observations recorded at 5- The equipment and supplies used are the second intervals. Divide the observations re- same as Section 6.0 of Method 203A. corded on the record sheet into sets of 12 consecutive observations. For each set of 12 7.0 Reagents and Standards [Reserved] observations, calculate the average by summing the opacity of the 12 observations and 8.0 Sample Collection, Preservation, Storage, dividing this sum by 12. and Transport What is the Test Procedure? 13.0 Method Performance The qualified observer must use the fol- The results of the ‘‘Collaborative Study of lowing procedures for visually determining Opacity Observations at Five-second Inter- the opacity of emissions. vals by Certified Observers’’ are almost iden- 8.1 Procedures for Emissions From Sta- tical to those of previous studies of Method tionary Sources. These are the same as Sec- 9 observations taken at 15-second intervals tion 8.1 of Method 203A. and indicate that observers can make valid 8.1.1 Position. Same as Section 8.1.1 of observations at 5-second intervals. The aver- Method 203A. age difference of all observations from the 8.1.2 Field Records. Same as Section 8.1.2 transmissometer values was 8.8 percent opac- of Method 203A. ity, which shows a fairly high negative bias. 8.1.3 Observations. Make opacity observa- Underestimating the opacity of the visible tions at the point of greatest opacity in that emissions is more likely than overesti- portion of the plume where condensed water mating the opacity of the emissions. vapor is not present. Do not look continu-

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14.0 Pollution Prevention [Reserved] 4. Safety

15.0 Waste Management [Reserved] An evaluation of the proposed building materials and the design for the enclosure is 16.0 Alternative Procedures [Reserved] recommended to minimize any potential hazards. 17.0 References 5. Criteria for Temporary Total Enclosure The references are the same as references 1–7 in Method 203A in addition to the fol- 5.1 Any NDO shall be at least four equiva- lowing: lent opening diameters from each VOC emit- 1. Office of Air Quality Planning and ting point unless otherwise specified by the Standards. ‘‘Collaborative Study of Opacity Administrator. Observations at Five-second Intervals by 5.2 Any exhaust point from the enclosure Certified Observers.’’ Docket A–84–22, IV–A– shall be at least four equivalent duct or hood 2. Emission Measurement Branch, Research diameters from each NDO. Triangle Park, N.C. September 1990. 5.3 The total area of all NDO’s shall not exceed 5 percent of the surface area of the 18.0 Tables, Diagrams, Flowcharts, and enclosure’s four walls, floor, and ceiling. Validation Data 5.4 The average facial velocity (FV) of air through all NDO’s shall be at least 3,600 m/hr METHOD 204—CRITERIA FOR AND VERIFICATION (200 fpm). The direction of air flow through OF A PERMANENT OR TEMPORARY TOTAL EN- all NDO’s shall be into the enclosure. CLOSURE 5.5 All access doors and windows whose areas are not included in section 5.3 and are 1. Scope and Application not included in the calculation in section 5.4 This procedure is used to determine wheth- shall be closed during routine operation of er a permanent or temporary enclosure the process. meets the criteria for a total enclosure. An existing building may be used as a tem- 6. Criteria for a Permanent Total Enclosure porary or permanent enclosure as long as it 6.1 Same as sections 5.1 and 5.3 through meets the appropriate criteria described in 5.5. this method. 6.2 All VOC emissions must be captured and contained for discharge through a con- 2. Summary of Method trol device. An enclosure is evaluated against a set of 7. Quality Control criteria. If the criteria are met and if all the exhaust gases from the enclosure are ducted 7.1 The success of this method lies in de- to a control device, then the volatile organic signing the TTE to simulate the conditions compounds (VOC) capture efficiency (CE) is that exist without the TTE (i.e., the effect of assumed to be 100 percent, and CE need not the TTE on the normal flow patterns around be measured. However, if part of the exhaust the affected facility or the amount of gas stream is not ducted to a control device, uncaptured VOC emissions should be mini- CE must be determined. mal). The TTE must enclose the application stations, coating reservoirs, and all areas 3. Definitions from the application station to the oven. The 3.1 Natural Draft Opening (NDO). Any oven does not have to be enclosed if it is permanent opening in the enclosure that re- under negative pressure. The NDO’s of the mains open during operation of the facility temporary enclosure and an exhaust fan and is not connected to a duct in which a fan must be properly sized and placed. is installed. 7.2 Estimate the ventilation rate of the 3.2 Permanent Total Enclosure (PE). A TTE that best simulates the conditions that permanently installed enclosure that com- exist without the TTE (i.e., the effect of the pletely surrounds a source of emissions such TTE on the normal flow patterns around the that all VOC emissions are captured and con- affected facility or the amount of tained for discharge to a control device. uncaptured VOC emissions should be mini- 3.3 Temporary Total Enclosure (TTE). A mal). Figure 204–1 or the following equation temporarily installed enclosure that com- may be used as an aid. pletely surrounds a source of emissions such QC that all VOC emissions that are not directed CE = GG Eq. 204-1 through the control device (i.e., uncaptured) + are captured by the enclosure and contained QCGG QC FF for discharge through ducts that allow for Measure the concentration (CG) and flow rate the accurate measurement of the uncaptured (QG) of the captured gas stream, specify a VOC emissions. safe concentration (CF) for the uncaptured 3.4 Building Enclosure (BE). An existing gas stream, estimate the CE, and then use building that is used as a TTE. the plot in Figure 204–1 or Equation 204–1 to

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determine the volumetric flow rate of the uncaptured gas stream (QF). An exhaust fan = AN that has a variable flow control is desirable. NEAR Eq. 204-2 7.3 Monitor the VOC concentration of the AT captured gas steam in the duct before the The NEAR must be ≤0.05. capture device without the TTE. To mini- 8.3 Measure the volumetric flow rate, cor- mize the effect of temporal variation on the rected to standard conditions, of each gas captured emissions, the baseline measure- stream exiting the enclosure through an ex- ment should be made over as long a time pe- haust duct or hood using EPA Method 2. In riod as practical. However, the process condi- some cases (e.g., when the building is the en- tions must be the same for the measurement closure), it may be necessary to measure the in section 7.5 as they are for this baseline volumetric flow rate, corrected to standard measurement. This may require short meas- conditions, of each gas stream entering the enclosure through a forced makeup air duct uring times for this quality control check using Method 2. Calculate FV using the fol- before and after the construction of the TTE. lowing equation: 7.4 After the TTE is constructed, monitor the VOC concentration inside the TTE. This QQ− concentration should not continue to in- FV = OI Eq. 204-3 crease, and must not exceed the safe level ac- AN cording to Occupational Safety and Health where: Administration requirements for permissible exposure limits. An increase in VOC con- QO = the sum of the volumetric flow from all centration indicates poor TTE design. gas streams exiting the enclosure 7.5 Monitor the VOC concentration of the through an exhaust duct or hood. Q = the sum of the volumetric flow from all captured gas stream in the duct before the I gas streams into the enclosure through a capture device with the TTE. To limit the ef- forced makeup air duct; zero, if there is fect of the TTE on the process, the VOC con- no forced makeup air into the enclosure. centration with and without the TTE must A = total area of all NDO’s in enclosure. be within 10 percent. If the measurements do N The FV shall be at least 3,600 m/hr (200 not agree, adjust the ventilation rate from fpm). Alternatively, measure the pressure the TTE until they agree within 10 percent. differential across the enclosure. A pressure 8. Procedure drop of 0.013 mm Hg (0.007 in. H2O) corresponds to an FV of 3,600 m/hr (200 fpm). 8.1 Determine the equivalent diameters of 8.4 Verify that the direction of air flow the NDO’s and determine the distances from through all NDO’s is inward. If FV is less each VOC emitting point to all NDO’s. Deter- than 9,000 m/hr (500 fpm), the continuous in- mine the equivalent diameter of each ex- ward flow of air shall be verified using haust duct or hood and its distance to all streamers, smoke tubes, or tracer gases. NDO’s. Calculate the distances in terms of Monitor the direction of air flow for at least equivalent diameters. The number of equiva- 1 hour, with checks made no more than 10 lent diameters shall be at least four. minutes apart. If FV is greater than 9,000 m/ 8.2 Measure the total surface area (A ) of hr (500 fpm), the direction of air flow through T the NDOs shall be presumed to be inward at the enclosure and the total area (A ) of all N all times without verification. NDO’s in the enclosure. Calculate the NDO to enclosure area ratio (NEAR) as follows: 9. Diagrams

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METHOD 204A—VOLATILE ORGANIC COMPOUNDS tocols for determining VOC capture effi- CONTENT IN LIQUID INPUT STREAM ciency (CE) for surface coating and printing operations. 1. Scope and Application 1.2 Principle. The amount of VOC intro- 1.1 Applicability. This procedure is appli- duced to the process (L) is the sum of the cable for determining the input of volatile products of the weight (W) of each VOC con- organic compounds (VOC). It is intended to taining liquid (ink, paint, solvent, etc.) used be used in the development of liquid/gas pro- and its VOC content (V).

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1.3 Sampling Requirements. A CE test tween the tee and the rotameter facilitates shall consist of at least three sampling runs. leak tests of the analysis system. Each run shall cover at least one complete 4.2.6 Thermometer. Capable of measuring production cycle, but shall be at least 3 the temperature of the hot water bath to hours long. The sampling time for each run within 1 °C. need not exceed 8 hours, even if the produc- 4.2.7 Sample Oven. Heated enclosure, con- tion cycle has not been completed. Alter- taining calibration gas coil heaters, critical native sampling times may be used with the orifice, aspirator, and other liquid sample approval of the Administrator. analysis components, capable of maintaining a temperature of 120 ±5 °C. 2. Summary of Method 4.2.8 Gas Coil Heaters. Sufficient lengths The amount of VOC containing liquid in- of stainless steel or Teflon tubing to allow troduced to the process is determined as the zero and calibration gases to be heated to weight difference of the feed material before the sample oven temperature before entering and after each sampling run. The VOC con- the critical orifice or aspirator. tent of the liquid input material is deter- 4.2.9 Water Bath. Capable of heating and mined by volatilizing a small aliquot of the maintaining a sample vessel temperature of material and analyzing the volatile material 100 ±5 °C. using a flame ionization analyzer (FIA). A 4.2.10 Analytical Balance. To measure sample of each VOC containing liquid is ana- ±0.001 g. lyzed with an FIA to determine V. 4.2.11 Disposable Syringes. 2-cc or 5-cc. 4.2.12 Sample Vessel. Glass, 40-ml septum 3. Safety vial. A separate vessel is needed for each Because this procedure is often applied in sample. highly explosive areas, caution and care 4.2.13 Rubber Stopper. Two-hole stopper should be exercised in choosing, installing, to accommodate 3.2-mm (1⁄8-in.) Teflon tub- and using the appropriate equipment. ing, appropriately sized to fit the opening of the sample vessel. The rubber stopper should 4. Equipment and Supplies be wrapped in Teflon tape to provide a tight- Mention of trade names or company prod- er seal and to prevent any reaction of the ucts does not constitute endorsement. All sample with the rubber stopper. Alter- gas concentrations (percent, ppm) are by vol- natively, any leak-free closure fabricated of ume, unless otherwise noted. nonreactive materials and accommodating 4.1 Liquid Weight. the necessary tubing fittings may be used. 4.1.1 Balances/Digital Scales. To weigh 4.2.14 Critical Orifices. Calibrated critical drums of VOC containing liquids to within orifices capable of providing constant flow 0.2 lb or 1.0 percent of the total weight of rates from 50 to 250 ml/min at known pres- VOC liquid used. sure drops. Sapphire orifice assemblies 4.1.2 Volume Measurement Apparatus (Al- (available from O’Keefe Controls Company) ternative). Volume meters, flow meters, den- and glass capillary tubing have been found to sity measurement equipment, etc., as needed be adequate for this application. to achieve the same accuracy as direct 4.2.15 Vacuum Gauge. Zero to 760-mm (0- weight measurements. to 30-in.) Hg U-Tube manometer or vacuum 4.2 VOC Content (FIA Technique). The gauge. liquid sample analysis system is shown in 4.2.16 Pressure Gauge. Bourdon gauge ca- Figures 204A–1 and 204A–2. The following pable of measuring the maximum air pres- equipment is required: sure at the aspirator inlet (e.g., 100 psig). 4.2.1 Sample Collection Can. An appro- 4.2.17 Aspirator. A device capable of gen- priately-sized metal can to be used to collect erating sufficient vacuum at the sample ves- VOC containing materials. The can must be sel to create critical flow through the cali- constructed in such a way that it can be brated orifice when sufficient air pressure is grounded to the coating container. present at the aspirator inlet. The aspirator 4.2.2 Needle Valves. To control gas flow. must also provide sufficient sample pressure 4.2.3 Regulators. For carrier gas and cali- to operate the FIA. The sample is also mixed bration gas cylinders. with the dilution gas within the aspirator. 4.2.4 Tubing. Teflon or stainless steel tub- 4.2.18 Soap Bubble Meter. Of an appro- ing with diameters and lengths determined priate size to calibrate the critical orifices in by connection requirements of equipment. the system. The tubing between the sample oven outlet 4.2.19 Organic Concentration Analyzer. An and the FIA shall be heated to maintain a FIA with a span value of 1.5 times the ex- temperature of 120 ±5 °C. pected concentration as propane; however, 4.2.5 Atmospheric Vent. A tee and 0- to other span values may be used if it can be 0.5-liter/min rotameter placed in the sam- demonstrated that they would provide more pling line between the carrier gas cylinder accurate measurements. The FIA instrument and the VOC sample vessel to release the ex- should be the same instrument used in the cess carrier gas. A toggle valve placed be- gaseous analyses adjusted with the same

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fuel, combustion air, and sample back-pres- tor’s satisfaction that equally accurate sure (flow rate) settings. The system shall be measurements would be achieved. capable of meeting or exceeding the fol- 5.1.4 System Calibration Gas. Gas mixture lowing specifications: standard containing propane in air, approxi- 4.2.19.1 Zero Drift. Less than ±3.0 percent mating the undiluted VOC concentration ex- of the span value. pected for the liquid samples. 4.2.19.2 Calibration Drift. Less than ±3.0 percent of the span value. 6. Sample Collection, Preservation and Storage ± 4.2.19.3 Calibration Error. Less than 5.0 6.1 Samples must be collected in a man- percent of the calibration gas value. ner that prevents or minimizes loss of vola- 4.2.20 Integrator/Data Acquisition Sys- tile components and that does not contami- tem. An analog or digital device or comput- nate the coating reservoir. erized data acquisition system used to inte- 6.2 Collect a 100-ml or larger sample of grate the FIA response or compute the aver- the VOC containing liquid mixture at each age response and record measurement data. application location at the beginning and The minimum data sampling frequency for end of each test run. A separate sample computing average or integrated values is should be taken of each VOC containing liq- one measurement value every 5 seconds. The uid added to the application mixture during device shall be capable of recording average the test run. If a fresh drum is needed during values at least once per minute. the sampling run, then obtain a sample from 4.2.21 Chart Recorder (Optional). A chart the fresh drum. recorder or similar device is recommended to 6.3 When collecting the sample, ground provide a continuous analog display of the the sample container to the coating drum. measurement results during the liquid sam- Fill the sample container as close to the rim ple analysis. as possible to minimize the amount of 5. Reagents and Standards headspace. 6.4 After the sample is collected, seal the 5.1 Calibration and Other Gases. Gases container so the sample cannot leak out or used for calibration, fuel, and combustion air evaporate. (if required) are contained in compressed gas 6.5 Label the container to clearly identify cylinders. All calibration gases shall be the contents. traceable to National Institute of Standards and Technology standards and shall be cer- 7. Quality Control tified by the manufacturer to ±1 percent of the tag value. Additionally, the manufac- 7.1 Required instrument quality control turer of the cylinder should provide a rec- parameters are found in the following sec- ommended shelf life for each calibration gas tions: cylinder over which the concentration does 7.1.1 The FIA system must be calibrated not change more than ±2 percent from the as specified in section 8.1. certified value. For calibration gas values 7.1.2 The system drift check must be per- not generally available, dilution systems formed as specified in section 8.2. calibrated using Method 205 may be used. Al- 8. Calibration and Standardization ternative methods for preparing calibration gas mixtures may be used with the approval 8.1 FIA Calibration and Linearity Check. of the Administrator. Make necessary adjustments to the air and 5.1.1 Fuel. The FIA manufacturer’s rec- fuel supplies for the FIA and ignite the burn- ommended fuel should be used. A 40 percent er. Allow the FIA to warm up for the period H2/60 percent He or 40 percent H2/60 percent recommended by the manufacturer. Inject a N2 gas mixture is recommended to avoid an calibration gas into the measurement sys- oxygen synergism effect that reportedly oc- tem and adjust the back-pressure regulator curs when oxygen concentration varies sig- to the value required to achieve the flow nificantly from a mean value. Other mix- rates specified by the manufacturer. Inject tures may be used provided the tester can the zero- and the high-range calibration demonstrate to the Administrator that there gases and adjust the analyzer calibration to is no oxygen synergism effect. provide the proper responses. Inject the low- 5.1.2 Carrier Gas. High purity air with less and mid-range gases and record the re- than 1 ppm of organic material (as propane) sponses of the measurement system. The or less than 0.1 percent of the span value, calibration and linearity of the system are whichever is greater. acceptable if the responses for all four gases 5.1.3 FIA Linearity Calibration Gases. are within 5 percent of the respective gas Low-, mid-, and high-range gas mixture values. If the performance of the system is standards with nominal propane concentra- not acceptable, repair or adjust the system tions of 20–30, 45–55, and 70–80 percent of the and repeat the linearity check. Conduct a span value in air, respectively. Other calibra- calibration and linearity check after assem- tion values and other span values may be bling the analysis system and after a major used if it can be shown to the Administra- change is made to the system.

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8.2 Systems Drift Checks. After each sam- the fountain into a preweighed empty drum ple, repeat the system calibration checks in to determine the final weight of the liquid. section 9.2.7 before any adjustments to the 9.1.1.2 If it is not possible to measure a FIA or measurement system are made. If the single representative mixture, then weigh zero or calibration drift exceeds ±3 percent of the various components separately (e.g., if the span value, discard the result and repeat solvent is added during the sampling run, the analysis. weigh the solvent before it is added to the Alternatively, recalibrate the FIA as in mixture). If a fresh drum of VOC containing section 8.1 and report the results using both liquid is needed during the run, then weigh sets of calibration data (i.e., data determined both the empty drum and fresh drum. prior to the test period and data determined 9.1.2 Volume Measurement (Alternative). following the test period). The data that re- If direct weight measurements are not fea- sults in the lowest CE value shall be reported sible, the tester may use volume meters or as the results for the test run. flow rate meters and density measurements 8.3 Critical Orifice Calibration. to determine the weight of liquids used if it 8.3.1 Each critical orifice must be cali- can be demonstrated that the technique pro- brated at the specific operating conditions duces results equivalent to the direct weight under which it will be used. Therefore, as- measurements. If a single representative semble all components of the liquid sample mixture cannot be measured, measure the analysis system as shown in Figure 204A–3. A components separately. stopwatch is also required. 9.2 Determination of VOC Content in 8.3.2 Turn on the sample oven, sample Input Liquids line, and water bath heaters, and allow the system to reach the proper operating tem- 9.2.1 Assemble the liquid VOC content perature. Adjust the aspirator to a vacuum analysis system as shown in Figure 204A–1. of 380 mm (15 in.) Hg vacuum. Measure the 9.2.2 Permanently identify all of the crit- time required for one soap bubble to move a ical orifices that may be used. Calibrate each known distance and record barometric pres- critical orifice under the expected operating sure. conditions (i.e., sample vacuum and tempera- 8.3.3 Repeat the calibration procedure at ture) against a volume meter as described in a vacuum of 406 mm (16 in.) Hg and at 25-mm section 8.3. (1-in.) Hg intervals until three consecutive 9.2.3 Label and tare the sample vessels determinations provide the same flow rate. (including the stoppers and caps) and the sy- Calculate the critical flow rate for the ori- ringes. fice in ml/min at standard conditions. Record 9.2.4 Install an empty sample vessel and the vacuum necessary to achieve critical perform a leak test of the system. Close the flow. carrier gas valve and atmospheric vent and evacuate the sample vessel to 250 mm (10 in.) 9. Procedure Hg absolute or less using the aspirator. Close 9.1 Determination of Liquid Input Weight. the toggle valve at the inlet to the aspirator 9.1.1 Weight Difference. Determine the and observe the vacuum for at least 1 amount of material introduced to the proc- minute. If there is any change in the sample ess as the weight difference of the feed mate- pressure, release the vacuum, adjust or re- rial before and after each sampling run. In pair the apparatus as necessary, and repeat determining the total VOC containing liquid the leak test. usage, account for: 9.2.5 Perform the analyzer calibration and (a) The initial (beginning) VOC containing linearity checks according to the procedure liquid mixture. in section 5.1. Record the responses to each (b) Any solvent added during the test run. of the calibration gases and the back-pres- (c) Any coating added during the test run. sure setting of the FIA. (d) Any residual VOC containing liquid 9.2.6 Establish the appropriate dilution mixture remaining at the end of the sample ratio by adjusting the aspirator air supply or run. substituting critical orifices. Operate the as- 9.1.1.1 Identify all points where VOC con- pirator at a vacuum of at least 25 mm (1 in.) taining liquids are introduced to the process. Hg greater than the vacuum necessary to To obtain an accurate measurement of VOC achieve critical flow. Select the dilution containing liquids, start with an empty foun- ratio so that the maximum response of the tain (if applicable). After completing the FIA to the sample does not exceed the high- run, drain the liquid in the fountain back range calibration gas. into the liquid drum (if possible) and weigh 9.2.7 Perform system calibration checks the drum again. Weigh the VOC containing at two levels by introducing compressed liquids to ±0.5 percent of the total weight gases at the inlet to the sample vessel while (full) or ±1.0 percent of the total weight of the aspirator and dilution devices are oper- VOC containing liquid used during the sam- ating. Perform these checks using the car- ple run, whichever is less. If the residual liq- rier gas (zero concentration) and the system uid cannot be returned to the drum, drain calibration gas. If the response to the carrier

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gas exceeds ±0.5 percent of span, clean or re- the analysis procedure if any of these param- pair the apparatus and repeat the check. Ad- eters deviate from the values established just the dilution ratio as necessary to during the system calibration checks in sec- achieve the correct response to the upscale tion 9.2.7. After each sample, perform the check, but do not adjust the analyzer cali- drift check described in section 8.2. If the bration. Record the identification of the ori- drift check results are acceptable, calculate fice, aspirator air supply pressure, FIA back- the VOC content of the sample using the pressure, and the responses of the FIA to the equations in section 11.2. Alternatively, re- carrier and system calibration gases. calibrate the FIA as in section 8.1 and report 9.2.8 After completing the above checks, the results using both sets of calibration inject the system calibration gas for ap- data (i.e., data determined prior to the test proximately 10 minutes. Time the exact du- period and data determined following the ration of the gas injection using a stop- test period). The data that results in the watch. Determine the area under the FIA re- lowest CE value shall be reported as the response curve and calculate the system results for the test run. Integrate the area sponse factor based on the sample gas flow under the FIA response curve, or determine rate, gas concentration, and the duration of the average concentration response and the the injection as compared to the integrated duration of sample analysis. response using Equations 204A–2 and 204A–3. 9.2.9 Verify that the sample oven and 10. Data Analysis and Calculations sample line temperatures are 120 ±5 °C and that the water bath temperature is 100 ±5 °C. 10.1 Nomenclature. 9.2.10 Fill a tared syringe with approxi- AL = area under the response curve of the liq- mately 1 g of the VOC containing liquid and uid sample, area count. weigh it. Transfer the liquid to a tared sam- AS = area under the response curve of the ple vessel. Plug the sample vessel to mini- calibration gas, area count. mize sample loss. Weigh the sample vessel CS = actual concentration of system calibra- containing the liquid to determine the tion gas, ppm propane. amount of sample actually received. Also, as K = 1.830 × 10¥9 g/(ml-ppm). a quality control check, weigh the empty sy- L = total VOC content of liquid input, kg.

ringe to determine the amount of material ML = mass of liquid sample delivered to the delivered. The two coating sample weights sample vessel, g. should agree within 0.02 g. If not, repeat the q = flow rate through critical orifice, ml/ procedure until an acceptable sample is ob- min. tained. RF = liquid analysis system response factor, 9.2.11 Connect the vessel to the analysis g/area count. system. Adjust the aspirator supply pressure qS = total gas injection time for system cali- to the correct value. Open the valve on the bration gas during integrator calibra- carrier gas supply to the sample vessel and tion, min. adjust it to provide a slight excess flow to VFj = final VOC fraction of VOC containing the atmospheric vent. As soon as the initial liquid j. response of the FIA begins to decrease, im- V = initial VOC fraction of VOC containing merse the sample vessel in the water bath. Ij liquid j. (Applying heat to the sample vessel too soon V = VOC fraction of VOC containing liquid may cause the FIA response to exceed the Aj j added during the run. calibrated range of the instrument and, thus, invalidate the analysis.) V = VOC fraction of liquid sample. 9.2.12 Continuously measure and record WFj = weight of VOC containing liquid j re- the response of the FIA until all of the vola- maining at end of the run, kg. tile material has been evaporated from the WIj = weight of VOC containing liquid j at be- sample and the instrument response has re- ginning of the run, kg. turned to the baseline (i.e., response less WAj = weight of VOC containing liquid j than 0.5 percent of the span value). Observe added during the run, kg. the aspirator supply pressure, FIA back-pres- 10.2 Calculations sure, atmospheric vent, and other system op- 10.2.1 Total VOC Content of the Input erating parameters during the run; repeat VOC Containing Liquid.

n n n =− + LVWVWVW∑ rj rj∑∑ Fj Fj Aj Aj Eq. 204A-1 j=1 j==11j

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10.2.2 Liquid Sample Analysis System Re- 11. Method Performance sponse Factor for Systems Using Integra- tors, Grams/Area Count. The measurement uncertainties are estimated for each VOC containing liquid as fol- Cqθ K lows: W = ±2.0 percent and V = ±4.0 percent. RF = SS Eq. 204A-2 Based on these numbers, the probable uncer- ± AS tainty for L is estimated at about 4.5 percent for each VOC containing liquid. 10.2.3 VOC Content of the Liquid Sample. 12. Diagrams ARF V = L Eq. 204A-3 ML

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METHOD 204B—VOLATILE ORGANIC COMPOUNDS analyzer. The sample line must be heated to EMISSIONS IN CAPTURED STREAM prevent condensation. 4.1.4 Sample Pump. A leak-free pump, to 1. Scope and Application pull the sample gas through the system at a 1.1 Applicability. This procedure is appli- flow rate sufficient to minimize the response cable for determining the volatile organic time of the measurement system. The com- compounds (VOC) content of captured gas ponents of the pump that contact the gas streams. It is intended to be used in the de- stream shall be constructed of stainless steel velopment of a gas/gas protocol for deter- or Teflon. The sample pump must be heated mining VOC capture efficiency (CE) for sur- to prevent condensation. face coating and printing operations. The 4.1.5 Sample Flow Rate Control. A sample procedure may not be acceptable in certain flow rate control valve and rotameter, or site-specific situations [e.g., when: (1) direct- equivalent, to maintain a constant sampling fired heaters or other circumstances affect rate within 10 percent. The flow rate control the quantity of VOC at the control device valve and rotameter must be heated to pre- inlet; and (2) particulate organic aerosols are vent condensation. A control valve may also formed in the process and are present in the be located on the sample pump bypass loop captured emissions]. to assist in controlling the sample pressure 1.2 Principle. The amount of VOC cap- and flow rate. tured (G) is calculated as the sum of the 4.1.6 Organic Concentration Analyzer. An FIA with a span value of 1.5 times the ex- products of the VOC content (CGj), the flow pected concentration as propane; however, rate (QGj), and the sample time (QC) from each captured emissions point. other span values may be used if it can be 1.3 Sampling Requirements. A CE test demonstrated to the Administrator’s satis- shall consist of at least three sampling runs. faction that they would provide equally ac- Each run shall cover at least one complete curate measurements. The system shall be production cycle, but shall be at least 3 capable of meeting or exceeding the fol- hours long. The sampling time for each run lowing specifications: need not exceed 8 hours, even if the produc- 4.1.6.1 Zero Drift. Less than ±3.0 percent of tion cycle has not been completed. Alter- the span value. ± native sampling times may be used with the 4.1.6.2 Calibration Drift. Less than 3.0 approval of the Administrator. percent of the span value. 4.1.6.3 Calibration Error. Less than ±5.0 2. Summary of Method percent of the calibration gas value. 4.1.6.4 Response Time. Less than 30 sec- A gas sample is extracted from the source onds. though a heated sample line and, if nec- 4.1.7 Integrator/Data Acquisition System. essary, a glass fiber filter to a flame ioniza- An analog or digital device, or computerized tion analyzer (FIA). data acquisition system used to integrate 3. Safety the FIA response or compute the average response and record measurement data. The Because this procedure is often applied in minimum data sampling frequency for com- highly explosive areas, caution and care puting average or integrated values is one should be exercised in choosing, installing, measurement value every 5 seconds. The de- and using the appropriate equipment. vice shall be capable of recording average values at least once per minute. 4. Equipment and Supplies 4.2 Captured Emissions Volumetric Flow Mention of trade names or company prod- Rate. ucts does not constitute endorsement. All 4.2.1 Method 2 or 2A Apparatus. For deter- gas concentrations (percent, ppm) are by vol- mining volumetric flow rate. ume, unless otherwise noted. 4.2.2 Method 3 Apparatus and Reagents. 4.1 Gas VOC Concentration. A schematic For determining molecular weight of the gas of the measurement system is shown in Fig- stream. An estimate of the molecular weight ure 204B–1. The main components are as fol- of the gas stream may be used if approved by lows: the Administrator. 4.1.1 Sample Probe. Stainless steel or 4.2.3 Method 4 Apparatus and Reagents. equivalent. The probe shall be heated to pre- For determining moisture content, if nec- vent VOC condensation. essary. 4.1.2 Calibration Valve Assembly. Three- 5. Reagents and Standards way valve assembly at the outlet of the sample probe to direct the zero and calibration 5.1 Calibration and Other Gases. Gases gases to the analyzer. Other methods, such used for calibration, fuel, and combustion air as quick-connect lines, to route calibration (if required) are contained in compressed gas gases to the outlet of the sample probe are cylinders. All calibration gases shall be acceptable. traceable to National Institute of Standards 4.1.3 Sample Line. Stainless steel or Tef- and Technology standards and shall be cer- lon tubing to transport the sample gas to the tified by the manufacturer to ±1 percent of

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the tag value. Additionally, the manufac- mid-range gases and record the responses of turer of the cylinder should provide a rec- the measurement system. The calibration ommended shelf life for each calibration gas and linearity of the system are acceptable if cylinder over which the concentration does the responses for all four gases are within 5 not change more than ±2 percent from the percent of the respective gas values. If the certified value. For calibration gas values performance of the system is not acceptable, not generally available, dilution systems repair or adjust the system and repeat the calibrated using Method 205 may be used. Al- linearity check. Conduct a calibration and ternative methods for preparing calibration linearity check after assembling the analysis gas mixtures may be used with the approval system and after a major change is made to of the Administrator. the system. 5.1.1 Fuel. The FIA manufacturer’s rec- 7.2 Systems Drift Checks. Select the cali- ommended fuel should be used. A 40 percent bration gas that most closely approximates H2/60 percent He or 40 percent H2/60 percent the concentration of the captured emissions N2 gas mixture is recommended to avoid an for conducting the drift checks. Introduce oxygen synergism effect that reportedly oc- the zero and calibration gases at the calibra- curs when oxygen concentration varies sig- tion valve assembly and verify that the ap- nificantly from a mean value. Other mix- propriate gas flow rate and pressure are tures may be used provided the tester can present at the FIA. Record the measurement demonstrate to the Administrator that there system responses to the zero and calibration is no oxygen synergism effect. gases. The performance of the system is ac- 5.1.2 Carrier Gas. High purity air with less ceptable if the difference between the drift than 1 ppm of organic material (as propane check measurement and the value obtained or carbon equivalent) or less than 0.1 percent in section 7.1 is less than 3 percent of the of the span value, whichever is greater. span value. Alternatively, recalibrate the 5.1.3 FIA Linearity Calibration Gases. FIA as in section 7.1 and report the results Low-, mid-, and high-range gas mixture using both sets of calibration data (i.e., data standards with nominal propane concentra- determined prior to the test period and data tions of 20–30, 45–55, and 70–80 percent of the determined following the test period). The span value in air, respectively. Other calibra- data that results in the lowest CE value tion values and other span values may be shall be reported as the results for the test used if it can be shown to the Administra- run. Conduct the system drift checks at the tor’s satisfaction that equally accurate end of each run. measurements would be achieved. 7.3 System Check. Inject the high-range 5.2 Particulate Filter. An in-stack or an calibration gas at the inlet of the sampling out-of-stack glass fiber filter is rec- probe and record the response. The perform- ommended if exhaust gas particulate loading ance of the system is acceptable if the meas- is significant. An out-of-stack filter must be urement system response is within 5 percent of the value obtained in section 7.1 for the heated to prevent any condensation unless it high-range calibration gas. Conduct a system can be demonstrated that no condensation check before and after each test run. occurs. 8. Procedure 6. Quality Control 8.1. Determination of Volumetric Flow 6.1 Required instrument quality control Rate of Captured Emissions. parameters are found in the following sec- 8.1.1 Locate all points where emissions tions: are captured from the affected facility. 6.1.1 The FIA system must be calibrated Using Method 1, determine the sampling as specified in section 7.1. points. Be sure to check each site for cy- 6.1.2 The system drift check must be per- clonic or swirling flow. formed as specified in section 7.2. 8.1.2 Measure the velocity at each sam- 6.1.3 The system check must be conducted pling site at least once every hour during as specified in section 7.3. each sampling run using Method 2 or 2A. 7. Calibration and Standardization 8.2 Determination of VOC Content of Cap- tured Emissions. 7.1 FIA Calibration and Linearity Check. 8.2.1 Analysis Duration. Measure the VOC Make necessary adjustments to the air and responses at each captured emissions point fuel supplies for the FIA and ignite the burn- during the entire test run or, if applicable, er. Allow the FIA to warm up for the period while the process is operating. If there are recommended by the manufacturer. Inject a multiple captured emission locations, design calibration gas into the measurement sys- a sampling system to allow a single FIA to tem and adjust the back-pressure regulator be used to determine the VOC responses at to the value required to achieve the flow all sampling locations. rates specified by the manufacturer. Inject 8.2.2 Gas VOC Concentration. the zero-and the high-range calibration gases 8.2.2.1 Assemble the sample train as and adjust the analyzer calibration to pro- shown in Figure 204B–1. Calibrate the FIA vide the proper responses. Inject the low- and according to the procedure in section 7.1.

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8.2.2.2 Conduct a system check according 8.2.3.3 Position the probe at the sampling to the procedure in section 7.3. location. 8.2.2.3 Install the sample probe so that the 8.2.3.4 Determine the response time, con- probe is centrally located in the stack, pipe, duct the system check, and sample according or duct, and is sealed tightly at the stack to the procedures described in sections 8.2.2.4 port connection. through 8.2.2.7. 8.2.2.4 Inject zero gas at the calibration 8.2.4 Alternative Procedure. The direct valve assembly. Allow the measurement sys- interface sampling and analysis procedure tem response to reach zero. Measure the sys- described in section 7.2 of Method 18 may be tem response time as the time required for used to determine the gas VOC concentra- the system to reach the effluent concentration. The system must be designed to collect tion after the calibration valve has been re- and analyze at least one sample every 10 turned to the effluent sampling position. minutes. If the alternative procedure is used 8.2.2.5 Conduct a system check before, and to determine the VOC concentration of the a system drift check after, each sampling captured emissions, it must also be used to run according to the procedures in sections determine the VOC concentration of the 7.2 and 7.3. If the drift check following a run uncaptured emissions. indicates unacceptable performance (see section 7.3), the run is not valid. Alternatively, 9. Data Analysis and Calculations recalibrate the FIA as in section 7.1 and report the results using both sets of calibra- 9.1 Nomenclature. 2 tion data (i.e., data determined prior to the Ai = area of NDO i, ft . test period and data determined following AN = total area of all NDO’s in the enclosure, the test period). The data that results in the ft2. lowest CE value shall be reported as the re- CBi = corrected average VOC concentration of sults for the test run. The tester may elect background emissions at point i, ppm to perform system drift checks during the propane. run not to exceed one drift check per hour. CB = average background concentration, ppm 8.2.2.6 Verify that the sample lines, filter, propane. ± ° and pump temperatures are 120 5 C. CGj = corrected average VOC concentration of 8.2.2.7 Begin sampling at the start of the captured emissions at point j, ppm pro- test period and continue to sample during pane. the entire run. Record the starting and end- CDH = average measured concentration for ing times and any required process informa- the drift check calibration gas, ppm pro- tion as appropriate. If multiple captured pane. emission locations are sampled using a sin- CDO = average system drift check concentra- gle FIA, sample at each location for the tion for zero concentration gas, ppm pro- same amount of time (e.g., 2 minutes) and pane. continue to switch from one location to an- CH = actual concentration of the drift check other for the entire test run. Be sure that calibration gas, ppm propane. total sampling time at each location is the Ci = uncorrected average background VOC same at the end of the test run. Collect at concentration measured at point i, ppm least four separate measurements from each propane. sample point during each hour of testing. Cj = uncorrected average VOC concentration Disregard the measurements at each sam- measured at point j, ppm propane. pling location until two times the response G = total VOC content of captured emissions, time of the measurement system has kg. elapsed. Continue sampling for at least 1 ¥6 3 K1 = 1.830 × 10 kg/(m -ppm). minute and record the concentration meas- n = number of measurement points. urements. QGj = average effluent volumetric flow rate 8.2.3 Background Concentration. corrected to standard conditions at cap- NOTE: Not applicable when the building is tured emissions point j, m3/min. used as the temporary total enclosure (TTE). QC = total duration of captured emissions. 8.2.3.1 Locate all natural draft openings 9.2 Calculations. (NDO’s) of the TTE. A sampling point shall 9.2.1 Total VOC Captured Emissions. be at the center of each NDO, unless otherwise specified by the Administrator. If there n are more than six NDO’s, choose six sam- =−θ GCCQK∑()Gj B Gj C 1 Eq. 204B-1 pling points evenly spaced among the NDO’s. = 8.2.3.2 Assemble the sample train as j 1 shown in Figure 204B–2. Calibrate the FIA 9.2.2 VOC Concentration of the Captured and conduct a system check according to the Emissions at Point j. procedures in sections 7.1 and 7.3. C NOTE: This sample train shall be separate CCC=−()H Eq. 204B-2 from the sample train used to measure the Gj j DO − captured emissions. CCDH DO

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9.2.3 Background VOC Concentration at NOTE: If the concentration at each point is Point i. within 20 percent of the average concentration of all points, then use the arithmetic C average. CCC=−()H Eq. 204B-3 Bi i DO − CCDH DO 10. Method Performance 9.2.4 Average Background Concentration. The measurement uncertainties are estimated for each captured or uncaptured emis- n sions point as follows: QGj=±5.5 percent and ± ∑CA CGj= 5.0 percent. Based on these numbers, Bi i the probable uncertainty for G is estimated = C = i 1 Eq. 204B-4 at about ±7.4 percent. B A N 11. Diagrams

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METHOD 204C—VOLATILE ORGANIC COMPOUNDS changed by substituting different critical EMISSIONS IN CAPTURED STREAM (DILUTION orifices or adjustments of the aspirator sup- TECHNIQUE) ply pressure. The dilution system shall be heated to prevent VOC condensation. Note: 1. Scope and Application An out-of-stack dilution device may be used. 1.1 Applicability. This procedure is appli- 4.1.2 Calibration Valve Assembly. Three- cable for determining the volatile organic way valve assembly at the outlet of the sam- compounds (VOC) content of captured gas ple probe to direct the zero and calibration streams. It is intended to be used in the de- gases to the analyzer. Other methods, such velopment of a gas/gas protocol in which as quick-connect lines, to route calibration uncaptured emissions are also measured for gases to the outlet of the sample probe are determining VOC capture efficiency (CE) for acceptable. surface coating and printing operations. A 4.1.3 Sample Line. Stainless steel or Tef- dilution system is used to reduce the VOC lon tubing to transport the sample gas to the concentration of the captured emissions to analyzer. The sample line must be heated to about the same concentration as the prevent condensation. uncaptured emissions. The procedure may 4.1.4 Sample Pump. A leak-free pump, to not be acceptable in certain site-specific sit- pull the sample gas through the system at a uations [e.g., when: (1) direct-fired heaters or flow rate sufficient to minimize the response other circumstances affect the quantity of time of the measurement system. The com- VOC at the control device inlet; and (2) par- ponents of the pump that contact the gas ticulate organic aerosols are formed in the stream shall be constructed of stainless steel process and are present in the captured emis- or Teflon. The sample pump must be heated sions]. to prevent condensation. 1.2 Principle. The amount of VOC cap- 4.1.5 Sample Flow Rate Control. A sample tured (G) is calculated as the sum of the flow rate control valve and rotameter, or products of the VOC content (C ), the flow Gj equivalent, to maintain a constant sampling rate (Q ), and the sampling time (Q ) from Gj C rate within 10 percent. The flow control each captured emissions point. valve and rotameter must be heated to pre- 1.3 Sampling Requirements. A CE test shall consist of at least three sampling runs. vent condensation. A control valve may also Each run shall cover at least one complete be located on the sample pump bypass loop production cycle, but shall be at least 3 to assist in controlling the sample pressure hours long. The sampling time for each run and flow rate. need not exceed 8 hours, even if the produc- 4.1.6 Sample Gas Manifold. Capable of dition cycle has not been completed. Alter- verting a portion of the sample gas stream to native sampling times may be used with the the FIA, and the remainder to the bypass approval of the Administrator. discharge vent. The manifold components shall be constructed of stainless steel or Tef- 2. Summary of Method lon. If captured or uncaptured emissions are to be measured at multiple locations, the A gas sample is extracted from the source measurement system shall be designed to use using an in-stack dilution probe through a separate sampling probes, lines, and pumps heated sample line and, if necessary, a glass for each measurement location and a com- fiber filter to a flame ionization analyzer mon sample gas manifold and FIA. The sam- (FIA). The sample train contains a sample ple gas manifold and connecting lines to the gas manifold which allows multiple points to FIA must be heated to prevent condensation. be sampled using a single FIA. NOTE: Depending on the number of sam- 3. Safety pling points and their location, it may not be Because this procedure is often applied in possible to use only one FIA. However to re- highly explosive areas, caution and care duce the effect of calibration error, the num- should be exercised in choosing, installing, ber of FIA’s used during a test should be and using the appropriate equipment. keep as small as possible. 4.1.7 Organic Concentration Analyzer. An 4. Equipment and Supplies FIA with a span value of 1.5 times the ex- Mention of trade names or company prod- pected concentration as propane; however, ucts does not constitute endorsement. All other span values may be used if it can be gas concentrations (percent, ppm) are by vol- demonstrated to the Administrator’s satis- ume, unless otherwise noted. faction that they would provide equally ac- 4.1 Gas VOC Concentration. A schematic curate measurements. The system shall be of the measurement system is shown in Fig- capable of meeting or exceeding the fol- ure 204C–1. The main components are as following specifications: lows: 4.1.7.1 Zero Drift. Less than ±3.0 percent of 4.1.1 Dilution System. A Kipp in-stack di- the span value. lution probe and controller or similar device 4.1.7.2 Calibration Drift. Less than ±3.0 may be used. The dilution rate may be percent of the span value.

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4.1.7.3 Calibration Error. Less than ±5.0 used if it can be shown to the Administra- percent of the calibration gas value. tor’s satisfaction that equally accurate 4.1.7.4 Response Time. Less than 30 sec- measurements would be achieved. onds. 5.1.4 Dilution Check Gas. Gas mixture 4.1.8 Integrator/Data Acquisition System. standard containing propane in air, approxi- An analog or digital device or computerized mately half the span value after dilution. data acquisition system used to integrate 5.2 Particulate Filter. An in-stack or an the FIA response or compute the average re- out-of-stack glass fiber filter is rec- sponse and record measurement data. The ommended if exhaust gas particulate loading minimum data sampling frequency for com- is significant. An out-of-stack filter must be puting average or integrated values is one heated to prevent any condensation unless it measurement value every 5 seconds. The de- can be demonstrated that no condensation vice shall be capable of recording average occurs. values at least once per minute. 4.2 Captured Emissions Volumetric Flow 6. Quality Control Rate. 6.1 Required instrument quality control 4.2.1 Method 2 or 2A Apparatus. For deter- parameters are found in the following sec- mining volumetric flow rate. tions: 4.2.2 Method 3 Apparatus and Reagents. 6.1.1 The FIA system must be calibrated For determining molecular weight of the gas as specified in section 7.1. stream. An estimate of the molecular weight 6.1.2 The system drift check must be per- of the gas stream may be used if approved by formed as specified in section 7.2. the Administrator. 6.1.3 The dilution factor must be deter- 4.2.3 Method 4 Apparatus and Reagents. mined as specified in section 7.3. For determining moisture content, if nec- 6.1.4 The system check must be conducted essary. as specified in section 7.4. 5. Reagents and Standards 7. Calibration and Standardization 5.1 Calibration and Other Gases. Gases used for calibration, fuel, and combustion air 7.1 FIA Calibration and Linearity Check. (if required) are contained in compressed gas Make necessary adjustments to the air and cylinders. All calibration gases shall be fuel supplies for the FIA and ignite the burn- traceable to National Institute of Standards er. Allow the FIA to warm up for the period and Technology standards and shall be cer- recommended by the manufacturer. Inject a tified by the manufacturer to ±1 percent of calibration gas into the measurement sys- the tag value. Additionally, the manufac- tem after the dilution system and adjust the turer of the cylinder should provide a rec- back-pressure regulator to the value re- ommended shelf life for each calibration gas quired to achieve the flow rates specified by cylinder over which the concentration does the manufacturer. Inject the zero-and the not change more than ±2 percent from the high-range calibration gases and adjust the certified value. For calibration gas values analyzer calibration to provide the proper re- not generally available, dilution systems sponses. Inject the low-and mid-range gases calibrated using Method 205 may be used. Al- and record the responses of the measurement ternative methods for preparing calibration system. The calibration and linearity of the gas mixtures may be used with the approval system are acceptable if the responses for all of the Administrator. four gases are within 5 percent of the respec- 5.1.1 Fuel. The FIA manufacturer’s rective gas values. If the performance of the ommended fuel should be used. A 40 percent system is not acceptable, repair or adjust the H2/60 percent He or 40 percent H2/60 percent system and repeat the linearity check. Con- N2 gas mixture is recommended to avoid an duct a calibration and linearity check after oxygen synergism effect that reportedly oc- assembling the analysis system and after a curs when oxygen concentration varies sig- major change is made to the system. nificantly from a mean value. Other mix- 7.2 Systems Drift Checks. Select the cali- tures may be used provided the tester can bration gas that most closely approximates demonstrate to the Administrator that there the concentration of the diluted captured is no oxygen synergism effect emissions for conducting the drift checks. 5.1.2 Carrier Gas and Dilution Air Supply. Introduce the zero and calibration gases at High purity air with less than 1 ppm of or- the calibration valve assembly, and verify ganic material (as propane or carbon equiva- that the appropriate gas flow rate and pres- lent), or less than 0.1 percent of the span sure are present at the FIA. Record the value, whichever is greater. measurement system responses to the zero 5.1.3 FIA Linearity Calibration Gases. and calibration gases. The performance of Low-, mid-, and high-range gas mixture the system is acceptable if the difference be- standards with nominal propane concentra- tween the drift check measurement and the tions of 20–30, 45–55, and 70–80 percent of the value obtained in section 7.1 is less than 3 span value in air, respectively. Other calibra- percent of the span value. Alternatively, re- tion values and other span values may be calibrate the FIA as in section 7.1 and report

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the results using both sets of calibration tion 7.4), the run is not valid. Alternatively, data (i.e., data determined prior to the test recalibrate the FIA as in section 7.1 and re- period and data determined following the port the results using both sets of calibra- test period). The data that results in the tion data (i.e., data determined prior to the lowest CE value shall be reported as the retest period and data determined following sults for the test run. Conduct the system the test period). The data that results in the drift check at the end of each run. lowest CE value shall be reported as the re- 7.3 Determination of Dilution Factor. In- sults for the test run. The tester may elect ject the dilution check gas into the measure- to perform system drift checks during the ment system before the dilution system and run not to exceed one drift check per hour. record the response. Calculate the dilution 8.2.2.7 Verify that the sample lines, filter, factor using Equation 204C–3. and pump temperatures are 120 ±5 °C. 7.4 System Check. Inject the high-range 8.2.2.8 Begin sampling at the start of the calibration gas at the inlet to the sampling test period and continue to sample during probe while the dilution air is turned off. the entire run. Record the starting and end- Record the response. The performance of the ing times and any required process informa- system is acceptable if the measurement sys- tion as appropriate. If multiple captured tem response is within 5 percent of the value emission locations are sampled using a sin- obtained in section 7.1 for the high-range gle FIA, sample at each location for the calibration gas. Conduct a system check be- same amount of time (e.g., 2 min.) and con- fore and after each test run. tinue to switch from one location to another 8. Procedure for the entire test run. Be sure that total sampling time at each location is the same 8.1 Determination of Volumetric Flow at the end of the test run. Collect at least Rate of Captured Emissions four separate measurements from each sam- 8.1.1 Locate all points where emissions ple point during each hour of testing. Dis- are captured from the affected facility. regard the measurements at each sampling Using Method 1, determine the sampling location until two times the response time of points. Be sure to check each site for cy- the measurement system has elapsed. Con- clonic or swirling flow. tinue sampling for at least 1 minute and 8.2.2 Measure the velocity at each sam- record the concentration measurements. pling site at least once every hour during 8.2.3 Background Concentration. each sampling run using Method 2 or 2A. 8.2 Determination of VOC Content of Cap- NOTE: Not applicable when the building is tured Emissions used as the temporary total enclosure (TTE). 8.2.1 Analysis Duration. Measure the VOC 8.2.3.1 Locate all natural draft openings responses at each captured emissions point (NDO’s) of the TTE. A sampling point shall during the entire test run or, if applicable, be at the center of each NDO, unless other- while the process is operating. If there are wise approved by the Administrator. If there multiple captured emissions locations, de- are more than six NDO’s, choose six sam- sign a sampling system to allow a single FIA pling points evenly spaced among the NDO’s. to be used to determine the VOC responses at 8.2.3.2 Assemble the sample train as all sampling locations. shown in Figure 204C–2. Calibrate the FIA 8.2.2 Gas VOC Concentration. and conduct a system check according to the 8.2.2.1 Assemble the sample train as procedures in sections 7.1 and 7.4. shown in Figure 204C–1. Calibrate the FIA 8.2.3.3 Position the probe at the sampling according to the procedure in section 7.1. location. 8.2.2.2 Set the dilution ratio and deter- 8.2.3.4 Determine the response time, con- mine the dilution factor according to the duct the system check, and sample according procedure in section 7.3. to the procedures described in sections 8.2.2.4 8.2.2.3 Conduct a system check according through 8.2.2.8. to the procedure in section 7.4. 8.2.4 Alternative Procedure. The direct 8.2.2.4 Install the sample probe so that the interface sampling and analysis procedure probe is centrally located in the stack, pipe, described in section 7.2 of Method 18 may be or duct, and is sealed tightly at the stack used to determine the gas VOC concentra- port connection. tion. The system must be designed to collect 8.2.2.5 Inject zero gas at the calibration and analyze at least one sample every 10 valve assembly. Measure the system re- minutes. If the alternative procedure is used sponse time as the time required for the sys- to determine the VOC concentration of the tem to reach the effluent concentration after captured emissions, it must also be used to the calibration valve has been returned to determine the VOC concentration of the the effluent sampling position. uncaptured emissions. 8.2.2.6 Conduct a system check before, and a system drift check after, each sampling 9. Data Analysis and Calculations run according to the procedures in sections 7.2 and 7.4. If the drift check following a run 9.1 Nomenclature. 2 indicates unacceptable performance (see sec- Ai = area of NDO i, ft . 543

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AN = total area of all NDO’s in the enclosure, 9.2.2 VOC Concentration of the Captured ft2. Emissions at Point j. CA = actual concentration of the dilution check gas, ppm propane. C CDFCC=−( ) H Eq. 204C-2 CBi = corrected average VOC concentration of Gj j DO − background emissions at point i, ppm CCDH DO propane. 9.2.3 Dilution Factor. CB = average background concentration, ppm propane. CA CDH = average measured concentration for DF = Eq. 204C-3 the drift check calibration gas, ppm pro- CM pane. 9.2.4 Background VOC Concentration at CD0 = average system drift check concentration for zero concentration gas, ppm pro- Point i. pane. C CH = actual concentration of the drift check CCC=−()H Eq. 204C-4 calibration gas, ppm propane. Bi i DO CC− Ci = uncorrected average background VOC DH DO concentration measured at point i, ppm 9.2.5 Average Background Concentration. propane. Cj = uncorrected average VOC concentration n measured at point j, ppm propane. ∑CABi i C = measured concentration of the dilution M = i=1 check gas, ppm propane. CB Eq. 204C-5 DF = dilution factor. AN G = total VOC content of captured emissions, kg. NOTE: If the concentration at each point is ¥6 3 within 20 percent of the average concentra- K1 = 1.830 × 10 kg/(m ¥ppm). n = number of measurement points. tion of all points, then use the arithmetic average. QGj = average effluent volumetric flow rate corrected to standard conditions at cap- 10. Method Performance tured emissions point j, m3/min. QC = total duration of CE sampling run, min. The measurement uncertainties are esti- 9.2 Calculations. mated for each captured or uncaptured emis- 9.2.1 Total VOC Captured Emissions. sions point as follows: QGj=±5.5 percent and CGj= ±5 percent. Based on these numbers, the n probable uncertainty for G is estimated at =−θ ± GCCQK∑()Gj B Gj C 1 Eq. 204C-1 about 7.4 percent. = j 1 11. Diagrams

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METHOD 204D—VOLATILE ORGANIC COMPOUNDS tile organic compounds (VOC) emissions EMISSIONS IN UNCAPTURED STREAM FROM from a temporary total enclosure (TTE). It is TEMPORARY TOTAL ENCLOSURE intended to be used as a segment in the development of liquid/gas or gas/gas protocols 1. Scope and Application for determining VOC capture efficiency (CE) 1.1 Applicability. This procedure is appli- for surface coating and printing operations. cable for determining the uncaptured vola-

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1.2 Principle. The amount of uncaptured be located on the sample pump bypass loop VOC emissions (F) from the TTE is cal- to assist in controlling the sample pressure culated as the sum of the products of the and flow rate. VOC content (CFj), the flow rate (QFj) from 4.1.6 Sample Gas Manifold. Capable of di- each uncaptured emissions point, and the verting a portion of the sample gas stream to sampling time (QF). the FIA, and the remainder to the bypass 1.3 Sampling Requirements. A CE test discharge vent. The manifold components shall consist of at least three sampling runs. shall be constructed of stainless steel or Tef- Each run shall cover at least one complete lon. If emissions are to be measured at mul- production cycle, but shall be at least 3 tiple locations, the measurement system hours long. The sampling time for each run shall be designed to use separate sampling need not exceed 8 hours, even if the produc- probes, lines, and pumps for each measure- tion cycle has not been completed. Alter- ment location and a common sample gas native sampling times may be used with the manifold and FIA. The sample gas manifold approval of the Administrator. and connecting lines to the FIA must be heated to prevent condensation. 2. Summary of Method 4.1.7 Organic Concentration Analyzer. An A gas sample is extracted from the FIA with a span value of 1.5 times the ex- uncaptured exhaust duct of a TTE through a pected concentration as propane; however, heated sample line and, if necessary, a glass other span values may be used if it can be fiber filter to a flame ionization analyzer demonstrated to the Administrator’s satis- (FIA). faction that they would provide more accurate measurements. The system shall be ca- 3. Safety pable of meeting or exceeding the following specifications: Because this procedure is often applied in 4.1.7.1 Zero Drift. Less than ±3.0 percent of highly explosive areas, caution and care the span value. should be exercised in choosing, installing, 4.1.7.2 Calibration Drift. Less than ±3.0 and using the appropriate equipment. percent of the span value. 4.1.7.3 Calibration Error. Less than ±5.0 4. Equipment and Supplies percent of the calibration gas value. Mention of trade names or company prod- 4.1.7.4 Response Time. Less than 30 sec- ucts does not constitute endorsement. All onds. gas concentrations (percent, ppm) are by vol- 4.1.8 Integrator/Data Acquisition System. ume, unless otherwise noted. An analog or digital device or computerized 4.1 Gas VOC Concentration. A schematic data acquisition system used to integrate of the measurement system is shown in Fig- the FIA response or compute the average re- ure 204D–1. The main components are as fol- sponse and record measurement data. The lows: minimum data sampling frequency for com- 4.1.1 Sample Probe. Stainless steel or puting average or integrated values is one equivalent. The probe shall be heated to pre- measurement value every 5 seconds. The de- vent VOC condensation. vice shall be capable of recording average 4.1.2 Calibration Valve Assembly. Three- values at least once per minute. way valve assembly at the outlet of the sam- 4.2 Uncaptured Emissions Volumetric ple probe to direct the zero and calibration Flow Rate. gases to the analyzer. Other methods, such 4.2.1 Method 2 or 2A Apparatus. For deter- as quick-connect lines, to route calibration mining volumetric flow rate. gases to the outlet of the sample probe are 4.2.2 Method 3 Apparatus and Reagents. acceptable. For determining molecular weight of the gas 4.1.3 Sample Line. Stainless steel or Tef- stream. An estimate of the molecular weight lon tubing to transport the sample gas to the of the gas stream may be used if approved by analyzer. The sample line must be heated to the Administrator. prevent condensation. 4.2.3 Method 4 Apparatus and Reagents. 4.1.4 Sample Pump. A leak-free pump, to For determining moisture content, if nec- pull the sample gas through the system at a essary. flow rate sufficient to minimize the response 4.3 Temporary Total Enclosure. The cri- time of the measurement system. The com- teria for designing an acceptable TTE are ponents of the pump that contact the gas specified in Method 204. stream shall be constructed of stainless steel 5. Reagents and Standards or Teflon. The sample pump must be heated to prevent condensation. 5.1 Calibration and Other Gases. Gases 4.1.5 Sample Flow Rate Control. A sample used for calibration, fuel, and combustion air flow rate control valve and rotameter, or (if required) are contained in compressed gas equivalent, to maintain a constant sampling cylinders. All calibration gases shall be rate within 10 percent. The flow control traceable to National Institute of Standards valve and rotameter must be heated to pre- and Technology standards and shall be cer- vent condensation. A control valve may also tified by the manufacturer to ±1 percent of

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the tag value. Additionally, the manufac- mid-range gases and record the responses of turer of the cylinder should provide a rec- the measurement system. The calibration ommended shelf life for each calibration gas and linearity of the system are acceptable if cylinder over which the concentration does the responses for all four gases are within 5 not change more than ±2 percent from the percent of the respective gas values. If the certified value. For calibration gas values performance of the system is not acceptable, not generally available, dilution systems repair or adjust the system and repeat the calibrated using Method 205 may be used. Al- linearity check. Conduct a calibration and ternative methods for preparing calibration linearity check after assembling the analysis gas mixtures may be used with the approval system and after a major change is made to of the Administrator. the system. 5.1.1 Fuel. The FIA manufacturer’s rec- 7.2 Systems Drift Checks. Select the cali- ommended fuel should be used. A 40 percent bration gas concentration that most closely H2/60 percent He or 40 percent H2/60 percent approximates that of the uncaptured gas N2 gas mixture is recommended to avoid an emissions concentration to conduct the drift oxygen synergism effect that reportedly oc- checks. Introduce the zero and calibration curs when oxygen concentration varies sig- gases at the calibration valve assembly and nificantly from a mean value. Other mix- verify that the appropriate gas flow rate and tures may be used provided the tester can pressure are present at the FIA. Record the demonstrate to the Administrator that there measurement system responses to the zero is no oxygen synergism effect. and calibration gases. The performance of 5.1.2 Carrier Gas. High purity air with less the system is acceptable if the difference be- than 1 ppm of organic material (as propane tween the drift check measurement and the or carbon equivalent) or less than 0.1 percent value obtained in section 7.1 is less than 3 of the span value, whichever is greater. percent of the span value. Alternatively, re- 5.1.3 FIA Linearity Calibration Gases. calibrate the FIA as in section 7.1 and report Low-, mid-, and high-range gas mixture the results using both sets of calibration standards with nominal propane concentra- data (i.e., data determined prior to the test tions of 20–30, 45–55, and 70–80 percent of the period and data determined following the span value in air, respectively. Other calibra- test period). The data that results in the tion values and other span values may be lowest CE value shall be reported as the reused if it can be shown to the Administra- sults for the test run. Conduct a system drift tor’s satisfaction that equally accurate check at the end of each run. measurements would be achieved. 7.3 System Check. Inject the high-range 5.2 Particulate Filter. An in-stack or an calibration gas at the inlet of the sampling out-of-stack glass fiber filter is rec- probe and record the response. The perform- ommended if exhaust gas particulate loading ance of the system is acceptable if the meas- is significant. An out-of-stack filter must be urement system response is within 5 percent of the value obtained in section 7.1 for the heated to prevent any condensation unless it high-range calibration gas. Conduct a system can be demonstrated that no condensation check before each test run. occurs. 8. Procedure 6. Quality Control 8.1 Determination of Volumetric Flow 6.1 Required instrument quality control Rate of Uncaptured Emissions parameters are found in the following sec- 8.1.1 Locate all points where uncaptured tions: emissions are exhausted from the TTE. 6.1.1 The FIA system must be calibrated Using Method 1, determine the sampling as specified in section 7.1. points. Be sure to check each site for cy- 6.1.2 The system drift check must be per- clonic or swirling flow. formed as specified in section 7.2. 8.1.2 Measure the velocity at each sam- 6.1.3 The system check must be conducted pling site at least once every hour during as specified in section 7.3. each sampling run using Method 2 or 2A. 7. Calibration and Standardization 8.2 Determination of VOC Content of Uncaptured Emissions. 7.1 FIA Calibration and Linearity Check. 8.2.1 Analysis Duration. Measure the VOC Make necessary adjustments to the air and responses at each uncaptured emission point fuel supplies for the FIA and ignite the burn- during the entire test run or, if applicable, er. Allow the FIA to warm up for the period while the process is operating. If there are recommended by the manufacturer. Inject a multiple emission locations, design a sam- calibration gas into the measurement sys- pling system to allow a single FIA to be used tem and adjust the back-pressure regulator to determine the VOC responses at all sam- to the value required to achieve the flow pling locations. rates specified by the manufacturer. Inject 8.2.2 Gas VOC Concentration. the zero-and the high-range calibration gases 8.2.2.1 Assemble the sample train as and adjust the analyzer calibration to pro- shown in Figure 204D–1. Calibrate the FIA vide the proper responses. Inject the low-and and conduct a system check according to the

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procedures in sections 7.1 and 7.3, respec- 8.2.4 Alternative Procedure. The direct tively. interface sampling and analysis procedure 8.2.2.2 Install the sample probe so that the described in section 7.2 of Method 18 may be probe is centrally located in the stack, pipe, used to determine the gas VOC concentra- or duct, and is sealed tightly at the stack tion. The system must be designed to collect port connection. and analyze at least one sample every 10 8.2.2.3 Inject zero gas at the calibration minutes. If the alternative procedure is used valve assembly. Allow the measurement sys- to determine the VOC concentration of the tem response to reach zero. Measure the sys- uncaptured emissions in a gas/gas protocol, tem response time as the time required for it must also be used to determine the VOC the system to reach the effluent concentra- concentration of the captured emissions. If a tion after the calibration valve has been re- tester wishes to conduct a liquid/gas protocol turned to the effluent sampling position. using a gas chromatograph, the tester must 8.2.2.4 Conduct a system check before, and use Method 204F for the liquid steam. A gas a system drift check after, each sampling chromatograph is not an acceptable alter- run according to the procedures in sections native to the FIA in Method 204A. 7.2 and 7.3. If the drift check following a run indicates unacceptable performance (see sec- 9. Data Analysis and Calculations tion 7.3), the run is not valid. Alternatively, 9.1 Nomenclature. 2 recalibrate the FIA as in section 7.1 and re- Ai = area of NDO i, ft . port the results using both sets of calibra- AN = total area of all NDO’s in the enclosure, tion data (i.e., data determined prior to the ft2. test period and data determined following CBi = corrected average VOC concentration of the test period). The data that results in the background emissions at point i, ppm lowest CE value shall be reported as the re- propane. sults for the test run. The tester may elect CB = average background concentration, ppm to perform system drift checks during the propane. run not to exceed one drift check per hour. CDH = average measured concentration for 8.2.2.5 Verify that the sample lines, filter, the drift check calibration gas, ppm pro- and pump temperatures are 120 ±5 °C. pane. 8.2.2.6 Begin sampling at the start of the CD0 = average system drift check concentra- test period and continue to sample during tion for zero concentration gas, ppm pro- the entire run. Record the starting and end- pane. ing times and any required process informa- CFj = corrected average VOC concentration of tion, as appropriate. If multiple emission lo- uncaptured emissions at point j, ppm cations are sampled using a single FIA, sam- propane. ple at each location for the same amount of CH = actual concentration of the drift check time (e.g., 2 min.) and continue to switch calibration gas, ppm propane. from one location to another for the entire Ci = uncorrected average background VOC test run. Be sure that total sampling time at concentration at point i, ppm propane. each location is the same at the end of the Cj = uncorrected average VOC concentration test run. Collect at least four separate meas- measured at point j, ppm propane. urements from each sample point during F = total VOC content of uncaptured emis- each hour of testing. Disregard the response sions, kg. measurements at each sampling location ¥6 3 K1 = 1.830 × 10 kg/(m -ppm). until 2 times the response time of the meas- n = number of measurement points. urement system has elapsed. Continue sam- QFj = average effluent volumetric flow rate pling for at least 1 minute and record the corrected to standard conditions at concentration measurements. uncaptured emissions point j, m3/min. 8.2.3 Background Concentration. QF = total duration of uncaptured emissions 8.2.3.1 Locate all natural draft openings sampling run, min. (NDO’s) of the TTE. A sampling point shall 9.2 Calculations. be at the center of each NDO, unless other- 9.2.1 Total Uncaptured VOC Emissions. wise approved by the Administrator. If there are more than six NDO’s, choose six sam- n pling points evenly spaced among the NDO’s. =−θ FCCQK∑()Fj B Fj F 1 Eq. 204D-1 8.2.3.2 Assemble the sample train as = shown in Figure 204D–2. Calibrate the FIA j 1 and conduct a system check according to the 9.2.2 VOC Concentration of the procedures in sections 7.1 and 7.3. Uncaptured Emissions at Point j. 8.2.3.3 Position the probe at the sampling C location. CCC=−()H Eq. 204D-2 8.2.3.4 Determine the response time, con- Fj j DO − duct the system check, and sample according CCDH DO to the procedures described in sections 8.2.2.3 9.2.3 Background VOC Concentration at through 8.2.2.6. Point i.

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tion of all points, use the arithmetic aver- C CCC=−()H Eq. 204D-3 age. Bi i DO − CCDH DO 10. Method Performance 9.2.4 Average Background Concentration. The measurement uncertainties are esti- n mated for each uncaptured emission point as ± ± CA follows: QFj= 5.5 percent and CFj= 5.0 percent. ∑ Bi i Based on these numbers, the probable uncer- = = i 1 tainty for F is estimated at about ±7.4 per- CB Eq. 204D-4 AN cent. NOTE: If the concentration at each point is 11. Diagrams within 20 percent of the average concentra-

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METHOD 204E—VOLATILE ORGANIC COMPOUNDS 4.1.4 Sample Pump. A leak-free pump, to EMISSIONS IN UNCAPTURED STREAM FROM pull the sample gas through the system at a BUILDING ENCLOSURE flow rate sufficient to minimize the response time of the measurement system. The com- 1. Scope and Application ponents of the pump that contact the gas 1.1 Applicability. This procedure is appli- stream shall be constructed of stainless steel cable for determining the uncaptured vola- or Teflon. The sample pump must be heated tile organic compounds (VOC) emissions to prevent condensation. from a building enclosure (BE). It is intended 4.1.5 Sample Flow Rate Control. A sample flow rate control valve and rotameter, or to be used in the development of liquid/gas or equivalent, to maintain a constant sampling gas/gas protocols for determining VOC cap- rate within 10 percent. The flow rate control ture efficiency (CE) for surface coating and valve and rotameter must be heated to pre- printing operations. vent condensation. A control valve may also 1.2 Principle. The total amount of be located on the sample pump bypass loop uncaptured VOC emissions (F ) from the BE B to assist in controlling the sample pressure is calculated as the sum of the products of and flow rate. the VOC content (CFj) of each uncaptured 4.1.6 Sample Gas Manifold. Capable of di- emissions point, the flow rate (QFj) at each verting a portion of the sample gas stream to uncaptured emissions point, and time (QF). the FIA, and the remainder to the bypass 1.3 Sampling Requirements. A CE test discharge vent. The manifold components shall consist of at least three sampling runs. shall be constructed of stainless steel or Tef- Each run shall cover at least one complete lon. If emissions are to be measured at mul- production cycle, but shall be at least 3 tiple locations, the measurement system hours long. The sampling time for each run shall be designed to use separate sampling need not exceed 8 hours, even if the produc- probes, lines, and pumps for each measure- tion cycle has not been completed. Alter- ment location, and a common sample gas native sampling times may be used with the manifold and FIA. The sample gas manifold approval of the Administrator. must be heated to prevent condensation. 4.1.7 Organic Concentration Analyzer. An 2. Summary of Method FIA with a span value of 1.5 times the ex- A gas sample is extracted from the pected concentration as propane; however, uncaptured exhaust duct of a BE through a other span values may be used if it can be heated sample line and, if necessary, a glass demonstrated to the Administrator’s satis- fiber filter to a flame ionization analyzer faction that they would provide equally ac- (FIA). curate measurements. The system shall be capable of meeting or exceeding the fol- 3. Safety lowing specifications: ± Because this procedure is often applied in 4.1.7.1 Zero Drift. Less than 3.0 percent of highly explosive areas, caution and care the span value. 4.1.7.2 Calibration Drift. Less than ±3.0 should be exercised in choosing, installing, percent of the span value. and using the appropriate equipment. 4.1.7.3 Calibration Error. Less than ±5.0 4. Equipment and Supplies percent of the calibration gas value. 4.1.7.4 Response Time. Less than 30 sec- Mention of trade names or company prod- onds. ucts does not constitute endorsement. All 4.1.8 Integrator/Data Acquisition System. gas concentrations (percent, ppm) are by vol- An analog or digital device or computerized ume, unless otherwise noted. data acquisition system used to integrate 4.1 Gas VOC Concentration. A schematic the FIA response or compute the average re- of the measurement system is shown in Fig- sponse and record measurement data. The ure 204E–1. The main components are as fol- minimum data sampling frequency for com- lows: puting average or integrated values is one 4.1.1 Sample Probe. Stainless steel or measurement value every 5 seconds. The de- equivalent. The probe shall be heated to pre- vice shall be capable of recording average vent VOC condensation. values at least once per minute. 4.1.2 Calibration Valve Assembly. Three- 4.2 Uncaptured Emissions Volumetric way valve assembly at the outlet of the sam- Flow Rate. ple probe to direct the zero and calibration 4.2.1 Flow Direction Indicators. Any gases to the analyzer. Other methods, such means of indicating inward or outward flow, as quick-connect lines, to route calibration such as light plastic film or paper streamers, gases to the outlet of the sample probe are smoke tubes, filaments, and sensory percep- acceptable. tion. 4.1.3 Sample Line. Stainless steel or Tef- 4.2.2 Method 2 or 2A Apparatus. For deter- lon tubing to transport the sample gas to the mining volumetric flow rate. Anemometers analyzer. The sample line must be heated to or similar devices calibrated according to prevent condensation. the manufacturer’s instructions may be used

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when low velocities are present. Vane can be demonstrated that no condensation anemometers (Young-maximum response occurs. propeller), specialized pitots with electronic manometers (e.g., Shortridge Instruments 6. Quality Control Inc., Airdata Multimeter 860) are commer- 6.1 Required instrument quality control cially available with measurement thresh- parameters are found in the following sec- olds of 15 and 8 mpm (50 and 25 fpm), respec- tions: tively. 6.1.1 The FIA system must be calibrated 4.2.3 Method 3 Apparatus and Reagents. as specified in section 7.1. For determining molecular weight of the gas 6.1.2 The system drift check must be per- stream. An estimate of the molecular weight formed as specified in section 7.2. of the gas stream may be used if approved by 6.1.3 The system check must be conducted the Administrator. as specified in section 7.3. 4.2.4 Method 4 Apparatus and Reagents. For determining moisture content, if nec- 7. Calibration and Standardization essary. 7.1 FIA Calibration and Linearity Check. 4.3 Building Enclosure. The criteria for an Make necessary adjustments to the air and acceptable BE are specified in Method 204. fuel supplies for the FIA and ignite the burn- 5. Reagents and Standards er. Allow the FIA to warm up for the period recommended by the manufacturer. Inject a 5.1 Calibration and Other Gases. Gases calibration gas into the measurement sys- used for calibration, fuel, and combustion air tem and adjust the back-pressure regulator (if required) are contained in compressed gas to the value required to achieve the flow cylinders. All calibration gases shall be rates specified by the manufacturer. Inject traceable to National Institute of Standards the zero-and the high-range calibration and Technology standards and shall be cer- gases, and adjust the analyzer calibration to tified by the manufacturer to ±1 percent of provide the proper responses. Inject the low- the tag value. Additionally, the manufac- and mid-range gases and record the re- turer of the cylinder should provide a rec- sponses of the measurement system. The ommended shelf life for each calibration gas calibration and linearity of the system are cylinder over which the concentration does acceptable if the responses for all four gases not change more than ±2 percent from the are within 5 percent of the respective gas certified value. For calibration gas values values. If the performance of the system is not generally available, dilution systems not acceptable, repair or adjust the system calibrated using Method 205 may be used. Al- and repeat the linearity check. Conduct a ternative methods for preparing calibration calibration and linearity check after assem- gas mixtures may be used with the approval bling the analysis system and after a major of the Administrator. change is made to the system. 5.1.1 Fuel. The FIA manufacturer’s rec- 7.2 Systems Drift Checks. Select the cali- ommended fuel should be used. A 40 percent bration gas that most closely approximates H2/60 percent He or 40 percent H2/60 percent the concentration of the captured emissions N2 gas mixture is recommended to avoid an for conducting the drift checks. Introduce oxygen synergism effect that reportedly oc- the zero and calibration gases at the calibra- curs when oxygen concentration varies sig- tion valve assembly and verify that the ap- nificantly from a mean value. Other mix- propriate gas flow rate and pressure are tures may be used provided the tester can present at the FIA. Record the measurement demonstrate to the Administrator that there system responses to the zero and calibration is no oxygen synergism effect. gases. The performance of the system is ac- 5.1.2 Carrier Gas. High purity air with less ceptable if the difference between the drift than 1 ppm of organic material (propane or check measurement and the value obtained carbon equivalent) or less than 0.1 percent of in section 7.1 is less than 3 percent of the the span value, whichever is greater. span value. Alternatively, recalibrate the 5.1.3 FIA Linearity Calibration Gases. FIA as in section 7.1 and report the results Low-, mid-, and high-range gas mixture using both sets of calibration data (i.e., data standards with nominal propane concentra- determined prior to the test period and data tions of 20–30, 45–55, and 70–80 percent of the determined following the test period). The span value in air, respectively. Other calibra- data that results in the lowest CE value tion values and other span values may be shall be reported as the results for the test used if it can be shown to the Administra- run. Conduct a system drift check at the end tor’s satisfaction that equally accurate of each run. measurements would be achieved. 7.3 System Check. Inject the high-range 5.2 Particulate Filter. An in-stack or an calibration gas at the inlet of the sampling out-of-stack glass fiber filter is rec- probe and record the response. The perform- ommended if exhaust gas particulate loading ance of the system is acceptable if the meas- is significant. An out-of-stack filter must be urement system response is within 5 percent heated to prevent any condensation unless it of the value obtained in section 7.1 for the

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high-range calibration gas. Conduct a system the test period). The data that results in the check before each test run. lowest CE value shall be reported as the results for the test run. The tester may elect 8. Procedure to perform drift checks during the run, not 8.1 Preliminary Determinations. The fol- to exceed one drift check per hour. lowing points are considered exhaust points 8.3.2.5 Verify that the sample lines, filter, and should be measured for volumetric flow and pump temperatures are 120 ±5 °C. rates and VOC concentrations: 8.3.2.6 Begin sampling at the start of the 8.1.1 Forced Draft Openings. Any opening test period and continue to sample during in the facility with an exhaust fan. Deter- the entire run. Record the starting and end- mine the volumetric flow rate according to ing times, and any required process informa- Method 2. tion, as appropriate. If multiple emission lo- 8.1.2 Roof Openings. Any openings in the cations are sampled using a single FIA, sam- roof of a facility which does not contain fans ple at each location for the same amount of are considered to be exhaust points. Deter- time (e.g., 2 minutes) and continue to switch mine volumetric flow rate from these open- from one location to another for the entire ings. Use the appropriate velocity measure- test run. Be sure that total sampling time at ment devices (e.g., propeller anemometers). each location is the same at the end of the 8.2 Determination of Flow Rates. test run. Collect at least four separate meas- 8.2.1 Measure the volumetric flow rate at urements from each sample point during all locations identified as exhaust points in each hour of testing. Disregard the response section 8.1. Divide each exhaust opening into measurements at each sampling location nine equal areas for rectangular openings until 2 times the response time of the meas- and into eight equal areas for circular open- urement system has elapsed. Continue sam- ings. pling for at least 1 minute, and record the 8.2.2 Measure the velocity at each site at concentration measurements. least once every hour during each sampling 8.4 Alternative Procedure. The direct run using Method 2 or 2A, if applicable, or interface sampling and analysis procedure using the low velocity instruments in sec- described in section 7.2 of Method 18 may be tion 4.2.2. used to determine the gas VOC concentra- 8.3 Determination of VOC Content of tion. The system must be designed to collect Uncaptured Emissions. and analyze at least one sample every 10 8.3.1 Analysis Duration. Measure the VOC minutes. If the alternative procedure is used responses at each uncaptured emissions to determine the VOC concentration of the point during the entire test run or, if appli- uncaptured emissions in a gas/gas protocol, cable, while the process is operating. If there it must also be used to determine the VOC are multiple emissions locations, design a concentration of the captured emissions. If a sampling system to allow a single FIA to be tester wishes to conduct a liquid/gas protocol used to determine the VOC responses at all using a gas chromatograph, the tester must sampling locations. use Method 204F for the liquid steam. A gas 8.3.2 Gas VOC Concentration. chromatograph is not an acceptable alter- 8.3.2.1 Assemble the sample train as native to the FIA in Method 204A. shown in Figure 204E–1. Calibrate the FIA and conduct a system check according to the 9. Data Analysis and Calculations procedures in sections 7.1 and 7.3, respectively. 9.1 Nomenclature. 8.3.2.2 Install the sample probe so that the CDH = average measured concentration for probe is centrally located in the stack, pipe, the drift check calibration gas, ppm pro- or duct, and is sealed tightly at the stack pane. port connection. CD0 = average system drift check concentra- 8.3.2.3 Inject zero gas at the calibration tion for zero concentration gas, ppm pro- valve assembly. Allow the measurement sys- pane. tem response to reach zero. Measure the sys- CFj = corrected average VOC concentration of tem response time as the time required for uncaptured emissions at point j, ppm the system to reach the effluent concentra- propane. tion after the calibration valve has been re- CH = actual concentration of the drift check turned to the effluent sampling position. calibration gas, ppm propane. 8.3.2.4 Conduct a system check before, and Cj = uncorrected average VOC concentration a system drift check after, each sampling measured at point j, ppm propane. run according to the procedures in sections FB = total VOC content of uncaptured emis- 7.2 and 7.3. If the drift check following a run sions from the building, kg. ¥6 3 indicates unacceptable performance (see sec- K1 = 1.830 × 10 kg/(m –ppm). tion 7.3), the run is not valid. Alternatively, n = number of measurement points. recalibrate the FIA as in section 7.1 and re- QFj = average effluent volumetric flow rate port the results using both sets of calibra- corrected to standard conditions at tion data (i.e., data determined prior to the uncaptured emissions point j, m3/min. test period and data determined following QF = total duration of CE sampling run, min. 555

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9.2 Calculations 10. Method Performance 9.2.1 Total VOC Uncaptured Emissions from the Building. The measurement uncertainties are estimated for each uncaptured emissions point

n as follows: QFj=±10.0 percent and CFj=±5.0 per- = θ cent. Based on these numbers, the probable FCQKBFjFjF∑ 1 Eq. 204E-1 uncertainty for FB is estimated at about j=1 ±11.2 percent. 9.2.2 VOC Concentration of the Uncaptured Emissions at Point j. 11. Diagrams C CCC=−()H Eq. 204E-2 Fj j DO − CCDH DO

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METHOD 204F—VOLATILE ORGANIC COMPOUNDS be used as a segment in the development of CONTENT IN LIQUID INPUT STREAM (DIS- liquid/gas protocols for determining VOC TILLATION APPROACH) capture efficiency (CE) for surface coating and printing operations. 1. Introduction 1.2 Principle. The amount of VOC intro- 1.1 Applicability. This procedure is appli- duced to the process (L) is the sum of the cable for determining the input of volatile products of the weight (W) of each VOC con- organic compounds (VOC). It is intended to taining liquid (ink, paint, solvent, etc.) used,

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and its VOC content (V), corrected for a re- 4.2.8 Vacuum Gauge or Manometer. 0– to sponse factor (RF). 760–mm (0– to 30–in.) Hg U-Tube manometer 1.3 Sampling Requirements. A CE test or vacuum gauge. shall consist of at least three sampling runs. 4.2.9 Hot Oil Bath, With Stirring Hot Each run shall cover at least one complete Plate. Capable of heating and maintaining a production cycle, but shall be at least 3 distillation vessel at 110 ±3 °C. hours long. The sampling time for each run 4.2.10 Ice Water Bath. To cool the distilla- need not exceed 8 hours, even if the production flask. tion cycle has not been completed. Alter- 4.2.11 Vacuum/Water Aspirator. A device native sampling times may be used with the capable of drawing a vacuum to within 20 approval of the Administrator. mm Hg from absolute. 4.2.12 Rotary Evaporator System. Com- 2. Summary of Method plete with folded inner coil, vertical style condenser, rotary speed control, and Teflon A sample of each coating used is distilled sweep gas delivery tube with valved inlet. to separate the VOC fraction. The distillate Buchi Rotavapor or equivalent. is used to prepare a known standard for anal- 4.2.13 Ethylene Glycol Cooling/Circulating ysis by a flame ionization analyzer (FIA), Bath. Capable of maintaining the condenser calibrated against propane, to determine its coil fluid at ¥10 °C. RF. 4.2.14 Dry Gas Meter (DGM). Capable of measuring the dilution gas volume within 2 3. Safety percent, calibrated with a spirometer or bub- Because this procedure is often applied in ble meter, and equipped with a temperature highly explosive areas, caution and care gauge capable of measuring temperature should be exercised in choosing, installing, within 3 °C. and using the appropriate equipment. 4.2.15 Activated Charcoal/Mole Sieve Trap. To remove any trace level of organics 4. Equipment and Supplies picked up from the DGM. Mention of trade names or company prod- 4.2.16 Gas Coil Heater. Sufficient length of ucts does not constitute endorsement. All 0.125-inch stainless steel tubing to allow gas concentrations (percent, ppm) are by vol- heating of the dilution gas to near the water ume, unless otherwise noted. bath temperature before entering the volatilization vessel. 4.1 Liquid Weight. 4.2.17 Water Bath, With Stirring Hot 4.1.1 Balances/Digital Scales. To weigh Plate. Capable of heating and maintaining a drums of VOC containing liquids to within volatilization vessel and coil heater at a 0.2 lb or 1.0 percent of the total weight of temperature of 100 ±5 °C. VOC liquid used. 4.2.18 Volatilization Vessel. 50–ml midget 4.1.2 Volume Measurement Apparatus (Al- impinger fitted with a septum top and loose- ternative). Volume meters, flow meters, den- ly filled with glass wool to increase the vola- sity measurement equipment, etc., as needed tilization surface. to achieve the same accuracy as direct 4.2.19 Tedlar Gas Bag. Capable of holding weight measurements. 30 liters of gas, flushed clean with zero air, 4.2 Response Factor Determination (FIA leak tested, and evacuated. Technique). The VOC distillation system and 4.2.20 Organic Concentration Analyzer. An Tedlar gas bag generation system FIA with a span value of 1.5 times the ex- apparatuses are shown in Figures 204F–1 and pected concentration as propane; however, 204F–2, respectively. The following equip- other span values may be used if it can be ment is required: demonstrated that they would provide equal- 4.2.1 Sample Collection Can. An appro- ly accurate measurements. The FIA instru- priately-sized metal can to be used to collect ment should be the same instrument used in VOC containing materials. The can must be the gaseous analyses adjusted with the same constructed in such a way that it can be fuel, combustion air, and sample back-pres- grounded to the coating container. sure (flow rate) settings. The system shall be 4.2.2 Needle Valves. To control gas flow. capable of meeting or exceeding the fol- 4.2.3 Regulators. For calibration, dilution, lowing specifications: and sweep gas cylinders. 4.2.20.1 Zero Drift. Less than ±3.0 percent 4.2.4 Tubing and Fittings. Teflon and of the span value. stainless steel tubing and fittings with diam- 4.2.20.2 Calibration Drift. Less than ±3.0 eters, lengths, and sizes determined by the percent of the span value. connection requirements of the equipment. 4.2.20.3 Calibration Error. Less than ±3.0 4.2.5 Thermometer. Capable of measuring percent of the calibration gas value. the temperature of the hot water and oil 4.2.21 Integrator/Data Acquisition Sys- baths to within 1 °C. tem. An analog or digital device or comput- 4.2.6 Analytical Balance. To measure ±0.01 erized data acquisition system used to inte- mg. grate the FIA response or compute the aver- 4.2.7 Microliter Syringe. 10–μl size. age response and record measurement data.

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The minimum data sampling frequency for 6. Quality Control computing average or integrated value is one 6.1 Required instrument quality control measurement value every 5 seconds. The de- parameters are found in the following sec- vice shall be capable of recording average tions: values at least once per minute. 6.1.1 The FIA system must be calibrated 4.2.22 Chart Recorder (Optional). A chart as specified in section 7.1. recorder or similar device is recommended to 6.1.2 The system drift check must be per- provide a continuous analog display of the formed as specified in section 7.2. measurement results during the liquid sam- 6.2 Precision Control. A minimum of one ple analysis. sample in each batch must be distilled and 5. Reagents and Standards analyzed in duplicate as a precision control. If the results of the two analyses differ by 5.1 Zero Air. High purity air with less more than ±10 percent of the mean, then the than 1 ppm of organic material (as propane) system must be reevaluated and the entire or less than 0.1 percent of the span value, batch must be redistilled and analyzed. whichever is greater. Used to supply dilution air for making the Tedlar bag gas samples. 7. Calibration and Standardization 5.2 THC Free N2. High purity N2 with less 7.1 FIA Calibration and Linearity Check. than 1 ppm THC. Used as sweep gas in the ro- Make necessary adjustments to the air and tary evaporator system. fuel supplies for the FIA and ignite the burn- 5.3 Calibration and Other Gases. Gases er. Allow the FIA to warm up for the period used for calibration, fuel, and combustion air recommended by the manufacturer. Inject a (if required) are contained in compressed gas calibration gas into the measurement sys- cylinders. All calibration gases shall be tem and adjust the back-pressure regulator traceable to National Institute of Standards to the value required to achieve the flow and Technology standards and shall be cer- rates specified by the manufacturer. Inject tified by the manufacturer to ±1 percent of the zero-and the high-range calibration gases the tag value. Additionally, the manufac- and adjust the analyzer calibration to pro- turer of the cylinder should provide a rec- vide the proper responses. Inject the low-and ommended shelf life for each calibration gas mid-range gases and record the responses of cylinder over which the concentration does the measurement system. The calibration not change more than ±2 percent from the and linearity of the system are acceptable if certified value. For calibration gas values the responses for all four gases are within 5 not generally available, dilution systems percent of the respective gas values. If the calibrated using Method 205 may be used. Al- performance of the system is not acceptable, ternative methods for preparing calibration repair or adjust the system and repeat the gas mixtures may be used with the approval linearity check. Conduct a calibration and of the Administrator. linearity check after assembling the analysis 5.3.1 Fuel. The FIA manufacturer’s rec- system and after a major change is made to ommended fuel should be used. A 40 percent the system. A calibration curve consisting of H2/60 percent He, or 40 percent H2/60 percent zero gas and two calibration levels must be N2 mixture is recommended to avoid fuels performed at the beginning and end of each with oxygen to avoid an oxygen synergism batch of samples. effect that reportedly occurs when oxygen 7.2 Systems Drift Checks. After each sam- concentration varies significantly from a ple, repeat the system calibration checks in mean value. Other mixtures may be used section 7.1 before any adjustments to the provided the tester can demonstrate to the FIA or measurement system are made. If the Administrator that there is no oxygen syner- zero or calibration drift exceeds ±3 percent of gism effect. the span value, discard the result and repeat 5.3.2 Combustion Air. High purity air with the analysis. Alternatively, recalibrate the less than 1 ppm of organic material (as pro- FIA as in section 7.1 and report the results pane) or less than 0.1 percent of the span using both sets of calibration data (i.e., data value, whichever is greater. determined prior to the test period and data 5.3.3 FIA Linearity Calibration Gases. determined following the test period). The Low-, mid-, and high-range gas mixture data that results in the lowest CE value standards with nominal propane concentra- shall be reported as the results for the test tion of 20–30, 45–55, and 70–80 percent of the run. span value in air, respectively. Other calibra- 8. Procedures tion values and other span values may be used if it can be shown that equally accurate 8.1 Determination of Liquid Input Weight measurements would be achieved. 8.1.1 Weight Difference. Determine the 5.3.4 System Calibration Gas. Gas mixture amount of material introduced to the proc- standard containing propane in air, approxi- ess as the weight difference of the feed mate- mating the VOC concentration expected for rial before and after each sampling run. In the Tedlar gas bag samples. determining the total VOC containing liquid

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usage, account for: (a) The initial (begin- system and monitor the vacuum for approxi- ning) VOC containing liquid mixture; (b) any mately 1 minute. If the vacuum falls more solvent added during the test run; (c) any than 25 mm Hg in 1 minute, repair leaks and coating added during the test run; and (d) repeat. Turn off the aspirator and vent vacu- any residual VOC containing liquid mixture um. remaining at the end of the sample run. 8.2.2.3 Deposit approximately 20 ml of 8.1.1.1 Identify all points where VOC con- sample (inks, paints, etc.) into the rotary taining liquids are introduced to the process. evaporation distillation flask. To obtain an accurate measurement of VOC 8.2.2.4 Install the distillation flask on the containing liquids, start with an empty foun- rotary evaporator. tain (if applicable). After completing the 8.2.2.5 Immerse the distillate collection run, drain the liquid in the fountain back flask into the ice water bath. into the liquid drum (if possible), and weigh 8.2.2.6 Start rotating the distillation flask the drum again. Weigh the VOC containing at a speed of approximately 30 rpm. ± liquids to 0.5 percent of the total weight 8.2.2.7 Begin heating the vessel at a rate ± (full) or 1.0 percent of the total weight of of 2 to 3 °C per minute. VOC containing liquid used during the sam- 8.2.2.8 After the hot oil bath has reached a ple run, whichever is less. If the residual liq- temperature of 50 °C or pressure is evident on uid cannot be returned to the drum, drain the mercury manometer, turn on the aspi- the fountain into a preweighed empty drum rator and gradually apply a vacuum to the to determine the final weight of the liquid. evaporator to within 20 mm Hg of absolute. 8.1.1.2 If it is not possible to measure a Care should be taken to prevent material single representative mixture, then weigh burping from the distillation flask. the various components separately (e.g., if 8.2.2.9 Continue heating until a tempera- solvent is added during the sampling run, ture of 110 °C is achieved and maintain this weigh the solvent before it is added to the temperature for at least 2 minutes, or until mixture). If a fresh drum of VOC containing the sample has dried in the distillation flask. liquid is needed during the run, then weigh both the empty drum and fresh drum. 8.2.2.10 Slowly introduce the N2 sweep gas 8.1.2 Volume Measurement (Alternative). through the purge tube and into the distilla- If direct weight measurements are not fea- tion flask, taking care to maintain a vacuum sible, the tester may use volume meters and of approximately 400-mm Hg from absolute. flow rate meters (and density measurements) 8.2.2.11 Continue sweeping the remaining to determine the weight of liquids used if it solvent VOC from the distillation flask and can be demonstrated that the technique pro- condenser assembly for 2 minutes, or until duces results equivalent to the direct weight all traces of condensed solvent are gone from measurements. If a single representative the vessel. Some distillate may remain in mixture cannot be measured, measure the the still head. This will not affect solvent re- components separately. covery ratios. 8.2 Determination of VOC Content in 8.2.2.12 Release the vacuum, disassemble Input Liquids the apparatus and transfer the distillate to a 8.2.1 Collection of Liquid Samples. labeled, sealed vial. 8.2.1.1 Collect a 1-pint or larger sample of 8.2.3 Preparation of VOC standard bag the VOC containing liquid mixture at each sample. application location at the beginning and 8.2.3.1 Assemble the bag sample genera- end of each test run. A separate sample tion system as shown in Figure 204F–2 and should be taken of each VOC containing liq- bring the water bath up to near boiling tem- uid added to the application mixture during perature. the test run. If a fresh drum is needed during 8.2.3.2 Inflate the Tedlar bag and perform the sampling run, then obtain a sample from a leak check on the bag. the fresh drum. 8.2.3.3 Evacuate the bag and close the bag 8.2.1.2 When collecting the sample, ground inlet valve. the sample container to the coating drum. 8.2.3.4 Record the current barometric Fill the sample container as close to the rim pressure. as possible to minimize the amount of 8.2.3.5 Record the starting reading on the headspace. dry gas meter, open the bag inlet valve, and 8.2.1.3 After the sample is collected, seal start the dilution zero air flowing into the the container so the sample cannot leak out Tedlar bag at approximately 2 liters per or evaporate. minute. 8.2.1.4 Label the container to identify 8.2.3.6 The bag sample VOC concentration clearly the contents. should be similar to the gaseous VOC con- 8.2.2 Distillation of VOC. centration measured in the gas streams. The 8.2.2.1 Assemble the rotary evaporator as amount of liquid VOC required can be ap- shown in Figure 204F–1. proximated using equations in section 9.2. 8.2.2.2 Leak check the rotary evaporation Using Equation 204F–4, calculate CVOC by as- system by aspirating a vacuum of approxi- suming RF is 1.0 and selecting the desired mately 20 mm Hg from absolute. Close up the gas concentration in terms of propane, CC3. 560

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Assuming BV is 20 liters, ML, the approxi- K = 0.00183 mg propane/(liter-ppm propane) mate amount of liquid to be used to prepare L = Total VOC content of liquid input, kg the bag gas sample, can be calculated using propane. Equation 204F–2. ML = Mass of VOC liquid injected into the 8.2.3.7 Quickly withdraw an aliquot of the bag, mg. approximate amount calculated in section MV = Volume of gas measured by DGM, li- 8.2.3.6 from the distillate vial with the ters. microliter syringe and record its weight PM = Absolute DGM gas pressure, mm Hg. from the analytical balance to the nearest PSTD = Standard absolute pressure, 760 mm 0.01 mg. Hg. 8.2.3.8 Inject the contents of the syringe RC3 = FIA reading for bag gas sample, ppm through the septum of the volatilization ves- propane. sel into the glass wool inside the vessel. RF = Response factor for VOC in liquid, 8.2.3.9 Reweigh and record the tare weight weight VOC/weight propane. of the now empty syringe. RFJ = Response factor for VOC in liquid J, 8.2.3.10 Record the pressure and tempera- weight VOC/weight propane. ture of the dilution gas as it is passed TM = DGM temperature, °K. through the dry gas meter. TSTD = Standard absolute temperature, 293 8.2.3.11 After approximately 20 liters of di- °K. lution gas have passed into the Tedlar bag, VIJ = Initial VOC weight fraction of VOC liq- close the valve to the dilution air source and uid J. record the exact final reading on the dry gas VFJ = Final VOC weight fraction of VOC liq- meter. uid J. 8.2.3.12 The gas bag is then analyzed by VAJ = VOC weight fraction of VOC liquid J FIA within 1 hour of bag preparation in ac- added during the run. cordance with the procedure in section 8.2.4. WIJ = Weight of VOC containing liquid J at 8.2.4 Determination of VOC response fac- beginning of run, kg. tor. WFJ = Weight of VOC containing liquid J at 8.2.4.1 Start up the FIA instrument using end of run, kg. the same settings as used for the gaseous WAJ = Weight of VOC containing liquid J VOC measurements. added during the run, kg. 8.2.4.2 Perform the FIA analyzer calibra- 9.2 Calculations. tion and linearity checks according to the 9.2.1 Bag sample volume. procedure in section 7.1. Record the responses to each of the calibration gases and MT P the back-pressure setting of the FIA. = V STD M BV Eq. 204F-1 8.2.4.3 Connect the Tedlar bag sample to TPM STD the FIA sample inlet and record the bag con- 9.2.2 Bag sample VOC concentration. centration in terms of propane. Continue the analyses until a steady reading is obtained M for at least 30 seconds. Record the final read- C = L Eq. 204F-2 ing and calculate the RF. VOC B 8.2.5 Determination of coating VOC con- V tent as VOC (VIJ). 9.2.3 Bag sample VOC concentration as 8.2.5.1 Determine the VOC content of the propane. coatings used in the process using EPA Method 24 or 24A as applicable. C= R K Eq. 204F-3 CC33 9. Data Analysis and Calculations 9.2.4 Response Factor. 9.1. Nomenclature. CVOC BV = Volume of bag sample volume, liters. RF = Eq. 204F-4 CC3 = Concentration of bag sample as pro- C pane, mg/liter. C3 CVOC = Concentration of bag sample as VOC, 9.2.5 Total VOC Content of the Input VOC mg/liter. Containing Liquid.

n VW n VW n VW L =−∑ rj rj ∑∑Fj Fj +Aj Aj Eq. 204F-5 j=1 RFJ j==11RFJ j RFJ

10. Diagrams

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METHOD 205—VERIFICATION OF GAS DILUTION available, are recommended for their accu- SYSTEMS FOR FIELD INSTRUMENT CALIBRA- racy) and the gas flow rates (or dilution ra- TIONS tios) through the gas dilution system. 2.1.1 The gas dilution system shall be re- 1. Introduction calibrated once per calendar year using 1.1 Applicability. A gas dilution system NIST-traceable flow standards with an un- can provide known values of calibration certainty ≤0.25 percent. You shall report the gases through controlled dilution of high- results of the calibration by the person or level calibration gases with an appropriate manufacturer who carried out the calibra- dilution gas. The instrumental test methods tion whenever the dilution system is used, in 40 CFR part 60—e.g., Methods 3A, 6C, 7E, listing the date of the most recent calibra- 10, 15, 16, 20, 25A and 25B—require on-site, tion, the due date for the next calibration, multi-point calibration using gases of known calibration point, reference flow device (ID, concentrations. A gas dilution system that S/N), and acceptance criteria. Follow the produces known low-level calibration gases manufacturer’s instructions for the oper- from high-level calibration gases, with a de- ation and use of the gas dilution system. A gree of confidence similar to that for Pro- copy of the manufacturer’s instructions for tocol 1 gases, may be used for compliance the operation of the instrument, as well as tests in lieu of multiple calibration gases the most recent calibration documentation, when the gas dilution system is dem- shall be made available for inspection at the onstrated to meet the requirements of this test site. method. The Administrator may also use a 2.1.2 Some manufacturers of mass flow con- gas dilution system in order to produce a trollers recommend that flow rates below 10 wide range of Cylinder Gas Audit concentra- percent of flow controller capacity be avoid- tions when conducting performance speci- ed; check for this recommendation and fol- fications according to appendix F, 40 CFR low the manufacturer’s instructions. One part 60. As long as the acceptance criteria of study has indicated that silicone oil from a this method are met, this method is applica- positive displacement pump produces an in- ble to gas dilution systems using any type of terference in SO2 analyzers utilizing ultra- dilution technology, not solely the ones violet fluorescence; follow laboratory proce- mentioned in this method. dures similar to those outlined in Section 3.1 1.2 Principle. The gas dilution system shall in order to demonstrate the significance of be evaluated on one analyzer once during any resulting effect on instrument perform- each field test. A precalibrated analyzer is ance. chosen, at the discretion of the source owner 2.2 High-Level Supply Gas. An EPA Pro- or operator, to demonstrate that the gas di- tocol calibration gas is recommended, due to lution system produces predictable gas con- its accuracy, as the high-level supply gas. centrations spanning a range of concentra- 2.3 Mid-Level Supply Gas. An EPA Pro- tions. After meeting the requirements of this tocol gas shall be used as an independent method, the remaining analyzers may be check of the dilution system. The concentra- calibrated with the dilution system in action of the mid-level supply gas shall be cordance to the requirements of the applica- within 10 percent of one of the dilution levels ble method for the duration of the field test. tested in Section 3.2. In Methods 15 and 16, 40 CFR part 60, appendix A, reactive compounds may be lost in the 3. Performance Tests gas dilution system. Also, in Methods 25A 3.1 Laboratory Evaluation (Optional). If and 25B, 40 CFR part 60, appendix A, calibra- the gas dilution system is to be used to for- tion with target compounds other than pro- mulate calibration gases with reactive com- pane is allowed. In these cases, a laboratory pounds (Test Methods 15, 16, and 25A/25B evaluation is required once per year in order (only if using a calibration gas other than to assure the Administrator that the system propane during the field test) in 40 CFR part will dilute these reactive gases without sig- 60, appendix A), a laboratory certification nificant loss. must be conducted once per calendar year for NOTE: The laboratory evaluation is re- each reactive compound to be diluted. In the quired only if the source owner or operator laboratory, carry out the procedures in Sec- plans to utilize the dilution system to pre- tion 3.2 on the analyzer required in each re- pare gases mentioned above as being reac- spective test method to be laboratory cer- tive. tified (15, 16, or 25A and 25B for compounds other than propane). For each compound in 2. Specifications which the gas dilution system meets the re- 2.1 Gas Dilution System. The gas dilution quirements in Section 3.2, the source must system shall produce calibration gases whose provide the laboratory certification data for measured values are within ±2 percent of the the field test and in the test report. predicted values. The predicted values are 3.2 Field Evaluation (Required). The gas di- calculated based on the certified concentra- lution system shall be evaluated at the test tion of the supply gas (Protocol gases, when site with an analyzer or monitor chosen by

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the source owner or operator. It is rec- for the gas dilution system to be utilized in ommended that the source owner or operator the test. choose a precalibrated instrument with a high level of precision and accuracy for the 4. References purposes of this test. This method is not 1. ‘‘EPA Traceability Protocol for Assay meant to replace the calibration require- and Certification of Gaseous Calibration ments of test methods. In addition to the requirements in this method, all the calibra- Standards,’’ EPA–600/R93/224, Revised Sep- tion requirements of the applicable test tember 1993. method must also be met. METHOD 207—PRE-SURVEY PROCEDURE FOR 3.2.1 Prepare the gas dilution system ac- CORN WET-MILLING FACILITY EMISSION cording to the manufacturer’s instructions. SOURCES Using the high-level supply gas, prepare, at a minimum, two dilutions within the range of 1.0 Scope and Application each dilution device utilized in the dilution system (unless, as in critical orifice systems, 1.1 Analyte. Total gaseous organic com- each dilution device is used to make only pounds. one dilution; in that case, prepare one dilu- 1.2 Applicability. This pre-survey method tion for each dilution device). Dilution de- is intended for use at corn wet-milling vice in this method refers to each mass flow (CWM) facilities to satisfy the requirements controller, critical orifice, capillary tube, of Method 18, Section 16 (Pre-survey). This positive displacement pump, or any other de- procedure establishes the analytes for subse- vice which is used to achieve gas dilution. quent Method 18 testing to determine the 3.2.2 Calculate the predicted concentration total mass emissions of VOCs from sources for each of the dilutions based on the flow at CWM facilities. The specific objectives of rates through the gas dilution system (or the the pre-survey procedure are: dilution ratios) and the certified concentra- 1.2.1 Identify the physical characteristics tion of the high-level supply gas. of the VOC contained in the effluent. 3.2.3 Introduce each of the dilutions from 1.2.2 Determine the appropriate Method 18 Section 3.2.1 into the analyzer or monitor sampling approach to ensure efficient collec- one at a time and determine the instrument tion of all VOC present in the effluent. response for each of the dilutions. 3.2.4 Repeat the procedure in Section 3.2.3 1.2.3 Develop a specific list of target com- two times, i.e., until three injections are pounds to be quantified during the subse- made at each dilution level. Calculate the quent total VOC test program. average instrument response for each trip- 1.2.4 Qualify the list of target compounds licate injection at each dilution level. No as being a true representation of the total single injection shall differ by more than ±2 VOC. percent from the average instrument re- 1.3 Range. The lower and upper ranges of sponse for that dilution. this procedure are determined by the sensi- 3.2.5 For each level of dilution, calculate tivity of the flame ionization detector (FID) the difference between the average con- instruments used. Typically, gas detection centration output recorded by the analyzer limits for the VOCs will be on the order of 1– and the predicted concentration calculated 5 ppmv, with the upper limit on the order of in Section 3.2.2. The average concentration 100,000 ppmv. output from the analyzer shall be within ±2 percent of the predicted value. 2.0 Summary of Method 3.2.6 Introduce the mid-level supply gas di- NOTE: Method 6, Method 18, and Method rectly into the analyzer, bypassing the gas 25A as cited in this method refer to the dilution system. Repeat the procedure twice more, for a total of three mid-level supply methods in 40 CFR Part 60, Appendix A. gas injections. Calculate the average ana- This procedure calls for using an FIA in lyzer output concentration for the mid-level conjunction with various configurations of supply gas. The difference between the cer- impingers, and other absorbents, or adsorb- tified concentration of the mid-level supply ents to determine the best EPA Method 18 gas and the average instrument response sampling train configuration for the assess- shall be within ±2 percent. ment and capture of VOCs. VOC compounds 3.3 If the gas dilution system meets the cri- present in the exhaust gas from processes lo- teria listed in Section 3.2, the gas dilution cated at CWM facilities fall into five general system may be used throughout that field categories: Alcohols, aldehydes, acetate test. If the gas dilution system fails any of esters, ketones, and carboxylic acids, and the criteria listed in Section 3.2, and the typically contain fewer than six carbon tester corrects the problem with the gas di- atoms. This pre-survey protocol character- lution system, the procedure in Section 3.2 izes and identifies the VOC species present. must be repeated in its entirety and all the Since it is qualitative in nature, quan- criteria in Section 3.2 must be met in order titative performance criteria do not apply.

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3.0 Definitions entire system from probe tip to FIA analyzer must have the capability to maintain all 3.1 Calibration drift means the difference sample-wetted parts at a temperature >120 in the measurement system response to a °C. A schematic of the heated sampling sys- mid-level calibration gas before and after a stated period of operation during which no tem and impinger train is shown in Figure 1 unscheduled maintenance, repair, or adjust- of this method. ment took place. 6.3 Impinger Train. EPA Method 6 type, 3.2 Calibration error means the difference comprised of three midget impingers with between the gas concentration indicated by appropriate connections to the sampling sys- the measurement system and the known con- tem and FIA system. The impinger train centration of the calibration gas. may be chilled in an ice bath or maintained 3.3 Calibration gas means a known con- at a set temperature in a water bath as indi- centration of a gas in an appropriate diluent cated by the operator’s knowledge of the gas. source and the compounds likely to be 3.4 Measurement system means the equip- present. Additional impingers or larger ment required for the determination of the impingers may be used for high moisture gas concentration. The system consists of sources. the following major subsystems: 6.4 Adsorbent tubes. 3.4.1 Sample interface means that portion 6.4.1 Silica gel, SKC Type 226–22 or equiv- of a system used for one or more of the fol- alent, with appropriate end connectors and lowing: Sample acquisition, sample transpor- holders. tation, sample conditioning, or protection of 6.4.2 Activated carbon, SKC Type 226–84 or the analyzer(s) from the effects of the stack equivalent, with appropriate end connectors effluent. and holders. 3.4.2 Organic analyzer means that portion 6.5 Tedlar bag. 24 liter, w/ Roberts valve, of the measurement system that senses the for GC/MS analysis of ‘‘breakthrough’’ VOC gas to be measured and generates an output fraction as needed. proportional to its concentration. 3.5 Response time means the time inter- 7.0 Reagents and Standards val from a step change in pollutant con- 7.1 Organic-free water, HPLC, or pharma- centration at the inlet to the emission meas- ceutical grade. urement system to the time at which 95 per- 7.2 Calibration Gases. The calibration cent of the corresponding final value is gases for the gas analyzer shall be propane in reached as displayed on the recorder. air or propane in nitrogen. If organic com- 3.6 Span Value means the upper limit of a pounds other than propane are used, the ap- gas concentration measurement range that propriate corrections for response factor is specified for affected source categories in must be available and applied to the results. the applicable part of the regulations. The Calibration gases shall be prepared in ac- span value is established in the applicable cordance with the procedure listed in Cita- regulation and is usually 1.5 to 2.5 times the tion 2 of section 16. Additionally, the manu- applicable emission limit. If no span value is facturer of the cylinder must provide a rec- provided, use a span value equivalent to 1.5 ommended shelf life for each calibration gas to 2.5 times the expected concentration. For cylinder over which the concentration does convenience, the span value should cor- not change more than ±2 percent from the respond to 100 percent of the recorder scale. certified value. For calibration gas values 3.7 Zero drift means the difference in the not generally available (i.e., organics be- measurement system response to a zero level tween 1 and 10 percent by volume), alter- calibration gas before or after a stated period of operation during which no unsched- native methods for preparing calibration gas uled maintenance, repair, or adjustment mixtures, such as dilution systems (Test took place. Method 205, 40 CFR Part 51, Appendix M), may be used with prior approval of the Ad- 4.0 Interferences [Reserved] ministrator. 7.3 Fuel. A 40 percent H2/60 percent N2 or 5.0 Safety [Reserved] He gas mixture is recommended to avoid an oxygen synergism effect that reportedly oc- 6.0 Equipment and Supplies curs when oxygen concentration varies sig- 6.1 Organic Concentration Analyzer. A nificantly from a mean value. flame ionization analyzer (FIA) with heated 7.4 Zero Gas. High purity air with less detector block and sample handling system, than 0.1 parts per million by volume (ppmv) meeting the requirements of USEPA Method of organic material (propane or carbon 25A. equivalent) or less than 0.1 percent of the 6.2 Heated Sampling System. A sampling span value, whichever is greater. system consisting of a stainless steel probe 7.5 Low-level Calibration Gas. An organic with particulate filter, Teflon ® sample line, calibration gas with a concentration equiva- and sampling pump capable of moving 1.0 l/ lent to 25 to 35 percent of the applicable span min through the sample probe and line. The value.

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7.6 Mid-level Calibration Gas. An organic 9.0 Quality Control calibration gas with a concentration equiva- 9.1 Blanks. A minimum of one method lent to 45 to 55 percent of the applicable span blank shall be prepared and analyzed for value. each sample medium employed during a pre- 7.7 High-level Calibration Gas. An organic survey testing field deployment to assess the calibration gas with a concentration equiva- effect of media contamination. Method lent to 80 to 90 percent of the applicable span blanks are prepared by assembling and value. charging the sample train with reagents, then recovering and preserving the blanks in 8.0 Sample Collection, Preservation and the same manner as the test samples. Meth- Storage od blanks and test samples are stored, trans- 8.1 Configuration. The configuration of the ported and analyzed in identical fashion as pre-survey sampling system is provided in the test samples. 9.2 Synthetic Sample (optional). A synthetic Figure 1. This figure shows the primary com- sample may be used to assess the perform- ponents of the sampling system needed to ance of the VOC characterization apparatus conduct a VOC survey. A dual-channel ana- with respect to specific compounds. The syn- lyzer is beneficial, but not necessary. Only a thetic sample is prepared by injecting appro- single channel is indicated in the figure. priate volume(s) of the compounds of inter- 8.2 Sampling. The pre-survey system est into a Tedlar bag containing a known should be set up and calibrated with the tar- volume of zero air or nitrogen. The contents geted sampling flow rate that will be used of the bag are allowed to equilibrate, and the during Method 18 VOC sampling. The tar- bag is connected to the sampling system. geted flow rate for capture of most expected The sampling system, VOC characterization VOC species is 400 cc/min. Since most FIA apparatus and FIA are operated normally to analyzers do not specifically allow for ad- determine the performance of the system justing the total sample flow rate (only the with respect to the VOC compounds present back pressure), it may be necessary to insert in the synthetic sample. a flow control valve at the sample inlet to 10.0 Calibration and Standardization the FIA. The total sample flow can be measured at the FIA bypass, since only a small 10.1 Calibration. The FIA equipment is fraction of the sample flow is diverted to able to be calibrated for almost any range of analysis portion of the instrument. total organic concentrations. For high con- The sampling system configuration shown centrations of organics (>1.0 percent by vol- in Figure 1 is operated using the process flow ume as propane), modifications to most com- diagram provided in Figure 2. As noted in monly available analyzers are necessary. One the process flowchart, the initial sampling accepted method of equipment modification media consists of the three midget is to decrease the size of the sample to the analyzer through the use of a smaller diame- impingers. The attenuation of the VOC sam- ter sample capillary. Direct and continuous ple stream is evaluated to determine if 95 measurement of organic concentration is a percent or greater attenuation (capture) of necessary consideration when determining the VOCs present has been achieved. The any modification design. flow diagram specifies successive adjustments to the sampling media that are uti- 11.0 Procedure lized to increase VOC capture. 11.1 Analytical Procedure. Upon completion A one-hour test of the final sampling con- of the pre-survey sampling, the sample frac- figuration is performed using fresh media to tions are to be analyzed by an appropriate ensure that significant breakthrough does chromatographic technique. (Ref: Method 18) not occur. Additional sampling media (more The resulting chromatograms must be re- water, silica or carbon tubes) may be added viewed to ensure that the ratio of known to ensure that breakthrough is not occurring peak area to total peak area is 95% or great- for the full duration of a test run. er. It should be noted that if formaldehyde is If 95 percent or greater attenuation has not a suspected analyte, it must be quantitated been achieved after inserting all indicated separately using a different analytical tech- media, the most likely scenario is that nique. methane is present. This is easily checked by collecting a sample of this final bypass sam- 12.0 Data Analysis and Calculations ple stream and analyzing for methane. There Chromatogram peaks will be ranked from are other VOC compounds which could also greatest area to least area using peak inte- penetrate the media. Their identification by grator output. The area of all peaks will gas chromatography followed by mass spec- then be totaled, and the proportion of each trometry would be required if the break- peak area to the total area will be cal- through cannot be accounted for by the pres- culated. Beginning with the highest ranked ence of methane. area, each peak will be identified and the

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area added to previous areas until the cumu- 16.2 CFR 40 Part 60, Appendix A, Method lative area comprises at least 95% of the 25A, Determination of Total Gaseous Organic total area. The VOC compounds generating Concentration Using a Flame Ionization An- those identified peaks will comprise the alyzer. compound list to be used in Method 18 test- 16.2 CFR 40 Part 60, Appendix A, Method ing of the subject source. 6, Determination of Sulfur Dioxide Emis- 13.0 Method Performance [Reserved] sions from Stationary Sources. 16.3 National Council for Air and Stream 14.0 Pollution Prevention [Reserved] Improvement (NCASI), Method CI/WP–98.01 ‘‘Chilled Impinger Method for Use at Wood 15.0 Waste Management [Reserved] Products Mills to Measure Formaldehyde, 16.0 References Methanol, and Phenol. 16.1 CFR 40 Part 60, Appendix A, Method 17. Tables, Diagrams, Flowcharts, and 18, Measurement of Gaseous Organic Com- Validation Data pound Emissions by Gas Chromatography.

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[55 FR 14249, Apr. 17, 1990; 55 FR 24687, June 1.1.3 Sulfuric acid plants, as specified in 18, 1990, as amended at 55 FR 37606, Sept. 12, paragraph 2.3 of this appendix, shall be mon- 1990; 56 FR 6278, Feb. 15, 1991; 56 FR 65435, itored for sulfur dioxide emissions. Dec. 17, 1991; 60 FR 28054, May 30, 1995; 62 FR 1.1.4 Nitric acid plants, as specified in para- 32502, June 16, 1997; 71 FR 55123, Sept. 21, 2006; graph 2.2 of this appendix, shall be monitored 73 FR 30779, May 29, 2008; 75 FR 55644, Sept. for nitrogen oxides emissions. 13, 2010; 75 FR 80134, Dec. 21, 2010; 79 FR 11235, 1.2 Exemptions. The States may include pro- Feb. 27, 2014; 79 FR 18453, Apr. 2, 2014; 81 FR visions within their regulations to grant ex- 59806, Aug. 30, 2016; 83 FR 56720, Nov. 14, 2018] emptions from the monitoring requirements of paragraph 1.1 of this appendix for any APPENDIXES N–O TO PART 51 source which is: [RESERVED] 1.2.1 Subject to a new source performance standard promulgated in 40 CFR part 60 pursuant to section 111 of the Clean Air Act; or APPENDIX P TO PART 51—MINIMUM 1.2.2 not subject to an applicable emission EMISSION MONITORING REQUIREMENTS standard of an approved plan; or 1.0 Purpose. This appendix P sets forth the 1.2.3 scheduled for retirement within 5 minimum requirements for continuous emis- years after inclusion of monitoring require- sion monitoring and recording that each ments for the source in appendix P, provided State Implementation Plan must include in that adequate evidence and guarantees are order to be approved under the provisions of provided that clearly show that the source 40 CFR 51.165(b). These requirements include will cease operations prior to such date. the source categories to be affected; emis- 1.3 Extensions. States may allow reasonable sion monitoring, recording, and reporting re- extensions of the time provided for installa- quirements for those sources; performance tion of monitors for facilities unable to meet specifications for accuracy, reliability, and the prescribed timeframe (i.e., 18 months durability of acceptable monitoring systems; from plan approval or promulgation) pro- and techniques to convert emission data to vided the owner or operator of such facility demonstrates that good faith efforts have units of the applicable State emission stand- been made to obtain and install such devices ard. Such data must be reported to the State within such prescribed timeframe. as an indication of whether proper mainte- 1.4 The nance and operating procedures are being Monitoring System Malfunction. State plan may provide a temporary exemp- utilized by source operators to maintain tion from the monitoring and reporting re- emission levels at or below emission stand- quirements of this appendix during any pe- ards. Such data may be used directly or indi- riod of monitoring system malfunction, pro- rectly for compliance determination or any vided that the source owner or operator other purpose deemed appropriate by the shows, to the satisfaction of the State, that State. Though the monitoring requirements the malfunction was unavoidable and is are specified in detail, States are given some being repaired as expeditiously as prac- flexibility to resolve difficulties that may ticable. arise during the implementation of these 2.0 Minimum Monitoring Requirement. States regulations. must, as a minimum, require the sources 1.1 Applicability. The State plan shall re- listed in paragraph 1.1 of this appendix to quire the owner or operator of an emission meet the following basic requirements. source in a category listed in this appendix 2.1 Fossil fuel-fired steam generators. Each to: (1) Install, calibrate, operate, and main- fossil fuel-fired steam generator, except as tain all monitoring equipment necessary for provided in the following subparagraphs, continuously monitoring the pollutants with an annual average capacity factor of specified in this appendix for the applicable greater than 30 percent, as reported to the source category; and (2) complete the instal- Federal Power Commission for calendar year lation and performance tests of such equip- 1974, or as otherwise demonstrated to the ment and begin monitoring and recording State by the owner or operator, shall con- within 18 months of plan approval or promul- form with the following monitoring require- gation. The source categories and the respec- ments when such facility is subject to an tive monitoring requirements are listed emission standard of an applicable plan for below. the pollutant in question. 1.1.1 Fossil fuel-fired steam generators, as 2.1.1 A continuous monitoring system for specified in paragraph 2.1 of this appendix, the measurement of opacity which meets the shall be monitored for opacity, nitrogen ox- performance specifications of paragraph 3.1.1 ides emissions, sulfur dioxide emissions, and of this appendix shall be installed, cali- oxygen or carbon dioxide. brated, maintained, and operated in accord- 1.1.2 Fluid bed catalytic cracking unit cat- ance with the procedures of this appendix by alyst regenerators, as specified in paragraph the owner or operator of any such steam gen- 2.4 of this appendix, shall be monitored for erator of greater than 250 million BTU per opacity. hour heat input except where:

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2.1.1.1 gaseous fuel is the only fuel burned, duction capacity, the production being ex- or pressed as 100 percent acid, shall install, cali- 2.1.1.2 oil or a mixture of gas and oil are brate, maintain and operate a continuous the only fuels burned and the source is able monitoring system for the measurement of to comply with the applicable particulate sulfur dioxide which meets the performance matter and opacity regulations without uti- specifications of paragraph 3.1.3 for each sul- lization of particulate matter collection furic acid producing facility within such equipment, and where the source has never plant. been found, through any administrative or 2.4 Fluid bed catalytic cracking unit catalyst judicial proceedings, to be in violation of regenerators at petroleum refineries. Each cata- any visible emission standard of the applica- lyst regenerator for fluid bed catalytic ble plan. cracking units of greater than 20,000 barrels 2.1.2 A continuous monitoring system for per day fresh feed capacity shall install, cali- the measurement of sulfur dioxide which brate, maintain, and operate a continuous meets the performance specifications of monitoring system for the measurement of paragraph 3.1.3 of this appendix shall be in- opacity which meets the performance speci- stalled, calibrated, maintained, and operated fications of paragraph 3.1.1. on any fossil fuel-fired steam generator of 3.0 Minimum specifications. All State plans greater than 250 million BTU per hour heat shall require owners or operators of moni- input which has installed sulfur dioxide pol- toring equipment installed to comply with lutant control equipment. this appendix, except as provided in para- 2.1.3 A continuous monitoring system for graph 3.2, to demonstrate compliance with the measurement of nitrogen oxides which the following performance specifications. meets the performance specification of para- 3.1 Performance specifications. The perform- graph 3.1.2 of this appendix shall be installed, ance specifications set forth in appendix B of calibrated, maintained, and operated on fos- part 60 are incorporated herein by reference, sil fuel-fired steam generators of greater and shall be used by States to determine ac- than 1000 million BTU per hour heat input ceptability of monitoring equipment in- when such facility is located in an Air Qual- stalled pursuant to this appendix except that ity Control Region where the Administrator (1) where reference is made to the ‘‘Adminis- has specifically determined that a control trator’’ in appendix B, part 60, the term State strategy for nitrogen dioxide is necessary to should be inserted for the purpose of this ap- attain the national standards, unless the pendix (e.g., in Performance Specification 1, source owner or operator demonstrates dur- 1.2, ‘‘*** monitoring systems subject to ing source compliance tests as required by approval by the Administrator,’’ should be in- the State that such a source emits nitrogen terpreted as, ‘‘* * * monitoring systems sub- oxides at levels 30 percent or more below the ject to approval by the State’’), and (2) where emission standard within the applicable reference is made to the ‘‘Reference Method’’ plan. in appendix B, part 60, the State may allow 2.1.4 A continuous monitoring system for the use of either the State approved ref- the measurement of the percent oxygen or erence method or the Federally approved ref- carbon dioxide which meets the performance erence method as published in part 60 of this specifications of paragraphs 3.1.4 or 3.1.5 of chapter. The Performance Specifications to this appendix shall be installed, calibrated, be used with each type of monitoring system operated, and maintained on fossil fuel-fired are listed below. steam generators where measurements of ox- 3.1.1 Continuous monitoring systems for ygen or carbon dioxide in the flue gas are re- measuring opacity shall comply with Per- quired to convert either sulfur dioxide or ni- formance Specification 1. trogen oxides continuous emission moni- 3.1.2 Continuous monitoring systems for toring data, or both, to units of the emission measuring nitrogen oxides shall comply with standard within the applicable plan. Performance Specification 2. 2.2 Nitric acid plants. Each nitric acid plant 3.1.3 Continuous monitoring systems for of greater than 300 tons per day production measuring sulfur dioxide shall comply with capacity, the production capacity being ex- Performance Specification 2. pressed as 100 percent acid, located in an Air 3.1.4 Continuous monitoring systems for Quality Control Region where the Adminis- measuring oxygen shall comply with Per- trator has specifically determined that a formance Specification 3. control strategy for nitrogen dioxide is nec- 3.1.5 Continuous monitoring systems for essary to attain the national standard shall measuring carbon dioxide shall comply with install, calibrate, maintain, and operate a Performance Specification 3. continuous monitoring system for the meas- 3.2 Exemptions. Any source which has pur- urement of nitrogen oxides which meets the chased an emission monitoring system(s) performance specifications of paragraph 3.1.2 prior to September 11, 1974, may be exempt for each nitric acid producing facility within from meeting such test procedures pre- such plant. scribed in appendix B of part 60 for a period 2.3 Sulfuric acid plants. Each Sulfuric acid not to exceed five years from plan approval plant of greater than 300 tons per day pro- or promulgation.

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3.3 Calibration Gases. For nitrogen oxides similar design and operating characteristics, monitoring systems installed on fossil fuel- or when the effluent from one affected facil- fired steam generators, the pollutant gas ity is released to the atmosphere through used to prepare calibration gas mixtures more than one point, the State should estab- (section 6.1, Performance Specification 2, ap- lish alternate procedures to implement the pendix B, part 60 of this chapter) shall be ni- intent of these requirements. tric oxide (NO). For nitrogen oxides moni- 3.7 Zero and drift. State plans shall require toring systems installed on nitric acid owners or operators of all continuous moni- plants, the pollutant gas used to prepare toring systems installed in accordance with calibration gas mixtures (section 6.1, Per- the requirements of this appendix to record formance Specification 2, appendix B, part 60 the zero and span drift in accordance with of this chapter) shall be nitrogen dioxide the method prescribed by the manufacturer (NO2). These gases shall also be used for of such instruments; to subject the instru- daily checks under paragraph 3.7 of this ap- ments to the manufacturer’s recommended pendix as applicable. For sulfur dioxide mon- zero and span check at least once daily un- itoring systems installed on fossil fuel-fired less the manufacturer has recommended ad- steam generators or sulfuric acid plants, the justments at shorter intervals, in which case pollutant gas used to prepare calibration gas such recommendations shall be followed; to mixtures (section 6.1, Performance Specifica- adjust the zero and span whenever the 24- tion 2, appendix B, part 60 of this chapter) hour zero drift or 24-hour calibration drift shall be sulfur dioxide (SO2). Span and zero limits of the applicable performance speci- gases should be traceable to National Bureau fications in appendix B of part 60 are exceed- of Standards reference gases whenever these ed; and to adjust continuous monitoring sys- reference gases are available. Every 6 tems referenced by paragraph 3.2 of this ap- months from date of manufacture, span and pendix whenever the 24-hour zero drift or 24- zero gases shall be reanalyzed by conducting hour calibration drift exceed 10 percent of triplicate analyses using the reference meth- the emission standard. ods in appendix A, part 60 of this chapter as 3.8 Span. Instrument span should be ap- follows: for SO2, use Reference Method 6; for proximately 200 per cent of the expected in- nitrogen oxides, use Reference Method 7; and strument data display output corresponding for carbon dioxide or oxygen, use Reference to the emission standard for the source. Method 3. The gases may be analyzed at less 3.9 Alternative procedures and requirements. frequent intervals if longer shelf lives are In cases where States wish to utilize dif- guaranteed by the manufacturer. ferent, but equivalent, procedures and re- 3.4 Cycling times. Cycling times include the quirements for continuous monitoring sys- total time a monitoring system requires to tems, the State plan must provide a descrip- sample, analyze and record an emission tion of such alternative procedures for ap- measurement. proval by the Administrator. Some examples 3.4.1 Continuous monitoring systems for of situations that may require alternatives measuring opacity shall complete a min- follow: imum of one cycle of operation (sampling, 3.9.1 Alternative monitoring requirements analyzing, and data recording) for each suc- to accommodate continuous monitoring sys- cessive 10-second period. tems that require corrections for stack mois- 3.4.2 Continuous monitoring systems for ture conditions (e.g., an instrument meas- measuring oxides of nitrogen, carbon diox- uring steam generator SO2 emissions on a ide, oxygen, or sulfur dioxide shall complete wet basis could be used with an instrument a minimum of one cycle of operation (sam- measuring oxygen concentration on a dry pling, analyzing, and data recording) for basis if acceptable methods of measuring each successive 15-minute period. stack moisture conditions are used to allow 3.5 Monitor location. State plans shall re- accurate adjustments of the measured SO2 quire all continuous monitoring systems or concentration to dry basis.) monitoring devices to be installed such that 3.9.2 Alternative locations for installing representative measurements of emissions or continuous monitoring systems or moni- process parameters (i.e., oxygen, or carbon toring devices when the owner or operator dioxide) from the affected facility are ob- can demonstrate that installation at alter- tained. Additional guidance for location of native locations will enable accurate and continuous monitoring systems to obtain representative measurements. representative samples are contained in the 3.9.3 Alternative procedures for performing applicable Performance Specifications of ap- calibration checks (e.g., some instruments pendix B of part 60 of this chapter. may demonstrate superior drift characteris- 3.6 Combined effluents. When the effluents tics that require checking at less frequent from two or more affected facilities of simi- intervals). lar design and operating characteristics are 3.9.4 Alternative monitoring requirements combined before being released to the atmos- when the effluent from one affected facility phere, the State plan may allow monitoring or the combined effluent from two or more systems to be installed on the combined ef- identical affected facilities is released to the fluent. When the affected facilities are not of atmosphere through more than one point

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(e.g., an extractive, gaseous monitoring sys- toring system performance whenever system tem used at several points may be approved repairs or adjustments have been made. if the procedures recommended are suitable 4.5 When no excess emissions have occurred for generating accurate emission averages). and the continuous monitoring system(s) 3.9.5 Alternative continuous monitoring have not been inoperative, repaired, or ad- systems that do not meet the spectral re- justed, such information shall be included in sponse requirements in Performance Speci- the report. fication 1, appendix B of part 60, but ade- 4.6 The State plan shall require owners or quately demonstrate a definite and con- operators of affected facilities to maintain a sistent relationship between their measure- file of all information reported in the quar- ments and the opacity measurements of a terly summaries, and all other data collected system complying with the requirements in either by the continuous monitoring system Performance Specification 1. The State may or as necessary to convert monitoring data require that such demonstration be per- to the units of the applicable standard for a formed for each affected facility. minimum of two years from the date of col- 4.0 Minimum data requirements. The fol- lection of such data or submission of such lowing paragraphs set forth the minimum summaries. data reporting requirements necessary to 5.0 Data Reduction. The State plan shall re- comply with § 51.214(d) and (e). quire owners or operators of affected facili- 4.1 The State plan shall require owners or ties to use the following procedures for con- operators of facilities required to install converting monitoring data to units of the tinuous monitoring systems to submit a standard where necessary. written report of excess emissions for each 5.1 For fossil fuel-fired steam generators calendar quarter and the nature and cause of the following procedures shall be used to the excess emissions, if known. The aver- convert gaseous emission monitoring data in aging period used for data reporting should parts per million to g/million cal (lb/million be established by the State to correspond to BTU) where necessary: the averaging period specified in the emis- 5.1.1 When the owner or operator of a fossil sion test method used to determine compli- fuel-fired steam generator elects under para- ance with an emission standard for the pol- graph 2.1.4 of this appendix to measure oxy- lutant/source category in question. The re- gen in the flue gases, the measurements of quired report shall include, as a minimum, the pollutant concentration and oxygen con- the data stipulated in this appendix. centration shall each be on a dry basis and 4.2 For opacity measurements, the sum- the following conversion procedure used: mary shall consist of the magnitude in ac- E = CF [20.9/20.9 ¥ %O2] tual percent opacity of all one-minute (or 5.1.2 When the owner or operator elects such other time period deemed appropriate under paragraph 2.1.4 of this appendix to by the State) averages of opacity greater measure carbon dioxide in the flue gases, the than the opacity standard in the applicable measurement of the pollutant concentration plan for each hour of operation of the facil- and the carbon dioxide concentration shall ity. Average values may be obtained by inte- each be on a consistent basis (wet or dry) gration over the averaging period or by and the following conversion procedure used: arithmetically averaging a minimum of four equally spaced, instantaneous opacity meas- E = CFc (100 / %CO2) urements per minute. Any time period ex- 5.1.3 The values used in the equations empted shall be considered before deter- under paragraph 5.1 are derived as follows: mining the excess averages of opacity (e.g., E = pollutant emission, g/million cal (lb/ whenever a regulation allows two minutes of million BTU), opacity measurements in excess of the stand- C = pollutant concentration, g/dscm (lb/ ard, the State shall require the source to re- dscf), determined by multiplying the average port all opacity averages, in any one hour, in concentration (ppm) for each hourly period excess of the standard, minus the two- by 4.16 × 10¥5 M g/dscm per ppm (2.64 × 10¥9 minute exemption). If more than one opacity M lb/dscf per ppm) where M = pollutant mo- standard applies, excess emissions data must lecular weight, g/g-mole (lb/lb-mole). M = 64 be submitted in relation to all such stand- for sulfur dioxide and 46 for oxides of nitro- ards. gen. 4.3 For gaseous measurements the sum- %O2, %CO2 = Oxygen or carbon dioxide vol- mary shall consist of emission averages, in ume (expressed as percent) determined with the units of the applicable standard, for each equipment specified under paragraphs 3.1.4 averaging period during which the applicable and 3.1.5 of this appendix. standard was exceeded. 5.2 For sulfuric acid plants the owner or 4.4 The date and time identifying each pe- operator shall: riod during which the continuous monitoring 5.2.1 establish a conversion factor three system was inoperative, except for zero and times daily according to the procedures to span checks, and the nature of system re- § 60.84(b) of this chapter; pairs or adjustments shall be reported. The 5.2.2 multiply the conversion factor by the State may require proof of continuous moni- average sulfur dioxide concentration in the

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flue gases to obtain average sulfur dioxide provide accurate determinations of emis- emissions in Kg/metric ton (lb/short ton); sions (e.g., condensed, uncombined water and vapor may prevent an accurate determina- 5.2.3 report the average sulfur dioxide tion of opacity using commercially available emission for each averaging period in excess continuous monitoring systems). of the applicable emission standard in the 6.2 Alternative monitoring requirements quarterly summary. may be prescribed when the affected facility 5.3 For nitric acid plants the owner or op- is infrequently operated (e.g., some affected erator shall: facilities may operate less than one month 5.3.1 establish a conversion factor accord- per year). ing to the procedures of § 60.73(b) of this 6.3 Alternative monitoring requirements chapter; may be prescribed when the State deter- 5.3.2 multiply the conversion factor by the mines that the requirements of this appendix average nitrogen oxides concentration in the would impose an extreme economic burden flue gases to obtain the nitrogen oxides on the source owner or operator. emissions in the units of the applicable 6.4 Alternative monitoring requirements standard; may be prescribed when the State deter- 5.3.3 report the average nitrogen oxides mines that monitoring systems prescribed by emission for each averaging period in excess this appendix cannot be installed due to of the applicable emission standard, in the physical limitations at the facility. quarterly summary. [40 FR 46247, Oct. 6, 1975, as amended at 51 FR 5.4 Any State may allow data reporting or 40675, Nov. 7, 1986; 81 FR 59808, Aug. 30, 2016] reduction procedures varying from those set forth in this appendix if the owner or oper- APPENDIXES Q–R TO PART 51 ator of a source shows to the satisfaction of the State that his procedures are at least as [RESERVED] accurate as those in this appendix. Such procedures may include but are not limited to, APPENDIX S TO PART 51—EMISSION the following: OFFSET INTERPRETATIVE RULING 5.4.1 Alternative procedures for computing I. INTRODUCTION emission averages that do not require integration of data (e.g., some facilities may This appendix sets forth EPA’s Interpreta- demonstrate that the variability of their tive Ruling on the preconstruction review re- emissions is sufficiently small to allow accu- quirements for stationary sources of air pol- rate reduction of data based upon computing lution (not including indirect sources) under averages from equally spaced data points 40 CFR subpart I and section 129 of the Clean over the averaging period). Air Act Amendments of 1977, Public Law 95– 5.4.2 Alternative methods of converting 95, (note under 42 U.S.C. 7502). A major new pollutant concentration measurements to source or major modification which would the units of the emission standards. locate in any area designated under section 6.0 Special Consideration. The State plan 107(d) of the Act as attainment or may provide for approval, on a case-by-case unclassifiable for ozone that is located in an basis, of alternative monitoring require- ozone transport region or which would locate ments different from the provisions of parts in an area designated in 40 CFR part 81, sub- 1 through 5 of this appendix if the provisions part C, as nonattainment for a pollutant for of this appendix (i.e., the installation of a which the source or modification would be continuous emission monitoring system) major may be allowed to construct only if cannot be implemented by a source due to the stringent conditions set forth below are physical plant limitations or extreme eco- met. These conditions are designed to insure nomic reasons. To make use of this provi- that the new source’s emissions will be con- sion, States must include in their plan spe- trolled to the greatest degree possible; that cific criteria for determining those physical more than equivalent offsetting emission re- limitations or extreme economic situations ductions (emission offsets) will be obtained to be considered by the State. In such cases, from existing sources; and that there will be when the State exempts any source subject progress toward achievement of the NAAQS. to this appendix by use of this provision For each area designated as exceeding a from installing continuous emission moni- NAAQS (nonattainment area) under 40 CFR toring systems, the State shall set forth al- part 81, subpart C, or for any area designated ternative emission monitoring and reporting under section 107(d) of the Act as attainment requirements (e.g., periodic manual stack or unclassifiable for ozone that is located in tests) to satisfy the intent of these regula- an ozone transport region, this Interpreta- tions. Examples of such special cases in- tive Ruling will be superseded after June 30, clude, but are not limited to, the following: 1979 (a) by preconstruction review provisions 6.1 Alternative monitoring requirements of the revised SIP, if the SIP meets the re- may be prescribed when installation of a quirements of Part D, Title 1, of the Act; or continuous monitoring system or monitoring (b) by a prohibition on construction under device specified by this appendix would not the applicable SIP and section 110(a)(2)(I) of

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the Act, if the SIP does not meet the re- Shared equipment includes, but is not lim- quirements of Part D. The Ruling will re- ited to, produced fluids storage tanks, phase main in effect to the extent not superseded separators, natural gas dehydrators or emis- under the Act. This prohibition on major sions control devices. Surface site, as used in new source construction does not apply to a this paragraph II.A.2(ii), has the same mean- source whose permit to construct was ap- ing as in 40 CFR 63.761. plied for during a period when the SIP was in 3. Potential to emit means the maximum ca- compliance with Part D, or before the dead- pacity of a stationary source to emit a pol- line for having a revised SIP in effect that lutant under its physical and operational de- satisfies Part D. sign. Any physical or operational limitation The requirement of this Ruling shall not on the capacity of the source to emit a pol- apply to any major stationary source or lutant, including air pollution control equip- major modification that was not subject to ment and restrictions on hours of operation the Ruling as in effect on January 16, 1979, if or on the type or amount of material com- the owner or operator: busted, stored, or processed, shall be treated A. Obtained all final Federal, State, and as part of its design only if the limitation or local preconstruction approvals or permits the effect it would have on emissions is fed- necessary under the applicable State Imple- erally enforceable. Secondary emissions do mentation Plan before August 7, 1980; not count in determining the potential to B. Commenced construction within 18 emit of a stationary source. months from August 7, 1980, or any earlier 4. (i) Major stationary source means: time required under the applicable State Im- (a) Any stationary source of air pollutants plementation Plan; and which emits, or has the potential to emit, 100 C. Did not discontinue construction for a tons per year or more of a regulated NSR period of 18 months or more and completed pollutant (as defined in paragraph II.A.31 of construction within a reasonable time. this Ruling), except that lower emissions II. INITIAL SCREENING ANALYSES AND DETER- thresholds shall apply in areas subject to MINATION OF APPLICABLE REQUIREMENTS subpart 2, subpart 3, or subpart 4 of part D, title I of the Act, according to paragraphs A. Definitions—For the purposes of this II.A.4(i)(a)(1) through (8) of this ruling. Ruling: (1) 50 tons per year of volatile organic com- 1. Stationary source means any building, pounds in any serious ozone nonattainment structure, facility, or installation which area. emits or may emit a regulated NSR pollut- (2) 50 tons per year of volatile organic com- ant. pounds in an area within an ozone transport 2. (i) Building, structure, facility or installa- region, except for any severe or extreme tion means all of the pollutant-emitting ac- ozone nonattainment area. tivities which belong to the same industrial (3) 25 tons per year of volatile organic com- grouping, are located on one or more contig- pounds in any severe ozone nonattainment uous or adjacent properties, and are under the control of the same person (or persons area. under common control) except the activities (4) 10 tons per year of volatile organic com- of any vessel. Pollutant-emitting activities pounds in any extreme ozone nonattainment shall be considered as part of the same indus- area. trial grouping if they belong to the same (5) 50 tons per year of carbon monoxide in ‘‘Major Group’’ (i.e., which have the same any serious nonattainment area for carbon two digit code) as described in the Standard monoxide, where stationary sources con- Industrial Classification Manual, 1972, as tribute significantly to carbon monoxide lev- amended by the 1977 Supplement (U.S. Gov- els in the area (as determined under rules ernment Printing Office stock numbers 4101– issued by the Administrator) 0066 and 003–005–00176–0, respectively). (6) 70 tons per year of PM–10 in any serious (ii) Notwithstanding the provisions of nonattainment area for PM–10; paragraph II.A.2(i) of this section, building, (7) 70 tons per year of PM2.5 in any serious structure, facility or installation means, for on- nonattainment area for PM2.5. shore activities under SIC Major Group 13: (8) 70 tons per year of any individual PM2.5 Oil and Gas Extraction, all of the pollutant- precursor (as defined in paragraph II.A.31 of emitting activities included in Major Group this Ruling) in any Serious nonattainment 13 that are located on one or more contig- area for PM2.5. uous or adjacent properties, and are under (b) For the purposes of applying the re- the control of the same person (or persons quirements of paragraph IV. H of this Ruling under common control). Pollutant emitting to stationary sources of nitrogen oxides lo- activities shall be considered adjacent if cated in an ozone nonattainment area or in they are located on the same surface site; or an ozone transport region, any stationary if they are located on surface sites that are source which emits, or has the potential to located within 1⁄4 mile of one another (meas- emit, 100 tons per year or more of nitrogen ured from the center of the equipment on the oxides emissions, except that the emission surface site) and they share equipment. thresholds in paragraphs II.A.4(i)(b)(1)

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through (6) of this Ruling apply in areas sub- ethanol by natural fermentation included in ject to subpart 2 of part D, title I of the Act. NAICS codes 325193 or 312140; (1) 100 tons per year or more of nitrogen (u) Fossil-fuel boilers (or combination oxides in any ozone nonattainment area clas- thereof) totaling more than 250 million Brit- sified as marginal or moderate. ish thermal units per hour heat input; (2) 100 tons per year or more of nitrogen (v) Petroleum storage and transfer units oxides in any ozone nonattainment area clas- with a total storage capacity exceeding sified as a transitional, submarginal, or in- 300,000 barrels; complete or no data area, when such area is (w) Taconite ore processing plants; located in an ozone transport region. (x) Glass fiber processing plants; (3) 100 tons per year or more of nitrogen (y) Charcoal production plants; oxides in any area designated under section (z) Fossil fuel-fired steam electric plants of 107(d) of the Act as attainment or more than 250 million British thermal units unclassifiable for ozone that is located in an per hour heat input; ozone transport region. (aa) Any other stationary source category (4) 50 tons per year or more of nitrogen ox- which, as of August 7, 1980, is being regulated ides in any serious nonattainment area for under section 111 or 112 of the Act. ozone. 5. (i) Major modification means any physical (5) 25 tons per year or more of nitrogen ox- change in or change in the method of oper- ides in any severe nonattainment area for ation of a major stationary source that ozone. would result in: ( ) A significant emissions increase of a (6) 10 tons per year or more of nitrogen ox- a ides in any extreme nonattainment area for regulated NSR pollutant (as defined in para- ozone; or graph II.A.31 of this Ruling); and (b) A significant net emissions increase of (c) Any physical change that would occur that pollutant from the major stationary at a stationary source not qualifying under source. paragraph II.A.4(i)(a) or (b) of this Ruling as (ii) Any significant emissions increase (as a major stationary source, if the change defined in paragraph II.A.23 of this Ruling) would constitute a major stationary source from any emissions units or net emissions by itself. increase (as defined in paragraph II.A.6 of (ii) A major stationary source that is this Ruling) at a major stationary source major for volatile organic compounds or ni- that is significant for volatile organic com- trogen oxides is major for ozone. pounds shall be considered significant for (iii) The fugitive emissions of a stationary ozone. source shall not be included in determining (iii) A physical change or change in the for any of the purposes of this ruling whether method of operation shall not include: it is a major stationary source, unless the (a) Routine maintenance, repair, and resource belongs to one of the following cat- placement; egories of stationary sources: (b) Use of an alternative fuel or raw mate- (a) Coal cleaning plants (with thermal dry- rial by reason of an order under section 2 (a) ers); and (b) of the Energy Supply and Environ- (b) Kraft pulp mills; mental Coordination Act of 1974 (or any su- (c) Portland cement plants; perseding legislation) or by reason of a nat- (d) Primary zinc smelters; ural gas curtailment plan pursuant to the (e) Iron and steel mills; Federal Power Act; (f) Primary aluminum ore reduction (c) Use of an alternative fuel by reason of plants; an order or rule under section 125 of the Act; (g) Primary copper smelters; (d) Use of an alternative fuel at a steam (h) Municipal incinerators capable of generating unit to the extent that the fuel is charging more than 250 tons of refuse per generated from municipal solid waste; day; (e) Use of an alternative fuel or raw mate- (i) Hydrofluoric, sulfuric, or nitric acid rial by a stationary source which: plants; (1) The source was capable of accommo- (j) Petroleum refineries; dating before December 21, 1976, unless such (k) Lime plants; change would be prohibited under any feder- (l) Phosphate rock processing plants; ally enforceable permit condition which was (m) Coke oven batteries; established after December 21, 1976, pursuant (n) Sulfur recovery plants; to 40 CFR 52.21 or under regulations approved (o) Carbon black plants (furnace process); pursuant to 40 CFR subpart I or § 51.166; or (p) Primary lead smelters; (2) The source is approved to use under any (q) Fuel conversion plants; permit issued under this ruling; (r) Sintering plants; (f) An increase in the hours of operation or (s) Secondary metal production plants; in the production rate, unless such change is (t) Chemical process plants—The term prohibited under any federally enforceable chemical processing plant shall not include permit condition which was established after ethanol production facilities that produce December 21, 1976 pursuant to 40 CFR 52.21 or

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under regulations approved pursuant to 40 (a) The date five years before construction CFR subpart I or § 51.166; on the particular change commences and (g) Any change in ownership at a sta- (b) The date that the increase from the tionary source. particular change occurs. (iv) For the purpose of applying the re- (iii) An increase or decrease in actual quirements of paragraph IV.H of this Ruling emissions is creditable only if the reviewing to modifications at major stationary sources authority has not relied on it in issuing a of nitrogen oxides located in ozone non- permit for the source under this Ruling, attainment areas or in ozone transport re- which permit is in effect when the increase gions, whether or not subject with respect to in actual emissions from the particular ozone to subpart 2, part D, title I of the Act, change occurs. any significant net emissions increase of ni- (iv) An increase in actual emissions is trogen oxides is considered significant for creditable only to the extent that the new ozone. level of actual emissions exceeds the old (v) Any physical change in, or change in level. the method of operation of, a major sta- (v) A decrease in actual emissions is cred- tionary source of volatile organic compounds itable only to the extent that: that results in any increase in emissions of (a) The old level of actual emissions or the volatile organic compounds from any dis- old level of allowable emissions, whichever is crete operation, emissions unit, or other pol- lower, exceeds the new level of actual emis- lutant emitting activity at the source shall sions; be considered a significant net emissions in- (b) It is enforceable as a practical matter crease and a major modification for ozone, if at and after the time that actual construc- the major stationary source is located in an tion on the particular change begins; extreme ozone nonattainment area that is (c) The reviewing authority has not relied subject to subpart 2, part D, title I of the Act. on it in issuing any permit under regulations (vi) This definition shall not apply with re- approved pursuant to 40 CFR 51.165; and spect to a particular regulated NSR pollut- (d) It has approximately the same quali- ant when the major stationary source is tative significance for public health and wel- complying with the requirements under fare as that attributed to the increase from paragraph IV.K of this ruling for a PAL for the particular change. that pollutant. Instead, the definition at (vi) An increase that results from a phys- paragraph IV.K.2(viii) of this Ruling shall ical change at a source occurs when the apply. emissions unit on which construction oc- (vii) Fugitive emissions shall not be incurred becomes operational and begins to cluded in determining for any of the pur- emit a particular pollutant. Any replace- poses of this Ruling whether a physical ment unit that requires shakedown becomes change in or change in the method of oper- operational only after a reasonable shake- ation of a major stationary source is a major down period, not to exceed 180 days. modification, unless the source belongs to (vii) Paragraph II.A.13(ii) of this Ruling one of the source categories listed in para- shall not apply for determining creditable graph II.A.4(iii) of this Ruling. increases and decreases or after a change. 6.(i) Net emissions increase means, with re- 7. Emissions unit means any part of a sta- spect to any regulated NSR pollutant emit- tionary source that emits or would have the ted by a major stationary source, the potential to emit any regulated NSR pollut- amount by which the sum of the following ant and includes an electric utility steam exceeds zero: generating unit as defined in paragraph (a) The increase in emissions from a par- II.A.21 of this Ruling. For purposes of this ticular physical change or change in the Ruling, there are two types of emissions method of operation at a stationary source units as described in paragraphs II.A.7(i) and as calculated pursuant to paragraph IV.J of (ii) of this Ruling. this Ruling; and (i) A new emissions unit is any emissions (b) Any other increases and decreases in unit which is (or will be) newly constructed actual emissions at the major stationary and which has existed for less than 2 years source that are contemporaneous with the from the date such emissions unit first oper- particular change and are otherwise cred- ated. itable. Baseline actual emissions for calcu- (ii) An existing emissions unit is any emis- lating increases and decreases under this sions unit that does not meet the require- paragraph II.A.6(i)(b) shall be determined as ments in paragraph II.A.7(i) of this Ruling. provided in paragraph II.A.30 of this Ruling, 8. Secondary emissions means emissions except that paragraphs II.A.30(i)(c) and which would occur as a result of the con- II.A.30(ii)(d) of this Ruling shall not apply. struction or operation of a major stationary (ii) An increase or decrease in actual emis- source or major modification, but do not sions is contemporaneous with the increase come from the major stationary source or from the particular change only if it occurs major modification itself. For the purpose of between: this Ruling, secondary emissions must be

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specific, well defined, quantifiable, and im- graph II.A.10(i) of this Ruling, significant pact the same general area as the stationary means, in reference to an emissions increase source or modification which causes the sec- or a net emissions increase, any increase in ondary emissions. Secondary emissions in- actual emissions of carbon monoxide that clude emissions from any offsite support fa- would result from any physical change in, or cility which would not be constructed or in- change in the method of operation of, a crease its emissions except as a result of the major stationary source in a serious non- construction or operation of the major sta- attainment area for carbon monoxide if such tionary source or major modification. Sec- increase equals or exceeds 50 tons per year, ondary emissions do not include any emis- provided the Administrator has determined sions which come directly from a mobile that stationary sources contribute signifi- source, such as emissions from the tailpipe cantly to carbon monoxide levels in that of a motor vehicle, from a train, or from a area. vessel. (v) Notwithstanding the significant emis- 9. Fugitive emissions means those emissions sions rates for ozone under paragraphs which could not reasonably pass through a II.A.10(i) and (ii) of this Ruling, any increase stack, chimney, vent, or other functionally in actual emissions of volatile organic com- equivalent opening. pounds from any emissions unit at a major 10.(i) Significant means, in reference to a stationary source of volatile organic com- net emissions increase or the potential of a pounds located in an extreme ozone non- source to emit any of the following pollut- attainment area that is subject to subpart 2, ants, a rate of emissions that would equal or part D, title I of the Act shall be considered exceed any of the following rates: a significant net emissions increase. POLLUTANT AND EMISSIONS RATE (vi) In any nonattainment area for PM2.5 in which a state must regulate Ammonia as a Carbon monoxide: 100 tons per year (tpy) regulated NSR pollutant (as a PM2.5 pre- Nitrogen oxides: 40 tpy cursor) as defined in paragraph II.A.31 of this Sulfur dioxide: 40 tpy Ruling, the reviewing authority shall define Ozone: 40 tpy of Volatile organic compounds ‘‘significant’’ for Ammonia for that area and or Nitrogen oxides establish a record to document its sup- Lead: 0.6 tpy porting basis. All sources with modification Particulate matter: 25 tpy of Particulate projects with increases in Ammonia emis- matter emissions sions that are not subject to Section IV of PM : 15 tpy 10 this Ruling must maintain records of the PM : 10 tpy of direct PM emissions; 40 tpy 2.5 2.5 non-applicability of Section IV that ref- of Sulfur dioxide emissions, 40 tpy of Nitro- erence the definition of ‘‘significant’’ for gen oxides emissions, or 40 tpy of Volatile Ammonia that is established by the review- organic compound emissions, to the extent ing authority in the nonattainment area that any such pollutant is defined as a pre- where the source is located. cursor for PM2.5 in paragraph II.A.31 of this Ruling. 11. Allowable emissions means the emissions rate calculated using the maximum rated ca- (ii) Notwithstanding the significant emis- pacity of the source (unless the source is sions rate for ozone in paragraph II.A.10(i) of subject to federally enforceable limits which this Ruling, significant means, in reference restrict the operating rate, or hours of oper- to an emissions increase or a net emissions ation, or both) and the most stringent of the increase, any increase in actual emissions of following: volatile organic compounds that would re- (i) Applicable standards as set forth in 40 sult from any physical change in, or change CFR parts 60 and 61; in the method of operation of, a major stationary source locating in a serious or severe (ii) Any applicable State Implementation ozone nonattainment area that is subject to Plan emissions limitation, including those subpart 2, part D, title I of the Act, if such with a future compliance date; or emissions increase of volatile organic com- (iii) The emissions rate specified as a feder- pounds exceeds 25 tons per year. ally enforceable permit condition, including (iii) For the purposes of applying the re- those with a future compliance date. quirements of paragraph IV.H of this Ruling 12. Federally enforceable means all limita- to modifications at major stationary sources tions and conditions which are enforceable of nitrogen oxides located in an ozone non- by the Administrator, including those re- attainment area or in an ozone transport requirements developed pursuant to 40 CFR gion, the significant emission rates and parts 60 and 61, requirements within any ap- other requirements for volatile organic com- plicable State implementation plan, any per- pounds in paragraphs II.A.10(i), (ii), and (v) mit requirements established pursuant to 40 of this Ruling shall apply to nitrogen oxides CFR 52.21 or under regulations approved pur- emissions. suant to 40 CFR part 51, subpart I, including (iv) Notwithstanding the significant emis- operating permits issued under an EPA-ap- sions rate for carbon monoxide under para- proved program that is incorporated into the

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State implementation plan and expressly re- are of a permanent nature. Such activities quires adherence to any permit issued under include, but are not limited to, installation such program. of building supports and foundations, laying 13. (i) Actual emissions means the actual of underground pipework, and construction rate of emissions of a regulated NSR pollut- of permanent storage structures. With re- ant from an emissions unit, as determined in spect to a change in method of operating this accordance with paragraphs II.A.13(ii) term refers to those on-site activities other through (iv) of this Ruling, except that this than preparatory activities which mark the definition shall not apply for calculating initiation of the change. whether a significant emissions increase has 18. Lowest achievable emission rate (LAER) occurred, or for establishing a PAL under means, for any source, the more stringent paragraph IV.K of this Ruling. Instead, para- rate of emissions based on the following: graphs II.A.24 and 30 of this Ruling shall (i) The most stringent emissions limitation apply for those purposes. which is contained in the implementation (ii) In general, actual emissions as of a par- plan of any State for such class or category ticular date shall equal the average rate, in of stationary source, unless the owner or op- tons per year, at which the unit actually erator of the proposed stationary source emitted the pollutant during a consecutive demonstrates that such limitations are not 24-month period which precedes the par- achievable; or ticular date and which is representative of (ii) The most stringent emissions limita- normal source operation. The reviewing au- tion which is achieved in practice by such thority shall allow the use of a different class or category of stationary source. This time period upon a determination that it is limitation, when applied to a modification, more representative of normal source oper- means the lowest achievable emissions rate ation. Actual emissions shall be calculated for the new or modified emissions units with- using the unit’s actual operating hours, pro- in the stationary source. In no event shall duction rates, and types of materials proc- the application of this term permit a pro- essed, stored, or combusted during the se- posed new or modified stationary source to lected time period. (iii) The reviewing authority may presume emit any pollutant in excess of the amount that source-specific allowable emissions for allowable under applicable new source stand- the unit are equivalent to the actual emis- ards of performance. sions of the unit. 19. Resource recovery facility means any fa- (iv) For any emissions unit that has not cility at which solid waste is processed for begun normal operations on the particular the purpose of extracting, converting to en- date, actual emissions shall equal the poten- ergy, or otherwise separating and preparing tial to emit of the unit on that date. solid waste for reuse. Energy conversion fa- 14. Construction means any physical change cilities must utilize solid waste to provide or change in the method of operation (in- more than 50 percent of the heat input to be cluding fabrication, erection, installation, considered a resource recovery facility under demolition, or modification of an emissions this Ruling. unit) that would result in a change in emis- 20. Volatile organic compounds (VOC) is as sions. defined in § 51.100(s) of this part. 15. Commence as applied to construction of 21. Electric utility steam generating unit a major stationary source or major modifica- means any steam electric generating unit tion means that the owner or operator has that is constructed for the purpose of sup- all necessary preconstruction approvals or plying more than one-third of its potential permits and either has: electric output capacity and more than 25 (i) Begun, or caused to begin, a continuous MW electrical output to any utility power program of actual on-site construction of the distribution system for sale. Any steam sup- source, to be completed within a reasonable plied to a steam distribution system for the time; or purpose of providing steam to a steam-elec- (ii) Entered into binding agreements or tric generator that would produce electrical contractual obligations, which cannot be energy for sale is also considered in deter- cancelled or modified without substantial mining the electrical energy output capacity loss to the owner or operator, to undertake a of the affected facility. program of actual construction of the source 22. Pollution prevention means any activity to be completed within a reasonable time. that through process changes, product refor- 16. Necessary preconstruction approvals or mulation or redesign, or substitution of less permits means those permits or approvals re- polluting raw materials, eliminates or required under Federal air quality control laws duces the release of air pollutants (including and regulations and those air quality control fugitive emissions) and other pollutants to laws and regulations which are part of the the environment prior to recycling, treat- applicable State Implementation Plan. ment, or disposal; it does not mean recycling 17. Begin actual construction means, in gen- (other than certain ‘‘in-process recycling’’ eral, initiation of physical on-site construc- practices), energy recovery, treatment, or tion activities on an emissions unit which disposal.

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23. Significant emissions increase means, for sample, condition (if applicable), analyze, a regulated NSR pollutant, an increase in and provide a record of emissions on a con- emissions that is significant (as defined in tinuous basis. paragraph II.A.10 of this Ruling) for that pol- 27. Predictive emissions monitoring system lutant. (PEMS) means all of the equipment nec- 24. (i) Projected actual emissions means, the essary to monitor process and control device maximum annual rate, in tons per year, at operational parameters (for example, control which an existing emissions unit is projected device secondary voltages and electric cur- to emit a regulated NSR pollutant in any rents) and other information (for example, one of the 5 years (12-month period) fol- gas flow rate, O2 or CO2 concentrations), and lowing the date the unit resumes regular op- calculate and record the mass emissions rate eration after the project, or in any one of the (for example, lb/hr) on a continuous basis. 10 years following that date, if the project 28. Continuous parameter monitoring system involves increasing the emissions unit’s de- (CPMS) means all of the equipment nec- sign capacity or its potential to emit of that essary to meet the data acquisition and regulated NSR pollutant and full utilization availability requirements of this Ruling, to of the unit would result in a significant monitor process and control device oper- emissions increase or a significant net emis- ational parameters (for example, control de- sions increase at the major stationary vice secondary voltages and electric cur- source. rents) and other information (for example, (ii) In determining the projected actual gas flow rate, O2 or CO2 concentrations), and emissions under paragraph II.A.24(i) of this to record average operational parameter Ruling before beginning actual construction, value(s) on a continuous basis. the owner or operator of the major sta- 29. Continuous emissions rate monitoring sys- tionary source: tem (CERMS) means the total equipment re- (a) Shall consider all relevant information, quired for the determination and recording including but not limited to, historical oper- of the pollutant mass emissions rate (in ational data, the company’s own representa- terms of mass per unit of time). tions, the company’s expected business activity and the company’s highest projections 30. Baseline actual emissions means the rate of business activity, the company’s filings of emissions, in tons per year, of a regulated with the State or Federal regulatory au- NSR pollutant, as determined in accordance thorities, and compliance plans under the ap- with paragraphs II.A.30(i) through (iv) of this proved plan; and Ruling. (b) Shall include fugitive emissions to the (i) For any existing electric utility steam extent quantifiable, and emissions associ- generating unit, baseline actual emissions ated with startups, shutdowns, and malfunc- means the average rate, in tons per year, at tions; and which the unit actually emitted the pollut- (c) Shall exclude, in calculating any in- ant during any consecutive 24-month period crease in emissions that results from the selected by the owner or operator within the particular project, that portion of the unit’s 5-year period immediately preceding when emissions following the project that an ex- the owner or operator begins actual con- isting unit could have accommodated during struction of the project. The reviewing au- the consecutive 24-month period used to es- thority shall allow the use of a different tablish the baseline actual emissions under time period upon a determination that it is paragraph II.A.30 of this Ruling and that are more representative of normal source oper- also unrelated to the particular project, in- ation. cluding any increased utilization due to (a) The average rate shall include fugitive product demand growth; or, emissions to the extent quantifiable, and (d) In lieu of using the method set out in emissions associated with startups, shut- paragraphs II.A.24(ii)(a) through (c) of this downs, and malfunctions. Ruling, may elect to use the emissions unit’s (b) The average rate shall be adjusted potential to emit, in tons per year, as de- downward to exclude any non-compliant fined under paragraph II.A.3 of this Ruling. emissions that occurred while the source was 25. Nonattainment major new source review operating above any emission limitation (NSR) program means a major source that was legally enforceable during the con- preconstruction permit program that imple- secutive 24-month period. ments Sections I through VI of this Ruling, (c) For a regulated NSR pollutant, when a or a program that has been approved by the project involves multiple emissions units, Administrator and incorporated into the only one consecutive 24-month period must plan to implement the requirements of be used to determine the baseline actual § 51.165 of this part. Any permit issued under emissions for the emissions units being such a program is a major NSR permit. changed. A different consecutive 24-month 26. Continuous emissions monitoring system period can be used for each regulated NSR (CEMS) means all of the equipment that may pollutant. be required to meet the data acquisition and (d) The average rate shall not be based on availability requirements of this Ruling, to any consecutive 24-month period for which

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there is inadequate information for deter- all other purposes, shall equal the unit’s po- mining annual emissions, in tons per year, tential to emit. and for adjusting this amount if required by (iv) For a PAL for a major stationary paragraph II.A.30(i)(b) of this Ruling. source, the baseline actual emissions shall (ii) For an existing emissions unit (other be calculated for existing electric utility than an electric utility steam generating steam generating units in accordance with unit), baseline actual emissions means the the procedures contained in paragraph average rate, in tons per year, at which the II.A.30(i) of this Ruling, for other existing emissions unit actually emitted the pollut- emissions units in accordance with the pro- ant during any consecutive 24-month period cedures contained in paragraph II.A.30(ii) of selected by the owner or operator within the this Ruling, and for a new emissions unit in 10-year period immediately preceding either accordance with the procedures contained in the date the owner or operator begins actual paragraph II.A.30(iii) of this Ruling. construction of the project, or the date a 31. Regulated NSR pollutant, for purposes of complete permit application is received by this Ruling, means the following: the reviewing authority for a permit re- (i) Nitrogen oxides or any volatile organic quired either under this Ruling or under a compounds; plan approved by the Administrator, which- (ii) Any pollutant for which a national am- ever is earlier, except that the 10-year period bient air quality standard has been promul- shall not include any period earlier than No- gated. This includes, but is not limited to, vember 15, 1990. the following: (a) The average rate shall include fugitive (a) PM2.5 emissions and PM10 emissions emissions to the extent quantifiable, and shall include gaseous emissions from a emissions associated with startups, shut- source or activity, which condense to form downs, and malfunctions. particulate matter at ambient temperatures. (b) The average rate shall be adjusted On or after January 1, 2011, such condensable downward to exclude any non-compliant particulate matter shall be accounted for in emissions that occurred while the source was applicability determinations and in estab- operating above an emission limitation that lishing emissions limitations for PM2.5 and was legally enforceable during the consecu- PM10 in permits issued under this ruling. tive 24-month period. Compliance with emissions limitations for (c) The average rate shall be adjusted PM2.5 and PM10 issued prior to this date shall downward to exclude any emissions that not be based on condensable particulate mat- would have exceeded an emission limitation ter unless required by the terms and condi- with which the major stationary source tions of the permit or the applicable imple- must currently comply, had such major sta- mentation plan. Applicability determina- tionary source been required to comply with tions made prior to this date without ac- such limitations during the consecutive 24- counting for condensable particulate matter month period. However, if an emission limi- shall not be considered in violation of this tation is part of a maximum achievable con- section unless the applicable implementa- trol technology standard that the Adminis- tion plan required condensable particulate trator proposed or promulgated under part 63 matter to be included. of this chapter, the baseline actual emissions (b) Any pollutant that is identified under need only be adjusted if the State has taken this paragraph II.A.31(ii)(2) as a constituent credit for such emissions reductions in an at- or precursor of a general pollutant listed tainment demonstration or maintenance under paragraph II.A.31(i) or (ii) of this Rul- plan. ing, provided that such constituent or pre- (d) For a regulated NSR pollutant, when a cursor pollutant may only be regulated project involves multiple emissions units, under NSR as part of regulation of the gen- only one consecutive 24-month period must eral pollutant. Precursors identified by the be used to determine the baseline actual Administrator for purposes of NSR are the emissions for the emissions units being following: changed. A different consecutive 24-month (1) Volatile organic compounds and nitro- period can be used for each regulated NSR gen oxides are precursors to ozone in all pollutant. ozone nonattainment areas. (e) The average rate shall not be based on (2) Sulfur dioxide and Nitrogen oxides are any consecutive 24-month period for which regulated as precursors to PM2.5 in all PM2.5 there is inadequate information for deter- nonattainment areas. mining annual emissions, in tons per year, (3) For any area that was designated non- and for adjusting this amount if required by attainment for PM2.5 on or before April 15, paragraphs II.A.30(ii)(b) and (c) of this Rul- 2015, Volatile organic compounds and Ammo- ing. nia shall be regulated as precursors to PM2.5 (iii) For a new emissions unit, the baseline beginning on April 15, 2017, with respect to actual emissions for purposes of determining any permit issued for PM2.5, unless the fol- the emissions increase that will result from lowing conditions are met: The state submits the initial construction and operation of a SIP for the Administrator’s review con- such unit shall equal zero; and thereafter, for taining the state’s preconstruction review

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provisions for PM2.5 consistent with § 51.165 34. Best available control technology (BACT) and a complete NNSR precursor demonstra- means an emissions limitation (including a tion consistent with § 51.1006(a)(3); and such visible emissions standard) based on the SIP is determined to be complete by the Ad- maximum degree of reduction for each regu- ministrator or deemed to be complete by op- lated NSR pollutant which would be emitted eration of law in accordance with section from any proposed major stationary source 110(k)(1)(B) of the Act by April 15, 2017. If or major modification which the reviewing these conditions are met, the precursor(s) authority, on a case-by-case basis, taking addressed by the NNSR precursor demonstra- into account energy, environmental, and tion (Volatile organic compounds, Ammonia, economic impacts and other costs, deter- or both) shall not be regulated as a precursor mines is achievable for such source or modi- to PM2.5 in such area. If the Administrator fication through application of production subsequently disapproves the state’s processes or available methods, systems, and preconstruction review provisions for PM2.5 techniques, including fuel cleaning or treat- and the NNSR precursor demonstration, the ment or innovative fuel combustion tech- precursor(s) addressed by the NNSR pre- niques for control of such pollutant. In no cursor demonstration shall be regulated as a event shall application of best available con- precursor to PM2.5 under this Ruling in such trol technology result in emissions of any area as of April 15, 2017, or the effective date pollutant which would exceed the emissions of the disapproval, whichever date is later. allowed by any applicable standard under 40 (4) For any area that is designated non- CFR part 60 or 61. If the reviewing authority attainment for PM after April 15, 2015, and 2.5 determines that technological or economic was not already designated nonattainment limitations on the application of measure- for PM2.5 on or immediately prior to such date, Volatile organic compounds and Am- ment methodology to a particular emissions monia shall be regulated as precursors to unit would make the imposition of an emissions standard infeasible, a design, equip- PM2.5 under this Ruling beginning 24 months from the date of designation as nonattainment, work practice, operational standard, or combination thereof, may be prescribed ment for PM2.5 with respect to any permit instead to satisfy the requirement for the ap- issued for PM2.5, unless the following conditions are met: the state submits a SIP for plication of BACT. Such standard shall, to the Administrator’s review which contains the degree possible, set forth the emissions the state’s preconstruction review provisions reduction achievable by implementation of for PM2.5 consistent with § 51.165 and a com- such design, equipment, work practice or op- plete NNSR precursor demonstration con- eration, and shall provide for compliance by sistent with § 51.1006(a)(3); and such SIP is means which achieve equivalent results. determined to be complete by the Adminis- 35. Prevention of Significant Deterioration trator or deemed to be complete by oper- (PSD) permit means any permit that is issued ation of law in accordance with section under a major source preconstruction permit 110(k)(1)(B) of the Act by the date 24 months program that has been approved by the Ad- from the date of designation. If these condi- ministrator and incorporated into the plan tions are met, the precursor(s) addressed by to implement the requirements of § 51.166 of the NNSR precursor demonstration (Volatile this chapter, or under the program in § 52.21 organic compounds, Ammonia, or both) shall of this chapter. not be regulated as a precursor to PM2.5 in 36. Federal Land Manager means, with re- such area. If the Administrator subsequently spect to any lands in the United States, the disapproves the state’s preconstruction re- Secretary of the department with authority view provisions for PM2.5 and the NNSR pre- over such lands. cursor demonstration, the precursor(s) ad- B. Review of all sources for emission limita- dressed by the NNSR precursor demonstration compliance. The reviewing authority tion shall be regulated as a precursor to must examine each proposed major new PM2.5 under this Ruling in such area as of the source and proposed major modification 1 to date 24 months from the date of designation, determine if such a source will meet all ap- or the effective date of the disapproval, plicable emission requirements in the SIP, whichever date is later. any applicable new source performance 32. Reviewing authority means the State air standard in part 60 or any national emission pollution control agency, local agency, other standard for hazardous air pollutants in part State agency, Indian tribe, or other agency 61 or part 63 of this chapter. If the reviewing issuing permits under this Ruling or author- authority determines that the proposed ized by the Administrator to carry out a per- major new source cannot meet the applicable mit program under §§ 51.165 and 51.166 of this emission requirements, the permit to con- part, or the Administrator in the case of struct must be denied. EPA-implemented permit programs under this Ruling or under § 52.21 of this chapter. 33. Project means a physical change in, or 1 Hereafter the term source will be used to change in the method of operation of, an ex- denote both any source and any modifica- isting major stationary source. tion.

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C. Review of specified sources for air quality (21) Fossil-fuel boilers (or combination impact. In addition, the reviewing authority thereof) totaling more than 250 million Brit- must determine whether the major sta- ish thermal units per hour heat input; tionary source or major modification would (22) Petroleum storage and transfer units be constructed in an area designated in 40 with a total storage capacity exceeding CFR 81.300 et seq. as nonattainment for a pol- 300,000 barrels; lutant for which the stationary source or (23) Taconite ore processing plants; modification is major. (24) Glass fiber processing plants; D.–E. [Reserved] (25) Charcoal production plants; F. Fugitive emission sources. Section IV.A. (26) Fossil fuel-fired steam electric plants of this Ruling shall not apply to a source or of more than 250 million British thermal modification that would be a major sta- units per hour heat input; tionary source or major modification only if (27) Any other stationary source category fugitive emissions, to the extent quantifi- which, as of August 7, 1980, is being regulated able, are considered in calculating the poten- under section 111 or 112 of the Act. tial to emit of the stationary source or modi- G. Secondary emissions. Secondary emis- fication and such source does not belong to sions need not be considered in determining any of the following categories: whether the emission rates in Section II.C. (1) Coal cleaning plants (with thermal dry- above would be exceeded. However, if a ers); source is subject to this Ruling on the basis (2) Kraft pulp mills; of the direct emissions from the source, the (3) Portland cement plants; applicable conditions of this Ruling must (4) Primary zinc smelters; also be met for secondary emissions. How- (5) Iron and steel mills; ever, secondary emissions may be exempt from Conditions 1 and 2 of Section IV. Also, (6) Primary aluminum ore reduction since EPA’s authority to perform or require plants; indirect source review relating to mobile (7) Primary copper smelters; sources regulated under Title II of the Act (8) Municipal incinerators capable of (motor vehicles and aircraft) has been re- charging more than 250 tons of refuse per stricted by statute, consideration of the indi- day; rect impacts of motor vehicles and aircraft (9) Hydrofluoric, sulfuric, or nitric acid traffic is not required under this Ruling. plants; (10) Petroleum refineries; III. SOURCES LOCATING IN DESIGNATED CLEAN (11) Lime plants; OR UNCLASSIFIABLE AREAS WHICH WOULD (12) Phosphate rock processing plants; CAUSE OR CONTRIBUTE TO A VIOLATION OF A (13) Coke oven batteries; NATIONAL AMBIENT AIR QUALITY STAND- (14) Sulfur recovery plants; ARD (15) Carbon black plants (furnace process); A. This section applies only to major (16) Primary lead smelters; sources or major modifications which would (17) Fuel conversion plants; locate in an area designated in 40 CFR 81.300 (18) Sintering plants; et seq. as attainment or unclassifiable in a (19) Secondary metal production plants; State where EPA has not yet approved the (20) Chemical process plants—The term State preconstruction review program re- chemical processing plant shall not include quired by 40 CFR 51.165(b), if the source or ethanol production facilities that produce modification would exceed the following sig- ethanol by natural fermentation included in nificance levels at any locality that does not NAICS codes 325193 or 312140; meet the NAAQS:

Averaging time (hours) Pollutant Annual 24 8 3 1

3 3 3 SO2 ...... 1.0 μg/m 5 μg/m 25 μg/m 3 3 PM10 ...... 1.0 μg/m 5 μg/m 3 3 PM2.5 ...... 0.3 μg/m 1.2 μg/m 3 NO2 ...... 1.0 μg/m CO ...... 0.5 mg/m3 2 mg/m3

B. Sources to which this section applies IV.A. of this ruling. 2 However, such sources must meet Conditions 1, 2, and 4 of Section

2 The discussion in this paragraph is a proposal, but represents EPA’s interim policy until final rulemaking is completed.

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may be exempt from Condition 3 of Section and/or the control of existing sources below IV.A. of this ruling. allowable levels is required so that the C. Review of specified sources for air quality source will not cause a violation of any impact. For stable air pollutants (i.e., SO2, NAAQS. particulate matter and CO), the determina- Condition 2. The new emission limitations tion of whether a source will cause or con- for the new source as well as any existing tribute to a violation of an NAAQS generally sources affected must be enforceable in ac- should be made on a case-by-case basis as of cordance with the mechanisms set forth in the proposed new source’s start-up date Section V of this appendix. using the source’s allowable emissions in an atmospheric simulation model (unless a IV. SOURCES THAT WOULD LOCATE IN A source will clearly impact on a receptor DESIGNATED NONATTAINMENT AREA which exceeds an NAAQS). For sources of nitrogen oxides, the initial A. Conditions for approval. If the reviewing determination of whether a source would authority finds that the major stationary cause or contribute to a violation of the source or major modification would be con- NAAQS for NO2 should be made using an at- structed in an area designated in 40 CFR mospheric simulation model assuming all 81.300 et seq as nonattainment for a pollutant the nitric oxide emitted is oxidized to NO2 by for which the stationary source or modifica- the time the plume reaches ground level. The tion is major, approval may be granted only initial concentration estimates may be ad- if the following conditions are met: justed if adequate data are available to ac- Condition 1. The new source is required to count for the expected oxidation rate. meet an emission Limitation 4 which speci- For ozone, sources of volatile organic com- fies the lowest achievable emission rate for pounds, locating outside a designated ozone such source. nonattainment area, will be presumed to have no significant impact on the designated ational or equipment standard. In such nonattainment area. If ambient monitoring cases, the reviewing authority shall make its indicates that the area of source location is best estimate as to the emission rate that in fact nonattainment, then the source may will be achieved and must specify that rate be permitted under the provisions of any in the required submission to EPA (see Part State plan adopted pursuant to section V). Any permits issued without an enforce- 110(a)(2)(D) of the Act until the area is des- able numerical emission standard must con- ignated nonattainment and a State Imple- tain enforceable conditions which assure mentation Plan revision is approved. If no that the design characteristics or equipment State plan pursuant to section 110(a)(2)(D) will be properly maintained (or that the has been adopted and approved, then this operational conditions will be properly per- Ruling shall apply. formed) so as to continuously achieve the as- As noted above, the determination as to sumed degree of control. Such conditions whether a source would cause or contribute shall be enforceable as emission limitations to a violation of an NAAQS should be made by private parties under section 304. Here- as of the new source’s start-up date. There- after, the term emission limitation shall also fore, if a designated nonattainment area is include such design, operational, or equip- projected to be an attainment area as part of ment standards. an approved SIP control strategy by the new 4 If the reviewing authority determines source start-up date, offsets would not be re- that technological or economic limitations quired if the new source would not cause a on the application of measurement method- new violation. ology to a particular class of sources would D. Sources locating in clean areas, but would make the imposition of an enforceable nu- cause a new violating of an NAAQS. If the merical emission standard infeasible, the au- reviewing authority finds that the emissions thority may instead prescribe a design, oper- from a proposed source would cause a new ational or equipment standard. In such violation of an NAAQS, but would not con- cases, the reviewing authority shall make its tribute to an existing violation, approval best estimate as to the emission rate that may be granted only if both of the following will be achieved and must specify that rate conditions are met: in the required submission to EPA (see Part Condition 1. The new source is required to V). Any permits issued without an enforce- 3 meet a more stringent emission limitation able numerical emission standard must contain enforceable conditions which assure 3 If the reviewing authority determines that the design characteristics or equipment that technological or economic limitations will be properly maintained (or that the on the application of measurement method- operational conditions will be properly per- ology to a particular class of sources would formed) so as to continuously achieve the as- make the imposition of an enforceable nu- sumed degree of control. Such conditions merical emission standard infeasible, the au- shall be enforceable as emission limitations thority may instead prescribe a design, oper- Continued

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Condition 2. The applicant must certify tion IV.A. and that such efforts were unsuc- that all existing major sources owned or op- cessful; erated by the applicant (or any entity con- 2. The applicant has secured all available trolling, controlled by, or under common emission offsets; and control with the applicant) in the same 3. The applicant will continue to seek the State as the proposed source are in compli- necessary emission offsets and apply them ance with all applicable emission limitations when they become available. and standards under the Act (or are in com- Such an exemption may result in the need pliance with an expeditious schedule which to revise the SIP to provide additional con- is Federally enforceable or contained in a trol of existing sources. court decree). Temporary emission sources, such as pilot Condition 3. Emission reductions (offsets) plants, portable facilities which will be relo- from existing sources 5 in the area of the pro- cated outside of the nonattainment area posed source (whether or not under the same after a short period of time, and emissions ownership) are required such that there will resulting from the construction phase of a be reasonable progress toward attainment of new source, are exempt from Conditions 3 the applicable NAAQS. 6 Except as provided and 4 of this section. in paragraph IV.G.5 of this Ruling (address- C. Baseline for determining credit for emission and air quality offsets. The baseline for deter- ing PM2.5 and its precursors), only intrapollutant emission offsets will be ac- mining credit for emission and air quality ceptable (e.g., hydrocarbon increases may offsets will be the SIP emission limitations in effect at the time the application to con- not be offset against SO2 reductions). 5 Subject to the provisions of paragraph struct or modify a source is filed. Thus, cred- IV.C of this Ruling. it for emission offset purposes may be allow- 6 The discussion in this paragraph is a pro- able for existing control that goes beyond posal, but represents EPA’s interim policy that required by the SIP. Emission offsets until final rulemaking is completed. generally should be made on a pounds per Condition 4. The emission offsets will pro- hour basis when all facilities involved in the vide a positive net air quality benefit in the emission offset calculations are operating at affected area (see Section IV.D. below). At- their maximum expected or allowed produc- mospheric simulation modeling is not nection rate. The reviewing agency should specify other averaging periods (e.g., tons per essary for volatile organic compounds and year) in addition to the pounds per hour NO . Fulfillment of Condition 3 and Section X basis if necessary to carry out the intent of IV.D. will be considered adequate to meet this Ruling. When offsets are calculated on a this condition. tons per year basis, the baseline emissions Condition 5. The permit applicant shall for existing sources providing the offsets conduct an analysis of alternative sites, should be calculated using the actual annual sizes, production processes and environ- operating hours for the previous one or two mental control techniques for such proposed year period (or other appropriate period if source that demonstrates that the benefits warranted by cyclical business conditions). of the proposed source significantly out- Where the SIP requires certain hardware weigh the environmental and social costs im- controls in lieu of an emission limitation posed as a result of its location, construction (e.g., floating roof tanks for petroleum stor- or modification. age), baseline allowable emissions should be B. Exemptions from certain conditions. The based on actual operating conditions for the reviewing authority may exempt the fol- previous one or two year period (i.e., actual lowing sources from Condition 1 under Sec- throughput and vapor pressures) in conjunction III or Conditions 3 and 4. Section IV.A.: tion with the required hardware controls. (i) Resource recovery facilities burning 1. No meaningful or applicable SIP require- municipal solid waste, and (ii) sources which ment. Where the applicable SIP does not con- must switch fuels due to lack of adequate tain an emission limitation for a source or fuel supplies or where a source is required to source category, the emission offset baseline be modified as a result of EPA regulations involving such sources shall be the actual (e.g., lead-in-fuel requirements) and no ex- emissions determined in accordance with the emption from such regulation is available to discussion above regarding operating condi- the source. Such an exemption may be grant- tions. ed only if: Where the SIP emission limit allows great- 1. The applicant demonstrates that it made er emissions than the uncontrolled emission its best efforts to obtain sufficient emission rate of the source (as when a State has a sin- offsets to comply with Condition 1 under gle particulate emission limit for all fuels), Section III or Conditions 3 and 4 under Sec- emission offset credit will be allowed only for control below the uncontrolled emission by private parties under section 304. Here- rate. after, the term emission limitation shall also 2. Combustion of fuels. Generally, the emis- include such design, operational, or equip- sions for determining emission offset credit ment standards. involving an existing fuel combustion source

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will be the allowable emissions under the as the highly reactive VOCs. Therefore, no SIP for the type of fuel being burned at the emission offset credit may be allowed for re- time the new source application is filed (i.e., placing one VOC compound with another of if the existing source has switched to a dif- lesser reactivity, except for those compounds ferent type of fuel at some earlier date, any listed in Table 1 of the above policy state- resulting emission reduction [either actual ment. or allowable] shall not be used for emission 5. ‘‘Banking’’ of emission offset credit. For offset credit). If the existing source commits new sources obtaining permits by applying to switch to a cleaner fuel at some future offsets after January 16, 1979, the reviewing date, emission offset credit based on the al- authority may allow offsets that exceed the lowable emissions for the fuels involved is requirements of reasonable progress toward not acceptable unless the permit is condi- attainment (Condition 3) to be ‘‘banked’’ tioned to require the use of a specified alter- (i.e., saved to provide offsets for a source native control measure which would achieve seeking a permit in the future) for use under the same degree of emission reduction this Ruling. Likewise, the reviewing author- should the source switch back to a dirtier ity may allow the owner of an existing fuel at some later date. The reviewing au- source that reduces its own emissions to thority should ensure that adequate long- bank any resulting reductions beyond those term supplies of the new fuel are available required by the SIP for use under this Rul- before granting emission offset credit for ing, even if none of the offsets are applied fuel switches. immediately to a new source permit. A re- 3. Emission Reduction Credits from Shut- viewing authority may allow these banked downs and Curtailments. offsets to be used under the preconstruction (i) Emissions reductions achieved by shut- review program required by Part D, as long ting down an existing source or curtailing as these banked emissions are identified and production or operating hours may be gen- accounted for in the SIP control strategy. A erally credited for offsets if they meet the reviewing authority may not approve the requirements in paragraphs IV.C.3.i.1. construction of a source using banked offsets through 2 of this section. (1) Such reductions are surplus, perma- if the new source would interfere with the nent, quantifiable, and federally enforceable. SIP control strategy or if such use would (2) The shutdown or curtailment occurred violate any other condition set forth for use after the last day of the base year for the of offsets. To preserve banked offsets, the re- SIP planning process. For purposes of this viewing authority should identify them in ei- paragraph, a reviewing authority may ther a SIP revision or a permit, and establish choose to consider a prior shutdown or cur- rules as to how and when they may be used. tailment to have occurred after the last day 6. Offset credit for meeting NSPS or of the base year if the projected emissions NESHAPS. Where a source is subject to an inventory used to develop the attainment emission limitation established in a New demonstration explicitly includes the emis- Source Performance Standard (NSPS) or a sions from such previously shutdown or cur- National Emission Standard for Hazardous tailed emission units. However, in no event Air Pollutants (NESHAPS), (i.e., require- may credit be given for shutdowns that oc- ments under sections 111 and 112, respec- curred before August 7, 1977. tively, of the Act), and a different SIP limi- (ii) Emissions reductions achieved by shut- tation, the more stringent limitation shall ting down an existing source or curtailing be used as the baseline for determining cred- production or operating hours and that do it for emission and air quality offsets. The not meet the requirements in paragraphs difference in emissions between the SIP and IV.C.3.i.1. through 2 of this section may be the NSPS or NESHAPS, for such source may generally credited only if: not be used as offset credit. However, if a (1) The shutdown or curtailment occurred source were not subject to an NSPS or on or after the date the new source permit NESHAPS, for example if its construction application is filed; or had commenced prior to the proposal of an (2) The applicant can establish that the NSPS or NESHAPS for that source category, proposed new source is a replacement for the offset credit can be permitted for tightening shutdown or curtailed source, and the emis- the SIP to the NSPS or NESHAPS level for sions reductions achieved by the shutdown such source. or curtailment met the requirements of D. Location of offsetting emissions. The paragraphs IV.C.3.i.1. through 2 of this sec- owner or operator of a new or modified major tion. stationary source may comply with any off- 4. Credit for VOC substitution. As set forth set requirement in effect under this Ruling in the Agency’s ‘‘Recommended Policy on for increased emissions of any air pollutant Control of Volatile Organic Compounds’’ (42 only by obtaining emissions reductions of FR 35314, July 8, 1977), EPA has found that such air pollutant from the same source or almost all non-methane VOCs are other sources in the same nonattainment photochemically reactive and that low reac- area, except that the reviewing authority tivity VOCs eventually form as much ozone may allow the owner or operator of a source

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to obtain such emissions reductions in an- (v) In any extreme nonattainment area for other nonattainment area if the conditions ozone—at least 1.5:1 (except that the ratio in IV.D.1 and 2 are met. may be at least 1.2:1 if the State also re- 1. The other area has an equal or higher quires all existing major sources in such nonattainment classification than the area nonattainment area to use BACT for the in which the source is located. control of VOC); and 2. Emissions from such other area con- 3. Notwithstanding the requirements of tribute to a violation of the national ambi- paragraph IV.G.2 of this Ruling for meeting ent air quality standard in the nonattain- the requirements of paragraph IV.A, Condi- ment area in which the source is located. tion 3 of this Ruling, the ratio of total actual E. Reasonable further progress. Permits to emissions reductions of VOC to the emis- construct and operate may be issued if the sions increase of VOC shall be at least 1.15:1 reviewing authority determines that, by the for all areas within an ozone transport re- time the source is to commence operation, gion that is subject to subpart 2, part D, title sufficient offsetting emissions reductions I of the Act, except for serious, severe, and have been obtained, such that total allow- extreme ozone nonattainment areas that are able emissions from existing sources in the subject to subpart 2, part D, title I of the region, from new or modified sources which Act. are not major emitting facilities, and from 4. In meeting the emissions offset require- the proposed source will be sufficiently less ments of paragraph IV.A, Condition 3 of this than total emissions from existing sources Ruling for ozone nonattainment areas that prior to the application for such permit to are subject to subpart 1, part D, title I of the construct or modify so as to represent (when Act (but are not subject to subpart 2, part D, considered together with the plan provisions title I of the Act, including 8-hour ozone required under CAA section 172) reasonable nonattainment areas subject to 40 CFR further progress (as defined in CAA section 51.902(b)), the ratio of total actual emissions 171). reductions of VOC to the emissions increase F. Source obligation. At such time that a of VOC shall be at least 1:1. particular source or modification becomes a major stationary source or major modifica- 5. Interpollutant offsetting, or interpollutant tion solely by virtue of a relaxation in any trading or interprecursor trading or interpre- enforceable limitation which was established cursor offset substitution. In meeting the emis- after August 7, 1980, on the capacity of the sions offset requirements of paragraph IV.A, source or modification otherwise to emit a Condition 3 of this Ruling, the emissions off- pollutant, such as a restriction on hours of sets obtained shall be for the same regulated operation, then the requirements of this Rul- nonattainment NSR pollutant unless inter- ing shall apply to the source or modification precursor offsetting is permitted for a par- as though construction had not yet com- ticular pollutant as specified in this para- menced on the source or modification. graph IV.G.5 and the reviewing authority G. Offset Ratios. chooses to review such trading on a case by 1. In meeting the emissions offset require- case basis as described in this section. ments of paragraph IV.A, Condition 3 of this (i) A reviewing authority may choose to Ruling, the ratio of total actual emissions satisfy the offset requirements of paragraph reductions to the emissions increase shall be IV.A, Condition 3 of this Ruling for emis- at least 1:1 unless an alternative ratio is pro- sions of the ozone precursors NOX and VOC vided for the applicable nonattainment area by offsetting reductions of emissions of ei- in paragraphs IV.G.2 through IV.G.4. ther precursor, if all other requirements con- 2. In meeting the emissions offset require- tained in this Ruling for such offsets are also ments of paragraph IV.A, Condition 3 of this satisfied. For a specific permit application, if Ruling for ozone nonattainment areas that the implementation of IPT is acceptable by are subject to subpart 2, part D, title I of the the reviewing authority, the permit appli- Act, the ratio of total actual emissions re- cant shall submit to the reviewing authority ductions of VOC to the emissions increase of for approval a case-specific permit IPT ratio VOC shall be as follows: for determining the required amount of (i) In any marginal nonattainment area for emissions reductions to offset the proposed ozone—at least 1.1:1; emissions increase when considered along (ii) In any moderate nonattainment area with the applicable offset ratio as specified for ozone—at least 1.15:1; in paragraphs IV.G.2 through 4 of this Rul- (iii) In any serious nonattainment area for ing. As part of the ratio submittal, the appli- ozone—at least 1.2:1; cant shall submit the proposed permit-spe- (iv) In any severe nonattainment area for cific ozone IPT ratio to the reviewing au- ozone—at least 1.3:1 (except that the ratio thority, accompanied by the following infor- may be at least 1.2:1 if the State also re- mation: quires all existing major sources in such (a) A description of the air quality nonattainment area to use BACT for the model(s) that were used to propose a case- control of VOC); and specific ratio; and

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(b) The proposed ratio for the precursor (i.e., the second step of the process) is con- substitution and accompanying calculations; tained in the definition in paragraph II.A.6 of and this Ruling. Regardless of any such (c) A modeling demonstration showing preconstruction projections, a major modi- that such ratio(s) as applied to the proposed fication results if the project causes a sig- project and credit source will provide an nificant emissions increase and a significant equivalent or greater air quality benefit with net emissions increase. respect to ground level concentrations in the (iii) Actual-to-projected-actual applicability ozone nonattainment area than an offset of test for projects that only involve existing emis- the emitted precursor would achieve. sions units. A significant emissions increase (ii) The offset requirements of paragraph of a regulated NSR pollutant is projected to IV.A, Condition 3 of this Ruling for direct occur if the sum of the difference between PM2.5 emissions or emissions of precursors of the projected actual emissions (as defined in PM2.5 may be satisfied by offsetting reduc- paragraph II.A.24 of this Ruling) and the tions of direct PM2.5 emissions or emissions baseline actual emissions (as defined in para- of any PM2.5 precursor identified under paragraphs II.A.30(i) and (ii) of this Ruling, as ap- graph II.A.31 (iii) of this Ruling if such off- plicable), for each existing emissions unit, sets comply with an interprecursor trading equals or exceeds the significant amount for hierarchy and ratio approved by the Admin- that pollutant (as defined in paragraph istrator. II.A.10 of this Ruling). H. Additional provisions for emissions of ni- (iv) Actual-to-potential test for projects that trogen oxides in ozone transport regions and only involve construction of a new emissions nonattainment areas. The requirements of unit(s). A significant emissions increase of a this Ruling applicable to major stationary regulated NSR pollutant is projected to sources and major modifications of volatile occur if the sum of the difference between organic compounds shall apply to nitrogen the potential to emit (as defined in para- oxides emissions from major stationary graph II.A.3 of this Ruling) from each new sources and major modifications of nitrogen emissions unit following completion of the oxides in an ozone transport region or in any project and the baseline actual emissions (as ozone nonattainment area, except in ozone defined in paragraph II.A.30(iii) of this Rul- nonattainment areas where the Adminis- ing) of these units before the project equals trator has granted a NOX waiver applying or exceeds the significant amount for that the standards set forth under 182(f) and the pollutant (as defined in paragraph II.A.10 of waiver continues to apply. this Ruling). I. Applicability procedures. (v) Hybrid test for projects that involve mul- 1. To determine whether a project con- tiple types of emissions units. A significant stitutes a major modification, the reviewing emissions increase of a regulated NSR pol- authority shall apply the principles set out lutant is projected to occur if the sum of the in paragraphs IV.I.1(i) through (v) of this emissions increases for each emissions unit, Ruling. using the method specified in paragraphs (i) Except as otherwise provided in para- IV.I.1(iii) through (iv) of this Ruling as appli- graph IV.I.2 of this Ruling, and consistent cable with respect to each emissions unit, for with the definition of major modification each type of emissions unit equals or exceeds contained in paragraph II.A.5 of this Ruling, the significant amount for that pollutant (as a project is a major modification for a regu- defined in paragraph II.A.10 of this Ruling). lated NSR pollutant if it causes two types of 2. For any major stationary source for a emissions increases—a significant emissions PAL for a regulated NSR pollutant, the increase (as defined in paragraph II.A.23 of major stationary source shall comply with this Ruling), and a significant net emissions requirements under paragraph IV.K of this increase (as defined in paragraphs II.A.6 and Ruling. 10 of this Ruling). The project is not a major J. Provisions for projected actual emissions. modification if it does not cause a signifi- Except as otherwise provided in paragraph cant emissions increase. If the project causes IV.J.6(ii) of this Ruling, the provisions of a significant emissions increase, then the this paragraph IV.J apply with respect to project is a major modification only if it also any regulated NSR pollutant emitted from results in a significant net emissions in- projects at existing emissions units at a crease. major stationary source (other than projects (ii) The procedure for calculating (before at a source with a PAL) in circumstances beginning actual construction) whether a where there is a reasonable possibility, with- significant emissions increase (i.e., the first in the meaning of paragraph IV.J.6 of this step of the process) will occur depends upon Ruling, that a project that is not a part of a the type of emissions units being modified, major modification may result in a signifi- according to paragraphs IV.I.1(iii) through cant emissions increase of such pollutant, (v) of this Ruling. The procedure for calcu- and the owner or operator elects to use the lating (before beginning actual construction) method specified in paragraphs II.A.24(ii)(a) whether a significant net emissions increase through (c) of this Ruling for calculating will occur at the major stationary source projected actual emissions.

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1. Before beginning actual construction of IV.J.1(iii) of this Ruling. Such report shall the project, the owner or operator shall doc- be submitted to the reviewing authority ument and maintain a record of the fol- within 60 days after the end of such year. lowing information: The report shall contain the following: (i) A description of the project; (i) The name, address and telephone num- (ii) Identification of the emissions unit(s) ber of the major stationary source; whose emissions of a regulated NSR pollut- (ii) The annual emissions as calculated ant could be affected by the project; and pursuant to paragraph IV.J.3 of this Ruling; (iii) A description of the applicability test and used to determine that the project is not a (iii) Any other information that the owner major modification for any regulated NSR or operator wishes to include in the report pollutant, including the baseline actual (e.g., an explanation as to why the emissions emissions, the projected actual emissions, differ from the preconstruction projection). the amount of emissions excluded under 6. A ‘‘reasonable possibility’’ under para- paragraph II.A.24(ii)(c) of this Ruling and an graph IV.J of this Ruling occurs when the explanation for why such amount was ex- owner or operator calculates the project to cluded, and any netting calculations, if ap- result in either: plicable. (i) A projected actual emissions increase of 2. If the emissions unit is an existing elec- at least 50 percent of the amount that is a tric utility steam generating unit, before be- ‘‘significant emissions increase,’’ as defined ginning actual construction, the owner or under paragraph II.A.23 of this Ruling (with- operator shall provide a copy of the informa- out reference to the amount that is a signifi- tion set out in paragraph IV.J.1 of this Rul- cant net emissions increase), for the regu- ing to the reviewing authority. Nothing in lated NSR pollutant; or this paragraph IV.J.2 shall be construed to (ii) A projected actual emissions increase require the owner or operator of such a unit that, added to the amount of emissions ex- to obtain any determination from the re- cluded under paragraph II.A.24(ii)(c), sums to viewing authority before beginning actual at least 50 percent of the amount that is a construction. ‘‘significant emissions increase,’’ as defined 3. The owner or operator shall monitor the under paragraph II.A.23 of this Ruling (with- emissions of any regulated NSR pollutant out reference to the amount that is a signifi- that could increase as a result of the project cant net emissions increase), for the regu- and that is emitted by any emissions units lated NSR pollutant. For a project for which identified in paragraph IV.J.1(ii) of this Rul- a reasonable possibility occurs only within ing; and calculate and maintain a record of the meaning of paragraph IV.J.6(ii) of this the annual emissions, in tons per year on a Ruling, and not also within the meaning of calendar year basis, for a period of 5 years paragraph IV.J.6(i) of this Ruling, then pro- following resumption of regular operations visions IV.J.2 through IV.J.5 do not apply to after the change, or for a period of 10 years the project. following resumption of regular operations 7. The owner or operator of the source shall after the change if the project increases the make the information required to be docu- design capacity or potential to emit of that mented and maintained pursuant to this regulated NSR pollutant at such emissions paragraph IV.J of this Ruling available for unit. review upon a request for inspection by the 4. If the unit is an existing electric utility reviewing authority or the general public steam generating unit, the owner or operator pursuant to the requirements contained in shall submit a report to the reviewing au- § 70.4(b)(3)(viii) of this chapter. thority within 60 days after the end of each K. Actuals PALs. The provisions in para- year, during which records must be gen- graphs IV.K.1 through 15 of this Ruling gov- erated under paragraph IV.J.3 of this Ruling ern actuals PALs. setting out the unit’s annual emissions dur- 1. Applicability. ing the year that preceded submission of the (i) The reviewing authority may approve report. the use of an actuals PAL for any existing 5. If the unit is an existing unit other than major stationary source (except as provided an electric utility steam generating unit, the in paragraph IV.K.1(ii) of this Ruling) if the owner or operator shall submit a report to PAL meets the requirements in paragraphs the reviewing authority if the annual emis- IV.K.1 through 15 of this Ruling. The term sions, in tons per year, from the project iden- ‘‘PAL’’ shall mean ‘‘actuals PAL’’ through- tified in paragraph IV.J.1 of this Ruling, ex- out paragraph IV.K of this Ruling. ceed the baseline actual emissions (as docu- (ii) The reviewing authority shall not mented and maintained pursuant to para- allow an actuals PAL for VOC or NOX for any graph IV.J.1(iii) of this Ruling) by a signifi- major stationary source located in an ex- cant amount (as defined in paragraph II.A.10 treme ozone nonattainment area. of this Ruling) for that regulated NSR pol- (iii) Any physical change in or change in lutant, and if such emissions differ from the the method of operation of a major sta- preconstruction projection as documented tionary source that maintains its total and maintained pursuant to paragraph source-wide emissions below the PAL level,

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meets the requirements in paragraphs IV.K.1 section 182(c) of the Act, an emissions unit through 15 of this Ruling, and complies with would be a major emissions unit for VOC if the PAL permit: the emissions unit is located in a serious (a) Is not a major modification for the PAL ozone nonattainment area and it emits or pollutant; has the potential to emit 50 or more tons of (b) Does not have to be approved through a VOC per year. nonattainment major NSR program; and (v) Plantwide applicability limitation (PAL) (c) Is not subject to the provisions in para- means an emission limitation expressed in graph IV.F of this Ruling (restrictions on re- tons per year, for a pollutant at a major sta- laxing enforceable emission limitations that tionary source, that is enforceable as a prac- the major stationary source used to avoid tical matter and established source-wide in applicability of a nonattainment major NSR accordance with paragraphs IV.K.1 through program). 15 of this Ruling. (iv) Except as provided under paragraph (vi) PAL effective date generally means the IV.K.1(iii)(c) of this Ruling, a major sta- date of issuance of the PAL permit. However, tionary source shall continue to comply with the PAL effective date for an increased PAL all applicable Federal or State requirements, is the date any emissions unit which is part emission limitations, and work practice re- of the PAL major modification becomes quirements that were established prior to operational and begins to emit the PAL pol- the effective date of the PAL. lutant. 2. Definitions. For the purposes of this para- (vii) PAL effective period means the period graph IV.K, the definitions in paragraphs beginning with the PAL effective date and IV.K.2(i) through (xi) of this Ruling apply. ending 10 years later. When a term is not defined in these para- (viii) PAL major modification means, not- graphs, it shall have the meaning given in withstanding paragraphs II.A.5 and 6 of this paragraph II.A of this Ruling or in the Act. Ruling (the definitions for major modifica- (i) Actuals PAL for a major stationary tion and net emissions increase), any phys- source means a PAL based on the baseline ical change in or change in the method of op- actual emissions (as defined in paragraph eration of the PAL source that causes it to II.A.30 of this Ruling) of all emissions units emit the PAL pollutant at a level equal to or (as defined in paragraph II.A.7 of this Ruling) greater than the PAL. at the source, that emit or have the poten- (ix) PAL permit means the permit issued tial to emit the PAL pollutant. under this Ruling, the major NSR permit, (ii) Allowable emissions means ‘‘allowable the minor NSR permit, or the State oper- emissions’’ as defined in paragraph II.A.11 of ating permit under a program that is ap- this Ruling, except as this definition is modi- proved into the plan, or the title V permit fied according to paragraphs IV.K.2(ii)(a) issued by the reviewing authority that estab- through (b) of this Ruling. lishes a PAL for a major stationary source. (a) The allowable emissions for any emis- (x) PAL pollutant means the pollutant for sions unit shall be calculated considering which a PAL is established at a major sta- any emission limitations that are enforce- tionary source. able as a practical matter on the emissions (xi) Significant emissions unit means an unit’s potential to emit. emissions unit that emits or has the poten- (b) An emissions unit’s potential to emit tial to emit a PAL pollutant in an amount shall be determined using the definition in that is equal to or greater than the signifi- paragraph II.A.3 of this Ruling, except that cant level (as defined in paragraph II.A.10 of the words ‘‘enforceable as a practical mat- this Ruling or in the Act, whichever is lower) ter’’ should be added after ‘‘federally en- for that PAL pollutant, but less than the forceable.’’ amount that would qualify the unit as a (iii) Small emissions unit means an emis- major emissions unit as defined in paragraph sions unit that emits or has the potential to IV.K.2(iv) of this Ruling. emit the PAL pollutant in an amount less 3. Permit application requirements. As part of than the significant level for that PAL pol- a permit application requesting a PAL, the lutant, as defined in paragraph II.A.10 of this owner or operator of a major stationary Ruling or in the Act, whichever is lower. source shall submit the following informa- (iv) Major emissions unit means: tion to the reviewing authority for approval: (a) Any emissions unit that emits or has (i) A list of all emissions units at the the potential to emit 100 tons per year or source designated as small, significant or more of the PAL pollutant in an attainment major based on their potential to emit. In area; or addition, the owner or operator of the source (b) Any emissions unit that emits or has shall indicate which, if any, Federal or State the potential to emit the PAL pollutant in applicable requirements, emission limita- an amount that is equal to or greater than tions or work practices apply to each unit. the major source threshold for the PAL pol- (ii) Calculations of the baseline actual lutant as defined by the Act for nonattain- emissions (with supporting documentation). ment areas. For example, in accordance with Baseline actual emissions are to include the definition of major stationary source in emissions associated not only with operation

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of the unit, but also emissions associated 5. Public participation requirement for PALs. with startup, shutdown and malfunction. PALs for existing major stationary sources (iii) The calculation procedures that the shall be established, renewed, or increased major stationary source owner or operator through a procedure that is consistent with proposes to use to convert the monitoring ((51.160 and 51.161 of this chapter. This in- system data to monthly emissions and an- cludes the requirement that the reviewing nual emissions based on a 12-month rolling authority provide the public with notice of total for each month as required by para- the proposed approval of a PAL permit and graph IV.K.13(i) of this Ruling. at least a 30-day period for submittal of pub- 4. General requirements for establishing lic comment. The reviewing authority must PALs. address all material comments before taking (i) The reviewing authority is allowed to final action on the permit. establish a PAL at a major stationary 6. Setting the 10-year actuals PAL level. The source, provided that at a minimum, the re- actuals PAL level for a major stationary quirements in paragraphs IV.K.4(i) (a) source shall be established as the sum of the through (g) of this Ruling are met. baseline actual emissions (as defined in para- (a) The PAL shall impose an annual emis- graph II.A.30 of this Ruling) of the PAL pol- sion limitation in tons per year, that is en- lutant for each emissions unit at the source; forceable as a practical matter, for the en- plus an amount equal to the applicable sig- tire major stationary source. For each nificant level for the PAL pollutant under month during the PAL effective period after paragraph II.A.10 of this Ruling or under the the first 12 months of establishing a PAL, Act, whichever is lower. When establishing the major stationary source owner or oper- the actuals PAL level, for a PAL pollutant, only one consecutive 24-month period must ator shall show that the sum of the monthly be used to determine the baseline actual emissions from each emissions unit under emissions for all existing emissions units. the PAL for the previous 12 consecutive However, a different consecutive 24-month months is less than the PAL (a 12-month av- period may be used for each different PAL erage, rolled monthly). For each month dur- pollutant. Emissions associated with units ing the first 11 months from the PAL effec- that were permanently shut down after this tive date, the major stationary source owner 24-month period must be subtracted from the or operator shall show that the sum of the PAL level. Emissions from units on which preceding monthly emissions from the PAL actual construction began after the 24-month effective date for each emissions unit under period must be added to the PAL level in an the PAL is less than the PAL. amount equal to the potential to emit of the (b) The PAL shall be established in a PAL units. The reviewing authority shall specify permit that meets the public participation a reduced PAL level(s) (in tons/yr) in the requirements in paragraph IV.K.5 of this PAL permit to become effective on the fu- Ruling. ture compliance date(s) of any applicable (c) The PAL permit shall contain all the Federal or State regulatory requirement(s) requirements of paragraph IV.K.7 of this that the reviewing authority is aware of Ruling. prior to issuance of the PAL permit. For in- (d) The PAL shall include fugitive emis- stance, if the source owner or operator will sions, to the extent quantifiable, from all be required to reduce emissions from indus- emissions units that emit or have the poten- trial boilers in half from baseline emissions tial to emit the PAL pollutant at the major of 60 ppm NOX to a new rule limit of 30 ppm, stationary source. then the permit shall contain a future effec- (e) Each PAL shall regulate emissions of tive PAL level that is equal to the current only one pollutant. PAL level reduced by half of the original (f) Each PAL shall have a PAL effective pe- baseline emissions of such unit(s). riod of 10 years. 7. Contents of the PAL permit. The PAL per- (g) The owner or operator of the major sta- mit contain, at a minimum, the information tionary source with a PAL shall comply with in paragraphs IV.K.7 (i) through (x) of this the monitoring, recordkeeping, and report- Ruling. ing requirements provided in paragraphs (i) The PAL pollutant and the applicable IV.K. 12 through 14 of this Ruling for each source-wide emission limitation in tons per emissions unit under the PAL through the year. PAL effective period. (ii) The PAL permit effective date and the (ii) At no time (during or after the PAL ef- expiration date of the PAL (PAL effective fective period) are emissions reductions of a period). PAL pollutant, which occur during the PAL (iii) Specification in the PAL permit that effective period, creditable as decreases for if a major stationary source owner or oper- purposes of offsets under paragraph IV.C of ator applies to renew a PAL in accordance this Ruling unless the level of the PAL is re- with paragraph IV.K.10 of this Ruling before duced by the amount of such emissions re- the end of the PAL effective period, then the ductions and such reductions would be cred- PAL shall not expire at the end of the PAL itable in the absence of the PAL. effective period. It shall remain in effect

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until a revised PAL permit is issued by the (3) Reduce the PAL if the reviewing au- reviewing authority. thority determines that a reduction is nec- (iv) A requirement that emission calcula- essary to avoid causing or contributing to a tions for compliance purposes include emis- NAAQS or PSD increment violation, or to an sions from startups, shutdowns and malfunc- adverse impact on an air quality related tions. value that has been identified for a Federal (v) A requirement that, once the PAL ex- Class I area by a Federal Land Manager and pires, the major stationary source is subject for which information is available to the to the requirements of paragraph IV.K.9 of general public. this Ruling. (c) Except for the permit reopening in (vi) The calculation procedures that the paragraph IV.K.8(ii)(a)(1) of this Ruling for major stationary source owner or operator the correction of typographical/calculation shall use to convert the monitoring system errors that do not increase the PAL level, all data to monthly emissions and annual emis- other reopenings shall be carried out in ac- sions based on a 12-month rolling total for cordance with the public participation re- each month as required by paragraph quirements of paragraph IV.K.5 of this Rul- IV.K.13(i) of this Ruling. ing. (vii) A requirement that the major sta- 9. Expiration of a PAL. Any PAL which is tionary source owner or operator monitor all not renewed in accordance with the proce- emissions units in accordance with the pro- dures in paragraph IV.K.10 of this Ruling visions under paragraph IV.K.12 of this Rul- shall expire at the end of the PAL effective ing. period, and the requirements in paragraphs (viii) A requirement to retain the records IV.K.9(i) through (v) of this Ruling shall required under paragraph IV.K.13 of this Rul- apply. (i) Each emissions unit (or each group of ing on site. Such records may be retained in emissions units) that existed under the PAL an electronic format. shall comply with an allowable emission lim- (ix) A requirement to submit the reports itation under a revised permit established required under paragraph IV.K.14 of this Rul- according to the procedures in paragraphs ing by the required deadlines. IV.K.9(i)(a) through (b) of this Ruling. (x) Any other requirements that the re- (a) Within the time frame specified for viewing authority deems necessary to imple- PAL renewals in paragraph IV.K.10(ii) of this ment and enforce the PAL. Ruling, the major stationary source shall 8. PAL effective period and reopening of the submit a proposed allowable emission limita- PAL permit. The requirements in paragraphs tion for each emissions unit (or each group IV.K.8(i) and (ii) of this Ruling apply to of emissions units, if such a distribution is actuals PALs. more appropriate as decided by the review- (i) PAL effective period. The reviewing au- ing authority) by distributing the PAL al- thority shall specify a PAL effective period lowable emissions for the major stationary of 10 years. source among each of the emissions units (ii) Reopening of the PAL permit. that existed under the PAL. If the PAL had (a) During the PAL effective period, the re- not yet been adjusted for an applicable reviewing authority must reopen the PAL per- quirement that became effective during the mit to: PAL effective period, as required under para- (1) Correct typographical/calculation er- graph IV.K.10(v) of this Ruling, such dis- rors made in setting the PAL or reflect a tribution shall be made as if the PAL had more accurate determination of emissions been adjusted. used to establish the PAL. (b) The reviewing authority shall decide (2) Reduce the PAL if the owner or oper- whether and how the PAL allowable emis- ator of the major stationary source creates sions will be distributed and issue a revised creditable emissions reductions for use as permit incorporating allowable limits for offsets under paragraph IV.C of this Ruling. each emissions unit, or each group of emis- (3) Revise the PAL to reflect an increase in sions units, as the reviewing authority deter- the PAL as provided under paragraph IV.K.11 mines is appropriate. of this Ruling. (ii) Each emissions unit(s) shall comply (b) The reviewing authority shall have dis- with the allowable emission limitation on a cretion to reopen the PAL permit for the fol- 12-month rolling basis. The reviewing au- lowing: thority may approve the use of monitoring (1) Reduce the PAL to reflect newly appli- systems (source testing, emission factors, cable Federal requirements (for example, etc.) other than CEMS, CERMS, PEMS or NSPS) with compliance dates after the PAL CPMS to demonstrate compliance with the effective date. allowable emission limitation. (2) Reduce the PAL consistent with any (iii) Until the reviewing authority issues other requirement, that is enforceable as a the revised permit incorporating allowable practical matter, and that the State may im- limits for each emissions unit, or each group pose on the major stationary source under of emissions units, as required under para- the plan. graph IV.K.9(i)(a) of this Ruling, the source

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shall continue to comply with a source-wide, adjustment fail to comply with paragraph multi-unit emissions cap equivalent to the IV.K.10(iv)(c) of this Ruling. level of the PAL emission limitation. (a) If the emissions level calculated in ac- (iv) Any physical change or change in the cordance with paragraph IV.K.6 of this Rul- method of operation at the major stationary ing is equal to or greater than 80 percent of source will be subject to the nonattainment the PAL level, the reviewing authority may major NSR requirements if such change renew the PAL at the same level without meets the definition of major modification considering the factors set forth in para- in paragraph II.A.5 of this Ruling. graph IV.K.10(iv)(b) of this Ruling; or (v) The major stationary source owner or (b) The reviewing authority may set the operator shall continue to comply with any PAL at a level that it determines to be more State or Federal applicable requirements representative of the source’s baseline actual (BACT, RACT, NSPS, etc.) that may have emissions, or that it determines to be appro- applied either during the PAL effective pe- priate considering air quality needs, ad- riod or prior to the PAL effective period ex- vances in control technology, anticipated cept for those emission limitations that had economic growth in the area, desire to re- been established pursuant to paragraph IV.F ward or encourage the source’s voluntary of this Ruling, but were eliminated by the emissions reductions, or other factors as spe- PAL in accordance with the provisions in cifically identified by the reviewing author- paragraph IV.K.1(iii)(c) of this Ruling. ity in its written rationale. 10. Renewal of a PAL. (c) Notwithstanding paragraphs (i) The reviewing authority shall follow the IV.K.10(iv)(a) and (b) of this Ruling, procedures specified in paragraph IV.K.5 of (1) If the potential to emit of the major this Ruling in approving any request to stationary source is less than the PAL, the renew a PAL for a major stationary source, reviewing authority shall adjust the PAL to and shall provide both the proposed PAL a level no greater than the potential to emit level and a written rationale for the proof the source; and posed PAL level to the public for review and (2) The reviewing authority shall not ap- comment. During such public review, any prove a renewed PAL level higher than the person may propose a PAL level for the current PAL, unless the major stationary source for consideration by the reviewing au- source has complied with the provisions of thority. paragraph IV.K.11 of this Ruling (increasing (ii) Application deadline. The major sta- a PAL). tionary source owner or operator shall sub- (v) If the compliance date for a State or mit a timely application to the reviewing Federal requirement that applies to the PAL authority to request renewal of a PAL. A source occurs during the PAL effective pe- timely application is one that is submitted riod, and if the reviewing authority has not at least 6 months prior to, but not earlier already adjusted for such requirement, the than 18 months from, the date of permit ex- PAL shall be adjusted at the time of PAL piration. This deadline for application sub- permit renewal or title V permit renewal, mittal is to ensure that the permit will not whichever occurs first. expire before the permit is renewed. If the 11. Increasing a PAL during the PAL effec- owner or operator of a major stationary tive period. source submits a complete application to (i) The reviewing authority may increase a renew the PAL within this time period, then PAL emission limitation only if the major the PAL shall continue to be effective until stationary source complies with the provi- the revised permit with the renewed PAL is sions in paragraphs IV.K.11(i)(a) through (d) issued. of this Ruling. (iii) Application requirements. The applica- (a) The owner or operator of the major station to renew a PAL permit shall contain the tionary source shall submit a complete ap- information required in paragraphs plication to request an increase in the PAL IV.K.10(iii)(a) through (d) of this Ruling. limit for a PAL major modification. Such (a) The information required in paragraphs application shall identify the emissions IV.K.3(i) through (iii) of this Ruling. unit(s) contributing to the increase in emis- (b) A proposed PAL level. sions so as to cause the major stationary (c) The sum of the potential to emit of all source’s emissions to equal or exceed its emissions units under the PAL (with sup- PAL. porting documentation). (b) As part of this application, the major (d) Any other information the owner or op- stationary source owner or operator shall erator wishes the reviewing authority to demonstrate that the sum of the baseline ac- consider in determining the appropriate tual emissions of the small emissions units, level for renewing the PAL. plus the sum of the baseline actual emissions (iv) PAL adjustment. In determining wheth- of the significant and major emissions units er and how to adjust the PAL, the reviewing assuming application of BACT equivalent authority shall consider the options outlined controls, plus the sum of the allowable emis- in paragraphs IV.K.10(iv)(a) and (b) of this sions of the new or modified emissions Ruling. However, in no case may any such unit(s) exceeds the PAL. The level of control

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that would result from BACT equivalent con- (c) Notwithstanding paragraph IV.K.12(i)(b) trols on each significant or major emissions of this Ruling, you may also employ an al- unit shall be determined by conducting a ternative monitoring approach that meets new BACT analysis at the time the applica- paragraph IV.K.12(i)(a) of this Ruling if ap- tion is submitted, unless the emissions unit proved by the reviewing authority. is currently required to comply with a BACT (d) Failure to use a monitoring system or LAER requirement that was established that meets the requirements of this Ruling within the preceding 10 years. In such a case, renders the PAL invalid. the assumed control level for that emissions (ii) Minimum Performance Requirements unit shall be equal to the level of BACT or for Approved Monitoring Approaches. The LAER with which that emissions unit must currently comply. following are acceptable general monitoring (c) The owner or operator obtains a major approaches when conducted in accordance NSR permit for all emissions unit(s) identi- with the minimum requirements in para- fied in paragraph IV.K.11(i)(a) of this Ruling, graphs IV.K.12(iii) through (ix) of this Rul- regardless of the magnitude of the emissions ing: increase resulting from them (that is, no sig- (a) Mass balance calculations for activities nificant levels apply). These emissions using coatings or solvents; unit(s) shall comply with any emissions re- (b) CEMS; quirements resulting from the nonattain- (c) CPMS or PEMS; and ment major NSR program process (for exam- (d) Emission Factors. ple, LAER), even though they have also be- (iii) Mass Balance Calculations. An owner come subject to the PAL or continue to be or operator using mass balance calculations subject to the PAL. to monitor PAL pollutant emissions from ac- (d) The PAL permit shall require that the tivities using coating or solvents shall meet increased PAL level shall be effective on the the following requirements: day any emissions unit that is part of the (a) Provide a demonstrated means of vali- PAL major modification becomes oper- dating the published content of the PAL pol- ational and begins to emit the PAL pollut- lutant that is contained in or created by all ant. materials used in or at the emissions unit; (ii) The reviewing authority shall calculate the new PAL as the sum of the allowable (b) Assume that the emissions unit emits emissions for each modified or new emissions all of the PAL pollutant that is contained in unit, plus the sum of the baseline actual or created by any raw material or fuel used emissions of the significant and major emis- in or at the emissions unit, if it cannot oth- sions units (assuming application of BACT erwise be accounted for in the process; and equivalent controls as determined in accord- (c) Where the vendor of a material or fuel, ance with paragraph IV.K.11(i)(b)), plus the which is used in or at the emissions unit, sum of the baseline actual emissions of the publishes a range of pollutant content from small emissions units. such material, the owner or operator must (iii) The PAL permit shall be revised to reuse the highest value of the range to cal- flect the increased PAL level pursuant to the culate the PAL pollutant emissions unless public notice requirements of paragraph the reviewing authority determines there is IV.K.5 of this Ruling. site-specific data or a site-specific moni- 12. Monitoring requirements for PALs. toring program to support another content (i) General Requirements. within the range. (a) Each PAL permit must contain enforce- (iv) CEMS. An owner or operator using able requirements for the monitoring system CEMS to monitor PAL pollutant emissions that accurately determines plantwide emis- shall meet the following requirements: sions of the PAL pollutant in terms of mass (a) CEMS must comply with applicable per unit of time. Any monitoring system au- Performance Specifications found in 40 CFR thorized for use in the PAL permit must be part 60, appendix B; and based on sound science and meet generally (b) CEMS must sample, analyze and record acceptable scientific procedures for data data at least every 15 minutes while the quality and manipulation. Additionally, the emissions unit is operating. information generated by such system must meet minimum legal requirements for ad- (v) CPMS or PEMS. An owner or operator missibility in a judicial proceeding to en- using CPMS or PEMS to monitor PAL pol- force the PAL permit. lutant emissions shall meet the following re- (b) The PAL monitoring system must em- quirements: ploy one or more of the four general moni- (a) The CPMS or the PEMS must be based toring approaches meeting the minimum re- on current site-specific data demonstrating a quirements set forth in paragraphs correlation between the monitored param- IV.K.12(ii)(a) through (d) of this Ruling and eter(s) and the PAL pollutant emissions must be approved by the reviewing author- across the range of operation of the emis- ity. sions unit; and

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(b) Each CPMS or PEMS must sample, ana- (ii) The PAL permit shall require an owner lyze, and record data at least every 15 min- or operator to retain a copy of the following utes, or at another less frequent interval ap- records for the duration of the PAL effective proved by the reviewing authority, while the period plus 5 years: emissions unit is operating. (a) A copy of the PAL permit application (vi) Emission factors. An owner or operator and any applications for revisions to the using emission factors to monitor PAL pol- PAL; and lutant emissions shall meet the following re- (b) Each annual certification of compliance quirements: pursuant to title V and the data relied on in (a) All emission factors shall be adjusted, certifying the compliance. if appropriate, to account for the degree of 14. Reporting and notification requirements. uncertainty or limitations in the factors’ de- The owner or operator shall submit semi-an- velopment; nual monitoring reports and prompt devi- (b) The emissions unit shall operate within ation reports to the reviewing authority in the designated range of use for the emission accordance with the applicable title V oper- factor, if applicable; and ating permit program. The reports shall (c) If technically practicable, the owner or meet the requirements in paragraphs operator of a significant emissions unit that IV.K.14(i) through (iii). relies on an emission factor to calculate PAL (i) Semi-Annual Report. The semi-annual pollutant emissions shall conduct validation report shall be submitted to the reviewing testing to determine a site-specific emission authority within 30 days of the end of each factor within 6 months of PAL permit reporting period. This report shall contain issuance, unless the reviewing authority de- the information required in paragraphs termines that testing is not required. IV.K.14(i)(a) through (g) of this Ruling. (vii) A source owner or operator must (a) The identification of owner and oper- record and report maximum potential emis- ator and the permit number. sions without considering enforceable emis- (b) Total annual emissions (tons/year) sion limitations or operational restrictions based on a 12-month rolling total for each for an emissions unit during any period of month in the reporting period recorded pur- time that there is no monitoring data, unless suant to paragraph IV.K.13(i) of this Ruling. another method for determining emissions (c) All data relied upon, including, but not during such periods is specified in the PAL limited to, any Quality Assurance or Quality permit. Control data, in calculating the monthly and (viii) Notwithstanding the requirements in annual PAL pollutant emissions. paragraphs IV.K.12(iii) through (vii) of this (d) A list of any emissions units modified Ruling, where an owner or operator of an or added to the major stationary source dur- emissions unit cannot demonstrate a cor- ing the preceding 6-month period. relation between the monitored parameter(s) (e) The number, duration, and cause of any and the PAL pollutant emissions rate at all deviations or monitoring malfunctions operating points of the emissions unit, the (other than the time associated with zero reviewing authority shall, at the time of per- and span calibration checks), and any correc- mit issuance: tive action taken. (a) Establish default value(s) for deter- (f) A notification of a shutdown of any mining compliance with the PAL based on monitoring system, whether the shutdown the highest potential emissions reasonably was permanent or temporary, the reason for estimated at such operating point(s); or the shutdown, the anticipated date that the (b) Determine that operation of the emis- monitoring system will be fully operational sions unit during operating conditions when or replaced with another monitoring system, there is no correlation between monitored and whether the emissions unit monitored parameter(s) and the PAL pollutant emis- by the monitoring system continued to oper- sions is a violation of the PAL. ate, and the calculation of the emissions of (ix) Re-validation. All data used to estab- the pollutant or the number determined by lish the PAL pollutant must be re-validated method included in the permit, as provided through performance testing or other sci- by paragraph IV.K.12(vii) of this Ruling. entifically valid means approved by the re- (g) A signed statement by the responsible viewing authority. Such testing must occur official (as defined by the applicable title V at least once every 5 years after issuance of operating permit program) certifying the the PAL. truth, accuracy, and completeness of the in- 13. Recordkeeping requirements. formation provided in the report. (i) The PAL permit shall require an owner (ii) Deviation report. The major stationary or operator to retain a copy of all records source owner or operator shall promptly sub- necessary to determine compliance with any mit reports of any deviations or exceedance requirement of paragraph IV.K of this Ruling of the PAL requirements, including periods and of the PAL, including a determination of where no monitoring is available. A report each emissions unit’s 12-month rolling total submitted pursuant to § 70.6(a)(3)(iii)(B) of emissions, for 5 years from the date of such this chapter shall satisfy this reporting re- record. quirement. The deviation reports shall be

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submitted within the time limits prescribed and/or (2) reductions from neighboring by the applicable program implementing sources (external emission offsets). The § 70.6(a)(3)(iii)(B) of this chapter. The reports source does not have to investigate all pos- shall contain the following information: sible emission offsets. As long as the emis- (a) The identification of owner and oper- sion offsets obtained represent reasonable ator and the permit number; progress toward attainment, they will be ac- (b) The PAL requirement that experienced ceptable. It is the reviewing authority’s re- the deviation or that was exceeded; sponsibility to assure that the emission off- (c) Emissions resulting from the deviation sets will be as effective as proposed by the or the exceedance; and (d) A signed statement by the responsible source. An internal emission offset will be official (as defined by the applicable title V considered enforceable if it is made a SIP re- operating permit program) certifying the quirement by inclusion as a condition of the truth, accuracy, and completeness of the in- new source permit and the permit is for- formation provided in the report. warded to the appropriate EPA Regional Of- (iii) Re-validation results. The owner or fice. 7 An external emission offset will not be operator shall submit to the reviewing au- enforceable unless the affected source(s) pro- thority the results of any re-validation test viding the emission reductions is subject to or method within 3 months after completion a new SIP requirement to ensure that its of such test or method. emissions will be reduced by a specified 15. Transition requirements. amount in a specified time. Thus, if the (i) No reviewing authority may issue a source(s) providing the emission reductions PAL that does not comply with the require- does not obtain the necessary reduction, it ments in paragraphs IV.K.1 through 15 of will be in violation of a SIP requirement and this Ruling after the date that this Ruling subject to enforcement action by EPA, the becomes effective for the State in which the major stationary source is located. State and/or private parties. (ii) The reviewing authority may supersede The form of the SIP revision may be a any PAL which was established prior to the State or local regulation, operating permit date that this Ruling becomes effective for condition, consent or enforcement order, or the State in which the major stationary any other mechanism available to the State source is located with a PAL that complies that is enforceable under the Clean Air Act. with the requirements of paragraphs IV.K.1 If a SIP revision is required, the public hear- through 15 of this Ruling. ing on the revision may be substituted for L. Severability. If any provision of this Rul- the normal public comment procedure re- ing, or the application of such provision to quired for all major sources under 40 CFR any person or circumstance, is held invalid, 51.18. The formal publication of the SIP revi- the remainder of this Ruling, or the applica- sion approval in the FEDERAL REGISTER need tion of such provision to persons or cir- not appear before the source may proceed cumstances other than those as to which it with construction. To minimize uncertainty is held invalid, shall not be affected thereby. that may be caused by these procedures, V. ADMINISTRATIVE PROCEDURES EPA will, if requested by the State, propose a SIP revision for public comment in the The necessary emission offsets may be pro- FEDERAL REGISTER concurrently with the posed either by the owner of the proposed source or by the local community or the State public hearing process. Of course, any State. The emission reduction committed to major change in the final permit/SIP revi- must be enforceable by authorized State and/ sion submitted by the State may require a or local agencies and under the Clean Air reproposal by EPA. Act, and must be accomplished by the new B. State or community initiated emission off- source’s start-up date. If emission reductions sets. A State or community which desires are to be obtained in a State that neighbors that a source locate in its area may commit the State in which the new source is to be lo- to reducing emissions from existing sources cated, the emission reductions committed to (including mobile sources) to sufficiently must be enforceable by the neighboring outweigh the impact of the new source and State and/or local agencies and under the thus open the way for the new source. As Clean Air Act. Where the new facility is a re- with source-initiated emission offsets, the placement for a facility that is being shut commitment must be something more than down in order to provide the necessary off- one-for-one. This commitment must be sub- sets, the reviewing authority may allow up mitted as a SIP revision by the State. to 180 days for shakedown of the new facility before the existing facility is required to cease operation. 7 The emission offset will, therefore, be en- A. Source initiated emission offsets. A source forceable by EPA under section 113 as an ap- may propose emission offsets which involve: plicable SIP requirement and will be enforce- (1) Reductions from sources controlled by able by private parties under section 304 as the source owner (internal emission offsets); an emission limitation.

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VI. POLICY WHERE ATTAINMENT DATES HAVE 1.2 The EPA shall inform the submitting NOT PASSED official whether or not a plan submission meets the requirements of this appendix V In some cases, the dates for attainment of within 60 days of EPA’s receipt of the sub- primary standards specified in the SIP under mittal, but no later than 6 months after the section 110 have not yet passed due to a date by which the State was required to sub- delay in the promulgation of a plan under mit the plan or revision. If a completeness this section of the Act. In addition the Act determination is not made by 6 months from provides more flexibility with respect to the receipt of a submittal, the submittal shall be dates for attainment of secondary NAAQS deemed complete by operation of law on the than for primary standards. Rather than set- date 6 months from receipt. A determination ting specific deadlines, section 110 requires of completeness under this paragraph means secondary NAAQS to be achieved within a that the submission is an official submission ‘‘reasonable time’’. Therefore, in some cases, for purposes of § 51.103. the date for attainment of secondary standards specified in the SIP under section 110 2.0. CRITERIA may also not yet have passed. In such cases, a new source locating in an area designated The following shall be included in plan sub- in 40 CFR 81.300 et seq. as nonattainment (or, missions for review by EPA: where section III of this Ruling is applicable, 2.1. Administrative Materials a new source that would cause or contribute (a) A formal signed, stamped, and dated to a NAAQS violation) may be exempt from letter of submittal from the Governor or his the Conditions of section IV.A if the condi- designee, requesting EPA approval of the tions in paragraphs VI.A through C are met. plan or revision thereof (hereafter ‘‘the A. The new source meets the applicable plan’’). If electing to submit a paper submis- SIP emission limitations. sion with a copy in electronic version, the B. The new source will not interfere with submittal letter must verify that the elec- the attainment date specified in the SIP tronic copy provided is an exact duplicate of under section 110 of the Act. the paper submission. C. The Administrator has determined that (b) Evidence that the State has adopted conditions A and B of this section are satis- the plan in the State code or body of regula- fied and such determination is published in tions; or issued the permit, order, consent agreement (hereafter ‘‘document’’) in final the FEDERAL REGISTER. form. That evidence shall include the date of VII. [RESERVED] adoption or final issuance as well as the effective date of the plan, if different from the [44 FR 3282, Jan. 16, 1979] adoption/issuance date. (c) Evidence that the State has the nec- EDITORIAL NOTE: For FEDERAL REGISTER ci- essary legal authority under State law to tations affecting appendix S to part 51, see adopt and implement the plan. the List of CFR Sections Affected, which ap- (d) A copy of the actual regulation, or doc- pears in the Finding Aids section of the ument submitted for approval and incorpora- printed volume and at www.govinfo.gov. tion by reference into the plan, including in- EFFECTIVE DATE NOTE: At 76 FR 17554, Mar. dication of the changes made (such as red- 30, 2011, part 51, appendix S, paragraph II.A.5 line/strikethrough) to the existing approved (vii) is stayed indefinitely. plan, where applicable. The submission shall include a copy of the official State regula- APPENDIXES T–U TO PART 51 tion/document, signed, stamped, and dated [RESERVED] by the appropriate State official indicating that it is fully enforceable by the State. The APPENDIX V TO PART 51—CRITERIA FOR effective date of any regulation/document contained in the submission shall, whenever DETERMINING THE COMPLETENESS OF possible, be indicated in the regulation/docu- PLAN SUBMISSIONS ment itself; otherwise the State should include a letter signed, stamped, and dated by 1.0. PURPOSE the appropriate State official indicating the This appendix V sets forth the minimum effective date. If the regulation/document criteria for determining whether a State im- provided by the State for approval and incor- plementation plan submitted for consider- poration by reference into the plan is a copy ation by EPA is an official submission for of an existing publication, the State submis- purposes of review under § 51.103. sion should, whenever possible, include a 1.1 The EPA shall return to the submitting copy of the publication cover page and table official any plan or revision thereof which of contents. fails to meet the criteria set forth in this ap- (e) Evidence that the State followed all of pendix V, and request corrective action, the procedural requirements of the State’s identifying the component(s) absent or insuf- laws and constitution in conducting and ficient to perform a review of the submitted completing the adoption/issuance of the plan. plan.

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(f) Evidence that public notice was given of 2.3.1. The EPA, for the purposes of expe- the proposed change consistent with proce- diting the review of the plan, has adopted a dures approved by EPA, including the date of procedure referred to as ‘‘parallel proc- publication of such notice. essing.’’ Parallel processing allows a State to (g) Certification that public hearing(s) submit the plan prior to actual adoption by were held in accordance with the informa- the State and provides an opportunity for tion provided in the public notice and the the State to consider EPA comments prior State’s laws and constitution, if applicable to submission of a final plan for final review and consistent with the public hearing re- and action. Under these circumstances, the quirements in 40 CFR 51.102. plan submitted will not be able to meet all of (h) Compilation of public comments and the requirements of paragraph 2.1 (all re- the State’s response thereto. quirements of paragraph 2.2 will apply). As a 2.2. Technical Support result, the following exceptions apply to (a) Identification of all regulated pollut- plans submitted explicitly for parallel proc- ants affected by the plan. (b) Identification of the locations of af- essing: fected sources including the EPA attain- (a) The letter required by paragraph 2.1(a) ment/nonattainment designation of the loca- shall request that EPA propose approval of tions and the status of the attainment plan the proposed plan by parallel processing. for the affected areas(s). (b) In lieu of paragraph 2.1(b) the State (c) Quantification of the changes in plan shall submit a schedule for final adoption or allowable emissions from the affected issuance of the plan. sources; estimates of changes in current ac- (c) In lieu of paragraph 2.1(d) the plan shall tual emissions from affected sources or, include a copy of the proposed/draft regula- where appropriate, quantification of changes tion or document, including indication of the in actual emissions from affected sources proposed changes to be made to the existing through calculations of the differences be- approved plan, where applicable. tween certain baseline levels and allowable (d) The requirements of paragraphs 2.1(e)– emissions anticipated as a result of the revi- 2.1(h) shall not apply to plans submitted for sion. parallel processing. (d) The State’s demonstration that the na- 2.3.2. The exceptions granted in paragraph tional ambient air quality standards, preven- 2.3.1 shall apply only to EPA’s determination tion of significant deterioration increments, of proposed action and all requirements of reasonable further progress demonstration, paragraph 2.1 shall be met prior to publica- and visibility, as applicable, are protected if tion of EPA’s final determination of plan ap- the plan is approved and implemented. For all requests to redesignate an area to attain- provability. ment for a national primary ambient air 3.0. GUIDELINES quality standard, under section 107 of the Act, a revision must be submitted to provide The EPA requests that the State adhere to for the maintenance of the national primary the following voluntary guidelines when ambient air quality standards for at least 10 making plan submissions. years as required by section 175A of the Act. (e) Modeling information required to sup- 3.1 All Submissions port the proposed revision, including input (a) The State should identify any copy- data, output data, models used, justification righted material in its submission, as EPA of model selections, ambient monitoring does not place such material on the web data used, meteorological data used, jus- when creating the E-Docket for loading into tification for use of offsite data (where used), modes of models used, assumptions, and the Federal Document Management System other information relevant to the determina- (FDMS). tion of adequacy of the modeling analysis. (b) The State is advised not to include any (f) Evidence, where necessary, that emis- material considered Confidential Business sion limitations are based on continuous Information (CBI) in their SIP submissions. emission reduction technology. In rare instances where such information is (g) Evidence that the plan contains emis- necessary to justify the control require- sion limitations, work practice standards ments and emissions limitations established and recordkeeping/reporting requirements, in the plan, the State should confer with its where necessary, to ensure emission levels. Regional Offices prior to submission and (h) Compliance/enforcement strategies, in- must clearly identify such material as CBI in cluding how compliance will be determined the submission itself. EPA does not place in practice. such material in any paper or web-based (i) Special economic and technological jus- docket. However, where any such material is tifications required by any applicable EPA considered emissions data within the mean- policies, or an explanation of why such jus- ing of Section 114 of the CAA, it cannot be tifications are not necessary. withheld as CBI and must be made publicly 2.3. Exceptions available.

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3.2 Paper Plan Submissions able by the EPA, have been considered for recognition in the Guideline. The third activ- (a) The EPA requires that the submission ity is the extensive on-going research efforts option of submitting one paper plan must be by the EPA and others in air quality and me- accompanied by an electronic duplicate of teorological modeling. the entire paper submission, preferably as a c. Based primarily on these three activi- word searchable portable document format ties, new sections and topics have been in- (PDF), at the same time the paper copy is cluded as needed. The EPA does not make submitted. The electronic duplicate should changes to the guidance on a predetermined be made available through email, from a File schedule, but rather on an as-needed basis. Transfer Protocol (FTP) site, from the State The EPA believes that revisions of the Guide- Web site, on a Universal Serial Bus (USB) line should be timely and responsive to user flash drive, on a compact disk, or using an- needs and should involve public participa- other format agreed upon by the State and tion to the greatest possible extent. All fu- Regional Office. ture changes to the guidance will be pro- (b) If a state prefers the submission option posed and finalized in the FEDERAL REG- of submitting three paper copies and has no ISTER. Information on the current status of means of making an electronic copy avail- modeling guidance can always be obtained able to EPA, EPA requests that the state from the EPA’s Regional Offices. confer with its EPA Regional Office regarding additional guidelines for submitting the TABLE OF CONTENTS plan to EPA. LIST OF TABLES [55 FR 5830, Feb. 16, 1990, as amended at 56 FR 42219, Aug. 26, 1991; 56 FR 57288, Nov. 8, 1.0 Introduction 1991; 72 FR 38793, July 16, 2007; 80 FR 7340, 2.0 Overview of Model Use Feb. 10, 2015] 2.1 Suitability of Models 2.1.1 Model Accuracy and Uncertainty APPENDIX W TO PART 51—GUIDELINE ON 2.2 Levels of Sophistication of Air Quality AIR QUALITY MODELS Analyses and Models 2.3 Availability of Models PREFACE 3.0 Preferred and Alternative Air Quality a. Industry and control agencies have long Models expressed a need for consistency in the appli- 3.1 Preferred Models cation of air quality models for regulatory 3.1.1 Discussion purposes. In the 1977 Clean Air Act (CAA), 3.1.2 Requirements Congress mandated such consistency and en- 3.2 Alternative Models couraged the standardization of model appli- 3.2.1 Discussion cations. The Guideline on Air Quality Models 3.2.2 Requirements (hereafter, Guideline) was first published in 3.3 EPA’s Model Clearinghouse April 1978 to satisfy these requirements by 4.0 Models for Carbon Monoxide, Lead, Sul- specifying models and providing guidance for fur Dioxide, Nitrogen Dioxide and Pri- their use. The Guideline provides a common mary Particulate Matter basis for estimating the air quality con- 4.1 Discussion centrations of criteria pollutants used in as- 4.2 Requirements sessing control strategies and developing 4.2.1 Screening Models and Techniques emissions limits. 4.2.1.1 AERSCREEN b. The continuing development of new air 4.2.1.2 CTSCREEN quality models in response to regulatory re- 4.2.1.3 Screening in Complex Terrain quirements and the expanded requirements 4.2.2 Refined Models for models to cover even more complex prob- 4.2.2.1 AERMOD lems have emphasized the need for periodic 4.2.2.2 CTDMPLUS review and update of guidance on these tech- 4.2.2.3 OCD niques. Historically, three primary activities 4.2.3 Pollutant Specific Modeling Require- have provided direct input to revisions of the ments Guideline. The first is a series of periodic 4.2.3.1 Models for Carbon Monoxide EPA workshops and modeling conferences 4.2.3.2 Models for Lead conducted for the purpose of ensuring con- 4.2.3.3 Models for Sulfur Dioxide sistency and providing clarification in the 4.2.3.4 Models for Nitrogen Dioxide application of models. The second activity 4.2.3.5 Models for PM2.5 was the solicitation and review of new mod- 4.2.3.6 Models for PM10 els from the technical and user community. 5.0 Models for Ozone and Secondarily In the March 27, 1980, FEDERAL REGISTER, a Formed Particulate Matter procedure was outlined for the submittal to 5.1 Discussion the EPA of privately developed models. After 5.2 Recommendations extensive evaluation and scientific review, 5.3 Recommended Models and Approaches these models, as well as those made avail- for Ozone

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5.3.1 Models for NAAQS Attainment Dem- 9.1 Discussion onstrations and Multi-Source Air Qual- 9.2 Recommendations ity Assessments 9.2.1 Modeling Protocol 5.3.2 Models for Single-Source Air Quality 9.2.2 Design Concentration and Receptor Assessments Sites 5.4 Recommended Models and Approaches 9.2.3 NAAQS and PSD Increments Compli- for Secondarily Formed PM2.5 ance Demonstrations for New or Modified 5.4.1 Models for NAAQS Attainment Dem- Sources onstrations and Multi-Source Air Qual- 9.2.3.1 Considerations in Developing Emis- ity Assessments sions Limits 5.4.2 Models for Single-Source Air Quality 9.2.4 Use of Measured Data in Lieu of Assessments Model Estimates 6.0 Modeling for Air Quality Related Values 10.0 References and Other Governmental Programs 6.1 Discussion Appendix A to Appendix W of Part 51— 6.2 Air Quality Related Values Summaries of Preferred Air Quality Models 6.2.1 Visibility LIST OF TABLES 6.2.1.1 Models for Estimating Near-Field Visibility Impairment Table No. Title 6.2.1.2 Models for Estimating Visibility Impairment for Long-Range Transport 8–1 ...... Point Source Model Emission Inputs for SIP 6.2.2 Models for Estimating Deposition Revisions of Inert Pollutants. 8–2 ...... Point Source Model Emission Inputs for Impacts NAAQS Compliance in PSD Demonstra- 6.3 Modeling Guidance for Other Govern- tions. mental Programs 7.0 General Modeling Considerations 1.0 INTRODUCTION 7.1 Discussion 7.2 Recommendations a. The Guideline provides air quality mod- 7.2.1 All sources eling techniques that should be applied to 7.2.1.1 Dispersion Coefficients State Implementation Plan (SIP) submittals 7.2.1.2 Complex Winds and revisions, to New Source Review (NSR), 7.2.1.3 Gravitational Settling and Deposi- including new or modifying sources under tion Prevention of Significant Deterioration 7.2.2 Stationary Sources (PSD),123 conformity analyses,4 and other 7.2.2.1 Good Engineering Practice Stack air quality assessments required under EPA Height regulation. Applicable only to criteria air 7.2.2.2 Plume Rise pollutants, the Guideline is intended for use 7.2.3 Mobile Sources by the EPA Regional Offices in judging the 8.0 Model Input Data adequacy of modeling analyses performed by 8.1 Modeling Domain the EPA, by state, local, and tribal permit- 8.1.1 Discussion ting authorities, and by industry. It is appro- 8.1.2 Requirements priate for use by other federal government 8.2 Source Data agencies and by state, local, and tribal agen- 8.2.1 Discussion cies with air quality and land management 8.2.2 Requirements responsibilities. The Guideline serves to iden- 8.3 Background Concentrations tify, for all interested parties, those mod- 8.3.1 Discussion eling techniques and databases that the EPA 8.3.2 Recommendations for Isolated Sin- considers acceptable. The Guideline is not in- gle Sources tended to be a compendium of modeling 8.3.3 Recommendations for Multi-Source techniques. Rather, it should serve as a com- Areas mon measure of acceptable technical anal- 8.4 Meteorological Input Data ysis when supported by sound scientific judg- 8.4.1 Discussion ment. 8.4.2 Recommendations and Requirements b. Air quality measurements 5 are rou- 8.4.3 National Weather Service Data tinely used to characterize ambient con- 8.4.3.1 Discussion centrations of criteria pollutants throughout 8.4.3.2 Recommendations the nation but are rarely sufficient for char- 8.4.4 Site-specific data acterizing the ambient impacts of individual 8.4.4.1 Discussion sources or demonstrating adequacy of emis- 8.4.4.2 Recommendations sions limits for an existing source due to 8.4.5 Prognostic meteorological data limitations in spatial and temporal coverage 8.4.5.1 Discussion of ambient monitoring networks. The im- 8.4.5.2 Recommendations pacts of new sources that do not yet exist, 8.4.6 Treatment of Near-Calms and Calms and modifications to existing sources that 8.4.6.1 Discussion have yet to be implemented, can only be de- 8.4.6.2 Recommendations termined through modeling. Thus, models 9.0 Regulatory Application of Models have become a primary analytical tool in

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most air quality assessments. Air quality cases, the model or technique applied to a measurements can be used in a complemen- given situation should be the one that pro- tary manner to air quality models, with due vides the most accurate representation of at- regard for the strengths and weaknesses of mospheric transport, dispersion, and chem- both analysis techniques, and are particu- ical transformations in the area of interest. larly useful in assessing the accuracy of However, to ensure consistency, deviations model estimates. from the Guideline should be carefully docu- c. It would be advantageous to categorize mented as part of the public record and fully the various regulatory programs and to supported by the appropriate reviewing au- apply a designated model to each proposed thority, as discussed later. source needing analysis under a given pro- f. From time to time, situations arise re- gram. However, the diversity of the nation’s quiring clarification of the intent of the topography and climate, and variations in guidance on a specific topic. Periodic work- source configurations and operating charac- shops are held with EPA headquarters, EPA teristics dictate against a strict modeling Regional Offices, and state, local, and tribal ‘‘cookbook.’’ There is no one model capable agency modeling representatives to ensure of properly addressing all conceivable situa- consistency in modeling guidance and to pro- tions even within a broad category such as mote the use of more accurate air quality point sources. Meteorological phenomena as- models, techniques, and databases. The sociated with threats to air quality stand- workshops serve to provide further expla- ards are rarely amenable to a single mathe- nations of Guideline requirements to the EPA matical treatment; thus, case-by-case anal- Regional Offices and workshop materials are ysis and judgment are frequently required. issued with this clarifying information. In As modeling efforts become more complex, it addition, findings from ongoing research pro- is increasingly important that they be di- grams, new model development, or results rected by highly competent individuals with from model evaluations and applications are a broad range of experience and knowledge in continuously evaluated. Based on this infor- air quality meteorology. Further, they mation, changes in the applicable guidance should be coordinated closely with special- may be indicated and appropriate revisions ists in emissions characteristics, air moni- to the Guideline may be considered. toring and data processing. The judgment of g. All changes to the Guideline must follow experienced meteorologists, atmospheric sci- rulemaking requirements since the Guideline entists, and analysts is essential. is codified in appendix W to 40 Code of Fed- d. The model that most accurately esti- eral Regulations (CFR) part 51. The EPA will mates concentrations in the area of interest promulgate proposed and final rules in the is always sought. However, it is clear from FEDERAL REGISTER to amend this appendix. the needs expressed by the EPA Regional Of- The EPA utilizes the existing procedures fices, by state, local, and tribal agencies, by under CAA section 320 that requires the EPA many industries and trade associations, and to conduct a Conference on Air Quality Mod- also by the deliberations of Congress, that eling at least every 3 years (CAA 320, 42 consistency in the selection and application U.S.C. 7620). These modeling conferences are of models and databases should also be intended to develop standardized air quality sought, even in case-by-case analyses. Con- modeling procedures and form the basis for sistency ensures that air quality control associated revisions to this Guideline in sup- agencies and the general public have a com- port of the EPA’s continuing effort to pre- mon basis for estimating pollutant con- scribe with ‘‘reasonable particularity’’ air centrations, assessing control strategies, and quality models and meteorological and emis- specifying emissions limits. Such consist- sion databases suitable for modeling Na- ency is not, however, promoted at the ex- tional Ambient Air Quality Standards pense of model and database accuracy. The (NAAQS) 6 and PSD increments. Ample op- Guideline provides a consistent basis for se- portunity for public comment will be pro- lection of the most accurate models and vided for each proposed change and public databases for use in air quality assessments. hearings scheduled. e. Recommendations are made in the h. A wide range of topics on modeling and Guideline concerning air quality models and databases are discussed in the Guideline. Sec- techniques, model evaluation procedures, tion 2 gives an overview of models and their and model input databases and related re- suitability for use in regulatory applica- quirements. The guidance provided here tions. Section 3 provides specific guidance on should be followed in air quality analyses the determination of preferred air quality relative to SIPs, NSR, and in supporting models and on the selection of alternative analyses required by the EPA and by state, models or techniques. Sections 4 through 6 local, and tribal permitting authorities. Spe- provide recommendations on modeling tech- cific models are identified for particular ap- niques for assessing criteria pollutant im- plications. The EPA may approve the use of pacts from single and multiple sources with an alternative model or technique that can specific modeling requirements for selected be demonstrated to be more appropriate than regulatory applications. Section 7 discusses those recommended in the Guideline. In all general considerations common to many

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modeling analyses for stationary and mobile require site-specific observations and formu- sources. Section 8 makes recommendations lations. Such complexities and the related for data inputs to models including source, challenges for the air quality simulation background air quality, and meteorological should be considered when selecting the data. Section 9 summarizes how estimates most appropriate air quality model for an and measurements of air quality are used in application. assessing source impact and in evaluating c. Appropriate model input data should be control strategies. available before an attempt is made to i. Appendix W to 40 CFR part 51 contains evaluate or apply an air quality model. As- an appendix: Appendix A. Thus, when ref- suming the data are adequate, the greater erence is made to ‘‘appendix A’’ in this docu- the detail with which a model considers the ment, it refers to appendix A to appendix W spatial and temporal variations in meteoro- to 40 CFR part 51. Appendix A contains sum- logical conditions and permit-enforceable maries of refined air quality models that are emissions, the greater the ability to evaluate ‘‘preferred’’ for particular applications; both the source impact and to distinguish the ef- EPA models and models developed by others fects of various control strategies. are included. d. There are three types of models that have historically been used in the regulatory 2.0 OVERVIEW OF MODEL USE demonstrations applicable in the Guideline, a. Increasing reliance has been placed on each having strengths and weaknesses that concentration estimates from air quality lend themselves to particular regulatory ap- models as the primary basis for regulatory plications. decisions concerning source permits and i. Gaussian plume models use a ‘‘steady- emission control requirements. In many sit- state’’ approximation, which assumes that uations, such as review of a proposed new over the model time step, the emissions, me- source, no practical alternative exists. Be- teorology and other model inputs, are con- fore attempting to implement the guidance stant throughout the model domain, result- contained in this document, the reader ing in a resolved plume with the emissions should be aware of certain general informa- distributed throughout the plume according tion concerning air quality models and their to a Gaussian distribution. This formulation evaluation and use. Such information is pro- allows Gaussian models to estimate near- vided in this section. field impacts of a limited number of sources at a relatively high resolution, with tem- 2.1 Suitability of Models poral scales of an hour and spatial scales of a. The extent to which a specific air qual- meters. However, this formulation allows for ity model is suitable for the assessment of only relatively inert pollutants, with very source impacts depends upon several factors. limited considerations of transformation and These include: (1) The topographic and mete- removal (e.g., deposition), and further limits orological complexities of the area; (2) the the domain for which the model may be used. detail and accuracy of the input databases, Thus, Gaussian models may not be appro- i.e., emissions inventory, meteorological priate if model inputs are changing sharply data, and air quality data; (3) the manner in over the model time step or within the de- which complexities of atmospheric processes sired model domain, or if more advanced are handled in the model; (4) the technical considerations of chemistry are needed. competence of those undertaking such sim- ii. Lagrangian puff models, on the other ulation modeling; and (5) the resources avail- hand, are non-steady-state, and assume that able to apply the model. Any of these factors model input conditions are changing over can have a significant influence on the over- the model domain and model time step. all model performance, which must be thor- Lagrangian models can also be used to deter- oughly evaluated to determine the suit- mine near- and far-field impacts from a lim- ability of an air quality model to a par- ited number of sources. Traditionally, ticular application or range of applications. Lagrangian models have been used for rel- b. Air quality models are most accurate atively inert pollutants, with slightly more and reliable in areas that have gradual tran- complex considerations of removal than sitions of land use and topography. Meteoro- Gaussian models. Some Lagrangian models logical conditions in these areas are spa- treat in-plume gas and particulate chem- tially uniform such that observations are istry. However, these models require time broadly representative and air quality model and space varying concentration fields of projections are not further complicated by a oxidants and, in the case of fine particulate heterogeneous environment. Areas subject to matter (PM2.5), neutralizing agents, such as major topographic influences experience me- ammonia. Reliable background fields are teorological complexities that are often dif- critical for applications involving secondary ficult to measure and simulate. Models with pollutant formation because secondary im- adequate performance are available for in- pacts generally occur when in-plume precur- creasingly complex environments. However, sors mix and react with species in the back- they are resource intensive and frequently ground atmosphere.z7 8 These oxidant and

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neutralizing agents are not routinely meas- mally determined by an evaluation proce- ured, but can be generated with a three-di- dure which involves the comparison of model mensional photochemical grid model. concentration estimates with measured air iii. Photochemical grid models are three- quality data.17 The statement of model accu- dimensional Eulerian grid-based models that racy is based on statistical tests or perform- treat chemical and physical processes in ance measures such as bias, error, correla- each grid cell and use diffusion and transport tion, etc.18 19 processes to move chemical species between c. Since the 1980’s, the EPA has worked grid cells.9 Eulerian models assume that with the modeling community to encourage emissions are spread evenly throughout each development of standardized model evalua- model grid cell. At coarse grid resolutions, tion methods and the development of contin- Eulerian models have difficulty with fine ually improved methods for the character- scale resolution of individual plumes. How- ization of model performance.16 18 20 21 22 ever, these types of models can be appro- There is general consensus on what should be priately applied for assessment of near-field considered in the evaluation of air quality and regional scale reactive pollutant im- models; namely, quality assurance planning, pacts from specific sources 7101112 or all documentation and scrutiny should be con- 13 14 15 sources. Photochemical grid models sistent with the intended use and should in- simulate a more realistic environment for clude: chemical transformation,712 but simulations • Scientific peer review; can be more resource intensive than • Lagrangian or Gaussian plume models. Supportive analyses (diagnostic evalua- e. Competent and experienced meteorolo- tions, code verification, sensitivity anal- gists, atmospheric scientists, and analysts yses); are an essential prerequisite to the success- • Diagnostic and performance evaluations ful application of air quality models. The with data obtained in trial locations; and need for such specialists is critical when so- • Statistical performance evaluations in phisticated models are used or the area has the circumstances of the intended applica- complicated meteorological or topographic tions. features. It is important to note that a Performance evaluations and diagnostic model applied improperly or with inappro- evaluations assess different qualities of how priate data can lead to serious misjudgments well a model is performing, and both are regarding the source impact or the effective- needed to establish credibility within the cli- ness of a control strategy. ent and scientific community. f. The resource demands generated by use d. Performance evaluations allow the EPA of air quality models vary widely depending and model users to determine the relative on the specific application. The resources re- performance of a model in comparison with quired may be important factors in the selec- alternative modeling systems. Diagnostic tion and use of a model or technique for a evaluations allow determination of a model specific analysis. These resources depend on capability to simulate individual processes the nature of the model and its complexity, that affect the results, and usually employ the detail of the databases, the difficulty of smaller spatial/temporal scale data sets (e.g., the application, the amount and level of ex- field studies). Diagnostic evaluations enable pertise required, and the costs of manpower the EPA and model users to build confidence and computational facilities. that model predictions are accurate for the 2.1.1 Model Accuracy and Uncertainty right reasons. However, the objective comparison of modeled concentrations with ob- a. The formulation and application of air served field data provides only a partial quality models are accompanied by several means for assessing model performance. Due sources of uncertainty. ‘‘Irreducible’’ uncer- to the limited supply of evaluation datasets, tainty stems from the ‘‘unknown’’ condi- there are practical limits in assessing model tions, which may not be explicitly accounted performance. For this reason, the conclu- for in the model (e.g., the turbulent velocity sions reached in the science peer reviews and field). Thus, there are likely to be deviations the supportive analyses have particular rel- from the observed concentrations in indi- evance in deciding whether a model will be vidual events due to variations in the un- useful for its intended purposes. known conditions. ‘‘Reducible’’ uncertainties 16 are caused by: (1) Uncertainties in the 2.2 Levels of Sophistication of Air Quality ‘‘known’’ input conditions (e.g., emission Analyses and Models characteristics and meteorological data); (2) errors in the measured concentrations; and a. It is desirable to begin an air quality (3) inadequate model physics and formula- analysis by using simplified and conserv- tion. ative methods followed, as appropriate, by b. Evaluations of model accuracy should more complex and refined methods. The pur- focus on the reducible uncertainty associ- pose of this approach is to streamline the ated with physics and the formulation of the process and sufficiently address regulatory model. The accuracy of the model is nor- requirements by eliminating the need of

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more detailed modeling when it is not nec- running a complex, numerical air quality essary in a specific regulatory application. model such as a photochemical grid model. For example, in the context of a PSD permit In such situations, an attempt should be application, a simplified and conservative made to acquire or improve the necessary analysis may be sufficient where it shows databases and to develop appropriate analyt- the proposed construction clearly will not ical techniques, but the screening technique cause or contribute to ambient concentra- or reduced-form model may be sufficient in tions in excess of either the NAAQS or the conducting regulatory modeling applications PSD increments.23 when applied in consultation with the EPA b. There are two general levels of sophis- Regional Office. tication of air quality models. The first level e. Consistent with the general principle de- consists of screening models that provide scribed in paragraph 2.2(a), the EPA may es- conservative modeled estimates of the air tablish a demonstration tool or method as a quality impact of a specific source or source sufficient means for a user or applicant to category based on simplified assumptions of make a demonstration required by regula- the model inputs (e.g., preset, worst-case me- tion, either by itself or as part of a modeling teorological conditions). In the case of a PSD demonstration. To be used for such regu- assessment, if a screening model indicates latory purposes, such a tool or method must that the increase in concentration attrib- be reflected in a codified regulation or have utable to the source could cause or con- a well-documented technical basis and rea- tribute to a violation of any NAAQS or PSD soning that is contained or incorporated in increment, then the second level of more so- the record of the regulatory decision in phisticated models should be applied unless which it is applied. appropriate controls or operational restrictions are implemented based on the screen- 2.3 Availability of Models ing modeling. a. For most of the screening and refined c. The second level consists of refined mod- models discussed in the Guideline, codes, as- els that provide more detailed treatment of sociated documentation and other useful in- physical and chemical atmospheric proc- formation are publicly available for esses, require more detailed and precise download from the EPA’s Support Center for input data, and provide spatially and tem- Regulatory Atmospheric Modeling (SCRAM) porally resolved concentration estimates. As Web site at https://www.epa.gov/scram. This is a result, they provide a more sophisticated a Web site with which air quality modelers and, at least theoretically, a more accurate should become familiar and regularly visit estimate of source impact and the effective- for important model updates and additional ness of control strategies. clarifications and revisions to modeling d. There are situations where a screening guidance documents that are applicable to model or a refined model is not available EPA programs and regulations. Codes and such that screening and refined modeling are documentation may also be available from not viable options to determine source-spe- the National Technical Information Service cific air quality impacts. In such situations, (NTIS), http://www.ntis.gov, and, when avail- a screening technique or reduced-form model able, is referenced with the appropriate NTIS may be viable options for estimating source accession number. impacts. i. Screening techniques are differentiated 3.0 PREFERRED AND ALTERNATIVE AIR from a screening model in that screening QUALITY MODELS techniques are approaches that make sim- a. This section specifies the approach to be plified and conservative assumptions about taken in determining preferred models for the physical and chemical atmospheric proc- use in regulatory air quality programs. The esses important to determining source im- status of models developed by the EPA, as pacts, while screening models make assump- well as those submitted to the EPA for re- tions about conservative inputs to a specific view and possible inclusion in this Guideline, model. The complexity of screening tech- is discussed in this section. The section also niques ranges from simplified assumptions of provides the criteria and process for obtain- chemistry applied to refined or screening ing EPA approval for use of alternative mod- model output to sophisticated approxima- els for individual cases in situations where tions of the chemistry applied within a re- the preferred models are not applicable or fined model. available. Additional sources of relevant ii. Reduced-form models are modeling information are: the EPA’s Model computationally efficient simulation tools Clearinghouse 23 (section 3.3); EPA modeling for characterizing the pollutant response to conferences; periodic Regional, State, and specific types of emission reductions for a Local Modelers’ Workshops; and the EPA’s particular geographic area or background en- SCRAM Web site (section 2.3). vironmental conditions that reflect under- b. When approval is required for a specific lying atmospheric science of a refined model modeling technique or analytical procedure but reduce the computational resources of in this Guideline, we refer to the ‘‘appropriate

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reviewing authority.’’ Many states and some scientific reviews 24 25 and model performance local agencies administer NSR permitting evaluation exercises 26 27 that include statis- under programs approved into SIPs. In some tical measures of model performance in com- EPA regions, federal authority to administer parison with measured air quality data as NSR permitting and related activities has described in section 2.1.1. been delegated to state or local agencies. In b. An American Society for Testing and these cases, such agencies ‘‘stand in the Materials (ASTM) reference 28 provides a gen- shoes’’ of the respective EPA Region. There- eral philosophy for developing and imple- fore, depending on the circumstances, the ap- menting advanced statistical evaluations of propriate reviewing authority may be an atmospheric dispersion models, and provides EPA Regional Office, a state, local, or tribal an example statistical technique to illus- agency, or perhaps the Federal Land Man- trate the application of this philosophy. Con- ager (FLM). In some cases, the Guideline re- sistent with this approach, the EPA has de- quires review and approval of the use of an termined and applied a specific evaluation alternative model by the EPA Regional Of- protocol that provides a statistical tech- fice (sometimes stated as ‘‘Regional Adminis- nique for evaluating model performance for trator’’). For all approvals of alternative predicting peak concentration values, as models or techniques, the EPA Regional Of- might be observed at individual monitoring fice will coordinate and shall seek concur- locations.29 rence with the EPA’s Model Clearinghouse. c. When a single model is found to perform If there is any question as to the appropriate better than others, it is recommended for ap- reviewing authority, you should contact the plication as a preferred model and listed in EPA Regional Office modeling contact appendix A. If no one model is found to clear- (https://www3.epa.gov/ttn/scram/ ly perform better through the evaluation ex- guidancelcontlregions.htm), whose jurisdic- ercise, then the preferred model listed in ap- tion generally includes the physical location pendix A may be selected on the basis of of the source in question and its expected other factors such as past use, public famili- impacts. arity, resource requirements, and avail- c. In all regulatory analyses, early discus- ability. Accordingly, the models listed in ap- sions among the EPA Regional Office staff, pendix A meet these conditions: state, local, and tribal agency staff, industry i. The model must be written in a common representatives, and where appropriate, the programming language, and the execut- FLM, are invaluable and are strongly enable(s) must run on a common computer couraged. Prior to the actual analyses, platform. agreement on the databases to be used, mod- ii. The model must be documented in a eling techniques to be applied, and the over- user’s guide or model formulation report all technical approach helps avoid misunder- which identifies the mathematics of the standings concerning the final results and model, data requirements and program oper- may reduce the later need for additional ating characteristics at a level of detail com- analyses. The preparation of a written mod- parable to that available for other rec- eling protocol that is vetted with the appro- ommended models in appendix A. priate reviewing authority helps to keep iii. The model must be accompanied by a misunderstandings and resource expendi- complete test dataset including input pa- tures at a minimum. rameters and output results. The test data d. The identification of preferred models in must be packaged with the model in com- this Guideline should not be construed as a puter-readable form. determination that the preferred models iv. The model must be useful to typical identified here are to be permanently used to users, e.g., state air agencies, for specific air the exclusion of all others or that they are quality control problems. Such users should the only models available for relating emis- be able to operate the computer program(s) sions to air quality. The model that most ac- from available documentation. curately estimates concentrations in the v. The model documentation must include area of interest is always sought. However, a robust comparison with air quality data designation of specific preferred models is (and/or tracer measurements) or with other needed to promote consistency in model se- well-established analytical techniques. lection and application. vi. The developer must be willing to make the model and source code available to users 3.1 Preferred Models at reasonable cost or make them available for public access through the Internet or Na- 3.1.1 Discussion tional Technical Information Service. The a. The EPA has developed some models model and its code cannot be proprietary. suitable for regulatory application, while d. The EPA’s process of establishing a pre- other models have been submitted by private ferred model includes a determination of developers for possible inclusion in the technical merit, in accordance with the Guideline. Refined models that are preferred above six items, including the practicality of and required by the EPA for particular appli- the model for use in ongoing regulatory pro- cations have undergone the necessary peer grams. Each model will also be subjected to

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a performance evaluation for an appropriate gram. The initial tier or tiers may involve database and to a peer scientific review. use of demonstration tools, screening mod- Models for wide use (not just an isolated els, screening techniques, or reduced-form case) that are found to perform better will be models; while the last tier may involve the proposed for inclusion as preferred models in use of demonstration tools, refined models or future Guideline revisions. techniques, or alternative models approved e. No further evaluation of a preferred under section 3.2. model is required for a particular application if the EPA requirements for regulatory use 3.2 Alternative Models specified for the model in the Guideline are followed. Alternative models to those listed 3.2.1 Discussion in appendix A should generally be compared a. Selection of the best model or tech- with measured air quality data when they niques for each individual air quality anal- are used for regulatory applications con- ysis is always encouraged, but the selection sistent with recommendations in section 3.2. should be done in a consistent manner. A simple listing of models in this Guideline 3.1.2 REQUIREMENTS cannot alone achieve that consistency nor a. Appendix A identifies refined models can it necessarily provide the best model for that are preferred for use in regulatory ap- all possible situations. As discussed in sec- plications. If a model is required for a par- tion 3.1.1, the EPA has determined and ap- ticular application, the user must select a plied a specific evaluation protocol that pro- model from appendix A or follow procedures vides a statistical technique for evaluating in section 3.2.2 for use of an alternative model performance for predicting peak con- model or technique. Preferred models may be centration values, as might be observed at used without a formal demonstration of ap- individual monitoring locations.29 This pro- plicability as long as they are used as indi- tocol is available to assist in developing a cated in each model summary in appendix A. consistent approach when justifying the use Further recommendations for the applica- of other-than-preferred models recommended tion of preferred models to specific source in the Guideline (i.e., alternative models). applications are found in subsequent sections The procedures in this protocol provide a of the Guideline. general framework for objective decision- b. If changes are made to a preferred model making on the acceptability of an alter- without affecting the modeled concentra- native model for a given regulatory applications, the preferred status of the model is tion. These objective procedures may be used unchanged. Examples of modifications that for conducting both the technical evaluation do not affect concentrations are those made of the model and the field test or perform- to enable use of a different computer plat- ance evaluation. form or those that only affect the format or b. This subsection discusses the use of al- averaging time of the model results. The in- ternate models and defines three situations tegration of a graphical user interface (GUI) when alternative models may be used. This to facilitate setting up the model inputs and/ subsection also provides a procedure for im- or analyzing the model results without oth- plementing 40 CFR 51.166(l)(2) in PSD permit- erwise altering the preferred model code is ting. This provision requires written ap- another example of a modification that does proval of the Administrator for any modi- not affect concentrations. However, when fication or substitution of an applicable any changes are made, the Regional Admin- model. An applicable model for purposes of istrator must require a test case example to 40 CFR 51.166(l) is a preferred model in ap- demonstrate that the modeled concentra- pendix A to the Guideline. Approval to use an tions are not affected. alternative model under section 3.2 of the c. A preferred model must be operated with Guideline qualifies as approval for the modi- the options listed in appendix A for its in- fication or substitution of a model under 40 tended regulatory application. If the regu- CFR 51.166(l)(2). The Regional Administra- latory options are not applied, the model is no longer ‘‘preferred.’’ Any other modifica- tors have delegated authority to issue such tion to a preferred model that would result approvals under section 3.2 of the Guideline, in a change in the concentration estimates provided that such approval is issued after likewise alters its status so that it is no consultation with the EPA’s Model Clearing- longer a preferred model. Use of the modified house and formally documented in a concur- model must then be justified as an alter- rence memorandum from the EPA’s Model native model on a case-by-case basis to the Clearinghouse which demonstrates that the appropriate reviewing authority and ap- requirements within section 3.2 for use of an proved by the Regional Administrator. alternative model have been met. d. Where the EPA has not identified a pre- 3.2.2 Requirements ferred model for a particular pollutant or situation, the EPA may establish a multi- a. Determination of acceptability of an al- tiered approach for making a demonstration ternative model is an EPA Regional Office required under PSD or another CAA pro- responsibility in consultation with the

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EPA’s Model Clearinghouse as discussed in or technique may be approved for use pro- paragraphs 3.0(b) and 3.2.1(b). Where the Re- vided that: gional Administrator finds that an alter- i. The model or technique has received a native model is more appropriate than a pre- scientific peer review; ferred model, that model may be used sub- ii. The model or technique can be dem- ject to the approval of the EPA Regional Of- onstrated to be applicable to the problem on fice based on the requirements of this sub- a theoretical basis; section. This finding will normally result iii. The databases which are necessary to from a determination that: (1) A preferred perform the analysis are available and ade- air quality model is not appropriate for the quate; particular application; or (2) a more appro- iv. Appropriate performance evaluations of priate model or technique is available and the model or technique have shown that the applicable. model or technique is not inappropriately bi- b. An alternative model shall be evaluated ased for regulatory application a; and from both a theoretical and a performance v. A protocol on methods and procedures to perspective before it is selected for use. be followed has been established. There are three separate conditions under f. To formally document that the require- which such a model may be approved for use: ments of section 3.2 for use of an alternative 1. If a demonstration can be made that the model are satisfied for a particular applica- model produces concentration estimates tion or range of applications, a memorandum equivalent to the estimates obtained using a will be prepared by the EPA’s Model Clear- preferred model; inghouse through a consultative process 2. If a statistical performance evaluation with the EPA Regional Office. has been conducted using measured air quality data and the results of that evaluation 3.3 EPA’s Model Clearinghouse indicate the alternative model performs bet- a. The Regional Administrator has the au- ter for the given application than a com- thority to select models that are appropriate parable model in appendix A; or for use in a given situation. However, there 3. If there is no preferred model. is a need for assistance and guidance in the Any one of these three separate conditions selection process so that fairness, consist- may justify use of an alternative model. ency, and transparency in modeling deci- Some known alternative models that are ap- sions are fostered among the EPA Regional plicable for selected situations are listed on Offices and the state, local, and tribal agen- the EPA’s SCRAM Web site (section 2.3). cies. To satisfy that need, the EPA estab- However, inclusion there does not confer any lished the Model Clearinghouse 23 to serve a unique status relative to other alternative central role of coordination and collabora- models that are being or will be developed in tion between EPA headquarters and the EPA the future. Regional Offices. Additionally, the EPA c. Equivalency, condition (1) in paragraph holds periodic workshops with EPA Head- (b) of this subsection, is established by dem- quarters, EPA Regional Offices, and state, onstrating that the appropriate regulatory local, and tribal agency modeling represent- ± metric(s) are within 2 percent of the esti- atives. mates obtained from the preferred model. b. The appropriate EPA Regional Office The option to show equivalency is intended should always be consulted for information as a simple demonstration of acceptability and guidance concerning modeling methods for an alternative model that is nearly iden- and interpretations of modeling guidance, tical (or contains options that can make it and to ensure that the air quality model user identical) to a preferred model that it can be has available the latest most up-to-date pol- treated for practical purposes as the pre- icy and procedures. As appropriate, the EPA ferred model. However, notwithstanding this Regional Office may also request assistance demonstration, models that are not equiva- from the EPA’s Model Clearinghouse on lent may be used when one of the two other other applications of models, analytical conditions described in paragraphs (d) and techniques, or databases or to clarify inter- (e) of this subsection are satisfied. pretation of the Guideline or related mod- d. For condition (2) in paragraph (b) of this eling guidance. subsection, established statistical perform- c. The EPA Regional Office will coordinate ance evaluation procedures and tech- with the EPA’s Model Clearinghouse after an niques 28 29 for determining the acceptability of a model for an individual case based on superior performance should be followed, as ap- a For PSD and other applications that use propriate. Preparation and implementation the model results in an absolute sense, the of an evaluation protocol that is acceptable model should not be biased toward underesti- to both control agencies and regulated indus- mates. Alternatively, for ozone and PM2.5 try is an important element in such an eval- SIP attainment demonstrations and other uation. applications that use the model results in a e. Finally, for condition (3) in paragraph relative sense, the model should not be bi- (b) of this subsection, an alternative model ased toward overestimates.

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initial evaluation and decision has been de- Pasquill 31 estimates that, apart from data veloped concerning the application of an al- input errors, maximum ground-level con- ternative model. The acceptability and for- centrations at a given hour for a point mal approval process for an alternative source in flat terrain could be in error by 50 model is described in section 3.2. percent due to these uncertainties. Errors of 5 to 10 degrees in the measured wind direc- 4.0 MODELS FOR CARBON MONOXIDE, LEAD, tion can result in concentration errors of 20 SULFUR DIOXIDE, NITROGEN DIOXIDE AND to 70 percent for a particular time and loca- PRIMARY PARTICULATE MATTER tion, depending on stability and station loca- 4.1 Discussion tion. Such uncertainties do not indicate that an estimated concentration does not occur, a. This section identifies modeling ap- only that the precise time and locations are proaches generally used in the air quality in doubt. Composite errors in highest esti- impact analysis of sources that emit the cri- mated concentrations of 10 to 40 percent are teria pollutants carbon monoxide (CO), lead, found to be typical.32 33 However, estimates sulfur dioxide (SO2), nitrogen dioxide (NO2), of concentrations paired in time and space and primary particulates (PM2.5 and PM10). with observed concentrations are less cer- b. The guidance in this section is specific tain. to the application of the Gaussian plume models identified in appendix A. Gaussian f. Model evaluations and inter-comparisons plume models assume that emissions and should take these aspects of uncertainty into meteorology are in a steady-state, which is account. For a regulatory application of a typically based on an hourly time step. This model, the emphasis of model evaluations is approach results in a plume that has an generally placed on the highest modeled im- hourly-averaged distribution of emission pacts. Thus, the Cox-Tikvart model evalua- mass according to a Gaussian curve through tion approach, which compares the highest the plume. Though Gaussian steady-state modeled impacts on several timescales, is models conserve the mass of the primary pol- recommended for comparisons of models and lutant throughout the plume, they can still measurements and model inter-comparisons. take into account a limited consideration of The approach includes bootstrap techniques first-order removal processes (e.g., wet and to determine the significance of various dry deposition) and limited chemical conver- modeled predictions and increases the sion (e.g., OH oxidation). robustness of such comparisons when the c. Due to the steady-state assumption, number of available measurements are lim- Gaussian plume models are generally consid- ited.34 35 Because of the uncertainty in paired ered applicable to distances less than 50 km, modeled and observed concentrations, any beyond which, modeled predictions of plume attempts at calibration of models based on impact are likely conservative. The loca- these comparisons is of questionable benefit tions of these impacts are expected to be un- and shall not be done. reliable due to changes in meteorology that are likely to occur during the travel time. 4.2 Requirements d. The applicability of Gaussian plume models may vary depending on the topog- a. For NAAQS compliance demonstrations raphy of the modeling domain, i.e., simple or under PSD, use of the screening and pre- complex. Simple terrain is considered to be ferred models for the pollutants listed in this an area where terrain features are all lower subsection shall be limited to the near-field in elevation than the top of the stack(s) of at a nominal distance of 50 km or less. Near- the source(s) in question. Complex terrain is field application is consistent with capabili- defined as terrain exceeding the height of the ties of Gaussian plume models and, based on stack(s) being modeled. the EPA’s assessment, is sufficient to ad- e. Gaussian models determine source im- dress whether a source will cause or con- pacts at discrete locations (receptors) for tribute to ambient concentrations in excess each meteorological and emission scenario, of a NAAQS. In most cases, maximum source and generally attempt to estimate con- impacts of inert pollutants will occur within centrations at specific sites that represent the first 10 to 20 km from the source. There- an ensemble average of numerous repetitions fore, the EPA does not consider a long-range of the same ‘‘event.’’ Uncertainties in model transport assessment beyond 50 km nec- estimates are driven by this formulation, essary for these pollutants if a near-field and as noted in section 2.1.1, evaluations of NAAQS compliance demonstration is re- model accuracy should focus on the reduc- quired.36 ible uncertainty associated with physics and b. For assessment of PSD increments with- the formulation of the model. The ‘‘irre- in the near-field distance of 50 km or less, ducible’’ uncertainty associated with use of the screening and preferred models for Gaussian plume models may be responsible the pollutants listed in this subsection shall for variation in concentrations of as much as be limited to the same screening and pre- ± 50 percent.30 ‘‘Reducible’’ uncertainties 16 ferred models approved for NAAQS compli- can be on a similar scale. For example, ance demonstrations.

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c. To determine if a compliance dem- ommended screening model for most applica- onstration for NAAQS and/or PSD incre- tions in all types of terrain and for applica- ments may be necessary beyond 50 km (i.e., tions involving building downwash. For long-range transport assessment), the fol- those applications in complex terrain where lowing screening approach shall be used to the application involves a well-defined hill determine if a significant ambient impact or ridge, CTSCREEN 39 can be used. will occur with particular focus on Class I c. Although AERSCREEN and CTSCREEN areas and/or the applicable receptors that are designed to address a single-source sce- may be threatened at such distances. nario, there are approaches that can be used i. Based on application in the near-field of on a case-by-case basis to address multi- the appropriate screening and/or preferred source situations using screening meteor- model, determine the significance of the am- ology or other conservative model assump- bient impacts at or about 50 km from the tions. However, the appropriate reviewing new or modifying source. If a near-field as- authority (paragraph 3.0(b)) shall be con- sessment is not available or this initial anal- sulted, and concurrence obtained, on the pro- ysis indicates there may be significant ambi- tocol for modeling multiple sources with ent impacts at that distance, then further AERSCREEN or CTSCREEN to ensure that assessment is necessary. the worst case is identified and assessed. ii. For assessment of the significance of d. As discussed in section 4.2.3.4, there are ambient impacts for NAAQS and/or PSD in- also screening techniques built into crements, there is not a preferred model or AERMOD that use simplified or limited screening approach for distances beyond 50 chemistry assumptions for determining the km. Thus, the appropriate reviewing author- partitioning of NO and NO2 for NO2 mod- ity (paragraph 3.0(b)) and the EPA Regional eling. These screening techniques are part of Office shall be consulted in determining the the EPA’s preferred modeling approach for appropriate and agreed upon screening tech- NO2 and do not need to be approved as an al- nique to conduct the second level assess- ternative model. However, as with other ment. Typically, a Lagrangian model is most screening models and techniques, their usage appropriate to use for these second level as- shall occur in agreement with the appro- sessments, but applicants shall reach agree- priate reviewing authority (paragraph 3.0(b)). ment on the specific model and modeling pa- e. As discussed in section 4.2(c)(ii), there rameters on a case-by-case basis in consulta- are screening techniques needed for long- tion with the appropriate reviewing author- range transport assessments that will typi- ity (paragraph 3.0(b)) and EPA Regional Of- cally involve the use of a Lagrangian model. fice. When Lagrangian models are used in Based on the long-standing practice and doc- this manner, they shall not include plume- umented capabilities of these models for depleting processes, such that model esti- long-range transport assessments, the use of mates are considered conservative, as is gen- a Lagrangian model as a screening technique erally appropriate for screening assessments. for this purpose does not need to be approved d. In those situations where a cumulative as an alternative model. However, their impact analysis for NAAQS and/or PSD in- usage shall occur in consultation with the crements analysis beyond 50 km is nec- appropriate reviewing authority (paragraph essary, the selection and use of an alter- 3.0(b)) and EPA Regional Office. native model shall occur in agreement with f. All screening models and techniques the appropriate reviewing authority (para- shall be configured to appropriately address graph 3.0(b)) and approval by the EPA Re- the site and problem at hand. Close atten- gional Office based on the requirements of tion must be paid to whether the area should paragraph 3.2.2(e). be classified urban or rural in accordance with section 7.2.1.1. The climatology of the 4.2.1 Screening Models and Techniques area must be studied to help define the a. Where a preliminary or conservative es- worst-case meteorological conditions. Agree- timate is desired, point source screening ment shall be reached between the model techniques are an acceptable approach to air user and the appropriate reviewing authority quality analyses. (paragraph 3.0(b)) on the choice of the b. As discussed in paragraph 2.2(a), screen- screening model or technique for each anal- ing models or techniques are designed to pro- ysis, on the input data and model settings, vide a conservative estimate of concentra- and the appropriate metric for satisfying tions. The screening models used in most ap- regulatory requirements. plications are the screening versions of the 4.2.1.1 AERSCREEN preferred models for refined applications. The two screening models, AERSCREEN 37 38 a. Released in 2011, AERSCREEN is the and CTSCREEN, are screening versions of EPA’s recommended screening model for AERMOD (American Meteorological Society simple and complex terrain for single (AMS)/EPA Regulatory Model) and sources including point sources, area CTDMPLUS (Complex Terrain Dispersion sources, horizontal stacks, capped stacks, Model Plus Algorithms for Unstable Situa- and flares. AERSCREEN runs AERMOD in a tions), respectively. AERSCREEN is the rec- screening mode and consists of two main

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components: 1) the MAKEMET program ture gradient (dq/dz), friction velocity (u*), which generates a site-specific matrix of me- Monin-Obukhov length (L), mixing height (zi) teorological conditions for input to the as a function of terrain height, and wind di- AERMOD model; and 2) the AERSCREEN rections for both neutral/stable conditions command-prompt interface. and unstable convective conditions. The b. The MAKEMET program generates a maximum concentration output from matrix of meteorological conditions, in the CTSCREEN represents a worst-case 1-hour form of AERMOD-ready surface and profile concentration. Time-scaling factors of 0.7 for files, based on user-specified surface charac- 3-hour, 0.15 for 24-hour and 0.03 for annual teristics, ambient temperatures, minimum concentration averages are applied inter- wind speed, and anemometer height. The me- nally by CTSCREEN to the highest 1-hour teorological matrix is generated based on concentration calculated by the model. looping through a range of wind speeds, cloud covers, ambient temperatures, solar 4.2.1.3 Screening in Complex Terrain elevation angles, and convective velocity a. For applications utilizing AERSCREEN, scales (w*, for convective conditions only) based on user-specified surface characteris- AERSCREEN automatically generates a polar-grid receptor network with spacing de- tics for surface roughness (Zo), Bowen ratio (B ), and albedo (r). For unstable cases, the termined by the maximum distance to o model. If the application warrants a dif- convective mixing height (Zic) is calculated based on w*, and the mechanical mixing ferent receptor network than that generated by AERSCREEN, it may be necessary to run height (Zim) is calculated for unstable and stable conditions based on the friction veloc- AERMOD in screening mode with a user-de- ity, u*. fined network. For CTSCREEN applications c. For applications involving simple or or AERMOD in screening mode outside of complex terrain, AERSCREEN interfaces AERSCREEN, placement of receptors re- with AERMAP. AERSCREEN also interfaces quires very careful attention when modeling with BPIPPRM to provide the necessary in complex terrain. Often the highest con- building parameters for applications involv- centrations are predicted to occur under ing building downwash using the Plume Rise very stable conditions, when the plume is Model Enhancements (PRIME) downwash al- near or impinges on the terrain. Under such gorithm. AERSCREEN generates inputs to conditions, the plume may be quite narrow AERMOD via MAKEMET, AERMAP, and in the vertical, so that even relatively small BPIPPRM and invokes AERMOD in a screen- changes in a receptor’s location may sub- ing mode. The screening mode of AERMOD stantially affect the predicted concentra- forces the AERMOD model calculations to tion. Receptors within about a kilometer of represent values for the plume centerline, re- the source may be even more sensitive to lo- gardless of the source-receptor-wind direc- cation. Thus, a dense array of receptors may tion orientation. The maximum concentra- be required in some cases. tion output from AERSCREEN represents a b. For applications involving worst-case 1-hour concentration. Averaging- AERSCREEN, AERSCREEN interfaces with time scaling factors of 1.0 for 3-hour, 0.9 for AERMAP to generate the receptor ele- 8-hour, 0.60 for 24-hour, and 0.10 for annual vations. For applications involving concentration averages are applied inter- CTSCREEN, digitized contour data must be nally by AERSCREEN to the highest 1-hour preprocessed 42 to provide hill shape param- concentration calculated by the model for eters in suitable input format. The user then non-area type sources. For area type source supplies receptor locations either through an concentrations for averaging times greater interactive program that is part of the model than one hour, the concentrations are equal or directly, by using a text editor; using both to the 1-hour estimates.37 40 methods to select receptor locations will generally be necessary to assure that the 4.2.1.2 CTSCREEN maximum concentrations are estimated by a. CTSCREEN 39 41 can be used to obtain either model. In cases where a terrain fea- conservative, yet realistic, worst-case esti- ture may ‘‘appear to the plume’’ as smaller, mates for receptors located on terrain above multiple hills, it may be necessary to model stack height. CTSCREEN accounts for the the terrain both as a single feature and as three-dimensional nature of plume and ter- multiple hills to determine design con- rain interaction and requires detailed terrain centrations. data representative of the modeling domain. c. Other screening techniques may be ac- The terrain data must be digitized in the ceptable for complex terrain cases where es- same manner as for CTDMPLUS and a ter- tablished procedures 43 are used. The user is rain processor is available.42 CTSCREEN is encouraged to confer with the appropriate designed to execute a fixed matrix of mete- reviewing authority (paragraph 3.0(b)) if any orological values for wind speed (u), standard unforeseen problems are encountered, e.g., deviation of horizontal and vertical wind applicability, meteorological data, receptor speeds (sv, sw), vertical potential tempera- siting, or terrain contour processing issues. 611

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4.2.2 Refined Models coordinated with the appropriate reviewing authority (paragraph 3.0(b)). a. A brief description of each preferred model for refined applications is found in ap- 4.2.2.2 CTDMPLUS pendix A. Also listed in that appendix are availability, the model input requirements, a. If the modeling application involves an the standard options that shall be selected elevated point source with a well-defined hill when running the program, and output op- or ridge and a detailed dispersion analysis of the spatial pattern of plume impacts is of in- tions. terest, CTDMPLUS is available. CTDMPLUS 4.2.2.1 AERMOD provides greater resolution of concentrations about the contour of the hill feature than a. For a wide range of regulatory applica- does AERMOD through a different plume- tions in all types of terrain, and for aero- terrain interaction algorithm. dynamic building downwash, the required model is AERMOD.44 45 The AERMOD regu- 4.2.2.3 OCD latory modeling system consists of the a. If the modeling application involves de- AERMOD dispersion model, the AERMET termining the impact of offshore emissions meteorological processor, and the AERMAP from point, area, or line sources on the air terrain processor. AERMOD is a steady-state quality of coastal regions, the recommended Gaussian plume model applicable to directly model is the OCD (Offshore and Coastal Dis- emitted air pollutants that employs best persion) Model. OCD is a straight-line state-of-practice parameterizations for char- Gaussian model that incorporates overwater acterizing the meteorological influences and plume transport and dispersion as well as dispersion. Differentiation of simple versus changes that occur as the plume crosses the complex terrain is unnecessary with shoreline. OCD is also applicable for situa- AERMOD. In complex terrain, AERMOD em- tions that involve platform building ploys the well-known dividing-streamline downwash. concept in a simplified simulation of the effects of plume-terrain interactions. 4.2.3 Pollutant Specific Modeling b. The AERMOD modeling system has been Requirements extensively evaluated across a wide range of scenarios based on numerous field studies, 4.2.3.1 Models for Carbon Monoxide including tall stacks in flat and complex ter- a. Models for assessing the impact of CO rain settings, sources subject to building emissions are needed to meet NSR require- downwash influences, and low-level non- ments to address compliance with the CO buoyant sources.27 These evaluations in- NAAQS and to determine localized impacts cluded several long-term field studies associ- from transportations projects. Examples in- ated with operating plants as well as several clude evaluating effects of point sources, intensive tracer studies. Based on these eval- congested roadway intersections and high- uations, AERMOD has shown consistently ways, as well as the cumulative effect of nu- good performance, with ‘‘errors’’ in predicted merous sources of CO in an urban area. versus observed peak concentrations, based b. The general modeling recommendations on the Robust Highest Concentration (RHC) and requirements for screening models in metric, consistently within the range of 10 to section 4.2.1 and refined models in section 40 percent (cited in paragraph 4.1(e)). 4.2.2 shall be applied for CO modeling. Given c. AERMOD incorporates the PRIME algo- the relatively low CO background concentra- rithm to account for enhanced plume growth tions, screening techniques are likely to be and restricted plume rise for plumes affected adequate in most cases. In applying these by building wake effects.46 The PRIME algo- recommendations and requirements, the ex- rithm accounts for entrainment of plume isting 1992 EPA guidance for screening CO mass into the cavity recirculation region, in- impacts from highways may be consulted.47 cluding re-entrainment of plume mass into the wake region beyond the cavity. 4.2.3.2 Models for Lead d. AERMOD incorporates the Buoyant Line a. In January 1999 (40 CFR part 58, appen- and Point Source (BLP) Dispersion model to dix D), the EPA gave notice that concern account for buoyant plume rise from line about ambient lead impacts was being shift- sources. The BLP option utilizes the stand- ed away from roadways and toward a focus ard meteorological inputs provided by the on stationary point sources. Thus, models AERMET meteorological processor. for assessing the impact of lead emissions e. The state-of-the-science for modeling at- are needed to meet NSR requirements to ad- mospheric deposition is evolving, new mod- dress compliance with the lead NAAQS and eling techniques are continually being as- for SIP attainment demonstrations. The sessed, and their results are being compared EPA has also issued guidance on siting ambi- with observations. Consequently, while depo- ent monitors in the vicinity of stationary sition treatment is available in AERMOD, point sources.48 For lead, the SIP should con- the approach taken for any purpose shall be tain an air quality analysis to determine the

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maximum rolling 3-month average lead considered screening techniques, their usage centration resulting from major lead point shall occur in agreement with the appro- sources, such as smelters, gasoline additive priate reviewing authority (paragraph 3.0(b)). plants, etc. The EPA has developed a post- Additionally, since screening techniques are processor to calculate rolling 3-month aver- conservative by their nature, there are limi- age concentrations from model output.49 tations to how these options can be used. General guidance for lead SIP development Specifically, modeling of negative emissions is also available.50 rates should only be done after consultation b. For major lead point sources, such as with the EPA Regional Office to ensure that smelters, which contribute fugitive emis- decreases in concentrations would not be sions and for which deposition is important, overestimated. Each tiered approach (see professional judgment should be used, and Figure 4–1) accounts for increasingly com- there shall be coordination with the appro- plex considerations of NO2 chemistry and is priate reviewing authority (paragraph 3.0(b)). described in paragraphs c through e of this For most applications, the general require- subsection. The tiers of NO2 modeling in- ments for screening and refined models of clude: section 4.2.1 and 4.2.2 are applicable to lead i. A first-tier (most conservative) ‘‘full’’ modeling. conversion approach; ii. A second-tier approach that assumes 4.2.3.3 Models for Sulfur Dioxide ambient equilibrium between NO and NO2; a. Models for SO2 are needed to meet NSR and requirements to address compliance with the iii. A third-tier consisting of several de- SO2 NAAQS and PSD increments, for SIP at- tailed screening techniques that account for tainment demonstrations,51 and for charac- ambient ozone and the relative amount of 52 terizing current air quality via modeling. NO and NO2 emitted from a source. SO2 is one of a group of highly reactive gases c. For Tier 1, use an appropriate refined known as ‘‘oxides of sulfur’’ with largest model (section 4.2.2) to estimate nitrogen ox- emissions sources being fossil fuel combus- ides (NOX) concentrations and assume a total tion at power plants and other industrial fa- conversion of NO to NO2. cilities. d. For Tier 2, multiply the Tier 1 result(s) b. Given the relatively inert nature of SO2 by the Ambient Ratio Method 2 (ARM2), on the short-term time scales of interest which provides estimates of representative (i.e., 1-hour) and the sources of SO2 (i.e., sta- equilibrium ratios of NO2/NOX value based tionary point sources), the general modeling ambient levels of NO2 and NOX derived from requirements for screening models in section national data from the EPA’s Air Quality 4.2.1 and refined models in section 4.2.2 are System (AQS).55 The national default for applicable for SO2 modeling applications. ARM2 includes a minimum ambient NO2/NOX For urban areas, AERMOD automatically in- ratio of 0.5 and a maximum ambient ratio of 53 vokes a half-life of 4 hours to SO2. There- 0.9. The reviewing agency may establish al- fore, care must be taken when determining ternative minimum ambient NO2/NOX values whether a source is urban or rural (see sec- based on the source’s in-stack emissions ration 7.2.1.1 for urban/rural determination tios, with alternative minimum ambient ra- methodology). tios reflecting the source’s in-stack NO2/NOX ratios. Preferably, alternative minimum am- 4.2.3.4 Models for Nitrogen Dioxide bient NO2/NOX ratios should be based on a. Models for assessing the impact of source-specific data which satisfies all qual- sources on ambient NO2 concentrations are ity assurance procedures that ensure data needed to meet NSR requirements to address accuracy for both NO2 and NOX within the compliance with the NO2 NAAQS and PSD typical range of measured values. However, increments. Impact of an individual source alternate information may be used to justify on ambient NO2 depends, in part, on the a source’s anticipated NO2/NOX in-stack ra- chemical environment into which the tios, such as manufacturer test data, state or source’s plume is to be emitted. This is due local agency guidance, peer-reviewed lit- to the fact that NO2 sources co-emit NO erature, and/or the EPA’s NO2/NOX ratio along with NO2 and any emitted NO may database. react with ambient ozone to convert to addi- e. For Tier 3, a detailed screening tech- tional NO2 downwind. Thus, comprehensive nique shall be applied on a case-by-case modeling of NO2 would need to consider the basis. Because of the additional input data ratio of emitted NO and NO2, the ambient requirements and complexities associated levels of ozone and subsequent reactions be- with the Tier 3 options, their usage shall tween ozone and NO, and the photolysis of occur in consultation with the EPA Regional NO2 to NO. Office in addition to the appropriate review- b. Due to the complexity of NO2 modeling, ing authority. The Ozone Limiting Method a multi-tiered screening approach is required (OLM) 56 and the Plume Volume Molar Ratio to obtain hourly and annual average esti- Method (PVMRM) 57 are two detailed screen- 54 mates of NO2. Since these methods are con- ing techniques that may be used for most 613

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sources. These two techniques use an appro- while OLM works best for large groups of priate section 4.2.2 model to estimate NOX sources, area sources, and near-surface re- concentrations and then estimate the con- leases, including roadway sources. version of primary NO emissions to NO2 f. Alternative models or techniques may be based on the ambient levels of ozone and the considered on a case-by-case basis and their plume characteristics. OLM only accounts usage shall be approved by the EPA Regional for NO2 formation based on the ambient lev- Office (section 3.2). Such models or tech- els of ozone while PVMRM also accommo- niques should consider individual quantities dates distance-dependent conversion ratios of NO and NO2 emissions, atmospheric trans- based on ambient ozone. Both PVMRM and port and dispersion, and atmospheric trans- OLM require that ambient ozone concentra- formation of NO to NO2. Dispersion models tions be provided on an hourly basis and ex- that account for more explicit photo- plicit specification of the NO2/NOX in-stack chemistry may also be considered as an al- ratios. PVMRM works best for relatively iso- ternative model to estimate ambient im- lated and elevated point source modeling pacts of NOX sources.

4.2.3.5 Models for PM2.5 are estimated from the sum of the effects on the primary and secondary components com- a. PM2.5 is a mixture consisting of several 58 posing PM2.5. Model users should refer to sec- diverse components. Ambient PM2.5 generally consists of two components: (1) The tion 5.4.1 and associated SIP modeling guid- 60 primary component, emitted directly from a ance for further details concerning appro- source; and (2) the secondary component, priate modeling approaches. formed in the atmosphere from other pollut- d. The general modeling requirements for ants emitted from the source. Models for the refined models discussed in section 4.2.2 PM2.5 are needed to meet NSR requirements shall be applied for PM2.5 hot-spot modeling to address compliance with the PM2.5 NAAQS for mobile sources. Specific guidance is and PSD increments and for SIP attainment available for analyzing direct PM2.5 impacts demonstrations. from highways, terminals, and other trans- b. For NSR modeling assessments, the gen- portation projects.61 eral modeling requirements for screening models in section 4.2.1 and refined models in 4.2.3.6 Models for PM10 section 4.2.2 are applicable for the primary a. Models for PM are needed to meet NSR component of PM , while the methods in 10 2.5 requirements to address compliance with the section 5.4 are applicable for addressing the PM10 NAAQS and PSD increments and for secondary component of PM2.5. Guidance for PSD assessments is available for deter- SIP attainment demonstrations. mining the best approach to handling b. For most sources, the general modeling 59 sources of primary and secondary PM2.5. requirements for screening models in section c. For SIP attainment demonstrations and 4.2.1 and refined models in section 4.2.2 shall regional haze reasonable progress goal anal- be applied for PM10 modeling. In cases where yses, effects of a control strategy on PM2.5 the particle size and its effect on ambient 614

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concentrations need to be considered, par- up of precursors and subsequent ozone for- ticle deposition may be used on a case-by- mation or destruction. case basis and their usage shall be coordi- c. PM2.5 can be either primary (i.e., emitted nated with the appropriate reviewing author- directly from sources) or secondary in na- 62 ity. A SIP development guide is also avail- ture. The fraction of PM2.5 which is primary able to assist in PM10 analyses and control versus secondary varies by location and sea- strategy development. son. In the United States, PM2.5 is dominated c. Fugitive dust usually refers to dust put by a variety of chemical species or compo- into the atmosphere by the wind blowing nents of atmospheric particles, such as am- over plowed fields, dirt roads, or desert or monium sulfate, ammonium nitrate, organic sandy areas with little or no vegetation. Fu- carbon mass, elemental carbon, and other gitive emissions include the emissions re- soil compounds and oxidized metals. PM2.5 sulting from the industrial process that are sulfate, nitrate, and ammonium ions are pre- not captured and vented through a stack, but dominantly the result of chemical reactions may be released from various locations with- of the oxidized products of SO2 and NOX in the complex. In some unique cases, a emissions with direct ammonia emissions.64 model developed specifically for the situa- d. Control measures reducing ozone and tion may be needed. Due to the difficult na- PM2.5 precursor emissions may not lead to ture of characterizing and modeling fugitive proportional reductions in ozone and PM2.5. dust and fugitive emissions, the proposed Modeled strategies designed to reduce ozone procedure shall be determined in consulta- or PM2.5 levels typically need to consider the tion with the appropriate reviewing author- chemical coupling between these pollutants. ity (paragraph 3.0(b)) for each specific situa- This coupling is important in understanding tion before the modeling exercise is begun. processes that control the levels of both pol- Re-entrained dust is created by vehicles driv- lutants. Thus, when feasible, it is important ing over dirt roads (e.g., haul roads) and to use models that take into account the dust-covered roads typically found in arid chemical coupling between ozone and PM2.5. areas. Such sources can be characterized as In addition, using such a multi-pollutant line, area or volume sources.61 63 Emission modeling system can reduce the resource rates may be based on site-specific data or burden associated with applying and evalu- values from the general literature. ating separate models for each pollutant and d. Under certain conditions, recommended promotes consistency among the strategies dispersion models may not be suitable to ap- themselves. propriately address the nature of ambient e. PM2.5 is a mixture consisting of several PM10. In these circumstances, the alter- diverse chemical species or components of native modeling approach shall be approved atmospheric particles. Because chemical and by the EPA Regional Office (section 3.2). physical properties and origins of each com- e. The general modeling requirements for ponent differ, it may be appropriate to use the refined models discussed in section 4.2.2 either a single model capable of addressing shall be applied for PM10 hot-spot modeling several of the important components or to for mobile sources. Specific guidance is model primary and secondary components available for analyzing direct PM10 impacts using different models. Effects of a control from highways, terminals, and other trans- strategy on PM2.5 is estimated from the sum portation projects.61 of the effects on the specific components comprising PM2.5. 5.0 MODELS FOR OZONE AND SECONDARILY FORMED PARTICULATE MATTER 5.2 Recommendations 5.1 Discussion a. Chemical transformations can play an important role in defining the concentra- a. Air pollutants formed through chemical tions and properties of certain air pollut- reactions in the atmosphere are referred to ants. Models that take into account chem- as secondary pollutants. For example, ical reactions and physical processes of var- ground-level ozone and a portion of PM2.5 are ious pollutants (including precursors) are secondary pollutants formed through photo- needed for determining the current state of chemical reactions. Ozone and secondarily air quality, as well as predicting and pro- formed particulate matter are closely re- jecting the future evolution of these pollut- lated to each other in that they share com- ants. It is important that a modeling system mon sources of emissions and are formed in provide a realistic representation of chem- the atmosphere from chemical reactions ical and physical processes leading to sec- with similar precursors. ondary pollutant formation and removal b. Ozone formation is driven by emissions from the atmosphere. of NOX and volatile organic compounds b. Chemical transport models treat atmos- (VOCs). Ozone formation is a complicated pheric chemical and physical processes such nonlinear process that requires favorable as deposition and motion. There are two meteorological conditions in addition to types of chemical transport models, Eulerian VOC and NOX emissions. Sometimes complex (grid based) and Lagrangian. These types of terrain features also contribute to the build- models are differentiated from each other by

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their frame of reference. Eulerian models are cated case-specific modeling analyses. The based on a fixed frame of reference and appropriate tier for a given application Lagrangian models use a frame of reference should be selected in consultation with the that moves with parcels of air between the appropriate reviewing authority (paragraph source and receptor point.9 Photochemical 3.0(b)) and be consistent with EPA guid- grid models are three-dimensional Eulerian ance.66 grid-based models that treat chemical and physical processes in each grid cell and use 5.3 Recommended Models and Approaches for diffusion and transport processes to move Ozone chemical species between grid cells.9 These types of models are appropriate for assess- a. Models that estimate ozone concentra- ment of near-field and regional scale reactions are needed to guide the choice of strat- tive pollutant impacts from specific egies for the purposes of a nonattainment sources 7101112 or all sources.13 14 15 In some area demonstrating future year attainment limited cases, the secondary processes can be of the ozone NAAQS. Additionally, models treated with a box model, ideally in com- that estimate ozone concentrations are need- bination with a number of other modeling ed to assess impacts from specific sources or techniques and/or analyses to treat indi- source complexes to satisfy requirements for vidual source sectors. NSR and other regulatory programs. Other c. Regardless of the modeling system used purposes for ozone modeling include esti- to estimate secondary impacts of ozone and/ mating the impacts of specific events on air quality, ozone deposition impacts, and plan- or PM2.5, model results should be compared to observation data to generate confidence ning for areas that may be attaining the that the modeling system is representative ozone NAAQS. of the local and regional air quality. For ozone related projects, model estimates of 5.3.1 Models for NAAQS Attainment Dem- ozone should be compared with observations onstrations and Multi-Source Air Quality Assessments in both time and space. For PM2.5, model estimates of speciated PM2.5 components (such a. Simulation of ozone formation and as sulfate ion, nitrate ion, etc.) should be transport is a complex exercise. Control compared with observations in both time and agencies with jurisdiction over areas with 65 space. ozone problems should use photochemical d. Model performance metrics comparing grid models to evaluate the relationship be- observations and predictions are often used tween precursor species and ozone. Use of to summarize model performance. These photochemical grid models is the rec- metrics include mean bias, mean error, frac- ommended means for identifying control tional bias, fractional error, and correlation strategies needed to address high ozone con- 65 coefficient. There are no specific levels of centrations in such areas. Judgment on the any model performance metric that indicate suitability of a model for a given application ‘‘acceptable’’ model performance. The EPA’s should consider factors that include use of preferred approach for providing context the model in an attainment test, develop- about model performance is to compare ment of emissions and meteorological inputs model performance metrics with similar con- to the model, and choice of episodes to temporary applications. 60 65 Because model model. Guidance on the use of models and application purpose and scope vary, model other analyses for demonstrating attainment users should consult with the appropriate re- of the air quality goals for ozone is available. viewing authority (paragraph 3.0(b)) to deter- 59 60 Users should consult with the appro- mine what model performance elements priate reviewing authority (paragraph 3.0(b)) should be emphasized and presented to pro- to ensure the most current modeling guid- vide confidence in the regulatory model ap- ance is applied. plication. e. There is no preferred modeling system or 5.3.2 Models for Single-Source Air Quality technique for estimating ozone or secondary Assessments PM2.5 for specific source impacts or to assess impacts from multiple sources. For assessing a. Depending on the magnitude of emis- secondary pollutant impacts from single sions, estimating the impact of an individual sources, the degree of complexity required to source’s emissions of NOX and VOC on ambi- assess potential impacts varies depending on ent ozone is necessary for obtaining a per- the nature of the source, its emissions, and mit. The simulation of ozone formation and the background environment. The EPA rec- transport requires realistic treatment of at- ommends a two-tiered approach where the mospheric chemistry and deposition. Models first tier consists of using existing tech- (e.g., Lagrangian and photochemical grid nically credible and appropriate relation- models) that integrate chemical and phys- ships between emissions and impacts devel- ical processes important in the formation, oped from previous modeling that is deemed decay, and transport of ozone and important sufficient for evaluating a source’s impacts. precursor species should be applied. Photo- The second tier consists of more sophisti- chemical grid models are primarily designed

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to characterize precursor emissions and im- 5.4.1 Models for NAAQS Attainment Dem- pacts from a wide variety of sources over a onstrations and Multi-Source Air Quality large geographic area but can also be used to Assessments assess the impacts from specific sources. a. Models for PM2.5 are needed to assess the 71112 adequacy of a proposed strategy for meeting b. The first tier of assessment for ozone the annual and 24-hour PM2.5 NAAQS. Mod- impacts involves those situations where ex- eling primary and secondary PM2.5 can be a isting technical information is available multi-faceted and complex problem, espe- (e.g., results from existing photochemical cially for secondary components of PM2.5 grid modeling, published empirical estimates such as sulfates and nitrates. Control agen- of source specific impacts, or reduced-form cies with jurisdiction over areas with sec- models) in combination with other sup- ondary PM2.5 problems should use models portive information and analysis for the pur- that integrate chemical and physical proc- poses of estimating secondary impacts from esses important in the formation, decay, and a particular source. The existing technical transport of these species (e.g., photochemical grid models). Suitability of a mod- information should provide a credible and eling approach or mix of modeling ap- representative estimate of the secondary im- proaches for a given application requires pacts from the project source. The appro- technical judgment as well as professional priate reviewing authority (paragraph 3.0(b)) experience in choice of models, use of the and appropriate EPA guidance 66 should be model(s) in an attainment test, development consulted to determine what types of assess- of emissions and meteorological inputs to ments may be appropriate on a case-by-case the model, and selection of days to model. basis. Guidance on the use of models and other c. The second tier of assessment for ozone analyses for demonstrating attainment of impacts involves those situations where ex- the air quality goals for PM2.5 is avail- isting technical information is not available able.59 60 Users should consult with the ap- or a first tier demonstration indicates a propriate reviewing authority (paragraph more refined assessment is needed. For these 3.0(b)) to ensure the most current modeling situations, chemical transport models should guidance is applied. be used to address single-source impacts. 5.4.2 Models for Single-Source Air Quality Special considerations are needed when Assessments using these models to evaluate the ozone impact from an individual source. Guidance on a. Depending on the magnitude of emis- the use of models and other analyses for sions, estimating the impact of an individual demonstrating the impacts of single sources source’s emissions on secondary particulate matter concentrations may be necessary for for ozone is available. 66 This guidance docu- obtaining a permit. Primary PM compo- ment provides a more detailed discussion of 2.5 nents shall be simulated using the general the appropriate approaches to obtaining esti- modeling requirements in section 4.2.3.5. The mates of ozone impacts from a single source. simulation of secondary particulate matter Model users should use the latest version of formation and transport is a complex exer- the guidance in consultation with the appro- cise requiring realistic treatment of atmos- priate reviewing authority (paragraph 3.0(b)) pheric chemistry and deposition. Models to determine the most suitable refined ap- should be applied that integrate chemical proach for single-source ozone modeling on a and physical processes important in the for- case-by-case basis. mation, decay, and transport of these species (e.g., Lagrangian and photochemical grid 5.4 Recommended Models and Approaches for models). Photochemical grid models are pri- Secondarily Formed PM2.5 marily designed to characterize precursor a. Models that estimate PM concentra- emissions and impacts from a wide variety of 2.5 sources over a large geographic area and can tions are needed to guide the choice of strat- also be used to assess the impacts from spe- egies for the purposes of a nonattainment cific sources.710 For situations where a area demonstrating future year attainment project source emits both primary PM2.5 and of the PM2.5 NAAQS. Additionally, models PM2.5 precursors, the contribution from both that estimate PM2.5 concentrations are need- should be combined for use in determining ed to assess impacts from specific sources or the source’s ambient impact. Approaches for source complexes to satisfy requirements for combining primary and secondary impacts NSR and other regulatory programs. Other are provided in appropriate guidance for sin- purposes for PM2.5 modeling include esti- gle source permit related demonstrations. 66 mating the impacts of specific events on air b. The first tier of assessment for sec- quality, visibility, deposition impacts, and ondary PM2.5 impacts involves those situa- planning for areas that may be attaining the tions where existing technical information is

PM2.5 NAAQS. available (e.g., results from existing photochemical grid modeling, published empirical

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estimates of source specific impacts, or re- the programs have, or will have when fully duced-form models) in combination with developed, separate guidance documents that other supportive information and analysis cover the program and a discussion of the for the purposes of estimating secondary im- tools that are needed. The following para- pacts from a particular source. The existing graphs reference those guidance documents, technical information should provide a cred- when they are available. ible and representative estimate of the secondary impacts from the project source. The 6.2 Air Quality Related Values appropriate reviewing authority (paragraph a. The 1990 CAA Amendments give FLMs 66 3.0(b)) and appropriate EPA guidance an ‘‘affirmative responsibility’’ to protect should be consulted to determine what types the natural and cultural resources of Class I of assessments may be appropriate on a case- areas from the adverse impacts of air pollu- by-case basis. tion and to provide the appropriate proce- c. The second tier of assessment for sec- dures and analysis techniques. The CAA ondary PM impacts involves those situa- 2.5 identifies the FLM as the Secretary of the tions where existing technical information is department, or their designee, with author- not available or a first tier demonstration ity over these lands. Mandatory Federal indicates a more refined assessment is need- Class I areas are defined in the CAA as inter- ed. For these situations, chemical transport national parks, national parks over 6,000 models should be used for assessments of single-source impacts. Special considerations acres, and wilderness areas and memorial are needed when using these models to evalu- parks over 5,000 acres, established as of 1977. ate the secondary particulate matter impact The FLMs are also concerned with the pro- from an individual source. Guidance on the tection of resources in federally managed use of models and other analyses for dem- Class II areas because of other statutory onstrating the impacts of single sources for mandates to protect these areas. Where state 66 or tribal agencies have successfully peti- secondary PM2.5 is available. This guidance document provides a more detailed discus- tioned the EPA and lands have been redesig- sion of the appropriate approaches to obtain- nated to Class I status, these agencies may ing estimates of secondary particulate mat- have equivalent responsibilities to that of ter concentrations from a single source. the FLMs for these non-federal Class I areas Model users should use the latest version of as described throughout the remainder of this guidance in consultation with the appro- section 6.2. priate reviewing authority (paragraph 3.0(b)) b. The FLM agency responsibilities include to determine the most suitable single-source the review of air quality permit applications from proposed new or modified major pollu- modeling approach for secondary PM2.5 on a case-by-case basis. tion sources that may affect these Class I areas to determine if emissions from a pro- 6.0 MODELING FOR AIR QUALITY RELATED posed or modified source will cause or con- VALUES AND OTHER GOVERNMENTAL PRO- tribute to adverse impacts on air quality re- GRAMS lated values (AQRVs) of a Class I area and making recommendations to the FLM. 6.1 Discussion AQRVs are resources, identified by the FLM a. Other federal government agencies and agencies, that have the potential to be af- state, local, and tribal agencies with air fected by air pollution. These resources may quality and land management responsibil- include visibility, scenic, cultural, physical, ities have also developed specific modeling or ecological resources for a particular area. approaches for their own regulatory or other The FLM agencies take into account the par- requirements. Although such regulatory re- ticular resources and AQRVs that would be quirements and guidance have come about affected; the frequency and magnitude of any because of EPA rules or standards, the im- potential impacts; and the direct, indirect, plementation of such regulations and the use and cumulative effects of any potential im- of the modeling techniques is under the ju- pacts in making their recommendations. risdiction of the agency issuing the guidance c. While the AQRV notification and impact or directive. This section covers such situa- analysis requirements are outlined in the tions with reference to those guidance docu- PSD regulations at 40 CFR 51.166(p) and 40 ments, when they are available. CFR 52.21(p), determination of appropriate b. When using the model recommended or analytical methods and metrics for AQRV’s discussed in the Guideline in support of pro- are determined by the FLM agencies and are grammatic requirements not specifically published in guidance external to the general covered by EPA regulations, the model user recommendations of this paragraph. should consult the appropriate federal, state, d. To develop greater consistency in the local, or tribal agency to ensure the proper application of air quality models to assess application and use of the models and/or potential AQRV impacts in both Class I techniques. These agencies have developed areas and protected Class II areas, the FLM specific modeling approaches for their own agencies have developed the Federal Land regulatory or other requirements. Most of Managers’ Air Quality Related Values Work

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Group Phase I Report (FLAG).67 FLAG fo- scene.67 The recommendations separately ad- cuses upon specific technical and policy dress visibility assessments for sources pro- issues associated with visibility impairment, posing to locate relatively near and at far- effects of pollutant deposition on soils and ther distances from these areas.67 surface waters, and ozone effects on vegetation. Model users should consult the latest 6.2.1.1 Models for Estimating Near-Field version of the FLAG report for current mod- Visibility Impairment eling guidance and with affected FLM agen- a. To calculate the potential impact of a cy representatives for any application spe- plume of specified emissions for specific cific guidance which is beyond the scope of transport and dispersion conditions (‘‘plume the Guideline. blight’’) for source-receptor distances less than 50 km, a screening model and guidance 6.2.1 Visibility are available.67 70 If a more comprehensive a. Visibility in important natural areas analysis is necessary, a refined model should (e.g., Federal Class I areas) is protected be selected. The model selection, procedures, under a number of provisions of the CAA, in- and analyses should be determined in concluding sections 169A and 169B (addressing sultation with the appropriate reviewing au- impacts primarily from existing sources) and thority (paragraph 3.0(b)) and the affected section 165 (new source review). Visibility FLM(s). impairment is caused by light scattering and light absorption associated with particles 6.2.1.2 Models for Estimating Visibility and gases in the atmosphere. In most areas Impairment for Long-Range Transport of the country, light scattering by PM2.5 is a. Chemical transformations can play an the most significant component of visibility important role in defining the concentra- impairment. The key components of PM2.5 tions and properties of certain air pollut- contributing to visibility impairment in- ants. Models that take into account chem- clude sulfates, nitrates, organic carbon, ele- ical reactions and physical processes of var- mental carbon, and crustal material.67 ious pollutants (including precursors) are b. Visibility regulations (40 CFR 51.300 needed for determining the current state of through 51.309) require state, local, and trib- air quality, as well as predicting and pro- al agencies to mitigate current and prevent jecting the future evolution of these pollut- future visibility impairment in any of the 156 ants. It is important that a modeling system mandatory Federal Class I areas where visi- provide a realistic representation of chem- bility is considered an important attribute. ical and physical processes leading to sec- In 1999, the EPA issued revisions to the regu- ondary pollutant formation and removal lations to address visibility impairment in from the atmosphere. the form of regional haze, which is caused by b. Chemical transport models treat atmos- numerous, diverse sources (e.g., stationary, pheric chemical and physical processes such mobile, and area sources) located across a as deposition and motion. There are two broad region (40 CFR 51.308 through 51.309). types of chemical transport models, Eulerian The state of relevant scientific knowledge (grid based) and Lagrangian. These types of has expanded significantly since that time. A models are differentiated from each other by number of studies and reports 68 69 have con- their frame of reference. Eulerian models are cluded that long-range transport (e.g., up to based on a fixed frame of reference and hundreds of kilometers) of fine particulate Lagrangian models use a frame of reference matter plays a significant role in visibility that moves with parcels of air between the impairment across the country. Section 169A source and receptor point.9 Photochemical of the CAA requires states to develop SIPs grid models are three-dimensional Eulerian containing long-term strategies for rem- grid-based models that treat chemical and edying existing and preventing future visi- physical processes in each grid cell and use bility impairment in the 156 mandatory diffusion and transport processes to move Class I Federal areas, where visibility is con- chemical species between grid cells.9 These sidered an important attribute. In order to types of models are appropriate for assess- develop long-term strategies to address re- ment of near-field and regional scale reac- gional haze, many state, local, and tribal tive pollutant impacts from specific agencies will need to conduct regional-scale sources 7101112or all sources.13 14 15 modeling of fine particulate concentrations c. Development of the requisite meteoro- and associated visibility impairment. logical and emissions databases necessary c. The FLAG visibility modeling rec- for use of photochemical grid models to esti- ommendations are divided into two distinct mate AQRVs should conform to rec- sections to address different requirements ommendations in section 8 and those out- for: (1) Near field modeling where plumes or lined in the EPA’s Modeling Guidance for layers are compared against a viewing back- Demonstrating Attainment of Air Quality Goals 60 ground, and (2) distant/multi-source mod- for Ozone, PM2.5, and Regional Haze. Dem- eling for plumes and aggregations of plumes onstration of the adequacy of prognostic me- that affect the general appearance of a teorological fields can be established

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through appropriate diagnostic and statis- required under the Outer Continental Shelf tical performance evaluations consistent Lands Act (OCSLA). Air quality modeling re- with recommendations provided in the ap- quires various input datasets, including propriate guidance.60 Model users should con- emissions sources, meteorology, and pre-ex- sult the latest version of this guidance and isting pollutant concentrations. For sources with the appropriate reviewing authority under the reviewing authority of the Depart- (paragraph 3.0(b)) for any application-spe- ment of Interior, Bureau of Ocean Energy cific guidance that is beyond the scope of Management (BOEM), guidance for the de- this subsection. velopment of all necessary Outer Conti- nental Shelf (OCS) air quality modeling in- 6.2.2 Models for Estimating Deposition puts and appropriate model selection and ap- Impacts plication is available from the BOEM’s Web a. For many Class I areas, AQRVs have site: https://www.boem.gov/GOMR-Environ- been identified that are sensitive to atmos- mental-Compliance. pheric deposition of air pollutants. Emis- b. The Federal Aviation Administration (FAA) is the appropriate reviewing authority sions of NOX, sulfur oxides, NH3, mercury, and secondary pollutants such as ozone and for air quality assessments of primary pol- particulate matter affect components of eco- lutant impacts at airports and air bases. The systems. In sensitive ecosystems, these com- Aviation Environmental Design Tool (AEDT) pounds can acidify soils and surface waters, is developed and supported by the FAA, and add nutrients that change biodiversity, and is appropriate for air quality assessment of affect the ecosystem services provided by primary pollutant impacts at airports or air forests and natural areas.67 To address the bases. AEDT has adopted AERMOD for treat- relationship between deposition and eco- ing dispersion. Application of AEDT is in- system effects, the FLM agencies have devel- tended for estimating the change in emis- oped estimates of critical loads. A critical sions for aircraft operations, point source, load is defined as, ‘‘A quantitative estimate and mobile source emissions on airport prop- of an exposure to one or more pollutants erty and quantify the associated pollutant below which significant harmful effects on level- concentrations. AEDT is not intended specified sensitive elements of the environ- for PSD, SIP, or other regulatory air quality ment do not occur according to present analyses of point or mobile sources at or pe- knowledge.’’ 71 ripheral to airport property that are unre- b. The FLM deposition modeling rec- lated to airport operations. The latest ommendations are divided into two distinct version of AEDT may be obtained from the sections to address different requirements FAA at: https://aedt.faa.gov. for: (1) Near field modeling, and (2) distant/ 7.0 GENERAL MODELING CONSIDERATIONS multi-source modeling for cumulative effects. The recommendations separately ad- 7.1 Discussion dress deposition assessments for sources pro- a. This section contains recommendations posing to locate relatively near and at far- concerning a number of different issues not ther distances from these areas.67 Where the explicitly covered in other sections of the source and receptors are not in close prox- Guideline. The topics covered here are not imity, chemical transport (e.g., photo- specific to any one program or modeling chemical grid) models generally should be area, but are common to dispersion modeling applied for an assessment of deposition im- analyses for criteria pollutants. pacts due to one or a small group of sources. Over these distances, chemical and physical 7.2 Recommendations transformations can change atmospheric residence time due to different propensity for 7.2.1 All Sources deposition to the surface of different forms of nitrate and sulfate. Users should consult 7.2.1.1 Dispersion Coefficients the latest version of the FLAG report 67 and a. For any dispersion modeling exercise, relevant FLM representatives for guidance the urban or rural determination of a source on the use of models for deposition. Where is critical in determining the boundary layer source and receptors are in close proximity, characteristics that affect the model’s pre- users should contact the appropriate FLM diction of downwind concentrations. Histori- for application-specific guidance. cally, steady-state Gaussian plume models used in most applications have employed dis- 6.3 Modeling Guidance for Other persion coefficients based on Pasquill-Gif- Governmental Programs ford 72 in rural areas and McElroy-Pooler 73 in a. Dispersion and photochemical grid mod- urban areas. These coefficients are still in- eling may need to be conducted to ensure corporated in the BLP and OCD models. that individual and cumulative offshore oil However, the AERMOD model incorporates a and gas exploration, development, and pro- more up-to-date characterization of the at- duction plans and activities do not signifi- mospheric boundary layer using continuous cantly affect the air quality of any state as functions of parameterized horizontal and

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vertical turbulence based on Monin-Obukhov may extend above the urban boundary layer similarity (scaling) relationships.44 Another and, therefore, may be more appropriately key feature of AERMOD’s formulation is the modeled using rural coefficients. Model users option to use directly observed variables of should consult with the appropriate review- the boundary layer to parameterize disper- ing authority (paragraph 3.0(b)) and the lat- sion.44 45 est version of the AERMOD Implementation b. The selection of rural or urban disper- Guide 76 when evaluating this situation. sion coefficients in a specific application f. Buoyancy-induced dispersion (BID), as should follow one of the procedures sug- identified by Pasquill,77 is included in the gested by Irwin 74 to determine whether the preferred models and should be used where character of an area is primarily urban or buoyant sources (e.g., those involving fuel rural (of the two methods, the land use pro- combustion) are involved. cedure is considered more definitive.): i. Land Use Procedure: (1) Classify the land 7.2.1.2 Complex Winds use within the total area, Ao, circumscribed by a 3 km radius circle about the source a. Inhomogeneous local winds. In many parts using the meteorological land use typing of the United States, the ground is neither scheme proposed by Auer; 75 (2) if land use flat nor is the ground cover (or land use) uni- types I1, I2, C1, R2, and R3 account for 50 perform. These geographical variations can generate local winds and circulations, and mod- cent or more of Ao, use urban dispersion coefficients; otherwise, use appropriate rural dis- ify the prevailing ambient winds and circula- persion coefficients. tions. Typically, geographic effects are more ii. Population Density Procedure: (1) Com- apparent when the ambient winds are light pute the average population density, p¯ per or calm, as stronger synoptic or mesoscale winds can modify, or even eliminate the square kilometer with Ao as defined above; (2) If p¯ is greater than 750 people per square weak geographic circulations.78 In general, kilometer, use urban dispersion coefficients; these geographically induced wind circula- otherwise use appropriate rural dispersion tion effects are named after the source loca- coefficients. tion of the winds, e.g., lake and sea breezes, c. Population density should be used with and mountain and valley winds. In very rug- caution and generally not be applied to high- ged hilly or mountainous terrain, along ly industrialized areas where the population coastlines, or near large land use variations, density may be low and, thus, a rural classi- the characteristics of the winds are a bal- fication would be indicated. However, the ance of various forces, such that the assump- area is likely to be sufficiently built-up so tions of steady-state straight-line transport that the urban land use criteria would be both in time and space are inappropriate. In satisfied. Therefore, in this case, the classi- such cases, a model should be chosen to fully fication should be ‘‘urban’’ and urban disper- treat the time and space variations of mete- sion parameters should be used. orology effects on transport and dispersion. d. For applications of AERMOD in urban The setup and application of such a model areas, under either the Land Use Procedure should be determined in consultation with or the Population Density Procedure, the the appropriate reviewing authority (para- user needs to estimate the population of the graph 3.0(b)) consistent with limitations of urban area affecting the modeling domain paragraph 3.2.2(e). The meteorological input because the urban influence in AERMOD is data requirements for developing the time scaled based on a user-specified population. and space varying three-dimensional winds For non-population oriented urban areas, or and dispersion meteorology for these situa- areas influenced by both population and in- tions are discussed in paragraph 8.4.1.2(c). dustrial activity, the user will need to esti- Examples of inhomogeneous winds include, mate an equivalent population to adequately but are not limited to, situations described account for the combined effects of industri- in the following paragraphs: alized areas and populated areas within the i. Inversion breakup fumigation. Inversion modeling domain. Selection of the appro- breakup fumigation occurs when a plume (or priate population for these applications multiple plumes) is emitted into a stable should be determined in consultation with layer of air and that layer is subsequently the appropriate reviewing authority (para- mixed to the ground through convective graph 3.0(b)) and the latest version of the transfer of heat from the surface or because AERMOD Implementation Guide.76 of advection to less stable surroundings. Fu- e. It should be noted that AERMOD allows migation may cause excessively high con- for modeling rural and urban sources in a centrations, but is usually rather short-lived single model run. For analyses of whole at a given receptor. There are no rec- urban complexes, the entire area should be ommended refined techniques to model this modeled as an urban region if most of the phenomenon. There are, however, screening sources are located in areas classified as procedures 40 that may be used to approxi- urban. For tall stacks located within or adja- mate the concentrations. Considerable care cent to small or moderate sized urban areas, should be exercised in using the results ob- the stack height or effective plume height tained from the screening techniques.

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ii. Shoreline fumigation. Fumigation can be 7.2.2 Stationary Sources an important phenomenon on and near the shoreline of bodies of water. This can affect 7.2.2.1 Good Engineering Practice Stack both individual plumes and area-wide emis- Height sions. When fumigation conditions are ex- a. The use of stack height credit in excess pected to occur from a source or sources of Good Engineering Practice (GEP) stack with tall stacks located on or just inland of height or credit resulting from any other dis- a shoreline, this should be addressed in the persion technique is prohibited in the devel- air quality modeling analysis. The EPA has opment of emissions limits by 40 CFR 51.118 evaluated several coastal fumigation models, and 40 CFR 51.164. The definition of GEP and the evaluation results of these models stack height and dispersion technique are are available for their possible application contained in 40 CFR 51.100. Methods and pro- on a case-by-case basis when air quality esti- cedures for making the appropriate stack height calculations, determining stack mates under shoreline fumigation conditions height credits and an example of applying are needed.79 Selection of the appropriate those techniques are found in several ref- model for applications where shoreline fumi- erences,81 82 83 84 that provide a great deal of gation is of concern should be determined in additional information for evaluating and consultation with the appropriate reviewing describing building cavity and wake effects. authority (paragraph 3.0(b)). b. If stacks for new or existing major iii. Stagnation. Stagnation conditions are sources are found to be less than the height characterized by calm or very low wind defined by the EPA’s refined formula for de- speeds, and variable wind directions. These termining GEP height, then air quality im- stagnant meteorological conditions may per- pacts associated with cavity or wake effects sist for several hours to several days. During due to the nearby building structures should stagnation conditions, the dispersion of air be determined. The EPA refined formula pollutants, especially those from low-level height is defined as H + 1.5L.83 Since the defi- emissions sources, tends to be minimized, po- nition of GEP stack height defines excessive tentially leading to relatively high ground- concentrations as a maximum ground-level level concentrations. If point sources are of concentration due in whole or in part to interest, users should note the guidance pro- downwash of at least 40 percent in excess of vided in paragraph (a) of this subsection. Se- the maximum concentration without lection of the appropriate model for applica- downwash, the potential air quality impacts associated with cavity and wake effects tions where stagnation is of concern should should also be considered for stacks that be determined in consultation with the ap- equal or exceed the EPA formula height for propriate reviewing authority (paragraph GEP. The AERSCREEN model can be used to 3.0(b)). obtain screening estimates of potential downwash influences, based on the PRIME 7.2.1.3 Gravitational Settling and downwash algorithm incorporated in the Deposition AERMOD model. If more refined concentra- a. Gravitational settling and deposition tion estimates are required, AERMOD should may be directly included in a model if either be used (section 4.2.2). is a significant factor. When particulate 7.2.2.2 Plume Rise matter sources can be quantified and settling and dry deposition are problems, use a. The plume rise methods of Briggs 85 86 are professional judgment along with coordina- incorporated in many of the preferred mod- tion with the appropriate reviewing author- els and are recommended for use in many ity (paragraph 3.0(b)). AERMOD contains al- modeling applications. In AERMOD,44 45 for gorithms for dry and wet deposition of gases the stable boundary layer, plume rise is esti- and particles.80 For other Gaussian plume mated using an iterative approach, similar models, an ‘‘infinite half-life’’ may be used to that in the CTDMPLUS model. In the convective boundary layer, plume rise is for estimates of particle concentrations superposed on the displacements by random when only exponential decay terms are used convective velocities.87 In AERMOD, plume for treating settling and deposition. rise is computed using the methods of Lagrangian models have varying degrees of Briggs, except in cases involving building complexity for dealing with settling and dep- downwash, in which a numerical solution of osition and the selection of a the mass, energy, and momentum conserva- parameterization for such should be included tion laws is performed.88 No explicit provi- in the approval process for selecting a sions in these models are made for Lagrangian model. Eulerian grid models multistack plume rise enhancement or the tend to have explicit parameterizations for handling of such special plumes as flares. gravitational settling and deposition as well b. Gradual plume rise is generally rec- as wet deposition parameters already in- ommended where its use is appropriate: (1) In cluded as part of the chemistry scheme. AERMOD; (2) in complex terrain screening

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procedures to determine close-in impacts; way links. Area, line or volume sources may and (3) when calculating the effects of build- be used for modeling mobile sources. How- ing wakes. The building wake algorithm in ever, experience in the field has shown that AERMOD incorporates and exercises the area sources may be easier to characterize thermodynamically based gradual plume rise correctly compared to volume sources. If calculations as described in paragraph (a) of volume sources are used, it is particularly this subsection. If the building wake is cal- important to ensure that roadway emissions culated to affect the plume for any hour, are appropriately spaced when using volume gradual plume rise is also used in downwind source so that the emissions field is uniform dispersion calculations to the distance of across the roadway. Additionally, receptor final plume rise, after which final plume rise placement is particularly important for vol- is used. Plumes captured by the near wake ume sources that have ‘‘exclusion zones’’ are re-emitted to the far wake as a ground- where concentrations are not calculated for level volume source. receptors located ‘‘within’’ the volume c. Stack tip downwash generally occurs sources, i.e., less than 2.15 times the initial with poorly constructed stacks and when the lateral dispersion coefficient from the center ratio of the stack exit velocity to wind speed of the volume.61 Placing receptors in these is small. An algorithm developed by Briggs 86 ‘‘exclusion zones’’ will result in underesti- is the recommended technique for this situa- mates of roadway impacts. tion and is used in preferred models for point sources. 8.0 MODEL INPUT DATA d. On a case-by-case basis, refinements to a. Databases and related procedures for es- the preferred model may be considered for timating input parameters are an integral plume rise and downwash effects and shall part of the modeling process. The most ap- occur in agreement with the appropriate re- propriate input data available should always viewing authority (paragraph 3.0(b)) and ap- be selected for use in modeling analyses. proval by the EPA Regional Office based on Modeled concentrations can vary widely de- the requirements of section 3.2.2. pending on the source data or meteorological 7.2.3 Mobile Sources data used. This section attempts to minimize the uncertainty associated with database se- a. Emissions of primary pollutants from lection and use by identifying requirements mobile sources can be modeled with an ap- for input data used in modeling. More spe- propriate model identified in section 4.2. cific data requirements and the format re- Screening of mobile sources can be accom- quired for the individual models are de- plished by using screening meteorology, e.g., scribed in detail in the user’s guide and/or worst-case meteorological conditions. Max- associated documentation for each model. imum hourly concentrations computed from screening modeling can be converted to 8.1 Modeling Domain longer averaging periods using the scaling ratios specified in the AERSCREEN User’s 8.1.1 Discussion Guide.37 a. The modeling domain is the geographic b. Mobile sources can be modeled in area for which the required air quality anal- AERMOD as either line (i.e., elongated area) yses for the NAAQS and PSD increments are sources or as a series of volume sources. conducted. However, since mobile source modeling usually includes an analysis of very near-source 8.1.2 Requirements impacts (e.g., hot-spot modeling, which can include receptors within 5–10 meters (m) of a. For a NAAQS or PSD increments assess- the roadway), the results can be highly sen- ment, the modeling domain or project’s im- sitive to the characterization of the mobile pact area shall include all locations where emissions. Important characteristics for the emissions of a pollutant from the new or both line/area and volume sources include modifying source(s) may cause a significant the plume release height, source width, and ambient impact. This impact area is defined initial dispersion characteristics, and should as an area with a radius extending from the also take into account the impact of traffic- new or modifying source to: (1) The most dis- induced turbulence that can cause roadway tant location where air quality modeling sources to have larger initial dimensions predicts a significant ambient impact will than might normally be used for rep- occur, or (2) the nominal 50 km distance con- resenting line sources. sidered applicable for Gaussian dispersion c. The EPA’s quantitative PM hot-spot models, whichever is less. The required air guidance 61 and Haul Road Workgroup Final quality analysis shall be carried out within Report63 provide guidance on the appropriate this geographical area with characterization characterization of mobile sources as a func- of source impacts, nearby source impacts, tion of the roadway and vehicle characteris- and background concentrations, as rec- tics. The EPA’s quantitative PM hot-spot ommended later in this section. guidance includes important considerations b. For SIP attainment demonstrations for and should be consulted when modeling road- ozone and PM2.5, or regional haze reasonable 623

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progress goal analyses, the modeling domain the median strip. Additionally, traffic pat- is determined by the nature of the problem terns should be taken into account (e.g., being modeled and the spatial scale of the daily cycles of rush hour, differences in emissions that impact the nonattainment or weekday and weekend traffic volumes, and Class I area(s). The modeling domain shall be changes in the distribution of heavy-duty designed so that all major upwind source trucks and light-duty passenger vehicles), as areas that influence the downwind non- these patterns will affect the types and attainment area are included in addition to amounts of pollutant emissions allocated to all monitor locations that are currently or each lane and the height of emissions. recently violating the NAAQS or close to d. Emission factors can be determined violating the NAAQS in the nonattainment through source-specific testing and measure- area. Similarly, all Class I areas to be evalu- ments (e.g., stack test data) from existing ated in a regional haze modeling application sources or provided from a manufacturing shall be included and sufficiently distant association or vendor. Additionally, emis- from the edge of the modeling domain. Guid- sions factors for a variety of source types are ance on the determination of the appropriate compiled in an EPA publication commonly modeling domain for photochemical grid known as AP–42.89 AP–42 also provides an in- models in demonstrating attainment of these dication of the quality and amount of data air quality goals is available.60 Users should on which many of the factors are based. consult the latest version of this guidance for the most current modeling guidance and Other information concerning emissions is the appropriate reviewing authority (para- available in EPA publications relating to graph 3.0(b)) for any application specific specific source categories. The appropriate guidance that is beyond the scope of this sec- reviewing authority (paragraph 3.0(b)) should tion. be consulted to determine appropriate source definitions and for guidance concerning the 8.2 Source Data determination of emissions from and techniques for modeling the various source types. 8.2.1 Discussion a. Sources of pollutants can be classified as 8.2.2 Requirements point, line, area, and volume sources. Point a. For SIP attainment demonstrations for sources are defined in terms of size and may the purpose of projecting future year NAAQS vary between regulatory programs. The line attainment for ozone, PM2.5, and regional sources most frequently considered are road- haze reasonable progress goal analyses, emis- ways and streets along which there are well- sions which reflect actual emissions during defined movements of motor vehicles. They the base modeling year time period should be may also be lines of roof vents or stacks, input to models for base year modeling. such as in aluminum refineries. Area and Emissions projections to future years should volume sources are often collections of a account for key variables such as growth due multitude of minor sources with individually to increased or decreased activity, expected small emissions that are impractical to con- emissions controls due to regulations, settle- sider as separate point or line sources. Large ment agreements or consent decrees, fuel area sources are typically treated as a grid switches, and any other relevant informa- network of square areas, with pollutant emissions distributed uniformly within each tion. Guidance on emissions estimation tech- grid square. Generally, input data require- niques (including future year projections) for ments for air quality models necessitate the SIP attainment demonstrations is avail- 60 90 use of metric units. As necessary, any able. English units common to engineering appli- b. For the purpose of SIP revisions for sta- cations should be appropriately converted to tionary point sources, the regulatory mod- metric. eling of inert pollutants shall use the emis- b. For point sources, there are many sions input data shown in Table 8–1 for short- source characteristics and operating condi- term and long-term NAAQS. To demonstrate tions that may be needed to appropriately compliance and/or establish the appropriate model the facility. For example, the plant SIP emissions limits, Table 8–1 generally layout (e.g., location of stacks and build- provides for the use of ‘‘allowable’’ emissions ings), stack parameters (e.g., height and di- in the regulatory dispersion modeling of the ameter), boiler size and type, potential oper- stationary point source(s) of interest. In ating conditions, and pollution control such modeling, these source(s) should be equipment parameters. Such details are re- modeled sequentially with these loads for quired inputs to air quality models and are every hour of the year. As part of a cumu- needed to determine maximum potential im- lative impact analysis, Table 8–1 allows for pacts. the model user to account for actual oper- c. Modeling mobile emissions from streets ations in developing the emissions inputs for and highways requires data on the road lay- dispersion modeling of nearby sources, while out, including the width of each traveled other sources are best represented by air lane, the number of lanes, and the width of quality monitoring data. Consultation with

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the appropriate reviewing authority (para- this load should be modeled. Where the graph 3.0(b)) is advisable on the establish- source operates at substantially less than de- ment of the appropriate emissions inputs for sign capacity, and the changes in the stack regulatory modeling applications with re- parameters associated with the operating spect to SIP revisions for stationary point conditions could lead to higher ground level sources. concentrations, loads such as 50 percent and c. For the purposes of demonstrating 75 percent of capacity should also be mod- NAAQS compliance in a PSD assessment, the eled. Malfunctions which may result in ex- regulatory modeling of inert pollutants shall cess emissions are not considered to be a use the emissions input data shown in Table normal operating condition. They generally 8–2 for short and long-term NAAQS. The new should not be considered in determining al- or modifying stationary point source shall be lowable emissions. However, if the excess modeled with ‘‘allowable’’ emissions in the emissions are the result of poor mainte- regulatory dispersion modeling. As part of a nance, careless operation, or other prevent- cumulative impact analysis, Table 8–2 allows able conditions, it may be necessary to con- for the model user to account for actual op- sider them in determining source impact. A erations in developing the emissions inputs range of operating conditions should be con- for dispersion modeling of nearby sources, sidered in screening analyses. The load caus- while other sources are best represented by ing the highest concentration, in addition to air quality monitoring data. For purposes of the design load, should be included in refined situations involving emissions trading, refer modeling. to current EPA policy and guidance to establish input data. Consultation with the appro- e. Emissions from mobile sources also have priate reviewing authority (paragraph 3.0(b)) physical and temporal characteristics that is advisable on the establishment of the ap- should be appropriately accounted. For ex- propriate emissions inputs for regulatory ample, an appropriate emissions model shall modeling applications with respect to PSD be used to determine emissions profiles. assessments for a proposed new or modifying Such emissions should include speciation source. specific for the vehicle types used on the d. For stationary source applications, roadway (e.g., light duty and heavy duty changes in operating conditions that affect trucks), and subsequent parameterizations of the physical emission parameters (e.g., re- the physical emissions characteristics (e.g., lease height, initial plume volume, and exit release height) should reflect those emis- velocity) shall be considered to ensure that sions sources. For long-term standards, an- maximum potential impacts are appro- nual average emissions may be appropriate, priately determined in the assessment. For but for short-term standards, discrete tem- example, the load or operating condition for poral representation of emissions should be point sources that causes maximum ground- used (e.g., variations in weekday and week- level concentrations shall be established. As end traffic or the diurnal rush-hour profile a minimum, the source should be modeled typical of many cities). Detailed information using the design capacity (100 percent load). and data requirements for modeling mobile If a source operates at greater than design sources of pollution are provided in the capacity for periods that could result in vio- user’s manuals for each of the models appli- lations of the NAAQS or PSD increments, cable to mobile sources.61 63

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8.3 Background Concentrations accounted for by explicitly modeling their emissions (section 8.2). 8.3.1 Discussion ii. Other sources: That portion of the background attributable to natural sources, other a. Background concentrations are essential unidentified sources in the vicinity of the in constructing the design concentration, or project, and regional transport contributions total air quality concentration, as part of a from more distant sources (domestic and cumulative impact analysis for NAAQS and international). The ambient contributions PSD increments (section 9.2.3). Background from these sources are typically accounted air quality should not include the ambient for through use of ambient monitoring data impacts of the project source under consider- or, in some cases, regional-scale photo- ation. Instead, it should include: chemical grid modeling results. i. Nearby sources: These are individual b. The monitoring network used for devel- sources located in the vicinity of the oping background concentrations is expected source(s) under consideration for emissions to conform to the same quality assurance limits that are not adequately represented and other requirements as those networks 91 by ambient monitoring data. Typically, established for PSD purposes. Accordingly, sources that cause a significant concentra- the air quality monitoring data should be of sufficient completeness and follow appro- tion gradient in the vicinity of the source(s) priate data validation procedures. These under consideration for emissions limits are data should be adequately representative of not adequately represented by background the area to inform calculation of the design ambient monitoring. The ambient contribu- concentration for comparison to the applications from these nearby sources are thereby ble NAAQS (section 9.2.2).

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c. For photochemical grid modeling con- itor-based background contribution to the ducted in SIP attainment demonstrations for modeled impact of the project and other ozone, PM2.5 and regional haze, the emissions nearby sources. For many cases, the best from nearby and other sources are included starting point would be use of the current as model inputs and fully accounted for in design value for the applicable NAAQS as a the modeling application and predicted con- uniform monitored background contribution centrations. The concept of adding indi- across the project area. However, there are vidual components to develop a design con- cases in which the current design value may centration, therefore, do not apply in these not be appropriate. Such cases include but SIP applications. However, such modeling are not limited to: results may then be appropriate for consider- i. For situations involving a modifying ation in characterizing background con- source where the existing facility is deter- centrations for other regulatory applica- mined to impact the ambient monitor, the tions. Also, as noted in section 5, this mod- background concentration at each monitor eling approach does provide for an appro- can be determined by excluding values when priate atmospheric environment to assess the source in question is impacting the mon- single-source impacts for ozone and sec- itor. In such cases, monitoring sites inside a ondary PM2.5. 90° sector downwind of the source may be d. For NAAQS assessments and SIP attain- used to determine the area of impact. ment demonstrations for inert pollutants, ii. There may be other circumstances the development of the appropriate back- which would necessitate modifications to the ground concentration for a cumulative im- ambient data record. Such cases could in- pact analysis involves proper accounting of clude removal of data from specific days or each contribution to the design concentra- hours when a monitor is being impacted by tion and will depend upon whether the activities that are not typical or not ex- project area’s situation consists of either an pected to occur again in the future (e.g., con- isolated single source(s) or a multitude of struction, roadway repairs, forest fires, or sources. For PSD increment assessments, all unusual agricultural activities). There may impacts after the appropriate baseline dates also be cases where it may be appropriate to (i.e., trigger date, major source baseline date, scale (multiplying the monitored concentra- and minor source baseline date) from all in- tions with a scaling factor) or adjust (adding crement-consuming and increment-expand- or subtracting a constant value the mon- ing sources should be considered in the de- itored concentrations) data from specific sign concentration (section 9.2.2). days or hours. Such adjustments would make the monitored background concentrations 8.3.2 Recommendations for Isolated Single more temporally and/or spatially representa- Sources tive of the area around the new or modifying a. In areas with an isolated source(s), de- source for the purposes of the regulatory as- termining the appropriate background con- sessment. centration should focus on characterization iii. For short-term standards, the diurnal of contributions from all other sources or seasonal patterns of the air quality moni- through adequately representative ambient toring data may differ significantly from the monitoring data. patterns associated with the modeled con- b. The EPA recommends use of the most centrations. When this occurs, it may be ap- recent quality assured air quality moni- propriate to pair the air quality monitoring toring data collected in the vicinity of the data in a temporal manner that reflects source to determine the background con- these patterns (e.g., pairing by season and/or centration for the averaging times of con- hour of day).92 cern. In most cases, the EPA recommends iv. For situations where monitored air using data from the monitor closest to and quality concentrations vary across the mod- upwind of the project area. If several mon- eling domain, it may be appropriate to con- itors are available, preference should be sider air quality monitoring data from mul- given to the monitor with characteristics tiple monitors within the project area. that are most similar to the project area. If d. Determination of the appropriate back- there are no monitors located in the vicinity ground concentrations should be consistent of the new or modifying source, a ‘‘regional with appropriate EPA modeling guidance 59 60 site’’ may be used to determine background and justified in the modeling protocol that is concentrations. A regional site is one that is vetted with the appropriate reviewing au- located away from the area of interest but is thority (paragraph 3.0(b)). impacted by similar or adequately represent- e. Considering the spatial and temporal ative sources. variability throughout a typical modeling c. Many of the challenges related to cumu- domain on an hourly basis and the complex- lative impact analyses arise in the context of ities and limitations of hourly observations defining the appropriate metric to charac- from the ambient monitoring network, the terize background concentrations from am- EPA does not recommend hourly or daily bient monitoring data and determining the pairing of monitored background and mod- appropriate method for combining this mon- eled concentrations except in rare cases of

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relatively isolated sources where the avail- hourly averages. The spatial distribution of able monitor can be shown to be representa- annual impacts around a source will often tive of the ambient concentration levels in have a single peak downwind of the source the areas of maximum impact from the pro- based on the prevailing wind direction, exposed new source. The implicit assumption cept in cases where terrain or other geo- underlying hourly pairing is that the back- graphic effects are important. By contrast, ground monitored levels for each hour are the spatial distribution of peak short-term spatially uniform and that the monitored impacts will typically show several localized values are fully representative of back- concentration peaks with more significant ground levels at each receptor for each hour. gradient. Such an assumption clearly ignores the ii. Concentration gradients associated with many factors that contribute to the tem- a particular source will generally be largest poral and spatial variability of ambient con- between that source’s location and the dis- centrations across a typical modeling do- tance to the maximum ground-level con- main on an hourly basis. In most cases, the centrations from that source. Beyond the seasonal (or quarterly) pairing of monitored maximum impact distance, concentration and modeled concentrations should suffi- gradients will generally be much smaller and ciently address situations to which the im- more spatially uniform. Thus, the magnitude pacts from modeled emissions are not tem- of a concentration gradient will be greatest porally correlated with background monin the proximity of the source and will gen- itored levels. erally not be significant at distances greater f. In those cases where adequately rep- than 10 times the height of the stack(s) at resentative monitoring data to characterize that source without consideration of terrain background concentrations are not avail- influences. able, it may be appropriate to use results iii. The number of nearby sources to be ex- from a regional-scale photochemical grid plicitly modeled in the air quality analysis model, or other representative model appli- is expected to be few except in unusual situa- cation, as background concentrations consistent with the considerations discussed tions. In most cases, the few nearby sources above and in consultation with the appro- will be located within the first 10 to 20 km priate reviewing authority (paragraph 3.0(b)). from the source(s) under consideration. Owing to both the uniqueness of each mod- 8.3.3 Recommendations for Multi-Source eling situation and the large number of vari- Areas ables involved in identifying nearby sources, no attempt is made here to comprehensively a. In multi-source areas, determining the define a ‘‘significant concentration gra- appropriate background concentration in- dient.’’ Rather, identification of nearby volves: (1) Identification and characteriza- sources calls for the exercise of professional tion of contributions from nearby sources judgment by the appropriate reviewing au- through explicit modeling, and (2) character- thority (paragraph 3.0(b)). This guidance is ization of contributions from other sources not intended to alter the exercise of that through adequately representative ambient judgment or to comprehensively prescribe monitoring data. A key point here is the which sources should be included as nearby interconnectedness of each component in sources. that the question of which nearby sources to include in the cumulative modeling is inex- c. For cumulative impact analyses of tricably linked to the question of what the short-term and annual ambient standards, ambient monitoring data represents within the nearby sources as well as the project the project area. source(s) must be evaluated using an appro- b. Nearby sources: All sources in the vicin- priate appendix A model or approved alter- ity of the source(s) under consideration for native model with the emission input data emissions limits that are not adequately rep- shown in Table 8–1 or 8–2. resented by ambient monitoring data should i. When modeling a nearby source that be explicitly modeled. Since an ambient does not have a permit and the emissions monitor is limited to characterizing air limits contained in the SIP for a particular quality at a fixed location, sources that source category is greater than the emis- cause a significant concentration gradient in sions possible given the source’s maximum the vicinity of the source(s) under consider- physical capacity to emit, the ‘‘maximum al- ation for emissions limits are not likely to lowable emissions limit’’ for such a nearby be adequately characterized by the mon- source may be calculated as the emissions itored data due to the high degree of varia- rate representative of the nearby source’s bility of the source’s impact. maximum physical capacity to emit, consid- i. The pattern of concentration gradients ering its design specifications and allowable can vary significantly based on the aver- fuels and process materials. However, the aging period being assessed. In general, con- burden is on the permit applicant to suffi- centration gradients will be smaller and ciently document what the maximum phys- more spatially uniform for annual averages ical capacity to emit is for such a nearby than for short-term averages, especially for source.

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ii. It is appropriate to model nearby teorological monitoring site to the area sources only during those times when they, under consideration; (2) the complexity of by their nature, operate at the same time as the terrain; (3) the exposure of the meteoro- the primary source(s) or could have impact logical monitoring site; and (4) the period of on the averaging period of concern. Accord- time during which data are collected. The ingly, it is not necessary to model impacts of spatial representativeness of the data can be a nearby source that does not, by its nature, adversely affected by large distances be- operate at the same time as the primary tween the source and receptors of interest source or could have impact on the aver- and the complex topographic characteristics aging period of concern, regardless of an of the area. Temporal representativeness is a identified significant concentration gradient function of the year-to-year variations in from the nearby source. The burden is on the weather conditions. Where appropriate, data permit applicant to adequately justify the representativeness should be viewed in terms exclusion of nearby sources to the satisfac- of the appropriateness of the data for con- tion of the appropriate reviewing authority structing realistic boundary layer profiles (paragraph 3.0(b)). The following examples il- and, where applicable, three-dimensional me- lustrate two cases in which a nearby source teorological fields, as described in para- may be shown not to operate at the same graphs (c) and (d) of this subsection. time as the primary source(s) being modeled: c. The meteorological data should be ade- (1) Seasonal sources (only used during cer- quately representative and may be site-spe- tain seasons of the year). Such sources would cific data, data from a nearby National not be modeled as nearby sources during Weather Service (NWS) or comparable sta- times in which they do not operate; and (2) tion, or prognostic meteorological data. The Emergency backup generators, to the extent implementation of NWS Automated Surface that they do not operate simultaneously Observing Stations (ASOS) in the early 1990’s with the sources that they back up. Such should not preclude the use of NWS ASOS emergency equipment would not be modeled data if such a station is determined to be as nearby sources. representative of the modeled area.93 d. Other sources. That portion of the back- d. Model input data are normally obtained ground attributable to all other sources (e.g., either from the NWS or as part of a site-spe- natural sources, minor and distant major cific measurement program. State clima- sources) should be accounted for through use tology offices, local universities, FAA, mili- of ambient monitoring data and determined tary stations, industry, and pollution con- by the procedures found in section 8.3.2 in trol agencies may also be sources of such keeping with eliminating or reducing the data. In specific cases, prognostic meteoro- source-oriented impacts from nearby sources logical data may be appropriate for use and to avoid potential double-counting of mod- obtained from similar sources. Some rec- eled and monitored contributions. ommendations and requirements for the use 8.4 Meteorological Input Data of each type of data are included in this subsection. 8.4.1 Discussion 8.4.2 Recommendations and Requirements a. This subsection covers meteorological input data for use in dispersion modeling for a. AERMET 94 shall be used to preprocess regulatory applications and is separate from all meteorological data, be it observed or recommendations made for photochemical prognostic, for use with AERMOD in regu- grid modeling. Recommendations for mete- latory applications. The AERMINUTE 95 orological data for photochemical grid mod- processor, in most cases, should be used to eling applications are outlined in the latest process 1-minute ASOS wind data for input version of EPA’s Modeling Guidance for Dem- to AERMET when processing NWS ASOS onstrating Attainment of Air Quality Goals for sites in AERMET. When processing prog- 60 Ozone, PM2.5, and Regional Haze. In cases nostic meteorological data for AERMOD, the where Lagrangian models are applied for reg- Mesoscale Model Interface Program ulatory purposes, appropriate meteorological (MMIF) 103 should be used to process data for inputs should be determined in consultation input to AERMET. Other methods of proc- with the appropriate reviewing authority essing prognostic meteorological data for (paragraph 3.0(b)). input to AERMET should be approved by the b. The meteorological data used as input to appropriate reviewing authority. Addition- a dispersion model should be selected on the ally, the following meteorological basis of spatial and climatological (tem- preprocessors are recommended by the EPA: poral) representativeness as well as the abil- PCRAMMET,96 MPRM,97 and METPRO.98 ity of the individual parameters selected to PCRAMMET is the recommended meteoro- characterize the transport and dispersion logical data preprocessor for use in applica- conditions in the area of concern. The rep- tions of OCD employing hourly NWS data. resentativeness of the measured data is de- MPRM is the recommended meteorological pendent on numerous factors including, but data preprocessor for applications of OCD not limited to: (1) The proximity of the me- employing site-specific meteorological data.

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METPRO is the recommended meteorolog- essed through PCRAMMET 96 or MPRM,97 ical data preprocessor for use with that provides hourly stability class, wind di- CTDMPLUS.99 rection and speed, ambient temperature, and b. Regulatory application of AERMOD ne- mixing height, are required. Data over water cessitates careful consideration of the mete- requires hourly mixing height, relative hu- orological data for input to AERMET. Data midity, air temperature, and water surface representativeness, in the case of AERMOD, temperature. Missing winds are substituted means utilizing data of an appropriate type with the surface winds. Vertical wind direc- for constructing realistic boundary layer tion shear, vertical temperature gradient, profiles. Of particular importance is the re- and turbulence intensities are optional. quirement that all meteorological data used e. The model user should acquire enough as input to AERMOD should be adequately meteorological data to ensure that worst- representative of the transport and disper- case meteorological conditions are ade- sion within the analysis domain. Where surface conditions vary significantly over the quately represented in the model results. analysis domain, the emphasis in assessing The use of 5 years of adequately representa- representativeness should be given to ade- tive NWS or comparable meteorological quate characterization of transport and dis- data, at least 1 year of site-specific, or at persion between the source(s) of concern and least 3 years of prognostic meteorological areas where maximum design concentrations data, are required. If 1 year or more, up to 5 are anticipated to occur. The EPA rec- years, of site-specific data are available, ommends that the surface characteristics these data are preferred for use in air quality input to AERMET should be representative analyses. Depending on completeness of the of the land cover in the vicinity of the mete- data record, consecutive years of NWS, site- orological data, i.e., the location of the mete- specific, or prognostic data are preferred. orological tower for measured data or the Such data must be subjected to quality as- representative grid cell for prognostic data. surance procedures as described in section Therefore, the model user should apply the 8.4.4.2. latest version AERSURFACE,100 101 where ap- f. Objective analysis in meteorological plicable, for determining surface characteris- modeling is to improve meteorological anal- tics when processing measured meteorolog- yses (the ‘‘first guess field’’) used as initial ical data through AERMET. In areas where conditions for prognostic meteorological it is not possible to use AERSURFACE out- models by incorporating information from put, surface characteristics can be deter- meteorological observations. Direct and in- mined using techniques that apply the same direct (using remote sensing techniques) ob- analysis as AERSURFACE. In the case of servations of temperature, humidity, and prognostic meteorological data, the surface wind from surface and radiosonde reports are characteristics associated with the prog- commonly employed to improve these anal- nostic meteorological model output for the ysis fields. For long-range transport applica- representative grid cell should be used.102 103 tions, it is recommended that objective anal- Furthermore, since the spatial scope of each ysis procedures, using direct and indirect variable could be different, representative- meteorological observations, be employed in ness should be judged for each variable sepa- preparing input fields to produce prognostic rately. For example, for a variable such as meteorological datasets. The length of wind direction, the data should ideally be record of observations should conform to rec- collected near plume height to be adequately ommendations outlined in paragraph 8.4.2(e) representative, especially for sources located for prognostic meteorological model in complex terrain. Whereas, for a variable datasets. such as temperature, data from a station several kilometers away from the source 8.4.3 National Weather Service Data may be considered to be adequately representative. More information about mete- 8.4.3.1 Discussion orological data, representativeness, and surface characteristics can be found in the a. The NWS meteorological data are rou- AERMOD Implementation Guide.76 tinely available and familiar to most model c. Regulatory application of CTDMPLUS users. Although the NWS does not provide requires the input of multi-level measure- direct measurements of all the needed dis- ments of wind speed, direction, temperature, persion model input variables, methods have and turbulence from an appropriately sited been developed and successfully used to meteorological tower. The measurements translate the basic NWS data to the needed should be obtained up to the representative model input. Site-specific measurements of plume height(s) of interest. Plume heights of model input parameters have been made for interest can be determined by use of screen- many modeling studies, and those methods ing procedures such as CTSCREEN. and techniques are becoming more widely d. Regulatory application of OCD requires applied, especially in situations such as com- meteorological data over land and over plex terrain applications, where available water. The over land or surface data, proc- NWS data are not adequately representative.

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However, there are many modeling applica- rection when processing NWS ASOS data for tions where NWS data are adequately rep- input to AERMOD.93 resentative and the applications still rely e. Data from universities, FAA, military heavily on the NWS data. stations, industry and pollution control b. Many models use the standard hourly agencies may be used if such data are equiva- weather observations available from the Na- lent in accuracy and detail (e.g., siting cri- tional Centers for Environmental Informa- teria, frequency of observations, data com- tion (NCEI).b These observations are then pleteness, etc.) to the NWS data, they are preprocessed before they can be used in the judged to be adequately representative for models. Prior to the advent of ASOS in the the particular application, and have under- early 1990’s, the standard ‘‘hourly’’ weather gone quality assurance checks. observation was a human-based observation f. After valid data retrieval requirements reflecting a single 2-minute average gen- have been met,107 large number of hours in erally taken about 10 minutes before the the record having missing data should be hour. However, beginning in January 2000 for treated according to an established data sub- first-order stations and in March 2005 for all stitution protocol provided that adequately stations, the NCEI has archived the 1-minute representative alternative data are avail- ASOS wind data (i.e., the rolling 2-minute able. Data substitution guidance is provided average winds) for the NWS ASOS sites. The in section 5.3 of reference.107 If no representa- AERMINUTE processor 95 was developed to tive alternative data are available for substi- reduce the number of calm and missing tution, the absent data should be coded as hours in AERMET processing by sub- missing using missing data codes appropriate stituting standard hourly observations with to the applicable meteorological pre-proc- full hourly average winds calculated from 1- essor. Appropriate model options for treating minute ASOS wind data. missing data, if available in the model, should be employed. 8.4.3.2 Recommendations 8.4.4 Site-Specific Data a. The preferred models listed in appendix A all accept, as input, the NWS meteorolog- 8.4.4.1 Discussion ical data preprocessed into model compatible form. If NWS data are judged to be ade- a. Spatial or geographical representativeness is best achieved by collection of all of quately representative for a specific mod- the needed model input data in close prox- eling application, they may be used. The imity to the actual site of the source(s). NCEI makes available surface 104 105 and Site-specific measured data are, therefore, upper air 106 meteorological data online and preferred as model input, provided that ap- in CD–ROM format. Upper air data are also propriate instrumentation and quality assur- available at the Earth System Research Lab- ance procedures are followed, and that the oratory Global Systems Divisions Web site data collected are adequately representative (http://esrl.noaa.gov/gsd). (free from inappropriate local or microscale b. Although most NWS wind measurements influences) and compatible with the input re- are made at a standard height of 10 m, the quirements of the model to be used. It should actual anemometer height should be used as be noted that, while site-specific measure- input to the preferred meteorological proc- ments are frequently made ‘‘on-property’’ essor and model. (i.e., on the source’s premises), acquisition of c. Standard hourly NWS wind directions adequately representative site-specific data are reported to the nearest 10 degrees. Due to does not preclude collection of data from a the coarse resolution of these data, a specific location off property. Conversely, collection set of randomly generated numbers has been of meteorological data on a source’s property developed by the EPA and should be used does not of itself guarantee adequate rep- when processing standard hourly NWS data resentativeness. For help in determining rep- for use in the preferred EPA models to en- resentativeness of site-specific measure- sure a lack of bias in wind direction assign- ments, technical guidance 107 is available. ments within the models. Site-specific data should always be reviewed d. Beginning with year 2000, NCEI began for representativeness and adequacy by an archiving 2-minute winds, reported every experienced meteorologist, atmospheric sci- minute to the nearest degree for NWS ASOS entist, or other qualified scientist in con- sites. The AERMINUTE processor was devel- sultation with the appropriate reviewing au- oped to read those winds and calculate hour- thority (paragraph 3.0(b)). ly average winds for input to AERMET. When such data are available for the NWS 8.4.4.2 Recommendations ASOS site being processed, the AERMINUTE a. The EPA guidance 107 provides rec- processor should be used, in most cases, to ommendations on the collection and use of calculate hourly average wind speed and di- site-specific meteorological data. Rec- ommendations on characteristics, siting, and b Formerly the National Climatic Data exposure of meteorological instruments and Center (NCDC). on data recording, processing, completeness

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requirements, reporting, and archiving are measurements are used, AERMOD, at a min- also included. This publication should be imum, requires wind observations at a used as a supplement to other limited guid- height above ground between seven times the ance on these subjects.5 91 108 109 Detailed in- local surface roughness height and 100 m. formation on quality assurance is also avail- (For additional requirements for AERMOD able.110 As a minimum, site-specific measure- and CTDMPLUS, see appendix A.) Specifica- ments of ambient air temperature, transport tions for wind measuring instruments and wind speed and direction, and the variables systems are contained in reference 107. necessary to estimate atmospheric disper- b. All processed site-specific data should be sion should be available in meteorological in the form of hourly averages for input to datasets to be used in modeling. Care should the dispersion model. be taken to ensure that meteorological in- i. Turbulence data. There are several disper- struments are located to provide an ade- sion models that are capable of using direct quately representative characterization of measurements of turbulence (wind fluctua- pollutant transport between sources and re- tions) in the characterization of the vertical ceptors of interest. The appropriate review- and lateral dispersion (e.g., CTDMPLUS or ing authority (paragraph 3.0(b)) is available AERMOD). When turbulence data are used to to help determine the appropriateness of the directly characterize the vertical and lateral measurement locations. dispersion, the averaging time for the turbu- i. Solar radiation measurements. Total solar lence measurements should be 1 hour. For radiation or net radiation should be meas- technical guidance on processing of turbu- ured with a reliable pyranometer or net radi- lence parameters for use in dispersion mod- ometer sited and operated in accordance eling, refer to the user’s guide to the mete- with established site-specific meteorological orological processor for each model (see sec- guidance.107 110 tion 8.4.2(a)). ii. Temperature measurements. Temperature ii. Stability categories. For dispersion mod- measurements should be made at standard els that employ P–G stability categories for shelter height (2m) in accordance with estab- the characterization of the vertical and lat- lished site-specific meteorological guid- eral dispersion, the P–G stability categories, ance.107 as originally defined, couple near-surface iii. Temperature difference measurements. measurements of wind speed with subjec- Temperature difference (DT) measurements tively determined insolation assessments should be obtained using matched thermom- based on hourly cloud cover and ceiling eters or a reliable thermocouple system to height observations. The wind speed meas- achieve adequate accuracy. Siting, probe urements are made at or near 10 m. The inso- placement, and operation of DT systems lation rate is typically assessed using obser- should be based on guidance found in Chap- vations of cloud cover and ceiling height ter 3 of reference 107 and such guidance based on criteria outlined by Turner.72 It is should be followed when obtaining vertical recommended that the P–G stability cat- temperature gradient data. AERMET may egory be estimated using the Turner method employ the Bulk Richardson scheme, which with site-specific wind speed measured at or requires measurements of temperature dif- near 10 m and representative cloud cover and ference, in lieu of cloud cover or insolation ceiling height. Implementation of the Turner data. To ensure correct application and ac- method, as well as considerations in deter- ceptance, AERMOD users should consult mining representativeness of cloud cover and with the appropriate reviewing authority ceiling height in cases for which site-specific (paragraph 3.0(b)) before using the Bulk cloud observations are unavailable, may be Richardson scheme for their analysis. found in section 6 of reference 107. In the ab- iv. Wind measurements. For simulation of sence of requisite data to implement the plume rise and dispersion of a plume emitted Turner method, the solar radiation/delta-T from a stack, characterization of the wind (SRDT) method or wind fluctuation statis- profile up through the layer in which the tics (i.e., the sE and sA methods) may be plume disperses is desirable. This is espe- used. cially important in complex terrain and/or iii. The SRDT method, described in section complex wind situations where wind meas- 6.4.4.2 of reference 107, is modified slightly urements at heights up to hundreds of me- from that published from earlier work111 and ters above stack base may be required in has been evaluated with three site-specific some circumstances. For tall stacks when databases.112 The two methods of stability site-specific data are needed, these winds classification that use wind fluctuation sta- have been obtained traditionally using mete- tistics, the sE and sA methods, are also de- orological sensors mounted on tall towers. A scribed in detail in section 6.4.4 of reference feasible alternative to tall towers is the use 107 (note applicable tables in section 6). For of meteorological remote sensing instru- additional information on the wind fluctua- ments (e.g., acoustic sounders or radar wind tion methods, several references are avail- profilers) to provide winds aloft, coupled able.113 114 115 116 with 10-meter towers to provide the near-sur- c. Missing data substitution. After valid data face winds. Note that when site-specific wind retrieval requirements have been met,107

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hours in the record having missing data completed.60 The use of output from prog- should be treated according to an established nostic mesoscale meteorological models is data substitution protocol provided that ade- contingent upon the concurrence with the quately representative alternative data are appropriate reviewing authority (paragraph available. Such protocols are usually part of 3.0(b)) that the data are of acceptable qual- the approved monitoring program plan. Data ity, which can be demonstrated through sta- substitution guidance is provided in section tistical comparisons with meteorological ob- 5.3 of reference 107. If no representative al- servations aloft and at the surface at several ternative data are available for substitution, appropriate locations.60 the absent data should be coded as missing, b. Representativeness. When processing using missing data codes appropriate to the MMIF data for use with AERMOD, the grid applicable meteorological pre-processor. Ap- cell used for the dispersion modeling should propriate model options for treating missing be adequately spatially representative of the data, if available in the model, should be em- analysis domain. In most cases, this may be ployed. the grid cell containing the emission source of interest. Since the dispersion modeling 8.4.5 Prognostic Meteorological Data may involve multiple sources and the domain may cover several grid cells, depending 8.4.5.1 Discussion on grid resolution of the prognostic model, a. For some modeling applications, there professional judgment may be needed to se- may not be a representative NWS or com- lect the appropriate grid cell to use. In such parable meteorological station available cases, the selected grid cells should be ade- (e.g., complex terrain), and it may be cost quately representative of the entire domain. prohibitive or infeasible to collect ade- c. Grid resolution. The grid resolution of the quately representative site-specific data. For prognostic meteorological data should be these cases, it may be appropriate to use considered and evaluated appropriately, par- prognostic meteorological data, if deemed ticularly for projects involving complex ter- adequately representative, in a regulatory rain. The operational evaluation of the mod- modeling application. However, if prognostic eling data should consider whether a finer meteorological data are not representative grid resolution is needed to ensure that the of transport and dispersion conditions in the data are representative. The use of output area of concern, the collection of site-spe- from prognostic mesoscale meteorological cific data is necessary. models is contingent upon the concurrence b. The EPA has developed a processor, the with the appropriate reviewing authority MMIF,102 to process MM5 (Mesoscale Model (paragraph 3.0(b)) that the data are of ac- 5) or WRF (Weather Research and Fore- ceptable quality. casting) model data for input to various models including AERMOD. MMIF can proc- 8.4.6 Treatment of Near-Calms and Calms ess data for input to AERMET or AERMOD for a single grid cell or multiple grid cells. 8.4.6.1 Discussion MMIF output has been found to compare fa- a. Treatment of calm or light and variable vorably against observed data (site-specific wind poses a special problem in modeling ap- or NWS).117 Specific guidance on processing plications since steady-state Gaussian plume MMIF for AERMOD can be found in ref- models assume that concentration is in- erence 103. When using MMIF to process versely proportional to wind speed, depend- prognostic data for regulatory applications, ing on model formulations. Procedures have the data should be processed to generate been developed to prevent the occurrence of AERMET inputs and the data subsequently overly conservative concentration estimates processed through AERMET for input to during periods of calms. These procedures ac- AERMOD. If an alternative method of proc- knowledge that a steady-state Gaussian essing data for input to AERMET is used, it plume model does not apply during calm must be approved by the appropriate review- conditions, and that our knowledge of wind ing authority (paragraph 3.0(b)). patterns and plume behavior during these conditions does not, at present, permit the 8.4.5.2 Recommendations development of a better technique. There- a. Prognostic model evaluation. Appropriate fore, the procedures disregard hours that are effort by the applicant should be devoted to identified as calm. The hour is treated as the process of evaluating the prognostic me- missing and a convention for handling miss- teorological data. The modeling data should ing hours is recommended. With the advent be compared to NWS observational data or of the AERMINUTE processor, when proc- other comparable data in an effort to show essing NWS ASOS data, the inclusion of that the data are adequately replicating the hourly averaged winds from AERMINUTE observed meteorological conditions of the will, in some instances, dramatically reduce time periods modeled. An operational eval- the number of calm and missing hours, espe- uation of the modeling data for all model cially when the ASOS wind are derived from years (i.e., statistical, graphical) should be a sonic anemometer. To alleviate concerns

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about these issues, especially those intro- long averaging periods. The standard steady- duced with AERMINUTE, the EPA imple- state Gaussian plume models are often not mented a wind speed threshold in AERMET applicable to such situations. When stagna- for use with ASOS derived winds.93 94 Winds tion conditions are of concern, other mod- below the threshold will be treated as calms. eling techniques should be considered on a b. AERMOD, while fundamentally a case-by-case basis (see also section 7.2.1.2). steady-state Gaussian plume model, contains c. When used in steady-state Gaussian algorithms for dealing with low wind speed plume models other than AERMOD, meas- (near calm) conditions. As a result, ured site-specific wind speeds of less than 1 AERMOD can produce model estimates for m/s but higher than the response threshold conditions when the wind speed may be less of the instrument should be input as 1 m/s; than 1m/s, but still greater than the instrument threshold. Required input to AERMET the corresponding wind direction should also for site-specific data, the meteorological be input. Wind observations below the re- processor for AERMOD, includes a threshold sponse threshold of the instrument should be wind speed and a reference wind speed. The set to zero, with the input file in ASCII for- threshold wind speed is the greater of the mat. For input to AERMOD, no such adjust- threshold of the instrument used to collect ment should be made to the site-specific the wind speed data or wind direction sen- wind data, as AERMOD has algorithms to ac- sor.107 The reference wind speed is selected count for light or variable winds as discussed by the model as the lowest level of non-miss- in section 8.4.6.1(a). For NWS ASOS data, es- ing wind speed and direction data where the pecially data using the 1-minute ASOS speed is greater than the wind speed thresh- winds, a wind speed threshold option is al- old, and the height of the measurement is be- lowed with a recommended speed of 0.5 m/s.93 tween seven times the local surface rough- When using prognostic data processed by ness length and 100 m. If the only valid ob- MMIF, a 0.5 m/s threshold is also invoked by servation of the reference wind speed be- MMIF for input to AERMET. Observations tween these heights is less than the thresh- with wind speeds less than the threshold are old, the hour is considered calm, and no con- considered calm, and no concentration is cal- centration is calculated. None of the ob- culated. In all cases involving steady-state served wind speeds in a measured wind pro- Gaussian plume models, calm hours should file that are less than the threshold speed be treated as missing, and concentrations are used in construction of the modeled wind should be calculated as in paragraph (a) of speed profile in AERMOD. this subsection. 8.4.6.2 Recommendations 9.0 REGULATORY APPLICATION OF MODELS a. Hourly concentrations calculated with steady-state Gaussian plume models using 9.1 Discussion calms should not be considered valid; the wind and concentration estimates for these a. Standardized procedures are valuable in hours should be disregarded and considered the review of air quality modeling and data to be missing. Model predicted concentra- analyses conducted to support SIP submit- tions for 3-, 8-, and 24-hour averages should tals and revisions, NSR, or other EPA re- be calculated by dividing the sum of the quirements to ensure consistency in their hourly concentrations for the period by the regulatory application. This section rec- number of valid or non-missing hours. If the ommends procedures specific to NSR that fa- total number of valid hours is less than 18 cilitate some degree of standardization while for 24-hour averages, less than 6 for 8-hour at the same time allowing the flexibility averages, or less than 3 for 3-hour averages, needed to assure the technically best anal- the total concentration should be divided by ysis for each regulatory application. For SIP 18 for the 24-hour average, 6 for the 8-hour attainment demonstrations, refer to the ap- average, and 3 for the 3-hour average. For propriate EPA guidance 51 60 for the rec- annual averages, the sum of all valid hourly ommended procedures. concentrations is divided by the number of b. Air quality model estimates, especially non-calm hours during the year. AERMOD with the support of measured air quality has been coded to implement these instruc- data, are the preferred basis for air quality tions. For hours that are calm or missing, demonstrations. A number of actions have the AERMOD hourly concentrations will be been taken to ensure that the best air qual- zero. For other models listed in appendix A, a post-processor computer program, ity model is used correctly for each regu- CALMPRO 118 has been prepared, is available latory application and that it is not arbi- on the EPA’s SCRAM Web site (section 2.3), trarily imposed. and should be used. • First, the Guideline clearly recommends b. Stagnant conditions that include ex- that the most appropriate model be used in tended periods of calms often produce high each case. Preferred models are identified, concentrations over wide areas for relatively based on a number of factors, for many uses.

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• Second, the preferred models have been PSD permitting, and particularly for esti- subjected to a systematic performance eval- mating design concentration(s), appro- uation and a scientific peer review. Statis- priately comparing these estimates to tical performance measures, including meas- NAAQS and PSD increments, and developing ures of difference (or residuals) such as bias, emissions limits. This section also provides variance of difference and gross variability the criteria necessary for considering use of of the difference, and measures of correla- an analysis based on measured ambient data tion such as time, space, and time and space in lieu of modeling as the sole basis for dem- combined, as described in section 2.1.1, were onstrating compliance with NAAQS and PSD generally followed. increments. • Third, more specific information has been provided for considering the incorpora- 9.2 Recommendations tion of new models into the Guideline (sec- 9.2.1 Modeling Protocol tion 3.1), and the Guideline contains procedures for justifying the case-by-case use of a. Every effort should be made by the ap- alternative models and obtaining EPA appropriate reviewing authority (paragraph proval (section 3.2). 3.0(b)) to meet with all parties involved in ei- c. Air quality modeling is the preferred ther a SIP submission or revision or a PSD basis for air quality demonstrations. Never- permit application prior to the start of any theless, there are rare circumstances where work on such a project. During this meeting, the performance of the preferred air quality a protocol should be established between the model may be shown to be less than reason- preparing and reviewing parties to define the ably acceptable or where no preferred air procedures to be followed, the data to be col- quality model, screening model or technique, lected, the model to be used, and the anal- or alternative model are suitable for the sit- ysis of the source and concentration data to uation. In these unique instances, there is be performed. An example of the content for the possibility of assuring compliance and such an effort is contained in the Air Quality establishing emissions limits for an existing Analysis Checklist posted on the EPA’s source solely on the basis of observed air SCRAM Web site (section 2.3). This checklist quality data in lieu of an air quality mod- suggests the appropriate level of detail to as- eling analysis. Comprehensive air quality sess the air quality resulting from the pro- monitoring in the vicinity of the existing posed action. Special cases may require addi- source with proposed modifications will be tional data collection or analysis and this necessary in these cases. The same attention should be determined and agreed upon at the should be given to the detailed analyses of pre-application meeting. The protocol should the air quality data as would be applied to a be written and agreed upon by the parties model performance evaluation. concerned, although it is not intended that d. The current levels and forms of the this protocol be a binding, formal legal docu- NAAQS for the six criteria pollutants can be ment. Changes in such a protocol or devi- found on the EPA’s NAAQS Web site at ations from the protocol are often necessary https://www.epa.gov/criteria-air-pollutants. As as the data collection and analysis pro- required by the CAA, the NAAQS are sub- gresses. However, the protocol establishes a jected to extensive review every 5 years and common understanding of how the dem- the standards, including the level and the onstration required to meet regulatory re- form, may be revised as part of that review. quirements will be made. The criteria pollutants have either long- term (annual or quarterly) and/or short-term 9.2.2 Design Concentration and Receptor (24-hour or less) forms that are not to be ex- Sites ceeded more than a certain frequency over a a. Under the PSD permitting program, an period of time (e.g., no exceedance on a roll- air quality analysis for criteria pollutants is ing 3-month average, no more than once per required to demonstrate that emissions from year, or no more than once per year averaged the construction or operation of a proposed over 3 years), are averaged over a period of new source or modification will not cause or time (e.g., an annual mean or an annual contribute to a violation of the NAAQS or mean averaged over 3 years), or are some PSD increments. percentile that is averaged over a period of i. For a NAAQS assessment, the design time (e.g., annual 99th or 98th percentile concentration is the combination of the ap- averaged over 3 years). The 3-year period for propriate background concentration (section ambient monitoring design values does not 8.3) with the estimated modeled impact of dictate the length of the data periods rec- the proposed source. The NAAQS design con- ommended for modeling (i.e., 5 years of NWS centration is then compared to the applica- meteorological data, at least 1 year of site- ble NAAQS. specific, or at least 3 years of prognostic me- ii. For a PSD increment assessment, the teorological data). design concentration includes impacts occur- e. This section discusses general rec- ring after the appropriate baseline date from ommendations on the regulatory application all increment-consuming and increment-ex- of models for the purposes of NSR, including panding sources. The PSD increment design

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concentration is then compared to the appli- work from the first model run with a denser cable PSD increment. array of receptors in areas showing potential b. The specific form of the NAAQS for the for high concentrations and possible viola- pollutant(s) of concern will also influence tions, as indicated by the results of the first how the background and modeled data model run. Accordingly, the EPA neither an- should be combined for appropriate compari- ticipates nor encourages that numerous son with the respective NAAQS in such a iterations of modeling runs be made to con- modeling demonstration. Given the potential tinually refine the receptor network. for revision of the form of the NAAQS and the complexities of combining background 9.2.3 NAAQS and PSD Increments Compli- and modeled data, specific details on this ance Demonstrations for New or Modifying process can be found in the applicable mod- Sources eling guidance available on the EPA’s a. As described in this subsection, the rec- SCRAM Web site (section 2.3). Modeled con- ommended procedure for conducting either a centrations should not be rounded before NAAQS or PSD increments assessment under comparing the resulting design concentra- PSD permitting is a multi-stage approach tion to the NAAQS or PSD increments. Am- that includes the following two stages: bient monitoring and dispersion modeling i. The EPA describes the first stage as a address different issues and needs relative to single-source impact analysis, since this each aspect of the overall air quality assess- stage involves considering only the impact of ment. the new or modifying source. There are two c. The PSD increments for criteria pollut- possible levels of detail in conducting a sin- ants are listed in 40 CFR 52.21(c) and 40 CFR gle-source impact analysis with the model 51.166(c). For short-term increments, these user beginning with use of a screening model maximum allowable increases in pollutant and proceeding to use of a refined model as concentrations may be exceeded once per necessary. year at each site, while the annual incre- ii. The EPA describes the second stage as a ment may not be exceeded. The highest, sec- cumulative impact analysis, since it takes ond-highest increase in estimated concentra- into account all sources affecting the air tions for the short-term averages, as deter- quality in an area. In addition to the project mined by a model, must be less than or equal source impact, this stage includes consider- to the permitted increment. The modeled an- ation of background, which includes con- nual averages must not exceed the incre- tributions from nearby sources and other ment. sources (e.g., natural, minor, and distant d. Receptor sites for refined dispersion major sources). modeling should be located within the mod- b. Each stage should involve increasing eling domain (section 8.1). In designing a re- complexity and details, as required, to fully ceptor network, the emphasis should be demonstrate that a new or modifying source placed on receptor density and location, not will not cause or contribute to a violation of total number of receptors. Typically, the any NAAQS or PSD increment. As such, density of receptor sites should be progres- starting with a single-source impact analysis sively more resolved near the new or modi- is recommended because, where the analysis fying source, areas of interest, and areas at this stage is sufficient to demonstrate with the highest concentrations with suffi- that a source will not cause or contribute to cient detail to determine where possible vio- any potential violation, this may alleviate lations of a NAAQS or PSD increments are the need for a more time-consuming and most likely to occur. The placement of re- comprehensive cumulative modeling anal- ceptor sites should be determined on a case- ysis. by-case basis, taking into consideration the c. The single-source impact analysis, or source characteristics, topography, clima- first stage of an air quality analysis, should tology, and monitor sites. Locations of par- begin by determining the potential of a pro- ticular importance include: (1) The area of posed new or modifying source to cause or maximum impact of the point source; (2) the contribute to a NAAQS or PSD increment area of maximum impact of nearby sources; violation. In certain circumstances, a and (3) the area where all sources combine to screening model or technique may be used cause maximum impact. Depending on the instead of the preferred model because it will complexities of the source and the environ- provide estimated worst-case ambient im- ment to which the source is located, a dense pacts from the proposed new or modifying array of receptors may be required in some source. If these worst case ambient con- cases. In order to avoid unreasonably large centration estimates indicate that the computer runs due to an excessively large source will not cause or contribute to any array of receptors, it is often desirable to potential violation of a NAAQS or PSD in- model the area twice. The first model run crement, then the screening analysis should would use a moderate number of receptors generally be sufficient for the required dem- more resolved near the new or modifying onstration under PSD. If the ambient con- source and over areas of interest. The second centration estimates indicate that the model run would modify the receptor net- source’s emissions have the potential to

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cause or contribute to a violation, then the crement. It is possible that multiple emis- use of a refined model to estimate the sions limits will be required for a source to source’s impact should be pursued. The re- demonstrate compliance with several cri- fined modeling analysis should use a model teria pollutants (and averaging periods) and or technique consistent with the Guideline PSD increments. Case-by-case determina- (either a preferred model or technique or an tions must be made as to the appropriate alternative model or technique) and follow form of the limits, i.e., whether the emis- the requirements and recommendations for sions limits restrict the emission factor (e.g., model inputs outlined in section 8. If the am- limiting lb/MMBTU), the emission rate (e.g., bient concentration increase predicted with lb/hr), or both. The appropriate reviewing au- refined modeling indicates that the source thority (paragraph 3.0(b)) and appropriate will not cause or contribute to any potential EPA guidance should be consulted to deter- violation of a NAAQS or PSD increment, mine the appropriate emissions limits on a then the refined analysis should generally be case-by-case basis. sufficient for the required demonstration under PSD. However, if the ambient con- 9.2.4 Use of Measured Data in Lieu of Model Estimates centration estimates from the refined modeling analysis indicate that the source’s a. As described throughout the Guideline, emissions have the potential to cause or con- modeling is the preferred method for dem- tribute to a violation, then a cumulative im- onstrating compliance with the NAAQS and pact analysis should be undertaken. The re- PSD increments and for determining the ceptors that indicate the location of signifi- most appropriate emissions limits for new cant ambient impacts should be used to de- and existing sources. When a preferred model fine the modeling domain for use in the cu- or adequately justified and approved alter- mulative impact analysis (section 8.2.2). native model is available, model results, in- d. The cumulative impact analysis, or the cluding the appropriate background, are suf- second stage of an air quality analysis, ficient for air quality demonstrations and es- should be conducted with the same refined tablishing emissions limits, if necessary. In model or technique to characterize the instances when the modeling technique project source and then include the appro- available is only a screening technique, the priate background concentrations (section addition of air quality monitoring data to 8.3). The resulting design concentrations the analysis may lend credence to the model should be used to determine whether the results. However, air quality monitoring source will cause or contribute to a NAAQS data alone will normally not be acceptable or PSD increment violation. This determina- as the sole basis for demonstrating compli- tion should be based on: (1) The appropriate ance with the NAAQS and PSD increments design concentration for each applicable or for determining emissions limits. NAAQS (and averaging period); and (2) b. There may be rare circumstances where whether the source’s emissions cause or con- the performance of the preferred air quality tribute to a violation at the time and loca- model will be shown to be less than reason- tion of any modeled violation (i.e., when and ably acceptable when compared with air where the predicted design concentration is quality monitoring data measured in the vi- greater than the NAAQS). For PSD incre- cinity of an existing source. Additionally, ments, the cumulative impact analysis there may not be an applicable preferred air should also consider the amount of the air quality model, screening technique, or jus- quality increment that has already been con- tifiable alternative model suitable for the sumed by other sources, or, conversely, situation. In these unique instances, there whether increment has expanded relative to may be the possibility of establishing emis- the baseline concentration. Therefore, the sions limits and demonstrating compliance applicant should model the existing or per- with the NAAQS and PSD increments solely on the basis of analysis of observed air qual- mitted nearby increment-consuming and in- ity data in lieu of an air quality modeling crement-expanding sources, rather than analysis. However, only in the case of a using past modeling analyses of those modification to an existing source should air sources as part of background concentration. quality monitoring data alone be a basis for This would permit the use of newly acquired determining adequate emissions limits or for data or improved modeling techniques if demonstration that the modification will not such data and/or techniques have become cause or contribute to a violation of any available since the last source was per- NAAQS or PSD increment. mitted. c. The following items should be consid- 9.2.3.1 Considerations in Developing ered prior to the acceptance of an analysis of Emissions Limits measured air quality data as the sole basis for an air quality demonstration or deter- a. Emissions limits and resulting control mining an emissions limit: requirements should be established to pro- i. Does a monitoring network exist for the vide for compliance with each applicable pollutants and averaging times of concern in NAAQS (and averaging period) and PSD in- the vicinity of the existing source?

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ii. Has the monitoring network been de- ternative models may help inform the devel- signed to locate points of maximum con- opment of a suitable new alternative model. centration? Early coordination with the appropriate re- iii. Do the monitoring network and the viewing authority (paragraph 3.0(b)) and the data reduction and storage procedures meet EPA Regional Office is fundamental with re- EPA monitoring and quality assurance respect to any potential use of measured data quirements? in lieu of model estimates. iv. Do the dataset and the analysis allow impact of the most important individual 10.0 REFERENCES sources to be identified if more than one 1. Code of Federal Regulations; Title 40 (Pro- source or emission point is involved? tection of Environment); part 51; §§ 51.112, v. Is at least one full year of valid ambient 51.117, 51.150, 51.160. data available? 2. U.S. Environmental Protection Agency, vi. Can it be demonstrated through the 1990. 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Quality Planning and Standards, Re- oxide from roadway intersections. Publi- search Triangle Park, NC. cation number EPA–454/R–92–005. Office 38. U.S. Environmental Protection Agency, of Air Quality Planning & Standards, Re- 2011. AERSCREEN Released as the EPA search Triangle Park, NC. Recommended Screening Model. Memo- 48. U.S. Environmental Protection Agency, randum dated April 11, 2011, Office of Air 1997. Guidance for Siting Ambient Air Quality Planning and Standards, Re- Monitors around Stationary Lead search Triangle Park, NC. https:// Sources. Publication No. EPA–454/R–92– www3.epa.gov/ttn/scram/guidance/clarifica- 009R. Office of Air Quality Planning and tion/20110411lAERSCREENlReleasel Standards, Research Triangle Park, NC. Memo.pdf. (NTIS No. PB 97–208094). 39. Perry, S.G., D.J. Burns and A.J. 49. LEADPOST processor: https:// Cimorelli, 1990. User’s Guide to www3.epa.gov/ttn/scram/models/aermod/ CTDMPLUS: Volume 2. The Screening leadpost.zip. Mode (CTSCREEN). Publication No. EPA–600/8–90–087. U.S. Environmental 50. U.S. Environmental Protection Agency, Protection Agency, Research Triangle 1993. Lead Guideline Document. Publica- Park, NC. (NTIS No. PB 91–136564). tion No. EPA–452/R–93–009. Office of Air 40. U.S. Environmental Protection Agency, Quality Planning and Standards, Re- 1992. Screening Procedures for Esti- search Triangle Park, NC. (NTIS No. PB mating the Air Quality Impact of Sta- 94–111846). tionary Sources, Revised. Publication 51. U.S. Environmental Protection Agency, No. EPA–454/R–92–019. Office of Air Qual- 2014. Guidance for 1-Hour SO2 Nonattain- ity Planning and Standards, Research ment Area SIP Submissions. Memo- Triangle Park, NC. (NTIS No. PB 93– randum dated April 23, 2011, Office of Air 219095). Quality Planning and Standards, Re- 41. Burns, D.J., S.G. Perry and A.J. search Triangle Park, NC. https:// Cimorelli, 1991. An Advanced Screening www.epa.gov/sites/production/files/2016-06/ Model for Complex Terrain Applications. documents/20140423guidancel Paper presented at the 7th Joint Con- nonattainmentlsip.pdf. ference on Applications of Air Pollution 52. U.S. Environmental Protection Agency, Meteorology (cosponsored by the Amer- 2016. SO2 NAAQS Designations Modeling ican Meteorological Society and the Air Technical Assistance Document. Office & Waste Management Association), Jan- of Air Quality Planning and Standards, uary 13–18, 1991, New Orleans, LA. Research Triangle Park, NC. https:// 42. Mills, M.T., R.J. Paine, E.A. Insley and www.epa.gov/sites/production/files/2016-04/ B.A. Egan, 1987. The Complex Terrain documents/so2modelingtad.pdf. Dispersion Model Terrain Preprocessor 53. Turner, D.B., 1964. A Diffusion Model for System—User’s Guide and Program De- an Urban Area. Journal of Applied Meteor- scription. Publication No. EPA–600/8–88– ology, 3(1):83–91. 003. U.S. Environmental Protection 54. U.S. Environmental Protection Agency, Agency, Research Triangle Park, NC. 2015. Technical Support Document (TSD) (NTIS No. PB 88–162094). for NO -Related AERMOD Options and 43. Environmental Research and Technology, 2 Modifications. Publication No. EPA–454/ 1987. User’s Guide to the Rough Terrain B–15–004. Office of Air Quality Planning Diffusion Model (RTDM), Rev. 3.20. ERT and Standards, Research Triangle Park, Document No. P–D535–585. Environ- NC. mental Research and Technology, Inc., Concord, MA. (NTIS No. PB 88–171467). 55. Podrez, M. 2015. An Update to the Ambi- 44. U.S. Environmental Protection Agency, ent Ratio Method for 1-h NO2 Air Quality 2016. AERMOD Model Formulation. Pub- Standards Dispersion Modeling. Atmos- lication No. EPA–454/B–16–014. Office of pheric Environment, 103: 163–170. Air Quality Planning and Standards, Re- 56. Cole, H.S. and J.E. Summerhays, 1979. A search Triangle Park, NC. Review of Techniques Available for Esti- 45. Cimorelli, A. et al., 2005. AERMOD: A Dis- mation of Short-Term NO2 Concentra- persion Model for Industrial Source Ap- tions. Journal of the Air Pollution Control plications. Part I: General Model Formu- Association, 29(8): 812–817. lation and Boundary Layer Characteriza- 57. Hanrahan, P.L., 1999. The Polar Volume tion. Journal of Applied Meteorology, 44(5): Polar Ratio Method for Determining NO2/ 682–693. NOX Ratios in Modeling—Part I: Method- 46. L.L. Schulman, D.G. Strimaitis and J.S. ology. Journal of the Air & Waste Manage- Scire, 2002. Development and evaluation ment Association, 49: 1324–1331. of the PRIME plume rise and building 58. U.S. Environmental Protection Agency, downwash model. Journal of the Air & 2004. The Particle Pollution Report. Pub- Waste Management Association, 50: 378–390. lication No. EPA–454–R–04–002. Office of 47. U.S. Environmental Protection Agency, Air Quality Planning and Standards, Re- 1992. Guideline for modeling carbon mon- search Triangle Park, NC.

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59. U.S. Environmental Protection Agency, Causes and Effects. Edited by Patricia M. 2016. Guidance for Ozone and PM2.5 Per- Irving. Washington, DC, 129pp. mit Modeling. Publication No. EPA–454/ 69. National Research Council, 1993. Pro- B–16–005. Office of Air Quality Planning tecting Visibility in National Parks and and Standards, Research Triangle Park, Wilderness Areas. National Academy NC. Press, Washington, DC, 446pp. 60. U.S. Environmental Protection Agency, 70. U.S. Environmental Protection Agency, 2014. Modeling Guidance for Dem- 1992. Workbook for plume visual impact onstrating Attainment of Air Quality screening and analysis (revised). Publica- Goals for Ozone, PM2.5, and Regional tion No. EPA–454/R–92–023. Office of Air Haze. Office of Air Quality Planning and Quality Planning and Standards, Re- Standards, Research Triangle Park, NC. search Triangle Park, NC. (NTIS No. PB https://www3.epa.gov/ttn/scram/guidance/ 93–223592). guide/DraftlO3-PM-RHlModelinglGuid- 71. Nilsson, J., Grennfelt, P., Ministerra˚ d, N., ance-2014.pdf. 1988. Critical Loads for Sulphur and Ni- 61. U.S. Environmental Protection Agency, trogen: Report from a Workshop Held at 2015. Transportation Conformity Guid- Skokloster, Sweden, 19–24 March, 1988. ance for Quantitative Hot-Spot Analyses Nordic Council of Ministers. in PM2.5 and PM10 Nonattainment and 72. Turner, D.B., 1969. Workbook of Atmos- Maintenance Areas. Publication No. pheric Dispersion Estimates. PHS Publi- EPA–420–B–15–084. Office of Transpor- cation No. 999–AP–26. U.S. Department of tation and Air Quality, Ann Arbor, MI. Health, Education and Welfare, Public 62. U.S. Environmental Protection Agency, Health Service, Cincinnati, OH. (NTIS 1987. PM10 SIP Development Guideline. No. PB–191482). Publication No. EPA–450/2–86–001. Office 73. McElroy, J.L. and F. Pooler, Jr., 1968. St. of Air Quality Planning and Standards, Louis Dispersion Study, Volume II— Research Triangle Park, NC. (NTIS No. Analysis. National Air Pollution Control PB 87–206488). Administration Publication No. AP–53, 63. U.S. Environmental Protection Agency, U.S. Department of Health, Education 2012. Haul Road Workgroup Final Report and Welfare, Public Health Service, Ar- Submission to EPA–OAQPS. Memo- lington, VA. (NTIS No. PB–190255). randum dated March 2, 2012, Office of Air 74. Irwin, J.S., 1978. Proposed Criteria for Se- Quality Planning and Standards, Re- lection of Urban Versus Rural Dispersion search Triangle Park, NC. https:// Coefficients. (Draft Staff Report). Mete- www3.epa.gov/ttn/scram/reports/ orology and Assessment Division, U.S. HaullRoadlWorkgroup-FinallReportl Environmental Protection Agency, Re- Package-20120302.pdf. search Triangle Park, NC. (Docket No. 64. Seinfeld, J.H., Pandis, S.N., 2012. Atmos- A–80–46, II–B–8). pheric chemistry and physics: from air 75. Auer, Jr., A.H., 1978. Correlation of Land pollution to climate change. John Wiley Use and Cover with Meteorological & Sons. Anomalies. Journal of Applied Meteor- 65. Simon, H., Baker, K.R., Phillips, S., 2012. ology, 17(5): 636–643. Compilation and interpretation of photo- 76. U.S. Environmental Protection Agency, chemical model performance statistics 2016. AERMOD Implementation Guide. published between 2006 and 2012. Atmos- Publication No. EPA–454/B–16–013. Office pheric Environment, 61, 124–139. of Air Quality Planning and Standards, 66. U.S. Environmental Protection Agency, Research Triangle Park, NC. 2016. Guidance on the use of models for 77. Pasquill, F., 1976. Atmospheric Dispersion assessing the impacts of emissions from Parameters in Gaussian Plume Modeling, single sources on the secondarily formed Part II. Possible Requirements for pollutants ozone and PM2.5. Publication Change in the Turner Workbook Values. No. EPA 454/R–16–005. Office of Air Qual- Publication No. EPA–600/4–76–030b. Office ity Planning and Standards, Research of Research and Development, Research Triangle Park, NC. Triangle Park, NC. (NTIS No. PB–258036/ 67. U.S. Department of the Interior, 2010. 3BA). Federal Land Managers’ Air Quality Re- 78. Stull, R.B., 1988. An Introduction to lated Values Work Group (FLAG) Phase I Boundary Layer Meteorology. Kluwer Report—Revised 2010. http:// Academic Publishers, Boston, MA. 666pp. www.nature.nps.gov/air/pubs/pdf/flag/ 79. U.S. Environmental Protection Agency, FLAGl2010.pdf. Natural Resource Report 1987. Analysis and Evaluation of Statis- NPS/NPRC/NRR–2010/232. tical Coastal Fumigation Models. Publi- 68. National Acid Precipitation Assessment cation No. EPA–450/4–87–002. Office of Air Program (NAPAP), 1991. Acid Deposition: Quality Planning and Standards, Re- State of Science and Technology. Vol- search Triangle Park, NC. (NTIS No. PB ume III Terrestrial, Materials, Health 87–175519). and Visibility Effects. Report 24, Visi- 80. Wesely, M.L, P.V. Doskey, and J.D. Shan- bility: Existing and Historical Conditions— non, 2002: Deposition Parameterizations

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for the Industrial Source Complex (ISC3) ance for Implementation of Ozone and Model. Draft ANL report ANL/ER/TRB01/ Particulate Matter National Ambient 003, DOE/xxnnnn, Argonne National Lab- Air Quality Standards (NAAQS) and Re- oratory, Argonne, Illinois 60439. gional Haze Regulations. Office of Air 81. U.S. Environmental Protection Agency, Quality Planning and Standards, Re- 1981. Guideline for Use of Fluid Modeling search Triangle Park, NC. https:// to Determine Good Engineering Practice www.epa.gov/sites/production/files/2014-10/ (GEP) Stack Height. Publication No. documents/2014revisedeiguidancel0.pdf. EPA–450/4–81–003. Office of Air Quality 91. U.S. Environmental Protection Agency, Planning and Standards, Research Tri- 1987. Ambient Air Monitoring Guidelines angle Park, NC. (NTIS No. PB 82–145327). for Prevention of Significant Deteriora- 82. Lawson, Jr., R.E. and W.H. Snyder, 1983. tion (PSD). Publication No. EPA–450/4– Determination of Good Engineering 87–007. Office of Air Quality Planning and Practice Stack Height: A Demonstration Standards, Research Triangle Park, NC. Study for a Power Plant. Publication No. (NTIS No. PB 90–168030). EPA–600/3–83–024. Office of Research and 92. U.S. Environmental Protection Agency, Development, Research Triangle Park, 2011. Additional Clarification Regarding NC. (NTIS No. PB 83–207407). Application of Appendix W Modeling 83. U.S. Environmental Protection Agency, Guidance for the 1-hour NO2 National 1985. Guideline for Determination of Ambient Air Quality Standard. Office of Good Engineering Practice Stack Height Air Quality Planning and Standards, Re- (Technical Support Document for the search Triangle Park, NC. https:// Stack Height Regulations), Revised. Pub- www3.epa.gov/ttn/scram/guidance/clarifica- lication No. EPA–450/4–80–023R. Office of tion/AdditionallClarificationsl Air Quality Planning and Standards, Re- AppendixWlHourly-NO2-NAAQSl search Triangle Park, NC. (NTIS No. PB FINALl03-01-2011.pdf. 85–225241). 93. U.S. Environmental Protection Agency, 84. Snyder, W.H. and R.E. Lawson, Jr., 1985. 2013. Use of ASOS meteorological data in Fluid Modeling Demonstration of Good AERMOD dispersion modeling. Memo- Engineering-Practice Stack Height in randum dated March 8, 2013, Office of Air Complex Terrain. Publication No. EPA– Quality Planning and Standards, Re- 600/3–85–022. Office of Research and Devel- search Triangle Park, NC. https:// opment, Research Triangle Park, NC. www3.epa.gov/ttn/scram/guidance/clarifica- (NTIS No. PB 85–203107). tion/20130308lMetlDatalClarifica- 85. Briggs, G.A., 1975. Plume Rise Pre- tion.pdf. dictions. Chapter 3 in Lectures on Air 94. U.S. Environmental Protection Agency, Pollution and Environmental Impact 2016. User’s Guide for the AERMOD Mete- Analyses. American Meteorological Soci- orological Preprocessor (AERMET). Pub- ety, Boston, MA; pp. 59–111. lication No. EPA–454/B–16–010. Office of 86. Hanna, S.R., G.A. Briggs and R.P. Hosker, Air Quality Planning and Standards, Re- Jr., 1982. Plume Rise. Chapter 2 in Hand- search Triangle Park, NC. book on Atmospheric Diffusion. Technical 95. U.S Environmental Protection Agency. Information Center, U.S. Department of 2016. AERMINUTE User’s Guide. Publica- Energy, Washington, DC; pp. 11–24. DOE/ tion No. EPA–454/B–15–006. Office of Air TIC–11223 (DE 82002045). Quality Planning and Standards, Re- 87. Weil, J.C., L.A. Corio and R.P. Brower, search Triangle Park, NC. 1997. A PDF dispersion model for buoyant 96. U.S. Environmental Protection Agency, plumes in the convective boundary layer. 1993. PCRAMMET User’s Guide. Publica- Journal of Applied Meteorology, 36: 982– tion No. EPA–454/R–96–001. Office of Air 1003. Quality Planning and Standards, Re- 88. L.L. Schulman, D.G. Strimaitis and J.S. search Triangle Park, NC. (NTIS No. PB Scire, 2002. Development and evaluation 97–147912). of the PRIME plume rise and building 97. U.S. Environmental Protection Agency, downwash model. Journal of the Air & 1996. Meteorological Processor for Regu- Waste Management Association, 50: 378–390. latory Models (MPRM). Publication No. 89. U.S. Environmental Protection Agency, EPA–454/R–96–002. Office of Air Quality 1995. Compilation of Air Pollutant Emis- Planning and Standards, Research Tri- sion Factors, Volume I: Stationary Point angle Park, NC. (NTIS No. PB 96–180518). and Area Sources (Fifth Edition, AP–42: 98. Paine, R.J., 1987. User’s Guide to the GPO Stock No. 055–000–00500–1), and Sup- CTDM Meteorological Preprocessor Pro- plements A–D. Volume I can be gram. Publication No. EPA–600/8–88–004. downloaded from EPA’s Web site at Office of Research and Development, Re- https://www.epa.gov/air-emissions-factors- search Triangle Park, NC. (NTIS No. PB– and-quantification/ap-42-compilation-air- 88–162102). emission-factors. 99. Perry, S.G., D.J. Burns, L.H. Adams, R.J. 90. U.S. Environmental Protection Agency, Paine, M.G. Dennis, M.T. Mills, D.G. 2014. Draft Emissions Inventory Guid- Strimaitis, R.J. Yamartino and E.M.

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Insley, 1989. User’s Guide to the Complex Measurement Systems, Volume IV—Me- Terrain Dispersion Model Plus Algo- teorological Measurements. Publication rithms for Unstable Situations No. EPA600/R–94/038d. Office of Air Qual- (CTDMPLUS). Volume 1: Model Descrip- ity Planning and Standards, Research tions and User Instructions. Publication Triangle Park, NC. Note: for copies of No. EPA–600/8–89–041. U.S. Environmental this handbook, you may make inquiry to Protection Agency, Research Triangle ORD Publications, 26 West Martin Lu- Park, NC. (NTIS No. PB 89–181424). ther King Dr., Cincinnati, OH 45268. 100. U.S. Environmental Protection Agency, 111. Bowen, B.M., J.M. Dewart and A.I. Chen, 2008. AERSURFACE User’s Guide. Publi- 1983. Stability Class Determination: A cation No. EPA–454/B–08–001. Office of Air Comparison for One Site. Proceedings, Quality Planning and Standards, Re- Sixth Symposium on Turbulence and Dif- search Triangle Park, NC. fusion. American Meteorological Soci- 101. Brode, R., K. Wesson, J. Thurman, and C. ety, Boston, MA; pp. 211–214. (Docket No. Tillerson, 2008. AERMOD Sensitivity to A–92–65, II–A–7). the Choice of Surface Characteristics. 112. U.S. Environmental Protection Agency, Paper #811 presented at the 101st Air and 1993. An Evaluation of a Solar Radiation/ Waste Management Association Annual Delta-T (SRDT) Method for Estimating Conference and Exhibition, June 24–27, Pasquill-Gifford (P–G) Stability Cat- 2008, Portland, OR. egories. Publication No. EPA–454/R–93– 102. Environ, 2015. The Mesoscale Model 055. Office of Air Quality Planning and Interface Program (MMIF) Version 3.2 Standards, Research Triangle Park, NC. User’s Manual. (NTIS No. PB 94–113958). 103. U.S. Environmental Protection Agency, 113. Irwin, J.S., 1980. Dispersion Estimate 2016. Guidance on the Use of the Suggestion #8: Estimation of Pasquill Mesoscale Model Interface Program Stability Categories. U.S. Environmental (MMIF) for AERMOD Applications. Pub- Protection Agency, Office of Air Quality lication No. EPA–454/B–16–003. Office of Planning and Standards, Research Tri- Air Quality Planning and Standards, Re- angle Park, NC. (Docket No. A–80–46, II– search Triangle Park, NC. B–10). 104. Solar and Meteorological Surface Obser- 114. Mitchell, Jr., A.E. and K.O. Timbre, 1979. vation Network, 1961–1990; 3-volume CD– Atmospheric Stability Class from Hori- ROM. Version 1.0, September 1993. Pro- zontal Wind Fluctuation. Presented at duced jointly by National Climatic Data 72nd Annual Meeting of Air Pollution Center and National Renewable Energy Control Association, Cincinnati, OH; Laboratory. Can be ordered from NOAA June 24–29, 1979. (Docket No. A–80–46, II– National Data Center’s Web site at http:// P–9). www.ncdc.noaa.gov. 115. Smedman-Hogstrom, A. and V. 105. Hourly United States Weather Observa- Hogstrom, 1978. A Practical Method for tions, 1990–1995 (CD–ROM). October 1997. Determining Wind Frequency Distribu- Produced jointly by National Climatic tions for the Lowest 200 m from Routine Data Center and Environmental Protec- Meteorological Data. Journal of Applied tion Agency. Can be ordered from NOAA Meteorology, 17(7): 942–954. National Data Center’s Web site at http:// 116. Smith, T.B. and S.M. Howard, 1972. www.ncdc.noaa.gov. Methodology for Treating Diffusivity. 106. Radiosonde Data of North America, 1946– MRI 72 FR–1030. Meteorology Research, 1996; 4-volume CD–ROM. August 1996. Inc., Altadena, CA. (Docket No. A–80–46, Produced jointly by Forecast Systems II–P–8). laboratory and National Climatic Data 117. U.S. Environmental Protection Agency, Center. Can be ordered from NOAA Na- 2016. Evaluation of Prognostic Meteoro- tional Data Center’s Web site at http:// logical Data in AERMOD Applications. www.ncdc.noaa.gov. Publication No. EPA–454/R–16–004. Office 107. U.S. Environmental Protection Agency, of Air Quality Planning and Standards, 2000. Meteorological Monitoring Guid- Research Triangle Park, NC. ance for Regulatory Modeling Applica- 118. U.S. Environmental Protection Agency, tions. Publication No. EPA–454/R–99–005. 1984. Calms Processor (CALMPRO) User’s Office of Air Quality Planning and Guide. Publication No. EPA–901/9–84–001. Standards, Research Triangle Park, NC. Office of Air Quality Planning and (NTIS No. PB 2001–103606). Standards, Region I, Boston, MA. (NTIS 108. ASTM D5527: Standard Practice for No. PB 84–229467). Measuring Surface Winds and Tempera- ture by Acoustic Means. (2011). APPENDIX A TO APPENDIX W OF PART 51— 109. ASTM D5741: Standard Practice for SUMMARIES OF PREFERRED AIR QUALITY Characterizing Surface Wind Using Wind MODELS Vane and Rotating Anemometer. (2011). TABLE OF CONTENTS 110. U.S. Environmental Protection Agency, 1995. Quality Assurance for Air Pollution A.0 Introduction and Availability

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A.1 AERMOD (AMS/EPA Regulatory Model) U.S. Environmental Protection Agency, 2016. A.2 CTDMPLUS (Complex Terrain Disper- User’s Guide for the AMS/EPA Regu- sion Model Plus Algorithms for Unstable latory Model (AERMOD). Publication No. Situations) EPA–454/B–16–011. Office of Air Quality A.3 OCD (Offshore and Coastal Dispersion Planning and Standards, Research Tri- Model) angle Park, NC. U.S. Environmental Protection Agency, 2016. A.0 INTRODUCTION AND AVAILABILITY User’s Guide for the AERMOD Meteoro- (1) This appendix summarizes key features logical Preprocessor (AERMET). Publica- of refined air quality models preferred for tion No. EPA–454/B–16–010. Office of Air specific regulatory applications. For each Quality Planning and Standards, Re- model, information is provided on avail- search Triangle Park, NC. ability, approximate cost (where applicable), U.S. Environmental Protection Agency, 2016. regulatory use, data input, output format User’s Guide for the AERMOD Terrain and options, simulation of atmospheric phys- Preprocessor (AERMAP). Publication No. ics, and accuracy. These models may be used EPA–454/B–16–012. U.S. Environmental without a formal demonstration of applica- Protection Agency, Office of Air Quality bility provided they satisfy the recommenda- Planning and Standards, Research Tri- tions for regulatory use; not all options in angle Park, NC. the models are necessarily recommended for Schulman, L. L., D.G. Strimaitis and J.S. regulatory use. Scire, 2000. Development and evaluation (2) Many of these models have been sub- of the PRIME plume rise and building jected to a performance evaluation using downwash model. Journal of the Air and comparisons with observed air quality data. Waste Management Association, 50: 378–390. Where possible, several of the models contained herein have been subjected to evalua- Schulman, L. L., and Joseph S. Scire, 1980. tion exercises, including: (1) Statistical per- Buoyant Line and Point Source (BLP) formance tests recommended by the Amer- Dispersion Model User’s Guide. Docu- ican Meteorological Society, and (2) peer sci- ment P–7304B. Environmental Research entific reviews. The models in this appendix and Technology, Inc., Concord, MA. have been selected on the basis of the results (NTIS No. PB 81–164642). of the model evaluations, experience with previous use, familiarity of the model to var- Availability ious air quality programs, and the costs and The model codes and associated docu- resource requirements for use. mentation are available on EPA’s SCRAM (3) Codes and documentation for all models Web site (paragraph A.0(3)). listed in this appendix are available from the EPA’s Support Center for Regulatory Air Abstract Models (SCRAM) Web site at https:// www.epa.gov/scram. Codes and documentation AERMOD is a steady-state plume disper- may also available from the National Tech- sion model for assessment of pollutant con- nical Information Service (NTIS), http:// centrations from a variety of sources. www.ntis.gov, and, when available, are ref- AERMOD simulates transport and dispersion erenced with the appropriate NTIS accession from multiple point, area, or volume sources number. based on an up-to-date characterization of the atmospheric boundary layer. Sources A.1 AERMOD (AMS/EPA REGULATORY may be located in rural or urban areas, and MODEL) receptors may be located in simple or complex terrain. AERMOD accounts for building References wake effects (i.e., plume downwash) based on U.S. Environmental Protection Agency, 2016. the PRIME building downwash algorithms. AERMOD Model Formulation. Publica- The model employs hourly sequential tion No. EPA–454/B–16–014. Office of Air preprocessed meteorological data to esti- Quality Planning and Standards, Re- mate concentrations for averaging times search Triangle Park, NC. from 1-hour to 1-year (also multiple years). Cimorelli, A., et al., 2005. AERMOD: A Disper- AERMOD can be used to estimate the con- sion Model for Industrial Source Applica- centrations of nonreactive pollutants from tions. Part I: General Model Formulation highway traffic. AERMOD also handles and Boundary Layer Characterization. unique modeling problems associated with Journal of Applied Meteorology, 44(5): 682– aluminum reduction plants, and other indus- 693. trial sources where plume rise and downwash Perry, S. et al., 2005. AERMOD: A Dispersion effects from stationary buoyant line sources Model for Industrial Source Applications. are important. AERMOD is designed to oper- Part II: Model Performance against 17 ate in concert with two pre-processor codes: Field Study Databases. Journal of Applied AERMET processes meteorological data for Meteorology, 44(5): 694–708. input to AERMOD, and AERMAP processes

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terrain elevation data and generates recep- source width, average building width, aver- tor and hill height information for input to age spacing between buildings, and average AERMOD. line source buoyancy parameter. For mobile sources, traffic volume; emission factor, a. Regulatory Use source height, and mixing zone width are (1) AERMOD is appropriate for the fol- needed to determine appropriate model in- lowing applications: puts. • Point, volume, and area sources; (2) Meteorological data: The AERMET me- • Buoyant, elevated line sources (e.g., alu- teorological preprocessor requires input of minum reduction plants); surface characteristics, including surface • Mobile sources; roughness (zo), Bowen ratio, and albedo, as • Surface, near-surface, and elevated re- well as, hourly observations of wind speed leases; between 7zo and 100 m (reference wind speed • Rural or urban areas; measurement from which a vertical profile • Simple and complex terrain; can be developed), wind direction, cloud • Transport distances over which steady- cover, and temperature between zo and 100 m state assumptions are appropriate, up to (reference temperature measurement from 50km; which a vertical profile can be developed). • 1-hour to annual averaging times; and Meteorological data can be in the form of ob- • Continuous toxic air emissions. served data or prognostic modeled data as (2) For regulatory applications of discussed in paragraph 8.4.1(d). Surface char- AERMOD, the regulatory default option acteristics may be varied by wind sector and should be set, i.e., the parameter DFAULT by season or month. When using observed should be employed in the MODELOPT meteorological data, a morning sounding (in record in the COntrol Pathway. The National Weather Service format) from a representative upper air station is required. DFAULT option requires the use of meteoro- Latitude, longitude, and time zone of the logical data processed with the regulatory surface, site-specific (if applicable) and upper options in AERMET, the use of terrain ele- air meteorological stations are required. The vation data processed through the AERMAP wind speed starting threshold is also re- terrain processor, stack-tip downwash, se- quired in AERMET for applications involv- quential date checking, and does not permit ing site-specific data. When using prognostic the use of the model in the SCREEN mode. data, modeled profiles of temperature and In the regulatory default mode, pollutant winds are input to AERMET. These can be half-life or decay options are not employed, hourly or a time that represents a morning except in the case of an urban source of sul- sounding. Additionally, measured profiles of fur dioxide where a 4-hour half-life is ap- wind, temperature, vertical and lateral tur- plied. Terrain elevation data from the U.S. bulence may be required in certain applica- Geological Survey (USGS) 7.5-Minute Digital tions (e.g., in complex terrain) to adequately Elevation Model (DEM), or equivalent represent the meteorology affecting plume (approx. 30-meter resolution), (processed transport and dispersion. Optionally, meas- through AERMAP) should be used in all ap- urements of solar and/or net radiation may plications. Starting in 2011, data from the be input to AERMET. Two files are produced National Elevation Dataset (NED, https:// by the AERMET meteorological preprocessor nationalmap.gov/elevation.html) can also be for input to the AERMOD dispersion model. used in AERMOD, which includes a range of When using observed data, the surface file resolutions, from 1-m to 2 arc seconds and contains observed and calculated surface such high resolution would always be pre- variables, one record per hour. For applica- ferred. In some cases, exceptions from the tions with multi-level site-specific meteoro- terrain data requirement may be made in logical data, the profile contains the obser- consultation with the appropriate reviewing vations made at each level of the meteoro- authority (paragraph 3.0(b)). logical tower (or remote sensor). When using prognostic data, the surface file contains b. Input Requirements surface variables calculated by the prog- (1) Source data: Required inputs include nostic model and AERMET. The profile file source type, location, emission rate, stack contains the observations made at each level height, stack inside diameter, stack gas exit of a meteorological tower (or remote sensor), velocity, stack gas exit temperature, area the one-level observations taken from other and volume source dimensions, and source representative data (e.g., National Weather base elevation. For point sources subject to Service surface observations), one record per the influence of building downwash, direc- level per hour, or in the case of prognostic tion-specific building dimensions (processed data, the prognostic modeled values of tem- through the BPIPPRM building processor) perature and winds at user-specified levels. should be input. Variable emission rates are (i) Data used as input to AERMET should optional. Buoyant line sources require co- possess an adequate degree of representative- ordinates of the end points of the line, re- ness to ensure that the wind, temperature lease height, emission rate, average line and turbulence profiles derived by AERMOD

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are both laterally and vertically representa- d. Type of Model tive of the source impact area. The adequacy AERMOD is a steady-state plume model, of input data should be judged independently using Gaussian distributions in the vertical for each variable. The values for surface and horizontal for stable conditions, and in roughness, Bowen ratio, and albedo should the horizontal for convective conditions. The reflect the surface characteristics in the vi- vertical concentration distribution for con- cinity of the meteorological tower or rep- vective conditions results from an assumed resentative grid cell when using prognostic bi-Gaussian probability density function of data, and should be adequately representa- the vertical velocity. tive of the modeling domain. Finally, the primary atmospheric input variables, includ- e. Pollutant Types ing wind speed and direction, ambient tem- AERMOD is applicable to primary pollut- perature, cloud cover, and a morning upper ants and continuous releases of toxic and air sounding, should also be adequately rep- hazardous waste pollutants. Chemical trans- resentative of the source area when using ob- formation is treated by simple exponential served data. decay. (ii) For applications involving the use of f. Source-Receptor Relationships site-specific meteorological data that includes turbulences parameters (i.e., sigma- AERMOD applies user-specified locations theta and/or sigma-w), the application of the for sources and receptors. Actual separation ADJlU* option in AERMET would require between each source-receptor pair is used. approval as an alternative model application Source and receptor elevations are user under section 3.2. input or are determined by AERMAP using (iii) For recommendations regarding the USGS DEM or NED terrain data. Receptors length of meteorological record needed to may be located at user-specified heights perform a regulatory analysis with above ground level. AERMOD, see section 8.4.2. g. Plume Behavior (3) Receptor data: Receptor coordinates, elevations, height above ground, and hill (1) In the convective boundary layer (CBL), height scales are produced by the AERMAP the transport and dispersion of a plume is terrain preprocessor for input to AERMOD. characterized as the superposition of three Discrete receptors and/or multiple receptor modeled plumes: (1) The direct plume (from grids, Cartesian and/or polar, may be em- the stack); (2) the indirect plume; and (3) the penetrated plume, where the indirect plume ployed in AERMOD. AERMAP requires input accounts for the lofting of a buoyant plume of DEM or NED terrain data produced by the near the top of the boundary layer, and the USGS, or other equivalent data. AERMAP penetrated plume accounts for the portion of can be used optionally to estimate source a plume that, due to its buoyancy, pene- elevations. trates above the mixed layer, but can dis- perse downward and re-enter the mixed c. Output layer. In the CBL, plume rise is superposed Printed output options include input infor- on the displacements by random convective mation, high concentration summary tables velocities (Weil et al., 1997). by receptor for user-specified averaging peri- (2) In the stable boundary layer, plume rise ods, maximum concentration summary ta- is estimated using an iterative approach to bles, and concurrent values summarized by account for height-dependent lapse rates, receptor for each day processed. Optional similar to that in the CTDMPLUS model (see output files can be generated for: A listing of A.2 in this appendix). occurrences of exceedances of user-specified (3) Stack-tip downwash and buoyancy in- threshold value; a listing of concurrent (raw) duced dispersion effects are modeled. Build- ing wake effects are simulated for stacks results at each receptor for each hour mod- subject to building downwash using the eled, suitable for post-processing; a listing of methods contained in the PRIME downwash design values that can be imported into algorithms (Schulman, et al., 2000). For graphics software for plotting contours; a plume rise affected by the presence of a listing of results suitable for NAAQS anal- building, the PRIME downwash algorithm yses including NAAQS exceedances and cul- uses a numerical solution of the mass, en- pability analyses; an unformatted listing of ergy and momentum conservation laws raw results above a threshold value with a (Zhang and Ghoniem, 1993). Streamline de- special structure for use with the TOXX flection and the position of the stack rel- model component of TOXST; a listing of con- ative to the building affect plume trajectory centrations by rank (e.g., for use in quantile- and dispersion. Enhanced dispersion is based quantile plots); and a listing of concentra- on the approach of Weil (1996). Plume mass tions, including arc-maximum normalized captured by the cavity is well-mixed within concentrations, suitable for model evalua- the cavity. The captured plume mass is re- tion studies. emitted to the far wake as a volume source.

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(4) For elevated terrain, AERMOD incor- height. The effective vertical turbulence is porates the concept of the critical dividing then used to estimate vertical dispersion. streamline height, in which flow below this height remains horizontal, and flow above l. Chemical Transformation this height tends to rise up and over terrain Chemical transformations are generally (Snyder et al., 1985). Plume concentration estimates are the weighted sum of these two not treated by AERMOD. However, AERMOD limiting plume states. However, consistent does contain an option to treat chemical with the steady-state assumption of uniform transformation using simple exponential horizontal wind direction over the modeling decay, although this option is typically not domain, straight-line plume trajectories are used in regulatory applications except for assumed, with adjustment in the plume/resources of sulfur dioxide in urban areas. Ei- ceptor geometry used to account for the ter- ther a decay coefficient or a half-life is input rain effects. by the user. Note also that the Plume Vol- ume Molar Ratio Method and the Ozone Lim- h. Horizontal Winds iting Method (section 4.2.3.4) for NO2 anal- Vertical profiles of wind are calculated for yses are available. each hour based on measurements and surface-layer similarity (scaling) relationships. m. Physical Removal At a given height above ground, for a given AERMOD can be used to treat dry and wet hour, winds are assumed constant over the deposition for both gases and particles. modeling domain. The effect of the vertical variation in horizontal wind speed on disper- n. Evaluation Studies sion is accounted for through simple averaging over the plume depth. American Petroleum Institute, 1998. Evalua- tion of State of the Science of Air Qual- i. Vertical Wind Speed ity Dispersion Model, Scientific Evalua- In convective conditions, the effects of tion, prepared by Woodward-Clyde Con- random vertical updraft and downdraft ve- sultants, Lexington, Massachusetts, for locities are simulated with a bi-Gaussian American Petroleum Institute, Wash- probability density function. In both convec- ington, DC 20005–4070. tive and stable conditions, the mean vertical Brode, R.W., 2002. Implementation and Eval- wind speed is assumed equal to zero. uation of PRIME in AERMOD. Preprints of the 12th Joint Conference on Applica- j. Horizontal Dispersion tions of Air Pollution Meteorology, May Gaussian horizontal dispersion coefficients 20–24, 2002; American Meteorological So- are estimated as continuous functions of the ciety, Boston, MA. parameterized (or measured) ambient lateral Brode, R.W., 2004. Implementation and Eval- turbulence and also account for buoyancy-in- uation of Bulk Richardson Number duced and building wake-induced turbulence. Scheme in AERMOD. 13th Joint Con- Vertical profiles of lateral turbulence are deference on Applications of Air Pollution veloped from measurements and similarity Meteorology, August 23–26, 2004; Amer- (scaling) relationships. Effective turbulence ican Meteorological Society, Boston, values are determined from the portion of MA. the vertical profile of lateral turbulence be- U.S. Environmental Protection Agency, 2003. tween the plume height and the receptor AERMOD: Latest Features and Evalua- height. The effective lateral turbulence is tion Results. Publication No. EPA–454/R– then used to estimate horizontal dispersion. 03–003. Office of Air Quality Planning and k. Vertical Dispersion Standards, Research Triangle Park, NC. Heist, D., et al, 2013. Estimating near-road In the stable boundary layer, Gaussian pollutant dispersion: A model inter-com- vertical dispersion coefficients are estimated parison. Transportation Research Part D: as continuous functions of parameterized Transport and Environment, 25: pp 93–105. vertical turbulence. In the convective boundary layer, vertical dispersion is character- A.2 CTDMPLUS (COMPLEX TERRAIN DISPER- ized by a bi-Gaussian probability density SION MODEL PLUS ALGORITHMS FOR UNSTA- function and is also estimated as a contin- BLE SITUATIONS) uous function of parameterized vertical turbulence. Vertical turbulence profiles are de- References veloped from measurements and similarity (scaling) relationships. These turbulence Perry, S.G., D.J. Burns, L.H. Adams, R.J. profiles account for both convective and me- Paine, M.G. Dennis, M.T. Mills, D.G. chanical turbulence. Effective turbulence Strimaitis, R.J. Yamartino and E.M. values are determined from the portion of Insley, 1989. User’s Guide to the Complex the vertical profile of vertical turbulence be- Terrain Dispersion Model Plus Algo- tween the plume height and the receptor rithms for Unstable Situations

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(CTDMPLUS). Volume 1: Model Descrip- under those conditions important to the de- tions and User Instructions. EPA Publi- termination of the design concentration). cation No. EPA–600/8–89–041. U.S. Envi- The representative plume height(s) of inter- ronmental Protection Agency, Research est should be determined using an appro- Triangle Park, NC. (NTIS No. PB 89– priate complex terrain screening procedure 181424). (e.g., CTSCREEN) and should be documented Perry, S.G., 1992. CTDMPLUS: A Dispersion in the monitoring/modeling protocol. The Model for Sources near Complex Topog- necessary meteorological measurements raphy. Part I: Technical Formulations. should be obtained from an appropriately Journal of Applied Meteorology, 31(7): 633– sited meteorological tower augmented by 645. SODAR and/or RASS if the representative plume height(s) of interest is above the lev- Availability els represented by the tower measurements. The model codes and associated docu- Meteorological preprocessors then create a mentation are available on the EPA’s SURFACE data file (hourly values of mixed SCRAM Web site (paragraph A.0(3)). layer heights, surface friction velocity, Monin-Obukhov length and surface rough- Abstract ness length) and a RAWINsonde data file CTDMPLUS is a refined point source (upper air measurements of pressure, tem- Gaussian air quality model for use in all sta- perature, wind direction, and wind speed). bility conditions for complex terrain applica- (3) Receptor data: Receptor names (up to tions. The model contains, in its entirety, 400) and coordinates, and hill number (each the technology of CTDM for stable and neu- receptor must have a hill number assigned). tral conditions. However, CTDMPLUS can (4) Terrain data: User inputs digitized con- also simulate daytime, unstable conditions, tour information to the terrain preprocessor and has a number of additional capabilities which creates the TERRAIN data file (for up for improved user friendliness. Its use of me- to 25 hills). teorological data and terrain information is different from other EPA models; consider- c. Output able detail for both types of input data is re- (1) When CTDMPLUS is run, it produces a quired and is supplied by preprocessors spe- concentration file, in either binary or text cifically designed for CTDMPLUS. format (user’s choice), and a list file con- CTDMPLUS requires the parameterization of taining a verification of model inputs, i.e., individual hill shapes using the terrain • Input meteorological data from ‘‘SUR- preprocessor and the association of each FACE’’ and ‘‘PROFILE,’’ model receptor with a particular hill. • Stack data for each source, • a. Regulatory Use Terrain information, • Receptor information, and CTDMPLUS is appropriate for the fol- • Source-receptor location (line printer lowing applications: map). • Elevated point sources; (2) In addition, if the case-study option is • Terrain elevations above stack top; selected, the listing includes: • Rural or urban areas; • Meteorological variables at plume • Transport distances less than 50 kilo- height, meters; and • Geometrical relationships between the • 1-hour to annual averaging times when source and the hill, and used with a post-processor program such as • Plume characteristics at each receptor, CHAVG. i.e., b. Input Requirements —Distance in along-flow and cross flow di- (1) Source data: For each source, user sup- rection plies source location, height, stack diameter, —Effective plume-receptor height difference stack exit velocity, stack exit temperature, —Effective sy & sz values, both flat terrain and emission rate; if variable emissions are and hill induced (the difference shows the appropriate, the user supplies hourly values effect of the hill) for emission rate, stack exit velocity, and —Concentration components due to WRAP, stack exit temperature. LIFT and FLAT. (2) Meteorological data: For applications of (3) If the user selects the TOPN option, a CTDMPLUS, multiple level (typically three summary table of the top four concentra- or more) measurements of wind speed and ditions at each receptor is given. If the ISOR rection, temperature and turbulence (wind option is selected, a source contribution fluctuation statistics) are required to create table for every hour will be printed. the basic meteorological data file (‘‘PRO- (4) A separate output file of predicted (1- FILE’’). Such measurements should be ob- hour only) concentrations (‘‘CONC’’) is writ- tained up to the representative plume ten if the user chooses this option. Three height(s) of interest (i.e., the plume height(s) forms of output are possible:

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(i) A binary file of concentrations, one h. Horizontal Winds value for each receptor in the hourly se- CTDMPLUS does not simulate calm mete- quence as run; orological conditions. Both scalar and vector (ii) A text file of concentrations, one value wind speed observations can be read by the for each receptor in the hourly sequence as model. If vector wind speed is unavailable, it run; or is calculated from the scalar wind speed. The (iii) A text file as described above, but with assignment of wind speed (either vector or a listing of receptor information (names, po- scalar) at plume height is done by either: sitions, hill number) at the beginning of the • Interpolating between observations file. above and below the plume height, or (5) Hourly information provided to these • Extrapolating (within the surface layer) files besides the concentrations themselves from the nearest measurement height to the includes the year, month, day, and hour in- plume height. formation as well as the receptor number with the highest concentration. i. Vertical Wind Speed

d. Type of Model Vertical flow is treated for the plume component above the critical dividing streamline CTDMPLUS is a refined steady-state, point height (Hc); see ‘‘Plume Behavior.’’ source plume model for use in all stability conditions for complex terrain applications. j. Horizontal Dispersion Horizontal dispersion for stable/neutral e. Pollutant Types conditions is related to the turbulence veloc- CTDMPLUS may be used to model non- re- ity scale for lateral fluctuations, sv, for active, primary pollutants. which a minimum value of 0.2 m/s is used. Convective scaling formulations are used to f. Source-Receptor Relationship estimate horizontal dispersion for unstable Up to 40 point sources, 400 receptors and 25 conditions. hills may be used. Receptors and sources are k. Vertical Dispersion allowed at any location. Hill slopes are assumed not to exceed 15°, so that the linear- Direct estimates of vertical dispersion for ized equation of motion for Boussinesq flow stable/neutral conditions are based on ob- are applicable. Receptors upwind of the im- served vertical turbulence intensity, e.g., sw pingement point, or those associated with (standard deviation of the vertical velocity any of the hills in the modeling domain, re- fluctuation). In simulating unstable (convec- quire separate treatment. tive) conditions, CTDMPLUS relies on a skewed, bi-Gaussian probability density g. Plume Behavior function (pdf) description of the vertical velocities to estimate the vertical distribution (1) As in CTDM, the basic plume rise algo- of pollutant concentration. rithms are based on Briggs’ (1975) recommendations. l. Chemical Transformation (2) A central feature of CTDMPLUS for neutral/stable conditions is its use of a crit- Chemical transformation is not treated by CTDMPLUS. ical dividing-streamline height (Hc) to separate the flow in the vicinity of a hill into m. Physical Removal two separate layers. The plume component in the upper layer has sufficient kinetic en- Physical removal is not treated by ergy to pass over the top of the hill while CTDMPLUS (complete reflection at the streamlines in the lower portion are con- ground/hill surface is assumed). strained to flow in a horizontal plane around the hill. Two separate components of n. Evaluation Studies CTDMPLUS compute ground-level con- Burns, D.J., L.H. Adams and S.G. Perry, 1990. centrations resulting from plume material in Testing and Evaluation of the each of these flows. CTDMPLUS Dispersion Model: Daytime (3) The model calculates on an hourly (or Convective Conditions. U.S. Environ- appropriate steady averaging period) basis mental Protection Agency, Research Tri- how the plume trajectory (and, in stable/neu- angle Park, NC. tral conditions, the shape) is deformed by Paumier, J.O., S.G. Perry and D.J. Burns, each hill. Hourly profiles of wind and tem- 1990. An Analysis of CTDMPLUS Model perature measurements are used by Predictions with the Lovett Power Plant CTDMPLUS to compute plume rise, plume Data Base. U.S. Environmental Protec- penetration (a formulation is included to tion Agency, Research Triangle Park, handle penetration into elevated stable lay- NC. ers, based on Briggs (1984)), convective scal- Paumier, J.O., S.G. Perry and D.J. Burns, ing parameters, the value of Hc, and the 1992. CTDMPLUS: A Dispersion Model for Froude number above Hc. Sources near Complex Topography. Part 650

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II: Performance Characteristics. Journal employing hourly NWS data. MPRM is the of Applied Meteorology, 31(7): 646–660. recommended meteorological data preprocessor for applications of OCD employ- A.3 OCD (OFFSHORE AND COASTAL ing site-specific meteorological data. DISPERSION MODEL) (i) Over land: Surface weather data includ- Reference ing hourly stability class, wind direction, wind speed, ambient temperature, and mix- DiCristofaro, D.C. and S.R. Hanna, 1989. OCD: ing height are required. The Offshore and Coastal Dispersion (ii) Over water: Hourly values for mixing Model, Version 4. Volume I: User’s Guide, height, relative humidity, air temperature, and Volume II: Appendices. Sigma Re- and water surface temperature are required; search Corporation, Westford, MA. (NTIS if wind speed/direction are missing, values Nos. PB 93–144384 and PB 93–144392). over land will be used (if available); vertical wind direction shear, vertical temperature Availability gradient, and turbulence intensities are op- The model codes and associated docu- tional. mentation are available on EPA’s SCRAM (3) Receptor data: Location, height above Web site (paragraph A.0(3)). local ground-level, ground-level elevation above the water surface. Abstract (1) OCD is a straight-line Gaussian model c. Output developed to determine the impact of off- (1) All input options, specification of shore emissions from point, area or line sources, receptors and land/water map in- sources on the air quality of coastal regions. cluding locations of sources and receptors. OCD incorporates overwater plume transport (2) Summary tables of five highest con- and dispersion as well as changes that occur centrations at each receptor for each aver- as the plume crosses the shoreline. Hourly aging period, and average concentration for meteorological data are needed from both entire run period at each receptor. offshore and onshore locations. These in- (3) Optional case study printout with hour- clude water surface temperature, overwater ly plume and receptor characteristics. Op- air temperature, mixing height, and relative tional table of annual impact assessment humidity. from non-permanent activities. (2) Some of the key features include plat- (4) Concentration output files can be used form building downwash, partial plume pene- by ANALYSIS postprocessor to produce the tration into elevated inversions, direct use of highest concentrations for each receptor, the turbulence intensities for plume dispersion, cumulative frequency distributions for each interaction with the overland internal receptor, the tabulation of all concentra- boundary layer, and continuous shoreline fu- tions exceeding a given threshold, and the migation. manipulation of hourly concentration files.

a. Regulatory Use d. Type of Model OCD has been recommended for use by the OCD is a Gaussian plume model con- Bureau of Ocean Energy Management for structed on the framework of the MPTER emissions located on the Outer Continental model. Shelf (50 FR 12248; 28 March 1985). OCD is applicable for overwater sources where onshore e. Pollutant Types receptors are below the lowest source height. Where onshore receptors are above the low- OCD may be used to model primary pollut- est source height, offshore plume transport ants. Settling and deposition are not treated. and dispersion may be modeled on a case-by- f. Source-Receptor Relationship case basis in consultation with the appropriate reviewing authority (paragraph 3.0(b)). (1) Up to 250 point sources, 5 area sources, or 1 line source and 180 receptors may be b. Input Requirements used. (1) Source data: Point, area or line source (2) Receptors and sources are allowed at location, pollutant emission rate, building any location. height, stack height, stack gas temperature, (3) The coastal configuration is determined stack inside diameter, stack gas exit veloc- by a grid of up to 3600 rectangles. Each ele- ity, stack angle from vertical, elevation of ment of the grid is designated as either land stack base above water surface and gridded or water to identify the coastline. specification of the land/water surfaces. As g. Plume Behavior an option, emission rate, stack gas exit velocity and temperature can be varied hourly. (1) The basic plume rise algorithms are (2) Meteorological data: PCRAMMET is the based on Briggs’ recommendations. recommended meteorological data (2) Momentum rise includes consideration preprocessor for use in applications of OCD of the stack angle from the vertical.

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(3) The effect of drilling platforms, ships, tual source technique is used to simulate the or any overwater obstructions near the initial plume dilution due to downwash. source are used to decrease plume rise using (3) Formulas recommended by Pasquill a revised platform downwash algorithm (1976) are used to calculate buoyant plume based on laboratory experiments. enhancement. (4) Partial plume penetration of elevated (4) At the water/land interface, the change inversions is included using the suggestions to overland dispersion rates is modeled using of Briggs (1975) and Weil and Brower (1984). a virtual source. The overland dispersion (5) Continuous shoreline fumigation is rates can be calculated from either vertical parameterized using the Turner method turbulence intensity or the Pasquill-Gifford where complete vertical mixing through the coefficients. The change is implemented thermal internal boundary layer (TIBL) oc- where the plume intercepts the rising inter- curs as soon as the plume intercepts the nal boundary layer. TIBL. l. Chemical Transformation h. Horizontal Winds Chemical transformations are treated (1) Constant, uniform wind is assumed for using exponential decay. Different rates can each hour. be specified by month and by day or night. (2) Overwater wind speed can be estimated m. Physical Removal from overland wind speed using relationship of Hsu (1981). Physical removal is also treated using ex- (3) Wind speed profiles are estimated using ponential decay. similarity theory (Businger, 1973). Surface layer fluxes for these formulas are cal- n. Evaluation Studies culated from bulk aerodynamic methods. DiCristofaro, D.C. and S.R. Hanna, 1989. OCD: The Offshore and Coastal Dispersion i. Vertical Wind Speed Model. Volume I: User’s Guide. Sigma Vertical wind speed is assumed equal to Research Corporation, Westford, MA. zero. Hanna, S.R., L.L. Schulman, R.J. Paine and J.E. Pleim, 1984. The Offshore and Coast- j. Horizontal Dispersion al Dispersion (OCD) Model User’s Guide, (1) Lateral turbulence intensity is rec- Revised. OCS Study, MMS 84–0069. Envi- ommended as a direct estimate of horizontal ronmental Research & Technology, Inc., dispersion. If lateral turbulence intensity is Concord, MA. (NTIS No. PB 86–159803). not available, it is estimated from boundary Hanna, S.R., L.L. Schulman, R.J. Paine, J.E. layer theory. For wind speeds less than 8 m/ Pleim and M. Baer, 1985. Development s, lateral turbulence intensity is assumed in- and Evaluation of the Offshore and versely proportional to wind speed. Coastal Dispersion (OCD) Model. Journal of the Air Pollution Control Association, 35: (2) Horizontal dispersion may be enhanced 1039–1047. because of obstructions near the source. A Hanna, S.R. and D.C. DiCristofaro, 1988. De- virtual source technique is used to simulate velopment and Evaluation of the OCD/ the initial plume dilution due to downwash. API Model. Final Report, API Pub. 4461, (3) Formulas recommended by Pasquill American Petroleum Institute, Wash- (1976) are used to calculate buoyant plume ington, DC. enhancement and wind direction shear enhancement. [82 FR 5203, Jan. 17, 2017] (4) At the water/land interface, the change to overland dispersion rates is modeled using APPENDIX X TO PART 51—EXAMPLES OF a virtual source. The overland dispersion ECONOMIC INCENTIVE PROGRAMS rates can be calculated from either lateral turbulence intensity or Pasquill-Gifford I. INTRODUCTION AND PURPOSE curves. The change is implemented where This appendix contains examples of EIP’s the plume intercepts the rising internal which are covered by the EIP rules. Program boundary layer. descriptions identify key provisions which distinguish the different model program k. Vertical Dispersion types. The examples provide additional in- (1) Observed vertical turbulence intensity formation and guidance on various types of is not recommended as a direct estimate of regulatory programs collectively referred to vertical dispersion. Turbulence intensity as EIP’s. The examples include programs in- should be estimated from boundary layer volving stationary, area, and mobile sources. theory as default in the model. For very sta- The definition section at 40 CFR 51.491 de- ble conditions, vertical dispersion is also a fines an EIP as a program which may include function of lapse rate. State established emission fees or a system (2) Vertical dispersion may be enhanced be- of marketable permits, or a system of State cause of obstructions near the source. A vir- fees on sale or manufacture of products the

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use of which contributes to O3 formation, or and mobile sources. The program types dis- any combination of the foregoing or other cussed below do not include all of the pos- similar measures, as well as incentives and sible types of EIP’s. Innovative approaches requirements to reduce vehicle emissions incorporating new ideas in existing pro- and vehicle miles traveled in the area, in- grams, different combinations of existing cluding any of the transportation control program elements, or wholly new incentive measures identified in section 108(f). Such systems provide additional opportunities for programs span a wide spectrum of program States to find ways to meet environmental designs. goals at lower total cost. The EIP’s are comprised of several elements that, in combination with each other, A. Emissions Trading Markets must insure that the fundamental principles of any regulatory program (including ac- One prominent class of EIP’s is based upon countability, enforceability and noninter- the creation of a market in which trading of ference with other requirements of the Act) source-specific emissions requirements may are met. There are many possible combina- occur. Such programs may include tradi- tions of program elements that would be ac- tional rate-based emissions limits (generally ceptable. Also, it is important to emphasize referred to as emissions averaging) or overall that the effectiveness of an EIP is dependent limits on a source’s total mass emissions per upon the particular area in which it is imple- unit of time (generally referred to as an mented. No two areas face the same air qual- emissions cap). The emissions limits, which ity circumstances and, therefore, effective may be placed on individual emitting units strategies and programs will differ among or on facilities as a whole, may decline over areas. time. The common feature of such programs Because of these considerations, the EPA is that sources have an ongoing incentive to is not specifying one particular design or reduce pollution and increased flexibility in type of strategy as acceptable for any given meeting their regulatory requirements. A EIP. Such specific guidance would poten- source may meet its own requirements ei- tially discourage States (or other entities ther by directly preventing or controlling with delegated authority to administer parts emissions or by trading or averaging with of an implementation plan) from utilizing another source. Trading or averaging may other equally viable program designs that occur within the same facility, within the may be more appropriate for their situation. same firm, or between different firms. Thus, the examples given in this Appendix Sources with lower cost abatement alter- are general in nature so as to avoid limiting natives may provide the necessary emissions innovation on the part of the States in devel- reductions to sources facing more expensive oping programs tailored to individual State alternatives. These programs can lower the needs. overall cost of meeting a given total level of Another important consideration in de- abatement. All sources eligible to trade in an signing effective EIP’s is the extent to which emissions market are faced with continuing different strategies, or programs targeted at incentives to find better ways of reducing different types of sources, can complement emissions at the lowest possible cost, even if one another when implemented together as they are already meeting their own emis- an EIP ‘‘package.’’ The EPA encourages sions requirements. States to consider packaging different measures together when such a strategy is likely Stationary, area, and mobile sources could to increase the overall benefits from the probe allowed to participate in a common emis- gram as a whole. Furthermore, some activi- sions trading market. Programs involving ties, such as information distribution or pub- emissions trading markets are particularly lic awareness programs, while not EIP’s in effective at reducing overall costs when indi- and of themselves, are often critical to the vidual affected sources face significantly dif- success of other measures and, therefore, ferent emissions control costs. A wider range would be appropriate complementary compo- in control costs among affected sources cre- nents of a program package. All SIP emis- ates greater opportunities for cost-reducing sions reductions credits should reflect a con- trades. Thus, for example, areas which face sideration of the effectiveness of the entire relatively high stationary source control package. costs relative to mobile source control costs benefit most by including both stationary II. EXAMPLES OF STATIONARY AND MOBILE and mobile sources in a single emissions SOURCE ECONOMIC INCENTIVE STRATEGIES trading market. There is a wide variety of programs that Programs involving emissions trading mar- fall under the general heading of EIP’s. Fur- kets have generally been designated as either, within each general type of program ther emission allowance or emission reduc- are several different basic program designs. tion credit (ERC) trading programs. The Fed- This section describes common types of eral Acid Rain Program is an example of an EIP’s that have been implemented, designed, emission allowance trading program, while or discussed in the literature for stationary ‘‘bubbles’’ and ‘‘generic bubbles’’ created

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under the EPA’s 1986 Emission Trading Pol- ized trading commodity and well-defined icy Statement are examples of ERC trading. rules for acceptable trades. Transaction Allowance trading programs can establish costs are also affected by the relative ease emission allocations to be effective at the with which information can be obtained start of a program, at some specific time in about the availability and price of allow- the future, or at varying levels over time. An ances or credits. ERC trading program requires ERC’s to be While the market considerations discussed measured against a pre-established emission above are clearly important in designing an baseline. Allowance allocations or emission efficient market to minimize the transaction baselines can be established either directly costs of such a program, other consider- by the EIP rules or by reference to tradi- ations, such as regulatory certainty, enforce- tional regulations (e.g., RACT requirement issues, and public acceptance, also ments). In either type of program, sources clearly need to be factored into the design of can either meet their EIP requirements by any emissions trading program. maintaining their own emissions within the limits established by the program, or by buy- B. Fee Programs ing surplus allowances or ERC’s from other A fee on each unit of emissions is a strat- sources. In any case, the State will need to egy that can provide a direct incentive for establish adequate enforceable procedures sources to reduce emissions. Ideally, fees for certifying and tracking trades, and for should be set so as to result in emissions monitoring and enforcing compliance with being reduced to the socially optimal level the EIP. considering the costs of control and the ben- The definition of the commodity to be efits of the emissions reductions. In order to traded and the design of the administrative motivate a change in emissions, the fees procedures the buyer and seller must follow must be high enough that sources will ac- to complete a trade are obvious elements tively seek to reduce emissions. It is impor- that must be carefully selected to help en- tant to note that not all emission fee pro- sure a successful trading market that grams are designed to motivate sources to achieves the desired environmental goal at lower emissions. Fee programs using small the lowest cost. An emissions market is de- fees are designed primarily to generate rev- fined as efficient if it achieves the environ- enue, often to cover some of the administra- mental goal at the lowest possible total cost. tive costs of a regulatory program. Any feature of a program that unnecessarily There can be significant variations in increases the total cost without helping emission fee programs. For example, poten- achieve the environmental goals causes mar- tial emissions could be targeted by placing a ket inefficiency. Thus, the design of an emis- fee on an input (e.g., a fee on the quantity sion trading program should be evaluated and BTU content of fuel used in an industrial not only in terms of the likelihood that the boiler) rather than on actual emissions. program design will ensure that the environ- Sources paying a fee on potential emissions mental goals of the program will be met, but could be eligible for a fee waiver or rebate by also in terms of the costs that the design im- demonstrating that potential emissions are poses upon market transactions and the im- not actually emitted, such as through a car- pact of those costs on market efficiency. bon absorber system on a coating operation. Transaction costs are the investment in Some fee program variations are designed time and resources to acquire information to mitigate the potentially large amount of about the price and availability of allow- revenue that a fee program could generate. ances or ERC’s, to negotiate a trade, and to Although more complex than a simple fee assure the trade is properly recorded and le- program, programs that reduce or eliminate gally enforceable. All trading markets im- the total revenues may be more readily pose some level of transaction costs. The adopted in a SIP than a simple emission fee. level of transaction costs in an emissions Some programs lower the amount of total trading market are affected by various as- revenues generated by waiving the fee on pects of the design of the market, such as some emissions. These programs reduce the the nature of the procedures for reviewing, total amount of revenue generated, while approving, and recording trades, the timing providing an incentive to decrease emissions. of such procedures (i.e., before or after the Alternatively, a program may impose higher trade is made), uncertainties in the value of per-unit fees on a portion of the emissions the allowance or credit being traded, the le- stream, providing a more powerful but tar- gitimacy of the allowance or credit being of- geted incentive at the same revenue levels. fered for sale, and the long-term integrity of For example, fees could be collected on all the market itself. Emissions trading pro- emissions in excess of some fixed level. The grams in which every transaction is dif- level could be set as a percentage of a base- ferent, such as programs requiring signifi- line (e.g., fees on emissions above some per- cant consideration of the differences in the centage of historical emissions), or as the chemical properties or geographic location lowest emissions possible (e.g., fees on emis- of the emissions, can result in higher trans- sions in excess of the lowest demonstrated action costs than programs with a standard- emissions from the source category).

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Other fee programs are ‘‘revenue neutral,’’ D. Subsidies meaning that the pollution control agency A State may create incentives for reducing does not receive any net revenues. One way emissions by offering direct subsidies, grants to design a revenue-neutral program is to or low-interest loans to encourage the pur- have both a fee provision and a rebate provi- chase of lower-emitting capital equipment, sion. Rebates must be carefully designed to or a switch to less polluting operating prac- avoid lessening the incentive provided by the tices. Examples of such programs include emission fee. For example, a rebate based on clean vehicle conversions, starting shuttle comparing a source’s actual emissions and bus or van pool programs, and mass transit the average emissions for the source cat- fare subsidies. Subsidy programs often suffer egory can be designed to be revenue neutral from a variety of ‘‘free rider’’ problems. For and not diminish the incentive. instance, subsidies for people or firms who Other types of fee programs collect a fee in were going to switch to the cleaner alter- relation to particular activities or types of native anyway lower the effectiveness of the products to encourage the use of alter- subsidy program, or drive up the cost of natives. While these fees are not necessarily achieving a targeted level of emissions re- directly linked to the total amount of emis- ductions. sions from the activity or product, the relative simplicity of a usage fee may make E. Transportation Control Measures such programs an effective way to lower The following measures are the TCM’s list- emissions. An area source example is a con- ed in section 108(f): struction permit fee for wood stoves. Such a (i) Programs for improved public transit; permit fee is directly related to the potential (ii) Restriction of certain roads or lanes to, to emit inherent in a wood stove, and not to or construction of such roads or lanes for use the actual emissions from each wood stove in by, passenger buses or high occupancy vehi- use. Fees on raw materials to a manufac- cles; turing process can encourage product refor- (iii) Employer-based transportation man- mulation (e.g., fees on solvent sold to mak- agement plans, including incentives; ers of architectural coatings) or changes in (iv) Trip-reduction ordinances; work practices (e.g., fees on specialty sol- (v) Traffic flow improvement programs vents and degreasing compounds used in that achieve emission reductions; manufacturing). (vi) Fringe and transportation corridor Road pricing mechanisms are fee programs parking facilities serving multiple-occu- that are available to curtail low occupancy pancy vehicle programs or transit service; vehicle use, fund transportation system im- (vii) Programs to limit or restrict vehicle provements and control measures, spatially use in downtown areas or other areas of and temporally shift driving patterns, and emission concentration particularly during attempt to effect land usage changes. Pri- periods of peak use; mary examples include increased peak period (viii) Programs for the provision of all roadway, bridge, or tunnel tolls (this could forms of high-occupancy, shared-ride serv- also be accomplished with automated vehicle ices; identification systems as well), and toll dis- (ix) Programs to limit portions of road sur- counts for pooling arrangements and zero- faces or certain sections of the metropolitan emitting/low-emitting vehicles. area to the use of non-motorized vehicles or pedestrian use, both as to time and place; C. Tax Code and Zoning Provisions (x) Programs for secure bicycle storage facilities and other facilities, including bicycle Modifications to existing State or local tax lanes, for the convenience and protection of codes, zoning provisions, and land use plan- bicyclists, in both public and private areas; ning can provide effective economic incen- (xi) Programs to control extended idling of tives. Possible modifications to encourage vehicles; emissions reductions cover a broad span of (xii) Programs to reduce motor vehicle programs, such as accelerated depreciation emissions, consistent with title II, which are of capital equipment used for emissions re- caused by extreme cold start conditions; ductions, corporate income tax deductions or (xiii) Employer-sponsored programs to per- credits for emission abatement costs, prop- mit flexible work schedules; erty tax waivers based on decreasing emis- (xiv) Programs and ordinances to facilitate sions, exempting low-emitting products from non-automobile travel, provision and utiliza- sales tax, and limitations on parking spaces tion of mass transit, and to generally reduce for office facilities. Mobile source strategies the need for single-occupant vehicle travel, include waiving or lowering any of the fol- as part of transportation planning and devel- lowing for zero- or low-emitting vehicles: ve- opment efforts of a locality, including pro- hicle registration fees, vehicle property tax, grams and ordinances applicable to new sales tax, taxicab license fees, and parking shopping centers, special events, and other taxes. centers of vehicle activity;

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(xv) Programs for new construction and 4. Step 4: For a BART review, what im- major reconstruction of paths, tracks or pacts am I expected to calculate and areas solely for the use by pedestrian or report? What methods does EPA rec- other non-motorized means of transportation ommend for the impacts analyses? when economically feasible and in the public a. Impact analysis part 1: how do I esti- interest. For purposes of this clause, the Ad- mate the costs of control? ministrator shall also consult with the Sec- b. What do we mean by cost effectiveness? retary of the Interior; and c. How do I calculate average cost effec- (xvi) Programs to encourage the voluntary tiveness? removal from use and the marketplace of d. How do I calculate baseline emissions? pre-1980 model year light-duty vehicles and e. How do I calculate incremental cost ef- pre-1980 model light-duty trucks. fectiveness? f. What other information should I provide [59 FR 16715, Apr. 7, 1994] in the cost impacts analysis? g. What other things are important to con- APPENDIX Y TO PART 51—GUIDELINES sider in the cost impacts analysis? FOR BART DETERMINATIONS UNDER h. Impact analysis part 2: How should I THE REGIONAL HAZE RULE analyze and report energy impacts? i. Impact analysis part 3: How do I analyze TABLE OF CONTENTS ‘‘non-air quality environmental im- I. Introduction and Overview pacts?’’ A. What is the purpose of the guidelines? j. Impact analysis part 4: What are exam- B. What does the CAA require generally for ples of non-air quality environmental improving visibility? impacts? C. What is the BART requirement in the k. How do I take into account a project’s CAA? ‘‘remaining useful life’’ in calculating D. What types of visibility problems does control costs? EPA address in its regulations? 5. Step 5: How should I determine visibility E. What are the BART requirements in impacts in the BART determination? EPA’s regional haze regulations? E. How do I select the ‘‘best’’ alternative, F. What is included in the guidelines? using the results of Steps 1 through 5? G. Who is the target audience for the 1. Summary of the impacts analysis guidelines? 2. Selecting a ‘‘best’’ alternative H. Do EPA regulations require the use of 3. In selecting a ‘‘best’’ alternative, should these guidelines? I consider the affordability of controls? II. How to Identify BART-eligible Sources 4. SO2 limits for utility boilers A. What are the steps in identifying BART- 5. NOX limits for utility boilers eligible sources? V. Enforceable Limits/Compliance Date 1. Step 1: Identify emission units in the I. INTRODUCTION AND OVERVIEW BART categories 2. Step 2: Identify the start-up dates of the A. What is the purpose of the guidelines? emission units 3. Step 3: Compare the potential emissions The Clean Air Act (CAA), in sections 169A to the 250 ton/yr cutoff and 169B, contains requirements for the pro- 4. Final step: Identify the emission units tection of visibility in 156 scenic areas across and pollutants that constitute the the United States. To meet the CAA’s re- BART-eligible source. quirements, we published regulations to pro- III. How to Identify Sources ‘‘Subject to tect against a particular type of visibility BART’’ impairment known as ‘‘regional haze.’’ The IV. The BART Determination: Analysis of regional haze rule is found in this part at 40 BART Options CFR 51.300 through 51.309. These regulations A. What factors must I address in the require, in 40 CFR 51.308(e), that certain BART Analysis? types of existing stationary sources of air B. What is the scope of the BART review? pollutants install best available retrofit C. How does a BART review relate to max- technology (BART). The guidelines are de- imum achievable control technology signed to help States and others (1) identify (MACT) standards under CAA section those sources that must comply with the 112? BART requirement, and (2) determine the D. What are the five basic steps of a case- level of control technology that represents by-case BART analysis? BART for each source. 1. Step 1: How do I identify all available B. What does the CAA require generally for retrofit emission control techniques? improving visibility? 2. Step 2: How do I determine whether the options identified in Step 1 are tech- Section 169A of the CAA, added to the CAA nically feasible? by the 1977 amendments, requires States to 3. Step 3: How do I evaluate technically protect and improve visibility in certain sce- feasible alternatives? nic areas of national importance. The scenic

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areas protected by section 169A are ‘‘the (e) The degree of visibility improvement mandatory Class I Federal Areas * * * where which may reasonably be anticipated from visibility is an important value.’’ In these the use of BART. guidelines, we refer to these as ‘‘Class I 3. The CAA further requires States to areas.’’ There are 156 Class I areas, including make BART emission limitations part of 47 national parks (under the jurisdiction of their SIPs. As with any SIP revision, States the Department of Interior—National Park must provide an opportunity for public com- Service), 108 wilderness areas (under the ju- ment on the BART determinations, and risdiction of the Department of the Inte- EPA’s action on any SIP revision will be rior—Fish and Wildlife Service or the De- subject to judicial review. partment of Agriculture—U.S. Forest Serv- ice), and one International Park (under the D. What types of visibility problems does EPA jurisdiction of the Roosevelt-Campobello address in its regulations? International Commission). The Federal Agency with jurisdiction over a particular 1. We addressed the problem of visibility in Class I area is referred to in the CAA as the two phases. In 1980, we published regulations Federal Land Manager. A complete list of addressing what we termed ‘‘reasonably at- the Class I areas is contained in 40 CFR 81.401 tributable’’ visibility impairment. Reason- through 81.437, and you can find a map of the ably attributable visibility impairment is Class I areas at the following Internet site: the result of emissions from one or a few http://www.epa.gov/ttn/oarpg/t1/frlnotices/ sources that are generally located in close classimp.gif. proximity to a specific Class I area. The reg- The CAA establishes a national goal of ulations addressing reasonably attributable eliminating man-made visibility impairment visibility impairment are published in 40 from all Class I areas. As part of the plan for CFR 51.300 through 51.307. achieving this goal, the visibility protection 2. On July 1, 1999, we amended these regu- provisions in the CAA mandate that EPA lations to address the second, more common, issue regulations requiring that States adopt type of visibility impairment known as ‘‘re- measures in their State implementation gional haze.’’ Regional haze is the result of plans (SIPs), including long-term strategies, the collective contribution of many sources to provide for reasonable progress towards over a broad region. The regional haze rule this national goal. The CAA also requires slightly modified 40 CFR 51.300 through States to coordinate with the Federal Land 51.307, including the addition of a few defini- Managers as they develop their strategies for tions in § 51.301, and added new §§ 51.308 and addressing visibility. 51.309.

C. What is the BART requirement in the CAA? E. What are the BART requirements in EPA’s 1. Under section 169A(b)(2)(A) of the CAA, regional haze regulations? States must require certain existing sta- 1. In the July 1, 1999 rulemaking, we added tionary sources to install BART. The BART a BART requirement for regional haze. We provision applies to ‘‘major stationary sources’’ from 26 identified source categories amended the BART requirements in 2005. which have the potential to emit 250 tons per You will find the BART requirements in 40 year or more of any air pollutant. The CAA CFR 51.308(e). Definitions of terms used in 40 requires only sources which were put in CFR 51.308(e)(1) are found in 40 CFR 51.301. place during a specific 15-year time interval 2. As we discuss in detail in these guide- to be subject to BART. The BART provision lines, the regional haze rule codifies and applies to sources that existed as of the date clarifies the BART provisions in the CAA. of the 1977 CAA amendments (that is, August The rule requires that States identify and 7, 1977) but which had not been in operation list ‘‘BART-eligible sources,’’ that is, that for more than 15 years (that is, not in oper- States identify and list those sources that ation as of August 7, 1962). fall within the 26 source categories, were put 2. The CAA requires BART review when in place during the 15-year window of time any source meeting the above description from 1962 to 1977, and have potential emis- ‘‘emits any air pollutant which may reason- sions greater than 250 tons per year. Once ably be anticipated to cause or contribute to the State has identified the BART-eligible any impairment of visibility’’ in any Class I sources, the next step is to identify those area. In identifying a level of control as BART-eligible sources that may ‘‘emit any BART, States are required by section 169A(g) air pollutant which may reasonably be an- of the CAA to consider: ticipated to cause or contribute to any im- (a) The costs of compliance, pairment of visibility.’’ Under the rule, a (b) The energy and non-air quality environ- source which fits this description is ‘‘subject mental impacts of compliance, to BART.’’ For each source subject to BART, (c) Any existing pollution control tech- 40 CFR 51.308(e)(1)(ii)(A) requires that States nology in use at the source, identify the level of control representing (d) The remaining useful life of the source, BART after considering the factors set out and in CAA section 169A(g), as follows:

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—States must identify the best system of reduction’’ based upon its evaluation of continuous emission control technology these factors. Procedures for the BART de- for each source subject to BART taking termination step are described in section IV into account the technology available, the of these guidelines. costs of compliance, the energy and non- (d) Emissions limits. States must establish air quality environmental impacts of com- emission limits, including a deadline for pliance, any pollution control equipment compliance, consistent with the BART deter- in use at the source, the remaining useful mination process for each source subject to life of the source, and the degree of visi- BART. Considerations related to these limits bility improvement that may be expected are discussed in section V of these guide- from available control technology. lines. 3. After a State has identified the level of control representing BART (if any), it must G. Who is the target audience for the establish an emission limit representing guidelines? BART and must ensure compliance with that requirement no later than 5 years after EPA 1. The guidelines are written primarily for approves the SIP. States may establish de- the benefit of State, local and Tribal agen- sign, equipment, work practice or other cies, and describe a process for making the operational standards when limitations on BART determinations and establishing the measurement technologies make emission emission limitations that must be included standards infeasible. in their SIPs or Tribal implementation plans (TIPs). Throughout the guidelines, which are F. What is included in the guidelines? written in a question and answer format, we 1. The guidelines provide a process for ask questions ‘‘How do I * * *?’’ and answer making BART determinations that States with phrases ‘‘you should * * *, you must can use in implementing the regional haze * * *’’ The ‘‘you’’ means a State, local or BART requirements on a source-by-source Tribal agency conducting the analysis. We basis, as provided in 40 CFR 51.308(e)(1). have used this format to make the guidelines States must follow the guidelines in making simpler to understand, but we recognize that BART determinations on a source-by-source States have the authority to require source basis for 750 megawatt (MW) power plants owners to assume part of the analytical bur- but are not required to use the process in the den, and that there will be differences in how guidelines when making BART determina- the supporting information is collected and tions for other types of sources. documented. We also recognize that data col- 2. The BART analysis process, and the con- lection, analysis, and rule development may tents of these guidelines, are as follows: be performed by Regional Planning Organi- (a) Identification of all BART-eligible sources. Section II of these guidelines outlines a step- zations, for adoption within each SIP or TIP. by-step process for identifying BART-eligible 2. The preamble to the 1999 regional haze sources. rule discussed at length the issue of Tribal (b) Identification of sources subject to BART. implementation of the requirements to sub- As noted above, sources ‘‘subject to BART’’ mit a plan to address visibility. As explained are those BART-eligible sources which ‘‘emit there, requirements related to visibility are a pollutant which may reasonably be antici- among the programs for which Tribes may be pated to cause or contribute to any impair- determined eligible and receive authoriza- ment of visibility in any Class I area.’’ We tion to implement under the ‘‘Tribal Author- discuss considerations for identifying ity Rule’’ (‘‘TAR’’) (40 CFR 49.1 through sources subject to BART in section III of the 49.11). Tribes are not subject to the deadlines guidance. for submitting visibility implementation (c) The BART determination process. For plans and may use a modular approach to each source subject to BART, the next step CAA implementation. We believe there are is to conduct an analysis of emissions con- very few BART-eligible sources located on trol alternatives. This step includes the iden- Tribal lands. Where such sources exist, the tification of available, technically feasible affected Tribe may apply for delegation of retrofit technologies, and for each tech- implementation authority for this rule, fol- nology identified, an analysis of the cost of lowing the process set forth in the TAR. compliance, the energy and non-air quality environmental impacts, and the degree of H. Do EPA regulations require the use of these visibility improvement in affected Class I guidelines? areas resulting from the use of the control technology. As part of the BART analysis, Section 169A(b) requires us to issue guide- the State should also take into account the lines for States to follow in establishing remaining useful life of the source and any BART emission limitations for fossil-fuel existing control technology present at the fired power plants having a capacity in ex- source. For each source, the State will deter- cess of 750 megawatts. This document fulfills mine a ‘‘best system of continuous emission that requirement, which is codified in 40

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CFR 51.308(e)(1)(ii)(B). The guidelines estab- 1. Step 1: Identify Emission Units in the lish an approach to implementing the re- BART Categories quirements of the BART provisions of the re- 1. The BART requirement only applies to gional haze rule; we believe that these proce- sources in specific categories listed in the dures and the discussion of the requirements CAA. The BART requirement does not apply of the regional haze rule and the CAA should to sources in other source categories, regard- be useful to the States. For sources other less of their emissions. The listed categories than 750 MW power plants, however, States are: retain the discretion to adopt approaches (1) Fossil-fuel fired steam electric plants of that differ from the guidelines. more than 250 million British thermal units (BTU) per hour heat input, II. HOW TO IDENTIFY BART-ELIGIBLE SOURCES (2) Coal cleaning plants (thermal dryers), This section provides guidelines on how to (3) Kraft pulp mills, identify BART-eligible sources. A BART-eli- (4) Portland cement plants, gible source is an existing stationary source (5) Primary zinc smelters, in any of 26 listed categories which meets (6) Iron and steel mill plants, criteria for startup dates and potential emis- (7) Primary aluminum ore reduction sions. plants, (8) Primary copper smelters, A. What are the steps in identifying BART- (9) Municipal incinerators capable of eligible sources? charging more than 250 tons of refuse per day, Figure 1 shows the steps for identifying (10) Hydrofluoric, sulfuric, and nitric acid whether the source is a ‘‘BART-eligible plants, source:’’ (11) Petroleum refineries, Step 1: Identify the emission units in the (12) Lime plants, BART categories, (13) Phosphate rock processing plants, Step 2: Identify the start-up dates of those (14) Coke oven batteries, emission units, and (15) Sulfur recovery plants, Step 3: Compare the potential emissions to (16) Carbon black plants (furnace process), the 250 ton/yr cutoff. (17) Primary lead smelters, Figure 1. How to determine whether a (18) Fuel conversion plants, source is BART-eligible: (19) Sintering plants, Step 1: Identify emission units in the (20) Secondary metal production facilities, BART categories (21) Chemical process plants, (22) Fossil-fuel boilers of more than 250 Does the plant contain emissions units in million BTUs per hour heat input, one or more of the 26 source categories? (23) Petroleum storage and transfer facili- ➜ No ➜ Stop ties with a capacity exceeding 300,000 barrels, ➜ ➜ Yes Proceed to Step 2 (24) Taconite ore processing facilities, Step 2: Identify the start-up dates of these (25) Glass fiber processing plants, and emission units (26) Charcoal production facilities. Do any of these emissions units meet the fol- 2. Some plants may have emission units lowing two tests? from more than one category, and some In existence on August 7, 1977 emitting equipment may fit into more than AND one category. Examples of this situation are sulfur recovery plants at petroleum refin- Began operation after August 7, 1962 eries, coke oven batteries and sintering ➜ No ➜ Stop plants at steel mills, and chemical process ➜ ➜ Yes Proceed to Step 3 plants at refineries. For Step 1, you identify Step 3: Compare the potential emissions all of the emissions units at the plant that from these emission units to the 250 ton/yr fit into one or more of the listed categories. cutoff You do not identify emission units in other Identify the ‘‘stationary source’’ that in- categories. cludes the emission units you identi- Example: A mine is collocated with an elec- fied in Step 2. tric steam generating plant and a coal clean- Add the current potential emissions from ing plant. You would identify emission units all the emission units identified in associated with the electric steam gener- Steps 1 and 2 that are included within ating plant and the coal cleaning plant, be- the ‘‘stationary source’’ boundary. cause they are listed categories, but not the Are the potential emissions from these mine, because coal mining is not a listed cat- units 250 tons per year or more for any egory. visibility-impairing pollutant? 3. The category titles are generally clear in ➜ No ➜ Stop describing the types of equipment to be list- ➜ Yes ➜ These emissions units com- ed. Most of the category titles are very broad prise the ‘‘BART-eligible source.’’ descriptions that encompass all emission

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units associated with a plant site (for exam- including elemental phosphorous plants as ple, ‘‘petroleum refining’’ and ‘‘kraft pulp well as fertilizer production plants. mills’’). This same list of categories appears (5) ‘‘Charcoal production facilities.’’ We in- in the PSD regulations. States and source terpret this category to include charcoal bri- owners need not revisit any interpretations quet manufacturing and activated carbon of the list made previously for purposes of production. the PSD program. We provide the following (6) ‘‘Chemical process plants.’’ and pharma- clarifications for a few of the category titles: ceutical manufacturing. Consistent with (1) ‘‘Steam electric plants of more than 250 past policy, we interpret the category million BTU/hr heat input.’’ Because the cat- ‘‘chemical process plants’’ to include those egory refers to ‘‘plants,’’ we interpret this facilities within the 2-digit Standard Indus- category title to mean that boiler capacities trial Classification (SIC) code 28. Accord- should be aggregated to determine whether ingly, we interpret the term ‘‘chemical proc- the 250 million BTU/hr threshold is reached. ess plants’’ to include pharmaceutical manu- This definition includes only those plants facturing facilities. (7) ‘‘Secondary metal production.’’ We inter- that generate electricity for sale. Plants pret this category to include nonferrous that cogenerate steam and electricity also metal facilities included within SIC code fall within the definition of ‘‘steam electric 3341, and secondary ferrous metal facilities plants’’. Similarly, combined cycle turbines that we also consider to be included within are also considered ‘‘steam electric plants’’ the category ‘‘iron and steel mill plants.’’ because such facilities incorporate heat re- (8) ‘‘Primary aluminum ore reduction.’’ We covery steam generators. Simple cycle tur- interpret this category to include those fa- bines, in contrast, are not ‘‘steam electric cilities covered by 40 CFR 60.190, the new plants’’ because these turbines typically do source performance standard (NSPS) for pri- not generate steam. mary aluminum ore reduction plants. This Example: A stationary source includes a definition is also consistent with the defini- steam electric plant with three 100 million tion at 40 CFR 63.840. BTU/hr boilers. Because the aggregate capacity exceeds 250 million BTU/hr for the 2. Step 2: Identify the Start-Up Dates of the ‘‘plant,’’ these boilers would be identified in Emission Units Step 2. 1. Emissions units listed under Step 1 are (2) ‘‘Fossil-fuel boilers of more than 250 mil- BART-eligible only if they were ‘‘in exist- lion BTU/hr heat input.’’ We interpret this ence’’ on August 7, 1977 but were not ‘‘in op- category title to cover only those boilers eration’’ before August 7, 1962. that are individually greater than 250 million BTU/hr. However, an individual boiler What does ‘‘in existence on August 7, 1977’’ smaller than 250 million BTU/hr should be mean? subject to BART if it is an integral part of a 2. The regional haze rule defines ‘‘in exist- process description at a plant that is in a dif- ence’’ to mean that: ferent BART category—for example, a boiler ‘‘the owner or operator has obtained all at a Kraft pulp mill that, in addition to pro- necessary preconstruction approvals or per- viding steam or mechanical power, uses the mits required by Federal, State, or local air waste liquor from the process as a fuel. In pollution emissions and air quality laws or general, if the process uses any by-product of regulations and either has (1) begun, or the boiler and the boiler’s function is to caused to begin, a continuous program of serve the process, then the boiler is integral physical on-site construction of the facility to the process and should be considered to be or (2) entered into binding agreements or part of the process description. contractual obligations, which cannot be Also, you should consider a multi-fuel boil- canceled or modified without substantial er to be a ‘‘fossil-fuel boiler’’ if it burns any loss to the owner or operator, to undertake a amount of fossil fuel. You may take feder- program of construction of the facility to be ally and State enforceable operational limits completed in a reasonable time.’’ 40 CFR into account in determining whether a 51.301. multi-fuel boiler’s fossil fuel capacity ex- As this definition is essentially identical ceeds 250 million Btu/hr. to the definition of ‘‘commence construc- (3) ‘‘Petroleum storage and transfer facilities tion’’ as that term is used in the PSD regula- with a capacity exceeding 300,000 barrels.’’ The tions, the two terms mean the same thing. 300,000 barrel cutoff refers to total facility- See 40 CFR 51.165(a)(1)(xvi) and 40 CFR wide tank capacity for tanks that were put 52.21(b)(9). Under this definition, an emis- in place within the 1962–1977 time period, and sions unit could be ‘‘in existence’’ even if it includes gasoline and other petroleum-de- did not begin operating until several years rived liquids. after 1977. (4) ‘‘Phosphate rock processing plants.’’ This Example: The owner of a source obtained category descriptor is broad, and includes all all necessary permits in early 1977 and en- types of phosphate rock processing facilities, tered into binding construction agreements

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in June 1977. Actual on-site construction curred must be made in accordance with the began in late 1978, and construction was provisions of §§ 60.15 (f)(1) through (3) of this completed in mid-1979. The source began op- title.’’ ‘‘[T]he provisions of §§ 60.15(f)(1) erating in September 1979. The emissions through (3)’’ refers to the general provisions unit was ‘‘in existence’’ as of August 7, 1977. for New Source Performance Standards Major stationary sources which com- (NSPS). Thus, the same policies and proce- menced construction AFTER August 7, 1977 dures for identifying reconstructed ‘‘affected (i.e., major stationary sources which were facilities’’ under the NSPS program must not ‘‘in existence’’ on August 7, 1977) were also be used to identify reconstructed ‘‘sta- subject to new source review (NSR) under tionary sources’’ for purposes of the BART the PSD program. Thus, the August 7, 1977 requirement. ‘‘in existence’’ test is essentially the same 3. You should identify reconstructions on thing as the identification of emissions units an emissions unit basis, rather than on a that were grandfathered from the NSR re- plantwide basis. That is, you need to identify view requirements of the 1977 CAA amend- only the reconstructed emission units meet- ments. ing the 50 percent cost criterion. You should 3. Sources are not BART-eligible if the include reconstructed emission units in the only change at the plant during the relevant list of emission units you identified in Step time period was the addition of pollution 1. You need consider as possible reconstruc- controls. For example, if the only change at tions only those emissions units with the po- a copper smelter during the 1962 through 1977 tential to emit more than 250 tons per year time period was the addition of acid plants of any visibility-impairing pollutant. 4. The ‘‘in operation’’ and ‘‘in existence’’ for the reduction of SO2 emissions, these emission controls would not by themselves tests apply to reconstructed sources. If an trigger a BART review. emissions unit was reconstructed and began actual operation before August 7, 1962, it is What does ‘‘in operation before August 7, not BART-eligible. Similarly, any emissions 1962’’ mean? unit for which a reconstruction ‘‘commenced’’ after August 7, 1977, is not BART- An emissions unit that meets the August 7, eligible. 1977 ‘‘in existence’’ test is not BART-eligible if it was in operation before August 7, 1962. How are modifications treated under the ‘‘In operation’’ is defined as ‘‘engaged in ac- BART provision? tivity related to the primary design function of the source.’’ This means that a source 1. The NSPS program and the major source must have begun actual operations by Au- NSR program both contain the concept of gust 7, 1962 to satisfy this test. modifications. In general, the term ‘‘modification’’ refers to any physical change or Example: The owner or operator entered change in the method of operation of an into binding agreements in 1960. Actual on- emissions unit that results in an increase in site construction began in 1961, and con- emissions. struction was complete in mid-1962. The 2. The BART provision in the regional haze source began operating in September 1962. rule contains no explicit treatment of modi- The emissions unit was not ‘‘in operation’’ fications or how modified emissions units, before August 7, 1962 and is therefore subject previously subject to the requirement to in- to BART. stall best available control technology What is a ‘‘reconstructed source?’ (BACT), lowest achievable emission rate (LAER) controls, and/or NSPS are treated 1. Under a number of CAA programs, an ex- under the rule. As the BART requirements in isting source which is completely or substan- the CAA do not appear to provide any ex- tially rebuilt is treated as a new source. emption for sources which have been modi- Such ‘‘reconstructed’’ sources are treated as fied since 1977, the best interpretation of the new sources as of the time of the reconstruc- CAA visibility provisions is that a subse- tion. Consistent with this overall approach quent modification does not change a unit’s to reconstructions, the definition of BART- construction date for the purpose of BART eligible facility (reflected in detail in the applicability. Accordingly, if an emissions definition of ‘‘existing stationary facility’’) unit began operation before 1962, it is not includes consideration of sources that were BART-eligible if it was modified between in operation before August 7, 1962, but were 1962 and 1977, so long as the modification is reconstructed during the August 7, 1962 to not also a ‘‘reconstruction.’’ On the other August 7, 1977 time period. hand, an emissions unit which began oper- 2. Under the regional haze regulations at 40 ation within the 1962–1977 time window, but CFR 51.301, a reconstruction has taken place was modified after August 7, 1977, is BART- if ‘‘the fixed capital cost of the new compo- eligible. We note, however, that if such a nent exceeds 50 percent of the fixed capital modification was a major modification that cost of a comparable entirely new source.’’ resulted in the installation of controls, the The rule also states that ‘‘[a]ny final deci- State will take this into account during the sion as to whether reconstruction has oc- review process and may find that the level of

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controls already in place are consistent with (5) Ammonia and ammonia compounds. BART. You should use your best judgment in deciding whether VOC or ammonia emissions 3. Step 3: Compare the Potential Emissions from a source are likely to have an impact to the 250 Ton/Yr Cutoff on visibility in an area. Certain types of VOC The result of Steps 1 and 2 will be a list of emissions, for example, are more likely to emissions units at a given plant site, includ- form secondary organic aerosols than oth- ing reconstructed emissions units, that are ers. 1 Similarly, controlling ammonia emis- within one or more of the BART categories sions in some areas may not have a signifi- and that were placed into operation within cant impact on visibility. You need not pro- the 1962–1977 time window. The third step is vide a formal showing of an individual deci- to determine whether the total emissions sion that a source of VOC or ammonia emis- represent a current potential to emit that is sions is not subject to BART review. Because greater than 250 tons per year of any single air quality modeling may not be feasible for visibility impairing pollutant. Fugitive individual sources of VOC or ammonia, you emissions, to the extent quantifiable, must should also exercise your judgement in as- be counted. In most cases, you will add the sessing the degree of visibility impacts due potential emissions from all emission units to emissions of VOC and emissions of ammo- on the list resulting from Steps 1 and 2. In a nia or ammonia compounds. You should fully few cases, you may need to determine wheth- document the basis for judging that a VOC er the plant contains more than one ‘‘sta- or ammonia source merits BART review, in- tionary source’’ as the regional haze rule de- cluding your assessment of the source’s con- fines that term, and as we explain further tribution to visibility impairment. below. What does the term ‘‘potential’’ emissions What pollutants should I address? mean? Visibility-impairing pollutants include the The regional haze rule defines potential to following: emit as follows: (1) Sulfur dioxide (SO ), 2 ‘‘Potential to emit’’ means the maximum (2) Nitrogen oxides (NOX), and (3) Particulate matter. capacity of a stationary source to emit a pollutant under its physical and operational de- You may use PM10 as an indicator for particulate matter in this intial step. [Note that sign. Any physical or operational limitation we do not recommend use of total suspended on the capacity of the source to emit a pol- particulates (TSP) as in indicator for partic- lutant including air pollution control equip- ulate matter.] As emissions of PM include ment and restrictions on hours of operation 10 or on the type or amount of material com- the components of PM2.5 as a subset, there is no need to have separate 250 ton thresholds busted, stored, or processed, shall be treated for PM and PM ; 250 tons of PM rep- as part of its design if the limitation or the 10 2.5 10 effect it would have on emissions is federally resents at most 250 tons of PM2.5, and at most 250 tons of any individual particulate species enforceable. Secondary emissions do not such as elemental carbon, crustal material, count in determining the potential to emit etc. of a stationary source. However, if you determine that a source of The definition of ‘‘potential to emit’’ means particulate matter is BART-eligible, it will that a source which actually emits less than be important to distinguish between the fine 250 tons per year of a visibility-impairing and coarse particle components of direct par- pollutant is BART-eligible if its emissions ticulate emissions in the remainder of the would exceed 250 tons per year when oper- BART analysis, including for the purpose of ating at its maximum capacity given its modeling the source’s impact on visibility. physical and operational design (and consid- This is because although both fine and ering all federally enforceable and State en- coarse particulate matter contribute to visi- forceable permit limits.) bility impairment, the long-range transport Example: A source, while operating at one- of fine particles is of particular concern in fourth of its capacity, emits 75 tons per year the formation of regional haze. Thus, for ex- of SO2. If it were operating at 100 percent of ample, air quality modeling results used in its maximum capacity, the source would the BART determination will provide a more emit 300 tons per year. Because under the accurate prediction of a source’s impact on above definition such a source would have visibility if the inputs into the model ac- ‘‘potential’’ emissions that exceed 250 tons count for the relative particle size of any di- per year, the source (if in a listed category rectly emitted particulate matter (i.e. PM10 vs. PM2.5). You should exercise judgment in deciding 1 Fine particles: Overview of Atmospheric whether the following pollutants impair visi- Chemistry, Sources of Emissions, and Ambient bility in an area: Monitoring Data, Memorandum to Docket (4) Volatile organic compounds (VOC), and OAR 2002–006, April 1, 2005.

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and built during the 1962–1977 time window) the same way as the test is applied in the would be BART-eligible. major source NSR programs. 4 4. For purposes of the regional haze rule, How do I identify whether a plant has more you must group emissions from all emission than one ‘‘stationary source?’’ units put in place within the 1962–1977 time 1. The regional haze rule, in 40 CFR 51.301, period that are within the 2-digit SIC code, defines a stationary source as a ‘‘building, even if those emission units are in different structure, facility or installation which categories on the BART category list. emits or may emit any air pollutant.’’ 2 The Examples: A chemical plant which started rule further defines ‘‘building, structure or operations within the 1962 to 1977 time period facility’’ as: manufactures hydrochloric acid (within the all of the pollutant-emitting activities which category title ‘‘Hydrochloric, sulfuric, and belong to the same industrial grouping, are nitric acid plants’’) and various organic located on one or more contiguous or adja- chemicals (within the category title ‘‘chemical process plants’’). All of the emission cent properties, and are under the control of units are within SIC code 28 and, therefore, the same person (or persons under common all the emission units are considered in de- control). Pollutant-emitting activities must termining BART eligibility of the plant. You be considered as part of the same industrial sum the emissions over all of these emission grouping if they belong to the same Major units to see whether there are more than 250 Group (i.e., which have the same two-digit tons per year of potential emissions. code) as described in the Standard Industrial A steel mill which started operations with- Classification Manual, 1972 as amended by in the 1962 to 1977 time period includes a sin- the 1977 Supplement (U.S. Government tering plant, a coke oven battery, and var- Printing Office stock numbers 4101–0066 and ious other emission units. All of the emis- 003–005–00176–0, respectively). sion units are within SIC code 33. You sum 2. In applying this definition, it is nec- the emissions over all of these emission essary to determine which facilities are lo- units to see whether there are more than 250 cated on ‘‘contiguous or adjacent prop- tons per year of potential emissions. erties.’’ Within this contiguous and adjacent area, it is also necessary to group those 4. Final Step: Identify the Emissions Units emission units that are under ‘‘common con- and Pollutants That Constitute the BART- trol.’’ We note that these plant boundary Eligible Source issues and ‘‘common control’’ issues are very If the emissions from the list of emissions similar to those already addressed in imple- units at a stationary source exceed a poten- mentation of the title V operating permits tial to emit of 250 tons per year for any visi- program and in NSR. bility-impairing pollutant, then that collec- 3. For emission units within the ‘‘contig- tion of emissions units is a BART-eligible uous or adjacent’’ boundary and under com- source. mon control, you must group emission units Example: A stationary source comprises the that are within the same industrial grouping following two emissions units, with the fol- (that is, associated with the same 2-digit SIC lowing potential emissions: code) in order to define the stationary Emissions unit A 3 source. For most plants on the BART 200 tons/yr SO source category list, there will only be one 2- 2 150 tons/yr NOX digit SIC that applies to the entire plant. 25 tons/yr PM For example, all emission units associated Emissions unit B with kraft pulp mills are within SIC code 26, 100 tons/yr SO2 and chemical process plants will generally 75 tons/yr NOX include emission units that are all within 10 tons/yr PM SIC code 28. The ‘‘2-digit SIC test’’ applies in For this example, potential emissions of SO2 are 300 tons/yr, which exceeds the 250 tons/yr 2 NOTE: Most of these terms and definitions are the same for regional haze and the 1980 4 NOTE: The concept of support facility used visibility regulations. For the regional haze for the NSR program applies here as well. rule we use the term ‘‘BART-eligible source’’ Support facilities, that is facilities that con- rather than ‘‘existing stationary facility’’ to vey, store or otherwise assist in the produc- clarify that only a limited subset of existing tion of the principal product, must be stationary sources are subject to BART. grouped with primary facilities even when 3 We recognize that we are in a transition the facilities fall wihin separate SIC codes. period from the use of the SIC system to a For purposes of BART reviews, however, new system called the North American In- such support facilities (a) must be within one dustry Classification System (NAICS). For of the 26 listed source categories and (b) purposes of identifying BART-eligible must have been in existence as of August 7, sources, you may use either 2-digit SICS or 1977, and (c) must not have been in operation the equivalent in the NAICS system. as of August 7, 1962.

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threshold. Accordingly, the entire ‘‘sta- that source or group of sources (or for cer- tionary source’’, that is, emissions units A tain pollutants from those sources). In such and B, may be subject to a BART review for a case, the source is not ‘‘subject to BART’’ SO2, NOX, and PM, even though the potential and you do not need to apply the five statu- emissions of PM and NOX at each emissions tory factors to make a BART determination. unit are less than 250 tons/yr each. This section of the Guideline discusses sev- Example: The total potential emissions, ob- eral approaches that you can use to exempt tained by adding the potential emissions of sources from the BART determination proc- all emission units in a listed category at a ess. plant site, are as follows:

200 tons/yr SO2 A. What Steps Do I Follow To Determine 150 tons/yr NOX Whether a Source or Group of Sources Cause 25 tons/yr PM or Contribute to Visibility Impairment for Pur- Even though total emissions exceed 250 poses of BART? tons/yr, no individual regulated pollutant exceeds 250 tons/yr and this source is not 1. How Do I Establish a Threshold? BART-eligible. One of the first steps in determining Can States establish de minimis levels of whether sources cause or contribute to visi- emissions for pollutants at BART-eligible bility impairment for purposes of BART is to sources? establish a threshold (measured in deciviews) against which to measure the visibility im- In order to simplify BART determinations, pact of one or more sources. A single source States may choose to identify de minimis that is responsible for a 1.0 deciview change levels of pollutants at BART-eligible sources (but are not required to do so). De minimis or more should be considered to ‘‘cause’’ visi- values should be identified with the purpose bility impairment; a source that causes less of excluding only those emissions so mini- than a 1.0 deciview change may still con- mal that they are unlikely to contribute to tribute to visibility impairment and thus be regional haze. Any de minimis values that subject to BART. you adopt must not be higher than the PSD Because of varying circumstances affecting applicability levels: 40 tons/yr for SO2 and different Class I areas, the appropriate NOX and 15 tons/yr for PM10. These de mini- threshold for determining whether a source mis levels may only be applied on a plant- ‘‘contributes to any visibility impairment’’ wide basis. for the purposes of BART may reasonably differ across States. As a general matter, III. HOW TO IDENTIFY SOURCES ‘‘SUBJECT TO any threshold that you use for determining BART’’ whether a source ‘‘contributes’’ to visibility Once you have compiled your list of BART- impairment should not be higher than 0.5 eligible sources, you need to determine deciviews. whether (1) to make BART determinations In setting a threshold for ‘‘contribution,’’ for all of them or (2) to consider exempting you should consider the number of emissions some of them from BART because they may sources affecting the Class I areas at issue not reasonably be anticipated to cause or and the magnitude of the individual sources’ contribute to any visibility impairment in a impacts. 5 In general, a larger number of Class I area. If you decide to make BART de- sources causing impacts in a Class I area terminations for all the BART-eligible may warrant a lower contribution threshold. sources on your list, you should work with States remain free to use a threshold lower your regional planning organization (RPO) than 0.5 deciviews if they conclude that the to show that, collectively, they cause or con- location of a large number of BART-eligible tribute to visibility impairment in at least sources within the State and in proximity to one Class I area. You should then make indi- a Class I area justify this approach. 6 vidual BART determinations by applying the five statutory factors discussed in Section IV below. 5 We expect that regional planning organi- On the other hand, you also may choose to zations will have modeling information that perform an initial examination to determine identifies sources affecting visibility in indi- whether a particular BART-eligible source or vidual class I areas. group of sources causes or contributes to vis- 6 Note that the contribution threshold ibility impairment in nearby Class I areas. If should be used to determine whether an indi- your analysis, or information submitted by vidual source is reasonably anticipated to the source, shows that an individual source contribute to visibility impairment. You or group of sources (or certain pollutants should not aggregate the visibility effects of from those sources) is not reasonably antici- multiple sources and compare their collec- pated to cause or contribute to any visibility tive effects against your contribution impairment in a Class I area, then you do threshold because this would inappropriately not need to make BART determinations for create a ‘‘contribute to contribution’’ test.

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2. What Pollutants Do I Need To Consider? You can use CALPUFF 7 or other appropriate model to predict the visibility im- You must look at SO , NO , and direct par- 2 X pacts from a single source at a Class I area. ticulate matter (PM) emissions in deter- CALPUFF is the best regulatory modeling mining whether sources cause or contribute application currently available for pre- to visibility impairment, including both dicting a single source’s contribution to visi- PM and PM . Consistent with the ap- 10 2.5 bility impairment and is currently the only proach for identifying your BART-eligible EPA-approved model for use in estimating sources, you do not need to consider less single source pollutant concentrations re- than de minimis emissions of these pollut- sulting from the long range transport of pri- ants from a source. mary pollutants. 8 It can also be used for As explained in section II, you must use some other purposes, such as the visibility your best judgement to determine whether assessments addressed in today’s rule, to ac- VOC or ammonia emissions are likely to count for the chemical transformation of SO have an impact on visibility in an area. In 2 and NO . addition, although as explained in Section II, X There are several steps for making an indi- you may use PM an indicator for particu- 10 vidual source attribution using a dispersion late matter in determining whether a source model: is BART-eligible, in determining whether a 1. Develop a modeling protocol. Some critical source contributes to visibility impairment, items to include in the protocol are the me- you should distinguish between the fine and teorological and terrain data that will be coarse particle components of direct particu- used, as well as the source-specific informa- late emissions. Although both fine and tion (stack height, temperature, exit veloc- coarse particulate matter contribute to visi- ity, elevation, and emission rates of applicability impairment, the long-range transport ble pollutants) and receptor data from appro- of fine particles is of particular concern in priate Class I areas. We recommend fol- the formation of regional haze. Air quality lowing EPA’s Interagency Workgroup on Air modeling results used in the BART deter- Quality Modeling (IWAQM) Phase 2 Summary mination will provide a more accurate pre- Report and Recommendations for Modeling diction of a source’s impact on visibility if Long Range Transport Impacts 9 for parameter the inputs into the model account for the settings and meteorological data inputs. You relative particle size of any directly emitted may use other settings from those in particulate matter (i.e., PM vs. PM ). 10 2.5 IWAQM, but you should identify these set- 3. What Kind of Modeling Should I Use To tings and explain your selection of these set- Determine Which Sources and Pollutants tings. Need Not Be Subject to BART? One important element of the protocol is in establishing the receptors that will be This section presents several options for used in the model. The receptors that you determining that certain sources need not be use should be located in the nearest Class I subject to BART. These options rely on dif- area with sufficient density to identify the ferent modeling and/or emissions analysis likely visibility effects of the source. For approaches. They are provided for your guid- other Class I areas in relatively close prox- ance. You may also use other reasonable ap- imity to a BART-eligible source, you may proaches for analyzing the visibility impacts model a few strategic receptors to determine of an individual source or group of sources. whether effects at those areas may be greater than at the nearest Class I area. For ex- Option 1: Individual Source Attribution ample, you might chose to locate receptors Approach (Dispersion Modeling) at these areas at the closest point to the You can use dispersion modeling to determine that an individual source cannot rea- 7 The model code and its documentation sonably be anticipated to cause or contribute are available at no cost for download from to visibility impairment in a Class I area and http://www.epa.gov/scram001/tt22.htm#calpuff. thus is not subject to BART. Under this op- 8 The Guideline on Air Quality Models, 40 tion, you can analyze an individual source’s CFR part 51, appendix W, addresses the regu- impact on visibility as a result of its emis- latory application of air quality models for sions of SO2, NOX and direct PM emissions. assessing criteria pollutants under the CAA, Dispersion modeling cannot currently be and describes further the procedures for used to estimate the predicted impacts on using the CALPUFF model, as well as for ob- visibility from an individual source’s emis- taining approval for the use of other, non- sions of VOC or ammonia. You may use a guideline models. more qualitative assessment to determine on 9 Interagency Workgroup on Air Quality Mod- a case-by-case basis which sources of VOC or eling (IWAQM) Phase 2 Summary Report and ammonia emissions may be likely to impair Recommendations for Modeling Long Range visibility and should therefore be subject to Transport Impacts, U.S. Environmental Pro- BART review, as explained in section II.A.3. tection Agency, EPA–454/R–98–019, December above. 1998.

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source, at the highest and lowest elevation the 98th percentile of values. If the 98th per- in the Class I area, at the IMPROVE mon- centile value from your modeling is less than itor, and at the approximate expected plume your contribution threshold, then you may release height. If the highest modeled effects conclude that the source does not contribute are observed at the nearest Class I area, you to visibility impairment and is not subject may choose not to analyze the other Class I to BART. areas any further as additional analyses might be unwarranted. Option 2: Use of Model Plants To Exempt Indi- You should bear in mind that some recep- vidual Sources With Common Characteristics tors within the relevant Class I area may be Under this option, analyses of model plants less than 50 km from the source while other could be used to exempt certain BART-eligi- receptors within that same Class I area may ble sources that share specific characteris- be greater than 50 km from the same source. tics. It may be most useful to use this type As indicated by the Guideline on Air Quality of analysis to identify the types of small Models, 40 CFR part 51, appendix W, this sit- sources that do not cause or contribute to uation may call for the use of two different visibility impairment for purposes of BART, modeling approaches for the same Class I and thus should not be subject to a BART re- area and source, depending upon the State’s view. Different Class I areas may have dif- chosen method for modeling sources less ferent characteristics, however, so you than 50 km. In situations where you are as- should use care to ensure that the criteria sessing visibility impacts for source-receptor you develop are appropriate for the applica- distances less than 50 km, you should use ex- ble cases. pert modeling judgment in determining visi- In carrying out this approach, you could bility impacts, giving consideration to both use modeling analyses of representative CALPUFF and other appropriate methods. plants to reflect groupings of specific sources In developing your modeling protocol, you with important common characteristics. may want to consult with EPA and your re- Based on these analyses, you may find that gional planning organization (RPO). Up-front certain types of sources are clearly antici- consultation will ensure that key technical pated to cause or contribute to visibility im- issues are addressed before you conduct your pairment. You could then choose to categori- modeling. cally require those types of sources to under- 2. With the accepted protocol and compare the go a BART determination. Conversely, you predicted visibility impacts with your threshold may find based on representative plant anal- for ‘‘contribution.’’ You should calculate daily yses that certain types of sources are not visibility values for each receptor as the reasonably anticipated to cause or con- change in deciviews compared against nat- tribute to visibility impairment. To do this, ural visibility conditions. You can use EPA’s you may conduct your own modeling to es- ‘‘Guidance for Estimating Natural Visibility tablish emission levels and distances from Conditions Under the Regional Haze Rule,’’ Class I areas on which you can rely to ex- EPA–454/B–03–005 (September 2003) in making empt sources with those characteristics. For this calculation. To determine whether a example, based on your modeling you might source may reasonably be anticipated to choose to exempt all NO -only sources that cause or contribute to visibility impairment X emit less than a certain amount per year and at Class I area, you then compare the im- are located a certain distance from a Class I pacts predicted by the model against the area. You could then choose to categorically threshold that you have selected. exempt such sources from the BART deter- The emissions estimates used in the mod- mination process. els are intended to reflect steady-state oper- Our analyses of visibility impacts from ating conditions during periods of high ca- model plants provide a useful example of the pacity utilization. We do not generally rec- type of analyses that can be used to exempt ommend that emissions reflecting periods of categories of sources from BART. 10 In our start-up, shutdown, and malfunction be used, analyses, we developed model plants (EGUs as such emission rates could produce higher and non-EGUs), with representative plume than normal effects than would be typical of and stack characteristics, for use in consid- most facilities. We recommend that States ering the visibility impact from emission use the 24 hour average actual emission rate sources of different sizes and compositions at from the highest emitting day of the mete- distances of 50, 100 and 200 kilometers from orological period modeled, unless this rate two hypothetical Class I areas (one in the reflects periods start-up, shutdown, or mal- East and one in the West). As the plume and function. In addition, the monthly average stack characteristics of these model plants relative humidity is used, rather than the were developed considering the broad range daily average humidity—an approach that effectively lowers the peak values in daily model averages. 10 CALPUFF Analysis in Support of the For these reasons, if you use the modeling June 2005 Changes to the Regional Haze approach we recommend, you should com- Rule, U.S. Environmental Protection Agen- pare your ‘‘contribution’’ threshold against cy, June 15, 2005, Docket No. OAR–2002–0076.

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of sources within the EGU and non-EGU cat- bility impairment. You may also use a pho- egories, they do not necessarily represent tochemical grid model. As a general matter, any specific plant. However, the results of the larger the number of sources being mod- these analyses are instructive in the develop- eled, the more appropriate it may be to use ment of an exemption process for any Class a photochemical grid model. However, be- I area. cause such models are significantly less sen- In preparing our analyses, we have made a sitive than dispersion models to the con- number of assumptions and exercised certain tributions of one or a few sources, as well as modeling choices; some of these have a tend- to the interactions among sources that are ency to lend conservatism to the results, widely distributed geographically, if you overstating the likely effects, while others wish to use a grid model, you should consult may understate the likely effects. On bal- with the appropriate EPA Regional Office to ance, when all of these factors are consid- develop an appropriate modeling protocol. ered, we believe that our examples reflect realistic treatments of the situations being IV. THE BART DETERMINATION: ANALYSIS OF modeled. Based on our analyses, we believe BART OPTIONS that a State that has established 0.5 This section describes the process for the deciviews as a contribution threshold could analysis of control options for sources sub- reasonably exempt from the BART review ject to BART. process sources that emit less than 500 tons per year of NOX or SO2 (or combined NOX and A. What factors must I address in the BART SO2), as long as these sources are located review? more than 50 kilometers from any Class I The visibility regulations define BART as area; and sources that emit less than 1000 follows: tons per year of NO or SO (or combined X 2 Best Available Retrofit Technology (BART) NO and SO ) that are located more than 100 X 2 means an emission limitation based on the kilometers from any Class I area. You do, degree of reduction achievable through the however, have the option of showing other application of the best system of continuous thresholds might also be appropriate given emission reduction for each pollutant which your specific circumstances. is emitted by . . . [a BART-eligible source]. Option 3: Cumulative Modeling To Show That The emission limitation must be established, No Sources in a State Are Subject to BART on a case-by-case basis, taking into consideration the technology available, the costs of You may also submit to EPA a demonstra- compliance, the energy and non-air quality tion based on an analysis of overall visibility environmental impacts of compliance, any impacts that emissions from BART-eligible pollution control equipment in use or in ex- sources in your State, considered together, istence at the source, the remaining useful are not reasonably anticipated to cause or life of the source, and the degree of improve- contribute to any visibility impairment in a ment in visibility which may reasonably be Class I area, and thus no source should be anticipated to result from the use of such subject to BART. You may do this on a pol- technology. lutant by pollutant basis or for all visibility- The BART analysis identifies the best sys- impairing pollutants to determine if emis- tem of continuous emission reduction taking sions from these sources contribute to visi- into account: bility impairment. (1) The available retrofit control options, For example, emissions of SO2 from your (2) Any pollution control equipment in use BART-eligible sources may clearly cause or at the source (which affects the availability contribute to visibility impairment while di- of options and their impacts), rect emissions of PM2.5 from these sources (3) The costs of compliance with control may not contribute to impairment. If you options, can make such a demonstration, then you (4) The remaining useful life of the facility, may reasonably conclude that none of your (5) The energy and non-air quality environ- BART-eligible sources are subject to BART mental impacts of control options for a particular pollutant or pollutants. As (6) The visibility impacts analysis. noted above, your demonstration should take into account the interactions among B. What is the scope of the BART review? pollutants and their resulting impacts on visibility before making any pollutant-spe- Once you determine that a source is sub- cific determinations. ject to BART for a particular pollutant, then Analyses may be conducted using several for each affected emission unit, you must es- alternative modeling approaches. First, you tablish BART for that pollutant. The BART may use the CALPUFF or other appropriate determination must address air pollution model as described in Option 1 to evaluate control measures for each emissions unit or the impacts of individual sources on down- pollutant emitting activity subject to re- wind Class I areas, aggregating those im- view. pacts to determine the collective contribu- Example: Plantwide emissions from emis- tion of all BART-eligible sources to visi- sion units within the listed categories that

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began operation within the ‘‘time window’’ plant retrofits are more stringent than these 11 for BART are 300 tons/yr of NOX, 200 tons/ older levels. yr of SO2, and 150 tons/yr of primary particu- Where you are relying on these standards late. Emissions unit A emits 200 tons/yr of to represent a BART level of control, you NOX, 100 tons/yr of SO2, and 100 tons/yr of pri- should provide the public with a discussion mary particulate. Other emission units, of whether any new technologies have subse- units B through H, which began operating in quently become available. 1966, contribute lesser amounts of each pol- D. What Are the Five Basic Steps of a Case-by- lutant. For this example, a BART review is Case BART Analysis? required for NOX, SO2, and primary particulate, and control options must be analyzed The five steps are: for units B through H as well as unit A. STEP 1—Identify All 12 Available Retrofit Control Technologies, C. How does a BART review relate to Maximum STEP 2—Eliminate Technically Infeasible Achievable Control Technology (MACT) Options, Standards under CAA section 112, or to other STEP 3—Evaluate Control Effectiveness of emission limitations required under the Remaining Control Technologies, CAA? STEP 4—Evaluate Impacts and Document the Results, and For VOC and PM sources subject to MACT STEP 5—Evaluate Visibility Impacts. standards, States may streamline the analysis by including a discussion of the MACT 1. STEP 1: How do I identify all available controls and whether any major new tech- retrofit emission control techniques? nologies have been developed subsequent to 1. Available retrofit control options are the MACT standards. We believe that there those air pollution control technologies with are many VOC and PM sources that are well a practical potential for application to the controlled because they are regulated by the emissions unit and the regulated pollutant MACT standards, which EPA developed under evaluation. Air pollution control tech- under CAA section 112. For a few MACT nologies can include a wide variety of avail- standards, this may also be true for SO2. Any able methods, systems, and techniques for source subject to MACT standards must control of the affected pollutant. Tech- meet a level that is as stringent as the best- nologies required as BACT or LAER are controlled 12 percent of sources in the indus- available for BART purposes and must be in- try. Examples of these hazardous air pollut- cluded as control alternatives. The control ant sources which effectively control VOC alternatives can include not only existing and PM emissions include (among others) controls for the source category in question secondary lead facilities, organic chemical but also take into account technology trans- plants subject to the hazardous organic fer of controls that have been applied to NESHAP (HON), pharmaceutical production similar source categories and gas streams. facilities, and equipment leaks and waste- Technologies which have not yet been ap- water operations at petroleum refineries. We plied to (or permitted for) full scale oper- believe that, in many cases, it will be un- ations need not be considered as available; likely that States will identify emission con- we do not expect the source owner to pur- trols more stringent than the MACT stand- chase or construct a process or control de- ards without identifying control options that vice that has not already been demonstrated would cost many thousands of dollars per in practice. ton. Unless there are new technologies subse- 2. Where a NSPS exists for a source cat- quent to the MACT standards which would egory (which is the case for most of the cat- lead to cost-effective increases in the level of egories affected by BART), you should in- control, you may rely on the MACT stand- clude a level of control equivalent to the ards for purposes of BART. NSPS as one of the control options. 13 The We believe that the same rationale also holds true for emissions standards developed 12 for municipal waste incinerators under CAA In identifying ‘‘all’’ options, you must section 111(d), and for many NSR/PSD deter- identify the most stringent option and a rea- minations and NSR/PSD settlement agree- sonable set of options for analysis that re- ments. However, we do not believe that tech- flects a comprehensive list of available technology determinations from the 1970s or nologies. It is not necessary to list all per- early 1980s, including new source perform- mutations of available control levels that ance standards (NSPS), should be considered exist for a given technology—the list is com- to represent best control for existing plete if it includes the maximum level of sources, as best control levels for recent control each technology is capable of achieving. 13 In EPA’s 1980 BART guidelines for rea- 11 That is, emission units that were in ex- sonably attributable visibility impairment, istence on August 7, 1977 and which began ac- we concluded that NSPS standards gen- tual operation on or after August 7, 1962. erally, at that time, represented the best

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NSPS standards are codified in 40 CFR part 6. For emission units subject to a BART re- 60. We note that there are situations where view, there will often be control measures or NSPS standards do not require the most devices already in place. For such emission stringent level of available control for all units, it is important to include control op- sources within a category. For example, tions that involve improvements to existing post-combustion NOX controls (the most controls and not to limit the control options stringent controls for stationary gas tur- only to those measures that involve a com- bines) are not required under subpart GG of plete replacement of control devices. the NSPS for Stationary Gas Turbines. How- Example: For a power plant with an exist- ever, such controls must still be considered ing wet scrubber, the current control effi- available technologies for the BART selec- ciency is 66 percent. Part of the reason for tion process. the relatively low control efficiency is that 3. Potentially applicable retrofit control 22 percent of the gas stream bypasses the alternatives can be categorized in three scrubber. A BART review identifies options ways. for improving the performance of the wet • Pollution prevention: use of inherently scrubber by redesigning the internal compo- lower-emitting processes/practices, including nents of the scrubber and by eliminating or the use of control techniques (e.g., low-NOX reducing the percentage of the gas stream burners) and work practices that prevent that bypasses the scrubber. Four control op- emissions and result in lower ‘‘production- tions are identified: (1) 78 percent control specific’’ emissions (note that it is not our based upon improved scrubber performance intent to direct States to switch fuel forms, while maintaining the 22 percent bypass, (2) e.g., from coal to gas), 83 percent control based upon improved • Use of (and where already in place, im- scrubber performance while reducing the by- provement in the performance of) add-on pass to 15 percent, (3) 93 percent control controls, such as scrubbers, fabric filters, based upon improving the scrubber perform- thermal oxidizers and other devices that con- ance while eliminating the bypass entirely, trol and reduce emissions after they are pro- (this option results in a ‘‘wet stack’’ oper- duced, and ation in which the gas leaving the stack is • Combinations of inherently lower-emit- saturated with water) and (4) 93 percent as in ting processes and add-on controls. option 3, with the addition of an indirect re- 4. In the course of the BART review, one or heat system to reheat the stack gas above more of the available control options may be the saturation temperature. You must con- eliminated from consideration because they sider each of these four options in a BART are demonstrated to be technically infeasible analysis for this source. or to have unacceptable energy, cost, or non- 7. You are expected to identify potentially air quality environmental impacts on a case- applicable retrofit control technologies that by-case (or site-specific) basis. However, at represent the full range of demonstrated al- the outset, you should initially identify all ternatives. Examples of general information control options with potential application to sources to consider include: the emissions unit under review. • The EPA’s Clean Air Technology Center, 5. We do not consider BART as a require- which includes the RACT/BACT/LAER Clear- ment to redesign the source when consid- inghouse (RBLC); ering available control alternatives. For ex- • State and Local Best Available Control ample, where the source subject to BART is Technology Guidelines—many agencies have a coal-fired electric generator, we do not re- online information—for example South quire the BART analysis to consider building Coast Air Quality Management District, Bay a natural gas-fired electric turbine although Area Air Quality Management District, and the turbine may be inherently less polluting Texas Natural Resources Conservation Com- on a per unit basis. mission; • Control technology vendors; • Federal/State/Local NSR permits and as- level sources could install as BART. In the 20 sociated inspection/performance test reports; year period since this guidance was devel- • Environmental consultants; oped, there have been advances in SO2 con- • Technical journals, reports and news- trol technologies as well as technologies for letters, air pollution control seminars; and the control of other pollutants, confirmed by • The EPA’s NSR bulletin board—http:// a number of recent retrofits at Western www.epa.gov/ttn/nsr; power plants. Accordingly, EPA no longer • Department of Energy’s Clean Coal Pro- concludes that the NSPS level of controls gram—technical reports; automatically represents ‘‘the best these • The NOX Control Technology ‘‘Cost sources can install.’’ Analysis of the BART Tool’’—Clean Air Markets Division Web factors could result in the selection of a page—http://www.epa.gov/airmarkets/arp/nox/ NSPS level of control, but you should reach controltech.html; this conclusion only after considering the • Performance of selective catalytic reduc- full range of control options. tion on coal-fired steam generating units—

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final report. OAR/ARD, June 1997 (also avail- cepts are important in determining whether able at http://www.epa.gov/airmarkets/arp/nox/ a technology could be applied: ‘‘availability’’ controltech.html); and ‘‘applicability.’’ As explained in more • Cost estimates for selected applications detail below, a technology is considered of NOX control technologies on stationary ‘‘available’’ if the source owner may obtain combustion boilers. OAR/ARD June 1997. it through commercial channels, or it is oth- (Docket for NOX SIP Call, A–96–56, item II–A– erwise available within the common sense 03); meaning of the term. An available tech- • Investigation of performance and cost of nology is ‘‘applicable’’ if it can reasonably be NOX controls as applied to group 2 boilers. installed and operated on the source type OAR/ARD, August 1996. (Docket for Phase II under consideration. A technology that is NOX rule, A–95–28, item IV–A–4); available and applicable is technically fea- • Controlling SO2 Emissions: A Review of sible. Technologies. EPA–600/R–00–093, USEPA/ ORD/NRMRL, October 2000; and What do we mean by ‘‘available’’ • The OAQPS Control Cost Manual. technology? You are expected to compile appropriate 1. The typical stages for bringing a control information from these information sources. technology concept to reality as a commer- 8. There may be situations where a specific cial product are: set of units within a fenceline constitutes • Concept stage; the logical set to which controls would apply • Research and patenting; and that set of units may or may not all be • Bench scale or laboratory testing; BART-eligible. (For example, some units in • Pilot scale testing; that set may not have been constructed be- • Licensing and commercial demonstra- tween 1962 and 1977.) tion; and 9. If you find that a BART source has con- • Commercial sales. trols already in place which are the most 2. A control technique is considered avail- stringent controls available (note that this able, within the context presented above, if means that all possible improvements to any it has reached the stage of licensing and control devices have been made), then it is commercial availability. Similarly, we do not necessary to comprehensively complete not expect a source owner to conduct ex- each following step of the BART analysis in tended trials to learn how to apply a tech- this section. As long these most stringent nology on a totally new and dissimilar controls available are made federally en- source type. Consequently, you would not forceable for the purpose of implementing consider technologies in the pilot scale test- BART for that source, you may skip the re- ing stages of development as ‘‘available’’ for maining analyses in this section, including purposes of BART review. the visibility analysis in step 5. Likewise, if 3. Commercial availability by itself, how- a source commits to a BART determination ever, is not necessarily a sufficient basis for that consists of the most stringent controls concluding a technology to be applicable and available, then there is no need to complete therefore technically feasible. Technical fea- the remaining analyses in this section. sibility, as determined in Step 2, also means a control option may reasonably be deployed 2. STEP 2: How do I determine whether the on or ‘‘applicable’’ to the source type under options identified in Step 1 are technically consideration. feasible? Because a new technology may become available at various points in time during In Step 2, you evaluate the technical feasi- the BART analysis process, we believe that bility of the control options you identified in guidelines are needed on when a technology Step 1. You should document a demonstra- must be considered. For example, a tech- tion of technical infeasibility and should ex- nology may become available during the plain, based on physical, chemical, or engi- public comment period on the State’s rule neering principles, why technical difficulties development process. Likewise, it is possible would preclude the successful use of the con- that new technologies may become available trol option on the emissions unit under re- after the close of the State’s public comment view. You may then eliminate such tech- period and before submittal of the SIP to nically infeasible control options from fur- EPA, or during EPA’s review process on the ther consideration in the BART analysis. SIP submittal. In order to provide certainty in the process, all technologies should be In general, what do we mean by technical considered if available before the close of the feasibility? State’s public comment period. You need not Control technologies are technically fea- consider technologies that become available sible if either (1) they have been installed after this date. As part of your analysis, you and operated successfully for the type of should consider any technologies brought to source under review under similar condi- your attention in public comments. If you tions, or (2) the technology could be applied disagree with public comments asserting to the source under review. Two key con- that the technology is available, you should

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provide an explanation for the public record eliminated from further consideration. How- as to the basis for your conclusion. ever, if there is a permit requiring the application of a certain technology or emission What do we mean by ‘‘applicable’’ limit to be achieved for such technology, technology? this usually is sufficient justification for you You need to exercise technical judgment in to assume the technical feasibility of that determining whether a control alternative is technology or emission limit. applicable to the source type under consider- 3. Physical modifications needed to resolve ation. In general, a commercially available technical obstacles do not, in and of them- control option will be presumed applicable if selves, provide a justification for eliminating it has been used on the same or a similar the control technique on the basis of tech- source type. Absent a showing of this type, nical infeasibility. However, you may con- you evaluate technical feasibility by exam- sider the cost of such modifications in esti- ining the physical and chemical characteris- mating costs. This, in turn, may form the tics of the pollutant-bearing gas stream, and basis for eliminating a control technology comparing them to the gas stream charac- (see later discussion). teristics of the source types to which the 4. Vendor guarantees may provide an indi- technology had been applied previously. De- cation of commercial availability and the ployment of the control technology on a new technical feasibility of a control technique or existing source with similar gas stream and could contribute to a determination of characteristics is generally a sufficient basis technical feasibility or technical infeasi- for concluding the technology is technically bility, depending on circumstances. How- feasible barring a demonstration to the con- ever, we do not consider a vendor guarantee trary as described below. alone to be sufficient justification that a control option will work. Conversely, lack of What type of demonstration is required if I a vendor guarantee by itself does not present conclude that an option is not technically sufficient justification that a control option feasible? or an emissions limit is technically infeasi- 1. Where you conclude that a control op- ble. Generally, you should make decisions tion identified in Step 1 is technically infea- about technical feasibility based on chem- sible, you should demonstrate that the op- ical, and engineering analyses (as discussed tion is either commercially unavailable, or above), in conjunction with information that specific circumstances preclude its ap- about vendor guarantees. plication to a particular emission unit. Gen- 5. A possible outcome of the BART proce- erally, such a demonstration involves an dures discussed in these guidelines is the evaluation of the characteristics of the pol- evaluation of multiple control technology al- lutant-bearing gas stream and the capabili- ternatives which result in essentially equiva- ties of the technology. Alternatively, a dem- lent emissions. It is not our intent to en- onstration of technical infeasibility may in- courage evaluation of unnecessarily large volve a showing that there are unresolvable numbers of control alternatives for every technical difficulties with applying the con- emissions unit. Consequently, you should use trol to the source (e.g., size of the unit, loca- judgment in deciding on those alternatives tion of the proposed site, operating problems for which you will conduct the detailed im- related to specific circumstances of the pacts analysis (Step 4 below). For example, if source, space constraints, reliability, and ad- two or more control techniques result in verse side effects on the rest of the facility). control levels that are essentially identical, Where the resolution of technical difficulties considering the uncertainties of emissions is merely a matter of increased cost, you factors and other parameters pertinent to es- should consider the technology to be tech- timating performance, you may evaluate nically feasible. The cost of a control alter- only the less costly of these options. You native is considered later in the process. should narrow the scope of the BART anal- 2. The determination of technical feasi- ysis in this way only if there is a negligible bility is sometimes influenced by recent air difference in emissions and energy and non- quality permits. In some cases, an air qual- air quality environmental impacts between ity permit may require a certain level of control alternatives. control, but the level of control in a permit 3. STEP 3: How do I evaluate technically is not expected to be achieved in practice feasible alternatives? (e.g., a source has received a permit but the project was canceled, or every operating Step 3 involves evaluating the control ef- source at that permitted level has been phys- fectiveness of all the technically feasible ically unable to achieve compliance with the control alternatives identified in Step 2 for limit). Where this is the case, you should the pollutant and emissions unit under re- provide supporting documentation showing view. why such limits are not technically feasible, Two key issues in this process include: and, therefore, why the level of control (but (1) Making sure that you express the de- not necessarily the technology) may be gree of control using a metric that ensures

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an ‘‘apples to apples’’ comparison of emis- lection of additional options would have sions performance levels among options, and widely varying costs and other impacts. (2) Giving appropriate treatment and con- 4. Finally, we note that for retrofitting ex- sideration of control techniques that can op- isting sources in addressing BART, you erate over a wide range of emission perform- should consider ways to improve the per- ance levels. formance of existing control devices, particularly when a control device is not achiev- What are the appropriate metrics for ing the level of control that other similar comparison? sources are achieving in practice with the This issue is especially important when same device. For example, you should con- you compare inherently lower-polluting sider requiring those sources with electro- processes to one another or to add-on con- static precipitators (ESPs) performing below trols. In such cases, it is generally most ef- currently achievable levels to improve their fective to express emissions performance as performance. an average steady state emissions level per unit of product produced or processed. 4. STEP 4: For a BART review, what impacts Examples of common metrics: am I expected to calculate and report? What methods does EPA recommend for • Pounds of SO2 emissions per million Btu heat input, and the impacts analysis? • Pounds of NOX emissions per ton of ce- After you identify the available and tech- ment produced. nically feasible control technology options, you are expected to conduct the following How do I evaluate control techniques with a analyses when you make a BART determina- wide range of emission performance levels? tion: 1. Many control techniques, including both Impact analysis part 1: Costs of compli- add-on controls and inherently lower pol- ance, luting processes, can perform at a wide range Impact analysis part 2: Energy impacts, of levels. Scrubbers and high and low effi- and ciency electrostatic precipitators (ESPs) are Impact analysis part 3: Non-air quality en- two of the many examples of such control vironmental impacts. techniques that can perform at a wide range Impact analysis part 4: Remaining useful of levels. It is not our intent to require anal- life. ysis of each possible level of efficiency for a control technique as such an analysis would In this section, we describe how to conduct result in a large number of options. It is im- each of these three analyses. You are respon- portant, however, that in analyzing the tech- sible for presenting an evaluation of each nology you take into account the most strin- impact along with appropriate supporting in- gent emission control level that the tech- formation. You should discuss and, where nology is capable of achieving. You should possible, quantify both beneficial and ad- consider recent regulatory decisions and per- verse impacts. In general, the analysis formance data (e.g., manufacturer’s data, en- should focus on the direct impact of the con- gineering estimates and the experience of trol alternative. other sources) when identifying an emissions a. Impact analysis part 1: how do I estimate performance level or levels to evaluate. the costs of control? 2. In assessing the capability of the control alternative, latitude exists to consider spe- 1. To conduct a cost analysis, you: cial circumstances pertinent to the specific (1) Identify the emissions units being con- source under review, or regarding the prior trolled, application of the control alternative. How- (2) Identify design parameters for emission ever, you should explain the basis for choos- controls, and ing the alternate level (or range) of control (3) Develop cost estimates based upon in the BART analysis. Without a showing of those design parameters. differences between the source and other 2. It is important to identify clearly the sources that have achieved more stringent emission units being controlled, that is, to emissions limits, you should conclude that specify a well-defined area or process seg- the level being achieved by those other ment within the plant. In some cases, mul- sources is representative of the achievable tiple emission units can be controlled joint- level for the source being analyzed. ly. However, in other cases, it may be appro- 3. You may encounter cases where you may priate in the cost analysis to consider wheth- wish to evaluate other levels of control in er multiple units will be required to install addition to the most stringent level for a separate and/or different control devices. given device. While you must consider the The analysis should provide a clear summary most stringent level as one of the control op- list of equipment and the associated control tions, you may consider less stringent levels costs. Inadequate documentation of the of control as additional options. This would equipment whose emissions are being con- be useful, particularly in cases where the se- trolled is a potential cause for confusion in

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comparison of costs of the same controls ap- Control Cost Manual addresses most control plied to similar sources. technologies in sufficient detail for a BART 3. You then specify the control system de- analysis. The cost analysis should also take sign parameters. Potential sources of these into account any site-specific design or other design parameters include equipment ven- conditions identified above that affect the dors, background information documents cost of a particular BART technology option. used to support NSPS development, control technique guidelines documents, cost manu- b. What do we mean by cost effectiveness? als developed by EPA, control data in trade Cost effectiveness, in general, is a criterion publications, and engineering and perform- used to assess the potential for achieving an ance test data. The following are a few exam- objective in the most economical way. For ples of design parameters for two example purposes of air pollutant analysis, ‘‘effec- control measures: tiveness’’ is measured in terms of tons of pollutant emissions removed, and ‘‘cost’’ is Examples of design Control device parameters measured in terms of annualized control costs. We recommend two types of cost-effec- Wet Scrubbers...... Type of sorbent used (lime, lime- tiveness calculations—average cost effective- stone, etc.). ness, and incremental cost effectiveness. Gas pressure drop. Liquid/gas ratio. c. How do I calculate average cost Selective Catalytic Ammonia to NOX molar ratio. effectiveness? Reduction. Pressure drop. Catalyst life. Average cost effectiveness means the total annualized costs of control divided by annual 4. The value selected for the design param- emissions reductions (the difference between eter should ensure that the control option baseline annual emissions and the estimate will achieve the level of emission control of emissions after controls), using the fol- being evaluated. You should include in your lowing formula: analysis documentation of your assumptions Average cost effectiveness (dollars per ton regarding design parameters. Examples of removed) =Control option annualized supporting references would include the EPA cost 16 OAQPS Control Cost Manual (see below) and background information documents used for Baseline annual emissions—Annual emis- NSPS and hazardous pollutant emission sions with Control option standards. If the design parameters you spec- Because you calculate costs in (annualized) ified differ from typical designs, you should dollars per year ($/yr) and because you cal- document the difference by supplying per- culate emissions rates in tons per year (tons/ formance test data for the control tech- yr), the result is an average cost-effective- nology in question applied to the same ness number in (annualized) dollars per ton source or a similar source. ($/ton) of pollutant removed. 5. Once the control technology alternatives d. How do I calculate baseline emissions? and achievable emissions performance levels have been identified, you then develop esti- 1. The baseline emissions rate should rep- mates of capital and annual costs. The basis resent a realistic depiction of anticipated an- for equipment cost estimates also should be nual emissions for the source. In general, for documented, either with data supplied by an the existing sources subject to BART, you equipment vendor (i.e., budget estimates or will estimate the anticipated annual emis- bids) or by a referenced source (such as the sions based upon actual emissions from a OAQPS Control Cost Manual, Fifth Edition, baseline period. February 1996, EPA 453/B–96–001). 14 In order 2. When you project that future operating to maintain and improve consistency, cost parameters (e.g., limited hours of operation estimates should be based on the OAQPS or capacity utilization, type of fuel, raw ma- Control Cost Manual, where possible. 15 The terials or product mix or type) will differ from past practice, and if this projection has a deciding effect in the BART determination, 14 The OAQPS Control Cost Manual is updated periodically. While this citation refers to the latest version at the time this guid- costs, equipment life, replacement of major ance was written, you should use the version components, and any other element of the that is current as of when you conduct your calculation that differs from the Control Cost impact analysis. This document is available Manual. at the following Web site: http://www.epa.gov/ 16 Whenever you calculate or report annual ttn/catc/dir1/cs1ch2.pdf. costs, you should indicate the year for which 15 You should include documentation for the costs are estimated. For example, if you any additional information you used for the use the year 2000 as the basis for cost com- cost calculations, including any information parisons, you would report that an supplied by vendors that affects your as- annualized cost of $20 million would be: $20 sumptions regarding purchased equipment million (year 2000 dollars).

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then you must make these parameters or as- of $500,000 to reduce 1000 tons of the same sumptions into enforceable limitations. In pollutant. The incremental cost effective- the absence of enforceable limitations, you ness of Option F relative to Option D is ($1 calculate baseline emissions based upon con- million ¥ $500,000) divided by (2000 tons ¥ tinuation of past practice. 1000 tons), or $500,000 divided by 1000 tons, 3. For example, the baseline emissions cal- which is $500/ton. culation for an emergency standby generator Example 2: Assume that two control op- may consider the fact that the source owner tions exist: Option 1 and Option 2. Option 1 would not operate more than past practice of achieves a 1,000 ton/yr reduction at an 2 weeks a year. On the other hand, baseline annualized cost of $1,900,000. This represents emissions associated with a base-loaded tur- an average cost of ($1,900,000/1,000 tons) = bine should be based on its past practice $1,900/ton. Option 2 achieves a 980 tons/yr re- which would indicate a large number of duction at an annualized cost of $1,500,000. hours of operation. This produces a significantly higher level of baseline emissions This represents an average cost of ($1,500,000/ than in the case of the emergency/standby 980 tons) = $1,531/ton. The incremental cost unit and results in more cost-effective con- effectiveness of Option 1 relative to Option 2 ¥ trols. As a consequence of the dissimilar is ($1,900,000 $1,500,000) divided by (1,000 ¥ baseline emissions, BART for the two cases tons 980 tons). The adoption of Option 1 in- could be very different. stead of Option 2 results in an incremental emission reduction of 20 tons per year at an e. How do I calculate incremental cost additional cost of $400,000 per year. The in- effectiveness? cremental cost of Option 1, then, is $20,000 per ton ¥ 11 times the average cost of $1,900 1. In addition to the average cost effectiveness of a control option, you should also cal- per ton. While $1,900 per ton may still be culate incremental cost effectiveness. You deemed reasonable, it is useful to consider should consider the incremental cost effec- both the average and incremental cost in tiveness in combination with the average making an overall cost-effectiveness finding. cost effectiveness when considering whether Of course, there may be other differences be- to eliminate a control option. The incre- tween these options, such as, energy or water mental cost effectiveness calculation com- use, or non-air environmental effects, which pares the costs and performance level of a also should be considered in selecting a control option to those of the next most BART technology. stringent option, as shown in the following 2. You should exercise care in deriving in- formula (with respect to cost per emissions cremental costs of candidate control options. reduction): Incremental cost-effectiveness comparisons Incremental Cost Effectiveness (dollars per should focus on annualized cost and emission incremental ton removed) = (Total reduction differences between ‘‘dominant’’ annualized costs of control option) ¥ alternatives. To identify dominant alter- (Total annualized costs of next control natives, you generate a graphical plot of option) ÷ (Control option annual emis- total annualized costs for total emissions re- sions) ¥ (Next control option annual ductions for all control alternatives identi- emissions) fied in the BART analysis, and by identi- Example 1: Assume that Option F on Figure fying a ‘‘least-cost envelope’’ as shown in 2 has total annualized costs of $1 million to Figure 2. (A ‘‘least-cost envelope’’ represents reduce 2000 tons of a pollutant, and that Op- the set of options that should be dominant in tion D on Figure 2 has total annualized costs the choice of a specific option.)

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Example: Eight technically feasible control after controls have been applied, between options for analysis are listed. These are rep- those two control options. For example, resented as A through H in Figure 2. The using Figure 2, you would calculate incre- dominant set of control options, B, D, F, G, mental cost effectiveness for the difference and H, represent the least-cost envelope, as between options B and D, options D and F, we depict by the cost curve connecting them. options F and G, and options G and H. Points A, C and E are inferior options, and 4. A comparison of incremental costs can you should not use them in calculating in- also be useful in evaluating the viability of a cremental cost effectiveness. Points A, C and specific control option over a range of effi- E represent inferior controls because B will ciencies. For example, depending on the cap- buy more emissions reductions for less ital and operational cost of a control device, money than A; and similarly, D and F will total and incremental cost may vary signifi- buy more reductions for less money than C cantly (either increasing or decreasing) over and E, respectively. the operational range of a control device. 3. In calculating incremental costs, you: Also, the greater the number of possible con- (1) Array the control options in ascending trol options that exist, the more weight order of annualized total costs, should be given to the incremental costs vs. (2) Develop a graph of the most reasonable average costs. It should be noted that aver- smooth curve of the control options, as age and incremental cost effectiveness are shown in Figure 2. This is to show the ‘‘least- identical when only one candidate control cost envelope’’ discussed above; and option is known to exist. (3) Calculate the incremental cost effec- 5. You should exercise caution not to mis- tiveness for each dominant option, which is use these techniques. For example, you may the difference in total annual costs between be faced with a choice between two available that option and the next most stringent op- control devices at a source, control A and tion, divided by the difference in emissions, control B, where control B achieves slightly

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greater emission reductions. The average the combustion of a concentrated gas stream cost (total annual cost/total annual emission rich in volatile organic compounds; on the reductions) for each may be deemed to be other hand, more often extra fuel or elec- reasonable. However, the incremental cost tricity is required to power a control device (total annual costA–B/total annual emission or incinerate a dilute gas stream. If such reductionsA–B) of the additional emission benefits or penalties exist, they should be reductions to be achieved by control B may quantified to the extent practicable. Because be very great. In such an instance, it may be energy penalties or benefits can usually be inappropriate to choose control B, based on quantified in terms of additional cost or in- its high incremental costs, even though its come to the source, the energy impacts anal- average cost may be considered reasonable. ysis can, in most cases, simply be factored 6. In addition, when you evaluate the aver- into the cost impacts analysis. The fact of age or incremental cost effectiveness of a energy use in and of itself does not disqualify control alternative, you should make reason- a technology. able and supportable assumptions regarding 2. Your energy impact analysis should con- control efficiencies. An unrealistically low sider only direct energy consumption and assessment of the emission reduction poten- not indirect energy impacts. For example, tial of a certain technology could result in you could estimate the direct energy im- inflated cost-effectiveness figures. pacts of the control alternative in units of energy consumption at the source (e.g., BTU, f. What other information should I provide in kWh, barrels of oil, tons of coal). The energy the cost impacts analysis? requirements of the control options should You should provide documentation of any be shown in terms of total (and in certain unusual circumstances that exist for the cases, also incremental) energy costs per ton source that would lead to cost-effectiveness of pollutant removed. You can then convert estimates that would exceed that for recent these units into dollar costs and, where ap- retrofits. This is especially important in propriate, factor these costs into the control cases where recent retrofits have cost-effec- cost analysis. tiveness values that are within what has 3. You generally do not consider indirect been considered a reasonable range, but your energy impacts (such as energy to produce analysis concludes that costs for the source raw materials for construction of control being analyzed are not considered reason- equipment). However, if you determine, ei- able. (A reasonable range would be a range ther independently or based on a showing by that is consistent with the range of cost ef- the source owner, that the indirect energy fectiveness values used in other similar per- impact is unusual or significant and that the mit decisions over a period of time.) impact can be well quantified, you may consider the indirect impact. Example: In an arid region, large amounts 4. The energy impact analysis may also ad- of water are needed for a scrubbing system. dress concerns over the use of locally scarce Acquiring water from a distant location fuels. The designation of a scarce fuel may could greatly increase the cost per ton of vary from region to region. However, in gen- emissions reduced of wet scrubbing as a con- eral, a scarce fuel is one which is in short trol option. supply locally and can be better used for alternative purposes, or one which may not be g. What other things are important to reasonably available to the source either at consider in the cost impacts analysis? the present time or in the near future. In the cost analysis, you should take care 5. Finally, the energy impacts analysis not to focus on incomplete results or partial may consider whether there are relative dif- calculations. For example, large capital ferences between alternatives regarding the costs for a control option alone would not use of locally or regionally available coal, preclude selection of a control measure if and whether a given alternative would result large emissions reductions are projected. In in significant economic disruption or unem- such a case, low or reasonable cost effective- ployment. For example, where two options ness numbers may validate the option as an are equally cost effective and achieve equiv- appropriate BART alternative irrespective of alent or similar emissions reductions, one the large capital costs. Similarly, projects option may be preferred if the other alter- with relatively low capital costs may not be native results in significant disruption or cost effective if there are few emissions re- unemployment. duced. i. Impact analysis part 3: How do I analyze h. Impact analysis part 2: How should I ‘‘non-air quality environmental impacts?’’ analyze and report energy impacts? 1. In the non-air quality related environ- 1. You should examine the energy require- mental impacts portion of the BART anal- ments of the control technology and deter- ysis, you address environmental impacts mine whether the use of that technology re- other than air quality due to emissions of sults in energy penalties or benefits. A the pollutant in question. Such environ- source owner may, for example, benefit from mental impacts include solid or hazardous

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waste generation and discharges of polluted environmental consequences of releasing water from a control device. these materials. 2. You should identify any significant or unusual environmental impacts associated j. Impact analysis part 4: What are examples with a control alternative that have the po- of non-air quality environmental impacts? tential to affect the selection or elimination The following are examples of how to con- of a control alternative. Some control tech- duct non-air quality environmental impacts: nologies may have potentially significant (1) Water Impact secondary environmental impacts. Scrubber You should identify the relative quantities effluent, for example, may affect water qual- of water used and water pollutants produced ity and land use. Alternatively, water avail- and discharged as a result of the use of each ability may affect the feasibility and costs of alternative emission control system. Where wet scrubbers. Other examples of secondary possible, you should assess the effect on environmental impacts could include haz- ground water and such local surface water ardous waste discharges, such as spent cata- quality parameters as ph, turbidity, dis- lysts or contaminated carbon. Generally, solved oxygen, salinity, toxic chemical lev- these types of environmental concerns be- els, temperature, and any other important come important when sensitive site-specific considerations. The analysis could consider receptors exist or when the incremental whether applicable water quality standards emissions reductions potential of the more will be met and the availability and effec- stringent control is only marginally greater tiveness of various techniques to reduce po- than the next most-effective option. How- tential adverse effects. ever, the fact that a control device creates (2) Solid Waste Disposal Impact liquid and solid waste that must be disposed You could also compare the quality and of does not necessarily argue against selec- quantity of solid waste (e.g., sludges, solids) tion of that technology as BART, particu- that must be stored and disposed of or recy- larly if the control device has been applied cled as a result of the application of each al- to similar facilities elsewhere and the solid ternative emission control system. You or liquid waste is similar to those other ap- should consider the composition and various plications. On the other hand, where you or other characteristics of the solid waste (such the source owner can show that unusual cir- as permeability, water retention, rewatering cumstances at the proposed facility create of dried material, compression strength, greater problems than experienced else- leachability of dissolved ions, bulk density, where, this may provide a basis for the elimi- ability to support vegetation growth and nation of that control alternative as BART. hazardous characteristics) which are signifi- 3. The procedure for conducting an anal- cant with regard to potential surface water ysis of non-air quality environmental im- pollution or transport into and contamina- pacts should be made based on a consider- tion of subsurface waters or aquifers. ation of site-specific circumstances. If you (3) Irreversible or Irretrievable Commitment of propose to adopt the most stringent alter- Resources native, then it is not necessary to perform You may consider the extent to which the this analysis of environmental impacts for alternative emission control systems may the entire list of technologies you ranked in involve a trade-off between short-term envi- Step 3. In general, the analysis need only ad- ronmental gains at the expense of long-term dress those control alternatives with any environmental losses and the extent to significant or unusual environmental im- which the alternative systems may result in pacts that have the potential to affect the irreversible or irretrievable commitment of selection of a control alternative, or elimi- resources (for example, use of scarce water nation of a more stringent control alter- resources). native. Thus, any important relative envi- (4) Other Adverse Environmental Impacts ronmental impacts (both positive and nega- You may consider significant differences in tive) of alternatives can be compared with noise levels, radiant heat, or dissipated stat- each other. ic electrical energy of pollution control al- 4. In general, the analysis of impacts starts ternatives. Other examples of non-air quality with the identification and quantification of environmental impacts would include haz- the solid, liquid, and gaseous discharges from ardous waste discharges such as spent cata- the control device or devices under review. lysts or contaminated carbon. Initially, you should perform a qualitative or k. How do I take into account a project’s semi-quantitative screening to narrow the ‘‘remaining useful life’’ in calculating con- analysis to discharges with potential for trol costs? causing adverse environmental effects. Next, you should assess the mass and composition 1. You may decide to treat the requirement of any such discharges and quantify them to to consider the source’s ‘‘remaining useful the extent possible, based on readily avail- life’’ of the source for BART determinations able information. You should also assemble as one element of the overall cost analysis. pertinent information about the public or The ‘‘remaining useful life’’ of a source, if it

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represents a relatively short time period, 5. Step 5: How should I determine visibility may affect the annualized costs of retrofit impacts in the BART determination? controls. For example, the methods for cal- The following is an approach you may use culating annualized costs in EPA’s OAQPS to determine visibility impacts (the degree Control Cost Manual require the use of a spec- of visibility improvement for each source ified time period for amortization that var- subject to BART) for the BART determina- ies based upon the type of control. If the re- tion. Once you have determined that your maining useful life will clearly exceed this source or sources are subject to BART, you time period, the remaining useful life has es- must conduct a visibility improvement de- sentially no effect on control costs and on termination for the source(s) as part of the the BART determination process. Where the BART determination. When making this de- remaining useful life is less than the time termination, we believe you have flexibility period for amortizing costs, you should use in setting absolute thresholds, target levels this shorter time period in your cost calcula- of improvement, or de minimis levels since tions. the deciview improvement must be weighed among the five factors, and you are free to 2. For purposes of these guidelines, the redetermine the weight and significance to be maining useful life is the difference between: assigned to each factor. For example, a 0.3 (1) The date that controls will be put in deciview improvement may merit a stronger place (capital and other construction costs weighting in one case versus another, so one incurred before controls are put in place can ‘‘bright line’’ may not be appropriate. [Note be rolled into the first year, as suggested in that if sources have elected to apply the EPA’s OAQPS Control Cost Manual); you are most stringent controls available, consistent conducting the BART analysis; and with the discussion in section E. step 1. (2) The date the facility permanently stops below, you need not conduct, or require the operations. Where this affects the BART de- source to conduct, an air quality modeling termination, this date should be assured by a analysis for the purpose of determining its federally- or State-enforceable restriction visibility impacts.] 17 preventing further operation. Use CALPUFF, or other appropriate dispersion model to determine the visibility im- 3. We recognize that there may be situa- provement expected at a Class I area from tions where a source operator intends to shut the potential BART control technology ap- down a source by a given date, but wishes to plied to the source. Modeling should be con- retain the flexibility to continue operating ducted for SO2, NOX, and direct PM emis- beyond that date in the event, for example, sions (PM2.5 and/or PM10). If the source is that market conditions change. Where this is making the visibility determination, you the case, your BART analysis may account should review and approve or disapprove of for this, but it must maintain consistency the source’s analysis before making the ex- with the statutory requirement to install pected improvement determination. There BART within 5 years. Where the source are several steps for determining the visi- chooses not to accept a federally enforceable bility impacts from an individual source condition requiring the source to shut down using a dispersion model: by a given date, it is necessary to determine • Develop a modeling protocol. whether a reduced time period for the re- Some critical items to include in a mod- maining useful life changes the level of con- eling protocol are meteorological and terrain trols that would have been required as data, as well as source-specific information (stack height, temperature, exit velocity, BART. elevation, and allowable and actual emission If the reduced time period does change the rates of applicable pollutants), and receptor level of BART controls, you may identify, data from appropriate Class I areas. We rec- and include as part of the BART emission ommend following EPA’s Interagency limitation, the more stringent level of con- Workgroup on Air Quality Modeling (IWAQM) trol that would be required as BART if there Phase 2 Summary Report and Recommendations were no assumption that reduced the refor Modeling Long Range Transport Impacts 18 maining useful life. You may incorporate for parameter settings and meteorological into the BART emission limit this more data inputs; the use of other settings from stringent level, which would serve as a contingency should the source continue oper- 17 The model code and its documentation ating more than 5 years after the date EPA are available at no cost for download from approves the relevant SIP. The source would http://www.epa.gov/scram001/tt22.htm#calpuff. not be allowed to operate after the 5-year 18 Interagency Workgroup on Air Quality mark without such controls. If a source does Modeling (IWAQM) Phase 2 Summary Report operate after the 5-year mark without BART and Recommendations for Modeling Long Range in place, the source is considered to be in Transport Impacts, U.S. Environmental Pro- violation of the BART emissions limit for tection Agency, EPA–454/R–98–019, December each day of operation. 1998.

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those in IWAQM should be identified and ex- the pre-control and post-control emission plained in the protocol. scenarios. You have flexibility to assess visi- One important element of the protocol is bility improvements due to BART controls in establishing the receptors that will be by one or more methods. You may consider used in the model. The receptors that you the frequency, magnitude, and duration com- use should be located in the nearest Class I ponents of impairment. Suggestions for area with sufficient density to identify the making the determination are: likely visibility effects of the source. For • Use of a comparison threshold, as is done other Class I areas in relatively close prox- for determining if BART-eligible sources imity to a BART-eligible source, you may should be subject to a BART determination. model a few strategic receptors to determine Comparison thresholds can be used in a num- whether effects at those areas may be great- ber of ways in evaluating visibility improve- er than at the nearest Class I area. For ex- ment (e.g., the number of days or hours that ample, you might chose to locate receptors the threshold was exceeded, a single thresh- at these areas at the closest point to the old for determining whether a change in im- source, at the highest and lowest elevation pacts is significant, or a threshold rep- in the Class I area, at the IMPROVE mon- resenting an x percent change in improve- itor, and at the approximate expected plume ment). release height. If the highest modeled effects • Compare the 98th percent days for the are observed at the nearest Class I area, you pre- and post-control runs. may choose not to analyze the other Class I Note that each of the modeling options areas any further as additional analyses may be supplemented with source apportion- might be unwarranted. ment data or source apportionment mod- You should bear in mind that some recep- eling. tors within the relevant Class I area may be less than 50 km from the source while other E. How do I select the ‘‘best’’ alternative, using receptors within that same Class I area may the results of Steps 1 through 5? be greater than 50 km from the same source. 1. Summary of the Impacts Analysis As indicated by the Guideline on Air Quality Models, this situation may call for the use of From the alternatives you evaluated in two different modeling approaches for the Step 3, we recommend you develop a chart same Class I area and source, depending upon (or charts) displaying for each of the alter- the State’s chosen method for modeling natives: sources less than 50 km. In situations where (1) Expected emission rate (tons per year, you are assessing visibility impacts for pounds per hour); source-receptor distances less than 50 km, (2) Emissions performance level (e.g., per- you should use expert modeling judgment in cent pollutant removed, emissions per unit determining visibility impacts, giving con- product, lb/MMBtu, ppm); sideration to both CALPUFF and other EPA- (3) Expected emissions reductions (tons per approved methods. year); In developing your modeling protocol, you (4) Costs of compliance—total annualized may want to consult with EPA and your re- costs ($), cost effectiveness ($/ton), and incre- gional planning organization (RPO). Up-front mental cost effectiveness ($/ton), and/or any consultation will ensure that key technical other cost-effectiveness measures (such as $/ issues are addressed before you conduct your deciview); modeling. (5) Energy impacts; • For each source, run the model, at pre- (6) Non-air quality environmental impacts; control and post-control emission rates ac- and cording to the accepted methodology in the (7) Modeled visibility impacts. protocol. 2. Selecting a ‘‘best’’ alternative Use the 24-hour average actual emission rate from the highest emitting day of the 1. You have discretion to determine the meteorological period modeled (for the pre- order in which you should evaluate control control scenario). Calculate the model re- options for BART. Whatever the order in sults for each receptor as the change in which you choose to evaluate options, you deciviews compared against natural visi- should always (1) display the options evalu- bility conditions. Post-control emission ated; (2) identify the average and incre- rates are calculated as a percentage of pre- mental costs of each option; (3) consider the control emission rates. For example, if the energy and non-air quality environmental 24-hr pre-control emission rate is 100 lb/hr of impacts of each option; (4) consider the re- SO2, then the post control rate is 5 lb/hr if maining useful life; and (5) consider the mod- the control efficiency being evaluated is 95 eled visibility impacts. You should provide a percent. justification for adopting the technology • Make the net visibility improvement de- that you select as the ‘‘best’’ level of con- termination. trol, including an explanation of the CAA Assess the visibility improvement based on factors that led you to choose that option the modeled change in visibility impacts for over other control levels.

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2. In the case where you are conducting a able at the time that you are conducting BART determination for two regulated pol- your BART analysis. lutants on the same source, if the result is For coal-fired EGUs with existing post- two different BART technologies that do not combustion SO2 controls achieving less than work well together, you could then sub- 50 percent removal efficiencies, we rec- stitute a different technology or combina- ommend that you evaluate constructing a tion of technologies. new FGD system to meet the same emission limits as above (95 percent removal or 0.15 lb/ 3. In selecting a ‘‘best’’ alternative, should I mmBtu), in addition to the evaluation of consider the affordability of controls? scrubber upgrades discussed below. For oil- 1. Even if the control technology is cost ef- fired units, regardless of size, you should fective, there may be cases where the instal- evaluate limiting the sulfur content of the lation of controls would affect the viability fuel oil burned to 1 percent or less by weight. of continued plant operations. For those BART-eligible EGUs with pre-ex- 2. There may be unusual circumstances isting post-combustion SO2 controls achiev- that justify taking into consideration the ing removal efficiencies of at least 50 per- conditions of the plant and the economic ef- cent, your BART determination should con- fects of requiring the use of a given control sider cost effective scrubber upgrades de- technology. These effects would include ef- signed to improve the system’s overall SO2 fects on product prices, the market share, removal efficiency. There are numerous and profitability of the source. Where there scrubber enhancements available to upgrade are such unusual circumstances that are the average removal efficiencies of all types judged to affect plant operations, you may of existing scrubber systems. We recommend take into consideration the conditions of the that as you evaluate the definition of ‘‘up- plant and the economic effects of requiring grade,’’ you evaluate options that not only the use of a control technology. Where these improve the design removal efficiency of the effects are judged to have a severe impact on scrubber vessel itself, but also consider up- plant operations you may consider them in grades that can improve the overall SO2 re- the selection process, but you may wish to moval efficiency of the scrubber system. In- provide an economic analysis that dem- creasing a scrubber system’s reliability, and onstrates, in sufficient detail for public re- conversely decreasing its downtime, by way view, the specific economic effects, param- of optimizing operation procedures, improv- eters, and reasoning. (We recognize that this ing maintenance practices, adjusting scrub- review process must preserve the confiden- ber chemistry, and increasing auxiliary tiality of sensitive business information). equipment redundancy, are all ways to im- Any analysis may also consider whether prove average SO2 removal efficiencies. other competing plants in the same industry We recommend that as you evaluate the have been required to install BART controls performance of existing wet scrubber sys- if this information is available. tems, you consider some of the following upgrades, in no particular order, as potential 4. Sulfur dioxide limits for utility boilers scrubber upgrades that have been proven in You must require 750 MW power plants to the industry as cost effective means to in- meet specific control levels for SO2 of either crease overall SO2 removal of wet systems: 95 percent control or 0.15 lbs/MMBtu, for (a) Elimination of Bypass Reheat; each EGU greater than 200 MW that is cur- (b) Installation of Liquid Distribution rently uncontrolled unless you determine Rings; that an alternative control level is justified (c) Installation of Perforated Trays; based on a careful consideration of the statu- (d) Use of Organic Acid Additives; tory factors. Thus, for example, if the source (e) Improve or Upgrade Scrubber Auxiliary demonstrates circumstances affecting its System Equipment; ability to cost-effectively reduce its emis- (f) Redesign Spray Header or Nozzle Con- sions, you should take that into account in figuration. determining whether the presumptive levels We recommend that as you evaluate up- of control are appropriate for that facility. grade options for dry scrubber systems, you For a currently uncontrolled EGU greater should consider the following cost effective than 200 MW in size, but located at a power upgrades, in no particular order: plant smaller than 750 MW in size, such controls are generally cost-effective and could (a) Use of Performance Additives; be used in your BART determination consid- (b) Use of more Reactive Sorbent; ering the five factors specified in CAA sec- (c) Increase the Pulverization Level of Sor- tion 169A(g)(2). While these levels may rep- bent; resent current control capabilities, we ex- (d) Engineering redesign of atomizer or pect that scrubber technology will continue slurry injection system. to improve and control costs continue to de- You should evaluate scrubber upgrade op- cline. You should be sure to consider the tions based on the 5 step BART analysis level of control that is currently best achiev- process.

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5. Nitrogen oxide limits for utility boilers boiler design and type of coal burned. You may determine that an alternative control You should establish specific numerical level is appropriate based on a careful con- limits for NOX control for each BART determination. For power plants with a gener- sideration of the statutory factors. For coal- ating capacity in excess of 750 MW currently fired EGUs greater than 200 MW located at using selective catalytic reduction (SCR) or power plants 750 MW or less in size and oper- selective non-catalytic reduction (SNCR) for ating without post-combustion controls, you part of the year, you should presume that should likewise presume that these same lev- use of those same controls year-round is els are cost-effective. You should require BART. For other sources currently using such utility boilers to meet the following SCR or SNCR to reduce NOX emissions dur- NOX emission limits, unless you determine ing part of the year, you should carefully that an alternative control level is justified consider requiring the use of these controls based on consideration of the statutory fac- year-round as the additional costs of oper- tors. The following NOX emission rates were ating the equipment throughout the year determined based on a number of assump- would be relatively modest. tions, including that the EGU boiler has For coal-fired EGUs greater than 200 MW enough volume to allow for installation and located at greater than 750 MW power plants effective operation of separated overfire air and operating without post-combustion con- ports. For boilers where these assumptions trols (i.e. SCR or SNCR), we have provided are incorrect, these emission limits may not presumptive NOX limits, differentiated by be cost-effective.

19 TABLE 1—PRESUMPTIVE NOX EMISSION LIMITS FOR BART-ELIGIBLE COAL-FIRED UNITS.

NOX presumptive Unit type Coal type limit (lb/mmbtu) 20

Dry-bottom wall-fired ...... Bituminous ...... 0.39 Sub-bituminous ...... 0.23 Lignite ...... 0.29 Tangential-fired ...... Bituminous ...... 0.28 Sub-bituminous ...... 0.15 Lignite ...... 0.17 Cell Burners ...... Bituminous ...... 0.40 Sub-bituminous ...... 0.45 Dry-turbo-fired ...... Bituminous ...... 0.32 Sub-bituminous ...... 0.23 Wet-bottom tangential-fired ...... Bituminous ...... 0.62 19 No Cell burners, dry-turbo-fired units, nor wet-bottom tangential-fired units burning lignite were identified as BART-eligible, thus no presumptive limit was determined. Similarly, no wet-bottom tangential-fired units burning sub-bituminous were identified as BART-eligible. 20 These limits reflect the design and technological assumptions discussed in the technical support document for NOX limits for these guidelines. See Technical Support Document for BART NOX Limits for Electric Generating Units and Technical Support Document for BART NOX Limits for Electric Generating Units Excel Spreadsheet, Memorandum to Docket OAR 2002–0076, April 15, 2005.

Most EGUs can meet these presumptive As with the other presumptive limits estab- NOX limits through the use of current com- lished in this guideline, you may determine bustion control technology, i.e. the careful that an alternative level of control is appro- control of combustion air and low-NOX burn- priate based on your consideration of the rel- ers. For units that cannot meet these limits evant statutory factors. For other cyclone using such technologies, you should consider units, you should review the use of SCR and whether advanced combustion control tech- consider whether these post-combustion con- nologies such as rotating opposed fire air trols should be required as BART. should be used to meet these limits. For oil-fired and gas-fired EGUs larger Because of the relatively high NOX emis- than 200MW, we believe that installation of sion rates of cyclone units, SCR is more current combustion control technology to cost-effective than the use of current com- control NOX is generally highly cost-effec- bustion control technology for these units. tive and should be considered in your deter- The use of SCRs at cyclone units burning bi- mination of BART for these sources. Many tuminous coal, sub-bituminous coal, and lig- such units can make significant reductions nite should enable the units to cost-effectively meet NOX rates of 0.10 lbs/mmbtu. As a result, we are establishing a presumptive NOX limit of 0.10 lbs/mmbtu based on the use of SCR for coal-fired cyclone units greater than 200 MW located at 750 MW power plants.

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in NOX emissions which are highly cost-ef- continuous basis. Although this provision fective through the application of current does not necessarily require the use of con- combustion control technology. 21 tinuous emissions monitoring (CEMs), it is important that sources employ techniques V. ENFORCEABLE LIMITS/COMPLIANCE DATE that ensure compliance on a continuous To complete the BART process, you must basis. Monitoring requirements generally ap- establish enforceable emission limits that plicable to sources, including those that are reflect the BART requirements and require subject to BART, are governed by other reg- compliance within a given period of time. In ulations. See, e.g., 40 CFR part 64 (compli- particular, you must establish an enforce- ance assurance monitoring); 40 CFR 70.6(a)(3) able emission limit for each subject emission (periodic monitoring); 40 CFR 70.6(c)(1) (suffi- unit at the source and for each pollutant ciency monitoring). Note also that while we subject to review that is emitted from the do not believe that CEMs would necessarily source. In addition, you must require compli- be required for all BART sources, the vast ance with the BART emission limitations no majority of electric generating units poten- later than 5 years after EPA approves your tially subject to BART already employ CEM regional haze SIP. If technological or eco- technology for other programs, such as the nomic limitations in the application of a acid rain program. In addition, emissions measurement methodology to a particular limits must be enforceable as a practical emission unit make a conventional emis- matter (contain appropriate averaging sions limit infeasible, you may instead pre- times, compliance verification procedures scribe a design, equipment, work practice, and recordkeeping requirements). In light of operation standard, or combination of these the above, the permit must: types of standards. You should consider al- • Be sufficient to show compliance or non- lowing sources to ‘‘average’’ emissions compliance (i.e., through monitoring times across any set of BART-eligible emission of operation, fuel input, or other indices of units within a fenceline, so long as the emis- operating conditions and practices); and sion reductions from each pollutant being • Specify a reasonable averaging time con- controlled for BART would be equal to those sistent with established reference methods, reductions that would be obtained by simply contain reference methods for determining controlling each of the BART-eligible units compliance, and provide for adequate report- that constitute BART-eligible source. ing and recordkeeping so that air quality You should ensure that any BART require- agency personnel can determine the compli- ments are written in a way that clearly ance status of the source; and specifies the individual emission unit(s) sub- • For EGUS, specify an averaging time of a ject to BART regulation. Because the BART 30-day rolling average, and contain a defini- requirements themselves are ‘‘applicable’’ tion of ‘‘boiler operating day’’ that is con- requirements of the CAA, they must be in- sistent with the definition in the proposed cluded as title V permit conditions according revisions to the NSPS for utility boilers in 40 to the procedures established in 40 CFR part CFR Part 60, subpart Da. 22 You should con- 70 or 40 CFR part 71. sider a boiler operating day to be any 24-hour Section 302(k) of the CAA requires emis- period between 12:00 midnight and the fol- sions limits such as BART to be met on a lowing midnight during which any fuel is combusted at any time at the steam generating unit. This would allow 30-day rolling 21 See Technical Support Document for BART average emission rates to be calculated con- NOX Limits for Electric Generating Units and sistently across sources. Technical Support Document for BART NOX Limits for Electric Generating Units Excel [70 FR 39156, July 6, 2005] Spreadsheet, Memorandum to Docket OAR 2002–0076, April 15, 2005. 22 70 FR 9705, February 28, 2005.

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