[Title 40 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2003 Edition]
[From the U.S. Government Printing Office]
[[Page i]]
40
Parts 53 to 59
Revised as of July 1, 2003
Protection of Environment
Containing a codification of documents of general
applicability and future effect
As of July 1, 2003
With Ancillaries
Published by
Office of the Federal Register
National Archives and Records
Administration
A Special Edition of the Federal Register
[[Page ii]]
U.S. GOVERNMENT PRINTING OFFICE
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[[Page iii]]
Table of Contents
Page
Explanation................................................. v
Title 40:
Chapter I--Environmental Protection Agency 3
Finding Aids:
Material Approved for Incorporation by Reference........ 341
Table of CFR Titles and Chapters........................ 343
Alphabetical List of Agencies Appearing in the CFR...... 361
List of CFR Sections Affected........................... 371
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Cite this Code: CFR
To cite the regulations in
this volume use title,
part and section number.
Thus, 40 CFR 53.1 refers
to title 40, part 53,
section 1.
----------------------------
[[Page v]]
EXPLANATION
The Code of Federal Regulations is a codification of the general and
permanent rules published in the Federal Register by the Executive
departments and agencies of the Federal Government. The Code is divided
into 50 titles which represent broad areas subject to Federal
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parts covering specific regulatory areas.
Each volume of the Code is revised at least once each calendar year
and issued on a quarterly basis approximately as follows:
Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1
The appropriate revision date is printed on the cover of each
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LEGAL STATUS
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HOW TO USE THE CODE OF FEDERAL REGULATIONS
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collection request.
[[Page vi]]
Many agencies have begun publishing numerous OMB control numbers as
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OBSOLETE PROVISIONS
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INCORPORATION BY REFERENCE
What is incorporation by reference? Incorporation by reference was
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This material, like any other properly issued regulation, has the force
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What is a proper incorporation by reference? The Director of the
Federal Register will approve an incorporation by reference only when
the requirements of 1 CFR part 51 are met. Some of the elements on which
approval is based are:
(a) The incorporation will substantially reduce the volume of
material published in the Federal Register.
(b) The matter incorporated is in fact available to the extent
necessary to afford fairness and uniformity in the administrative
process.
(c) The incorporating document is drafted and submitted for
publication in accordance with 1 CFR part 51.
Properly approved incorporations by reference in this volume are
listed in the Finding Aids at the end of this volume.
What if the material incorporated by reference cannot be found? If
you have any problem locating or obtaining a copy of material listed in
the Finding Aids of this volume as an approved incorporation by
reference, please contact the agency that issued the regulation
containing that incorporation. If, after contacting the agency, you find
the material is not available, please notify the Director of the Federal
Register, National Archives and Records Administration, Washington DC
20408, or call (202) 741-6010.
CFR INDEXES AND TABULAR GUIDES
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Authorities and Agency Rules (Table I). A list of CFR titles, chapters,
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the revision dates of the 50 CFR titles.
[[Page vii]]
REPUBLICATION OF MATERIAL
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Raymond A. Mosley,
Director,
Office of the Federal Register.
July 1, 2003.
[[Page ix]]
THIS TITLE
Title 40--Protection of Environment is composed of twenty-nine
volumes. The parts in these volumes are arranged in the following order:
parts 1-49, parts 50-51, part 52 (52.01-52.1018), part 52 (52.1019-End),
parts 53-59, part 60 (60.1-End), part 60 (Appendices), parts 61-62, part
63 (63.1-63.599), part 63 (63.600-1-63.1199), part 63 (63.1200-63.1439),
part 63 (63.1440-End) parts 64-71, parts 72-80, parts 81-85, part 86
(86.1-86.599-99) part 86 (86.600-1-End), parts 87-99, parts 100-135,
parts 136-149, parts 150-189, parts 190-259, parts 260-265, parts 266-
299, parts 300-399, parts 400-424, parts 425-699, parts 700-789, and
part 790 to End. The contents of these volumes represent all current
regulations codified under this title of the CFR as of July 1, 2003.
Chapter I--Environmental Protection Agency appears in all twenty-
nine volumes. An alphabetical Listing of Pesticide Chemicals Index
appears in parts 150-189. Regulations issued by the Council on
Environmental Quality appear in the volume containing part 790 to End.
The OMB control numbers for title 40 appear in Sec. 9.1 of this chapter.
[[Page x]]
[[Page 1]]
TITLE 40--PROTECTION OF ENVIRONMENT
(This book contains parts 53-59)
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Part
chapter i--Environmental Protection Agency (Continued)...... 53
[[Page 3]]
CHAPTER I--ENVIRONMENTAL PROTECTION AGENCY (CONTINUED)
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Editorial Note: Nomenclature changes to chapter I appear at 65 FR
47324, 47325, Aug. 2, 2000; 66 FR 34375, 34376, June 28, 2001.
SUBCHAPTER C--AIR PROGRAMS (CONTINUED)
Part Page
53 Ambient air monitoring reference and
equivalent methods...................... 5
54 Prior notice of citizen suits............... 104
55 Outer continental shelf air regulations..... 105
56 Regional consistency........................ 128
57 Primary nonferrous smelter orders........... 130
58 Ambient air quality surveillance............ 204
59 National volatile organic compound emission
standards for consumer and commercial
products................................ 290
[[Page 5]]
SUBCHAPTER C--AIR PROGRAMS (CONTINUED)
PART 53--AMBIENT AIR MONITORING REFERENCE AND EQUIVALENT METHODS--Table of Contents
Subpart A--General Provisions
Sec.
53.1 Definitions.
53.2 General requirements for a reference method determination.
53.3 General requirements for an equivalent method determination.
53.4 Applications for reference or equivalent method determinations.
53.5 Processing of applications.
53.6 Right to witness conduct of tests.
53.7 Testing of methods at the initiative of the Administrator.
53.8 Designation of reference and equivalent methods.
53.9 Conditions of designation.
53.10 Appeal from rejection of application.
53.11 Cancellation of reference or equivalent method designation.
53.12 Request for hearing on cancellation.
53.13 Hearings.
53.14 Modification of a reference or equivalent method.
53.15 Trade secrets and confidential or privileged information.
53.16 Supersession of reference methods.
Table A-1 to Subpart A--Summary of Applicable Requirements for Reference
Equivalent Methods for Air Monitoring of Criteria Pollutants
Appendix A to Subpart A--References
Subpart B--Procedures for Testing Performance Characteristics of
Automated Methods for SO2, CO, O3, and
NO2
53.20 General provisions.
53.21 Test conditions.
53.22 Generation of test atmospheres.
53.23 Test procedures.
Appendix A to Subpart B--Optional Forms for Reporting Test Results
Subpart C--Procedures for Determining Comparability Between Candidate
Methods and Reference Methods
53.30 General provisions.
53.31 Test conditions.
53.32 Test procedures for methods for SO2, CO,
O3, and NO2.
53.33 Test procedure for methods for lead.
53.34 Test procedure for methods for PM10 and
PM2.5.
Table C-1 to Subpart C--Test Concentration Ranges, Number of
Measurements Required, and Maximum Discrepancy Specification
Table C-2 to Subpart C--Sequence of Test Measurements
Table C-3 to Subpart C--Test Specifications for Lead Methods
Table C-4 to Subpart C--Test Specifications for PM10 and
PM2.5 Methods
Figure C-1 to Subpart C--Suggested Format for Reporting Test Results
Appendix A to Subpart C--References
Subpart D--Procedures for Testing Performance Characteristics of Methods
for PM10
53.40 General provisions.
53.41 Test conditions.
53.42 Generation of test atmospheres for wind tunnel tests.
53.43 Test procedures.
Subpart E--Procedures for Testing Physical (Design) and Performance
Characteristics of Reference Methods and Class I Equivalent Methods for
PM2.5
53.50 General provisions.
53.51 Demonstration of compliance with design specifications and
manufacturing and test requirements.
53.52 Leak check test.
53.53 Test for flow rate accuracy, regulation, measurement accuracy,
and cut-off.
53.54 Test for proper sampler operation following power interruptions.
53.55 Test for effect of variations in power line voltage and ambient
temperature.
53.56 Test for effect of variations in ambient pressure.
53.57 Test for filter temperature control during sampling and post-
sampling periods.
53.58 Operational field precision and blank test.
53.59 Aerosol transport test for Class I equivalent method samplers.
Table E-1 to Subpart E--Summary of Test Requirements for Reference and
Class I Equivalent Methods for PM2.5
Table E-2 to Subpart E--Spectral Energy Distribution and Permitted
Tolerance for Conducting Radiative Tests
Figure E-1 to Subpart E--Designation Testing Checklist
Figure E-2 to Subpart E--Product Manufacturing Checklist
Appendix A to Subpart E--References
Subpart F--Procedures for Testing Performance Characteristics of Class
II Equivalent Methods for PM2.5
53.60 General provisions.
[[Page 6]]
53.61 Test conditions for PM2.5 reference method
equivalency.
53.62 Test procedure: Full wind tunnel test.
53.63 Test procedure: Wind tunnel inlet aspiration test.
53.64 Test procedure: Static fractionator test.
53.65 Test procedure: Loading test.
53.66 Test procedure: Volatility test.
Table F-1 to Subpart F--Performance Specifications for PM2.5
Class II Equivalent Samplers
Table F-2 to Subpart F--Particle Sizes and Wind Speeds for Full Wind
Tunnel Test, Wind Tunnel Inlet Aspiration Test, and Static
Chamber Test
Table F-3 to Subpart F--Critical Parameters of Idealized Ambient
Particle Size Distributions
Table F-4 to Subpart F--Estimated Mass Concentration Measurement of
PM2.5 for Idealized Coarse Aerosol Size
Distribution
Table F-5 to Subpart F--Estimated Mass Concentration Measurement of
PM2.5 for Idealized ``Typical'' Coarse Aerosol Size
Distribution
Table F-6 to Subpart F--Estimated Mass Concentration Measurement of
PM2.5 for Idealized Fine Aerosol Size Distribution
Figure E-1 to Subpart F--Designation Testing Checklist
Appendix A to Subpart F--References
Authority: Sec. 301(a) of the Clean Air Act (42 U.S.C. sec.
1857g(a)), as amended by sec. 15(c)(2) of Pub. L. 91-604, 84 Stat. 1713,
unless otherwise noted.
Source: 40 FR 7049, Feb. 18, 1975, unless otherwise noted.
Subpart A--General Provisions
Source: 62 FR 38784, July 18, 1997, unless otherwise noted.
Sec. 53.1 Definitions.
Terms used but not defined in this part shall have the meaning given
them by the Act.
Act means the Clean Air Act (42 U.S.C. 1857-1857l), as amended.
Administrator means the Administrator of the Environmental
Protection Agency or the Administrator's authorized representative.
Agency means the Environmental Protection Agency.
Applicant means a person or entity who submits an application for a
reference or equivalent method determination under Sec. 53.4, or a
person or entity who assumes the rights and obligations of an applicant
under Sec. 53.7. Applicant may include a manufacturer, distributor,
supplier, or vendor.
Automated method or analyzer means a method for measuring
concentrations of an ambient air pollutant in which sample collection
(if necessary), analysis, and measurement are performed automatically by
an instrument.
Candidate method means a method for measuring the concentration of
an air pollutant in the ambient air for which an application for a
reference method determination or an equivalent method determination is
submitted in accordance with Sec. 53.4, or a method tested at the
initiative of the Administrator in accordance with Sec. 53.7.
Class I equivalent method means an equivalent method for
PM2.5 which is based on a sampler that is very similar to the
sampler specified for reference methods in appendix L of this part, with
only minor deviations or modifications, as determined by EPA.
Class II equivalent method means an equivalent method for
PM2.5 that utilizes a PM2.5 sampler in which an
integrated PM2.5 sample is obtained from the atmosphere by
filtration and is subjected to a subsequent filter conditioning process
followed by a gravimetric mass determination, but which is not a Class I
equivalent method because of substantial deviations from the design
specifications of the sampler specified for reference methods in
appendix L of part 50 of this chapter, as determined by EPA.
Class III equivalent method means an equivalent method for
PM2.5 that has been determined by EPA not to be a Class I or
Class II equivalent method. This fourth type of PM2.5 method
includes alternative equivalent method samplers and continuous
analyzers, based on designs and measurement principles different from
those specified for reference methods (e.g., a means for estimating
aerosol mass concentration other than by conventional integrated
filtration followed by equilibration and gravimetric analysis. These
samplers (or monitors) are those deemed to be substantially different
from reference method samplers and
[[Page 7]]
are likely to use components and methods other than those specified for
reference method samplers.
Collocated describes two or more air samplers, analyzers, or other
instruments which sampler the ambient air that are operated
silmultaneously while located side by side, separated by a distance that
is large enough to preclude the air sampled by any of the devices from
being affected by any of the other devices, but small enough so that all
devices obtain identical or uniform ambient air samples that are equally
representative of the general area in which the group of devices is
located.
Equivalent method means a method for measuring the concentration of
an air pollutant in the ambient air that has been designated as an
equivalent method in accordance with this part; it does not include a
method for which an equivalent method designation has been canceled in
accordance with Sec. 53.11 or Sec. 53.16.
ISO 9001-registered facility means a manufacturing facility that is
either:
(1) An International Organization for Standardization (ISO) 9001-
registered manufacturing facility, registered to the ISO 9001 standard
(by the Registrar Accreditation Board (RAB) of the American Society for
Quality Control (ASQC) in the United States), with registration
maintained continuously.
(2) A facility that can be demonstrated, on the basis of information
submitted to the EPA, to be operated according to an EPA-approved and
periodically audited quality system which meets, to the extent
appropriate, the same general requirements as an ISO 9001-registered
facility for the design and manufacture of designated reference and
equivalent method samplers and monitors.
ISO-certified auditor means an auditor who is either certified by
the Registrar Accreditation Board (in the United States) as being
qualified to audit quality systems using the requirements of recognized
standards such as ISO 9001, or who, based on information submitted to
the EPA, meets the same general requirements as provided for ISO-
certified auditors.
Manual method means a method for measuring concentrations of an
ambient air pollutant in which sample collection, analysis, or
measurement, or some combination therof, is performed manually. A method
for PM10 or PM2.5 which utilizes a sampler that
requires manual preparation, loading, and weighing of filter samples is
considered a manual method even though the sampler may be capable of
automatically collecting a series of sequential samples.
PM2.5 sampler means a device, associated with a manual
method for measuring PM2.5, designed to collect
PM2.5 from an ambient air sample, but lacking the ability to
automatically analyze or measure the collected sample to determine the
mass concentrations of PM2.5 in the sampled air.
PM10 sampler means a device, associated with a manual
method for measuring PM10, designed to collect
PM10 from an ambient air sample, but lacking the ability to
automatically analyze or measure the collected sample to determine the
mass concentrations of PM10 in the sampled air.
Reference method means a method of sampling and analyzing the
ambient air for an air pollutant that is specified as a reference method
in an appendix to part 50 of this chapter, or a method that has been
designated as a reference method in accordance with this part; it does
not include a method for which a reference method designation has been
canceled in accordance with Sec. 53.11 or Sec. 53.16.
Sequential samples for PM samplers means two or more PM samples for
sequential (but not necessarily contiguous) time periods that are
collected automatically by the same sampler without the need for
intervening operator service.
Test analyzer means an analyzer subjected to testing as part of a
candidate method in accordance with subparts B, C, D, E, or F of this
part, as applicable. Test sampler means a PM10 sampler or a
PM2.5 sampler subjected to testing as part of a candidate
method in accordance with subparts C, D, E, or F of this part.
Ultimate purchaser means the first person or entity who purchases a
reference method or an equivalent method for purposes other than resale.
[[Page 8]]
Sec. 53.2 General requirements for a reference method determination.
The following general requirements for a reference method
determination are summarized in table A-1 of this subpart.
(a) Manual methods. (1) For measuring sulfur dioxide
(SO2) and lead, Appendices A and G of part 50 of this chapter
specify unique manual reference methods for those pollutants. Except as
provided in Sec. 53.16, other manual methods for SO2 and lead
will not be considered for reference method determinations under this
part.
(2) A reference method for measuring PM10 must be a
manual method that meets all requirements specified in appendix J of
part 50 of this chapter and must include a PM10 sampler that
has been shown in accordance with this part to meet all requirements
specified in subparts A and D of this part.
(3) A reference method for measuring PM2.5 must be a
manual method that meets all requirements specified in appendix L of
part 50 of this chapter and must include a PM2.5 sampler that
has been shown in accordance with this part to meet the applicable
requirements specified in subparts A and E of this part. Further,
reference method samplers must be manufactured in an ISO 9001-registered
facility, as defined in Sec. 53.1 and as set forth in Sec. 53.51, and
the Product Manufacturing Checklist set forth in subpart E of this part
must be completed by an ISO-certified auditor, as defined in Sec. 53.1,
and submitted to EPA annually to retain a PM2.5 reference
method designation.
(b) Automated methods. An automated reference method for measuring
carbon monoxide (CO), ozone (O3), and nitrogen dioxide
(NO2) must utilize the measurement principle and calibration
procedure specified in the appropriate appendix to part 50 of this
chapter and must have been shown in accordance with this part to meet
the requirements specified in subpart B of this part.
Sec. 53.3 General requirements for an equivalent method determination.
(a) Manual methods. A manual equivalent method must have been shown
in accordance with this part to satisfy the applicable requirements
specified in subpart C of this part. In addition, PM10 or
PM2.5 samplers associated with manual equivalent methods for
PM10 or PM2.5 must have been shown in accordance
with this part to satisfy the following additional requirements:
(1) A PM10 sampler associated with a manual method for
PM10 must satisfy the requirements of subpart D of this part.
(2) A PM2.5 Class I equivalent method sampler must
satisfy all requirements of subparts C and E of this part, which include
appropriate demonstration that each and every deviation or modification
from the reference method sampler specifications does not significantly
alter the performance of the sampler.
(3) A PM2.5 Class II equivalent method sampler must
satisfy the applicable requirements of subparts C, E, and F of this
part.
(4) Requirements for PM2.5 Class III equivalent method
samplers are not provided in this part because of the wide range of non-
filter-based measurement technologies that could be applied and the
likelihood that these requirements will have to be specifically adapted
for each such type of technology. Specific requirements will be
developed as needed and may include selected requirements from subparts
C, E, or F of this part or other requirements not contained in this
part.
(5) All designated equivalent methods for PM2.5 must be
manufactured in an ISO 9001-registered facility, as defined in Sec. 53.1
and as set forth in Sec. 53.51, and the Product Manufacturing Checklist
set forth in subpart E of this part must be completed by an ISO-
certified auditor, as defined in Sec. 53.1, and submitted to EPA
annually to retain a PM2.5 equivalent method designation.
(b) Automated methods. (1) Automated equivalent methods for
pollutants other than PM2.5 or PM10 must have been
shown in accordance with this part to satisfy the requirements specified
in subparts B and C of this part.
(2) Automated equivalent methods for PM10 must have been
shown in accordance with this part to satisfy the requirements of
subparts C and D of this part.
(3) Requirements for PM2.5 Class III automated equivalent
methods for
[[Page 9]]
PM2.5 are not provided in this part because of the wide range
of non-filter-based measurement technologies that could be applied and
the likelihood that these requirements will have to be specifically
adapted for each such type of technology. Specific requirements will be
developed as needed and may include selected requirements from subparts
C, E, or F of this part or other requirements not contained in this
part.
(4) All designated equivalent methods for PM2.5 must be
manufactured in an ISO 9001-registered facility, as set forth in subpart
E of this part, and the Product Manufacturing Checklist set forth in
subpart E of this part must be completed by an ISO-certified auditor and
submitted to EPA annually to retain a PM2.5 equivalent method
designation.
[62 FR 38784, July 18, 1997; 63 FR 7714, Feb. 17, 1998]
Sec. 53.4 Applications for reference or equivalent method determinations.
(a) Applications for reference or equivalent method determinations
shall be submitted in duplicate to: Director, National Exposure Research
Laboratory, Department E (MD-77B), U.S. Environmental Protection Agency,
Research Triangle Park, North Carolina 27711.
(b) Each application shall be signed by an authorized representative
of the applicant, shall be marked in accordance with Sec. 53.15 (if
applicable), and shall contain the following:
(1) A clear identification of the candidate method, which will
distinguish it from all other methods such that the method may be
referred to unambiguously. This identification must consist of a unique
series of descriptors such as title, identification number, analyte,
measurement principle, manufacturer, brand, model, etc., as necessary to
distinguish the method from all other methods or method variations, both
within and outside the applicant's organization.
(2) A detailed description of the candidate method, including but
not limited to the following: The measurement principle, manufacturer,
name, model number and other forms of identification, a list of the
significant components, schematic diagrams, design drawings, and a
detailed description of the apparatus and measurement procedures.
Drawings and descriptions pertaining to candidate methods or samplers
for PM2.5 must meet all applicable requirements in reference
1 of appendix A of this subpart, using appropriate graphical,
nomenclature, and mathematical conventions such as those specified in
references 3 and 4 of appendix A of this subpart.
(3) A copy of a comprehensive operation or instruction manual
providing a complete and detailed description of the operational,
maintenance, and calibration procedures prescribed for field use of the
candidate method and all instruments utilized as part of that method
(under Sec. 53.9(a)).
(i) As a minimum this manual shall include:
(A) Description of the method and associated instruments.
(B) Explanation of all indicators, information displays, and
controls.
(C) Complete setup and installation instructions, including any
additional materials or supplies required.
(D) Details of all initial or startup checks or acceptance tests and
any auxiliary equipment required.
(E) Complete operational instructions.
(F) Calibration procedures and required calibration equipment and
standards.
(G) Instructions for verification of correct or proper operation.
(H) Trouble-shooting guidance and suggested corrective actions for
abnormal operation.
(I) Required or recommended routine, periodic, and preventative
maintenance and maintenance schedules.
(J) Any calculations required to derive final concentration
measurements.
(K) Appropriate references to appendix L of part 50 of this chapter;
reference 6 of appendix A of this subpart; and any other pertinent
guidelines.
(ii) The manual shall also include adequate warning of potential
safety hazards that may result from normal use and/or malfunction of the
method and a description of necessary safety precautions. (See
Sec. 53.9(b).) However, the previous requirement shall not be
interpreted to constitute or imply any warranty of safety of the method
by
[[Page 10]]
EPA. For samplers and automated methods, the manual shall include a
clear description of all procedures pertaining to installation,
operation, preventive maintenance, and troubleshooting and shall also
include parts identification diagrams. The manual may be used to satisfy
the requirements of paragraphs (b)(1) and (b)(2) of this section to the
extent that it includes information necessary to meet those
requirements.
(4) A statement that the candidate method has been tested in
accordance with the procedures described in subparts B, C, D, E, and/or
F of this part, as applicable.
(5) Descriptions of test facilities and test configurations, test
data, records, calculations, and test results as specified in subparts
B, C, D, E, and/or F of this part, as applicable. Data must be
sufficiently detailed to meet appropriate principles described in
paragraphs 4 through 6 of reference 2 of appendix A of this subpart,
part b, sections 3.3.1 (paragraph 1) and 3.5.1 (paragraphs 2 and 3) and
in paragraphs 1 through 3 of reference 5 (section 4.8, Records) of
appendix A of this subpart. Salient requirements from these references
include the following:
(i) The applicant shall maintain and include records of all relevant
measuring equipment, including the make, type, and serial number or
other identification, and most recent calibration with identification of
the measurement standard or standards used and their National Institute
of Standards and Technology (NIST) traceability. These records shall
demonstrate the measurement capability of each item of measuring
equipment used for the application and include a description and
justification (if needed) of the measurement setup or configuration in
which it was used for the tests. The calibration results shall be
recorded and identified in sufficient detail so that the traceability of
all measurements can be determined and any measurement could be
reproduced under conditions close to the original conditions, if
necessary, to resolve any anomalies.
(ii) Test data shall be collected according to the standards of good
practice and by qualified personnel. Test anomalies or irregularities
shall be documented and explained or justified. The impact and
significance of the deviation on test results and conclusions shall be
determined. Data collected shall correspond directly to the specified
test requirement and be labeled and identified clearly so that results
can be verified and evaluated against the test requirement. Calculations
or data manipulations must be explained in detail so that they can be
verified.
(6) A statement that the method, analyzer, or sampler tested in
accordance with this part is representative of the candidate method
described in the application.
(c) For candidate automated methods and candidate manual methods for
PM10 and PM2.5, the application shall also contain
the following:
(1) A detailed description of the quality system that will be
utilized, if the candidate method is designated as a reference or
equivalent method, to ensure that all analyzers or samplers offered for
sale under that designation will have essentially the same performance
characteristics as the analyzer(s) or samplers tested in accordance with
this part. In addition, the quality system requirements for candidate
methods for PM2.5 must be described in sufficient detail,
based on the elements described in section 4 of reference 1 (Quality
System Requirements) of appendix A of this subpart. Further
clarification is provided in the following sections of reference 2 of
appendix A of this subpart: part A (Management Systems), sections 2.2
(Quality System and Description), 2.3 (Personnel Qualification and
Training), 2.4 (Procurement of Items and Services), 2.5 (Documents and
Records), and 2.7 (Planning); part B (Collection and Evaluation of
Environmental Data), sections 3.1 (Planning and Scoping), 3.2 (Design of
Data Collection Operations), and 3.5 (Assessment and Verification of
Data Usability); and part C (Operation of Environmental Technology),
sections 4.1 (Planning), 4.2 (Design of Systems), and 4.4 (Operation of
Systems).
(2) A description of the durability characteristics of such
analyzers or samplers (see Sec. 53.9(c)). For methods for
PM2.5, the warranty program must ensure that the required
specifications (see table A-1 of this subpart) will be
[[Page 11]]
met throughout the warranty period and that the applicant accepts
responsibility and liability for ensuring this conformance or for
resolving any nonconformities, including all necessary components of the
system, regardless of the original manufacturer. The warranty program
must be described in sufficient detail to meet appropriate provisions of
the ANSI/ASQC and ISO 9001 standards (references 1 and 2 in appendix A
of this subpart) for controlling conformance and resolving
nonconformance, particularly sections 4.12, 4.13, and 4.14 of reference
1 in appendix A of this subpart.
(i) Section 4.12 in appendix A of this subpart requires the
manufacturer to establish and maintain a system of procedures for
identifying and maintaining the identification of inspection and test
status throughout all phases of manufacturing to ensure that only
instruments that have passed the required inspections and tests are
released for sale.
(ii) Section 4.13 in appendix A of this subpart requires documented
procedures for control of nonconforming product, including review and
acceptable alternatives for disposition; section 4.14 in appendix A of
this subpart requires documented procedures for implementing corrective
(4.14.2) and preventive (4.14.3) action to eliminate the causes of
actual or potential nonconformities. In particular, section 4.14.3
requires that potential causes of nonconformities be eliminated by using
information such as service reports and customer complaints to eliminate
potential causes of nonconformities.
(d) For candidate reference or equivalent methods for
PM2.5, the applicant shall provide to EPA for test purposes
one sampler or analyzer that is representative of the sampler or
analyzer associated with the candidate method. The sampler or analyzer
shall be shipped FOB destination to Department E, (MD-77B), U.S. EPA, 79
T.W. Alexander Drive, Research Triangle Park, NC 27711, scheduled to
arrive concurrent with or within 30 days of the arrival of the other
application materials. This analyzer or sampler may be subjected to
various tests that EPA determines to be necessary or appropriate under
Sec. 53.5(f), and such tests may include special tests not described in
this part. If the instrument submitted under this paragraph
malfunctions, becomes inoperative, or fails to perform as represented in
the application before the necessary EPA testing is completed, the
applicant shall be afforded an opportunity to repair or replace the
device at no cost to EPA. Upon completion of EPA testing, the analyzer
or sampler submitted under this paragraph shall be repacked by EPA for
return shipment to the applicant, using the same packing materials used
for shipping the instrument to EPA unless alternative packing is
provided by the applicant. Arrangements for, and the cost of, return
shipment shall be the responsibility of the applicant. EPA does not
warrant or assume any liability for the condition of the analyzer or
sampler upon return to the applicant.
Sec. 53.5 Processing of applications.
After receiving an application for a reference or equivalent method
determination, the Administrator will publish notice of the application
in the Federal Register and, within 120 calendar days after receipt of
the application, take one or more of the following actions:
(a) Send notice to the applicant, in accordance with Sec. 53.8, that
the candidate method has been determined to be a reference or equivalent
method.
(b) Send notice to the applicant that the application has been
rejected, including a statement of reasons for rejection.
(c) Send notice to the applicant that additional information must be
submitted before a determination can be made and specify the additional
information that is needed (in such cases, the 120-day period shall
commence upon receipt of the additional information).
(d) Send notice to the applicant that additional test data must be
submitted and specify what tests are necessary and how the tests shall
be interpreted (in such cases, the 120-day period shall commence upon
receipt of the additional test data).
(e) Send notice to the applicant that the application has been found
to be
[[Page 12]]
substantially deficient or incomplete and cannot be processed until
additional information is submitted to complete the application and
specify the general areas of substantial deficiency.
(f) Send notice to the applicant that additional tests will be
conducted by the Administrator, specifying the nature of and reasons for
the additional tests and the estimated time required (in such cases, the
120-day period shall commence 1 calendar day after the additional tests
have been completed).
Sec. 53.6 Right to witness conduct of tests.
(a) Submission of an application for a reference or equivalent
method determination shall constitute consent for the Administrator or
the Administrator's authorized representative, upon presentation of
appropriate credentials, to witness or observe any tests required by
this part in connection with the application or in connection with any
modification or intended modification of the method by the applicant.
(b) The applicant shall have the right to witness or observe any
test conducted by the Administrator in connection with the application
or in connection with any modification or intended modification of the
method by the applicant.
(c) Any tests by either party that are to be witnessed or observed
by the other party shall be conducted at a time and place mutually
agreeable to both parties.
Sec. 53.7 Testing of methods at the initiative of the Administrator.
(a) In the absence of an application for a reference or equivalent
method determination, the Administrator may conduct the tests required
by this part for such a determination, may compile such other
information as may be necessary in the judgment of the Administrator to
make such a determination, and on the basis of the tests and information
may determine that a method satisfies applicable requirements of this
part.
(b) In the absence of an application requesting the Administrator to
consider revising an appendix to part 50 of this chapter in accordance
with Sec. 53.16, the Administrator may conduct such tests and compile
such information as may be necessary in the Administrator's judgment to
make a determination under Sec. 53.16(d) and on the basis of the tests
and information make such a determination.
(c) If a method tested in accordance with this section is designated
as a reference or equivalent method in accordance with Sec. 53.8 or is
specified or designated as a reference method in accordance with
Sec. 53.16, any person or entity who offers the method for sale as a
reference or equivalent method thereafter shall assume the rights and
obligations of an applicant for purposes of this part, with the
exception of those pertaining to submission and processing of
applications.
Sec. 53.8 Designation of reference and equivalent methods.
(a) A candidate method determined by the Administrator to satisfy
the applicable requirements of this part shall be designated as a
reference method or equivalent method (as applicable), and a notice of
the designation shall be submitted for publication in the Federal
Register not later than 15 days after the determination is made.
(b) A notice indicating that the method has been determined to be a
reference method or an equivalent method shall be sent to the applicant.
This notice shall constitute proof of the determination until a notice
of designation is published in accordance with paragraph (a) of this
section.
(c) The Administrator will maintain a current list of methods
designated as reference or equivalent methods in accordance with this
part and will send a copy of the list to any person or group upon
request. A copy of the list will be available for inspection or copying
at EPA Regional Offices.
Sec. 53.9 Conditions of designation.
Designation of a candidate method as a reference method or
equivalent method shall be conditioned to the applicant's compliance
with the following requirements. Failure to comply with any of the
requirements shall constitute a ground for cancellation of the
designation in accordance with Sec. 53.11.
[[Page 13]]
(a) Any method offered for sale as a reference or equivalent method
shall be accompanied by a copy of the manual referred to in
Sec. 53.4(b)(3) when delivered to any ultimate purchaser.
(b) Any method offered for sale as a reference or equivalent method
shall generate no unreasonable hazard to operators or to the environment
during normal use or when malfunctioning.
(c) Any analyzer, PM10 sampler, or PM2.5
sampler offered for sale as part of a reference or equivalent method
shall function within the limits of the performance specifications
referred to in Sec. 53.20(a), Sec. 53.30(a), Sec. 53.50, or Sec. 53.60,
as applicable, for at least 1 year after delivery and acceptance when
maintained and operated in accordance with the manual referred to in
Sec. 53.4(b)(3).
(d) Any analyzer, PM10 sampler, or PM2.5
sampler offered for sale as a reference or equivalent method shall bear
a prominent, permanently affixed label or sticker indicating that the
analyzer or sampler has been designated by EPA as a reference method or
as an equivalent method (as applicable) in accordance with this part and
displaying any designated method identification number that may be
assigned by EPA.
(e) If an analyzer is offered for sale as a reference or equivalent
method and has one or more selectable ranges, the label or sticker
required by paragraph (d) of this section shall be placed in close
proximity to the range selector and shall indicate clearly which range
or ranges have been designated as parts of the reference or equivalent
method.
(f) An applicant who offers analyzers, PM10 samplers, or
PM2.5 samplers for sale as reference or equivalent methods
shall maintain an accurate and current list of the names and mailing
addresses of all ultimate purchasers of such analyzers or samplers. For
a period of 7 years after publication of the reference or equivalent
method designation applicable to such an analyzer or sampler, the
applicant shall notify all ultimate purchasers of the analyzer or
PM2.5 or PM10 sampler within 30 days if the
designation has been canceled in accordance with Sec. 53.11 or
Sec. 53.16 or if adjustment of the analyzer or sampler is necessary
under Sec. 53.11(b).
(g) If an applicant modifies an analyzer, PM10 sampler,
or PM2.5 sampler that has been designated as a reference or
equivalent method, the applicant shall not sell the modified analyzer or
sampler as a reference or equivalent method nor attach a label or
sticker to the modified analyzer or sampler under paragraph (d) or (e)
of this section until the applicant has received notice under
Sec. 53.14(c) that the existing designation or a new designation will
apply to the modified analyzer, PM10 sampler, or
PM2.5 sampler or has applied for and received notice under
Sec. 53.8(b) of a new reference or equivalent method determination for
the modified analyzer or sampler.
(h) An applicant who has offered PM2.5 samplers or
analyzers for sale as part of a reference or equivalent method may
continue to do so only so long as the facility in which the samplers or
analyzers are manufactured continues to be an ISO 9001-registered
facility, as set forth in subpart E of this part. In the event that the
ISO 9001 registration for the facility is withdrawn, suspended, or
otherwise becomes inapplicable, either permanently or for some specified
time interval, such that the facility is no longer an ISO 9001-
registered facility, the applicant shall notify EPA within 30 days of
the date the facility becomes other than an ISO 9001-registered
facility, and upon such notification, EPA shall issue a preliminary
finding and notification of possible cancellation of the reference or
equivalent method designation under Sec. 53.11.
(i) An applicant who has offered PM2.5 samplers or
analyzers for sale as part of a reference or equivalent method may
continue to do so only so long as updates of the Product Manufacturing
Checklist set forth in subpart E of this part are submitted annually. In
the event that an annual Checklist update is not received by EPA within
12 months of the date of the last such submitted Checklist or Checklist
update, EPA shall notify the applicant within 30 days that the Checklist
update has not been received and shall, within 30 days from the issuance
of such notification, issue a preliminary finding and notification of
possible cancellation of the reference or equivalent method designation
under Sec. 53.11.
[[Page 14]]
Sec. 53.10 Appeal from rejection of application.
Any applicant whose application for a reference or equivalent method
determination has been rejected may appeal the Administrator's decision
by taking one or more of the following actions:
(a) The applicant may submit new or additional information in
support of the application.
(b) The applicant may request that the Administrator reconsider the
data and information already submitted.
(c) The applicant may request that any test conducted by the
Administrator that was a material factor in the decision to reject the
application be repeated.
Sec. 53.11 Cancellation of reference or equivalent method designation.
(a) Preliminary finding. If the Administrator makes a preliminary
finding on the basis of any available information that a representative
sample of a method designated as a reference or equivalent method and
offered for sale as such does not fully satisfy the requirements of this
part or that there is any violation of the requirements set forth in
Sec. 53.9, the Administrator may initiate proceedings to cancel the
designation in accordance with the following procedures.
(b) Notification and opportunity to demonstrate or achieve
compliance. (1) After making a preliminary finding in accordance with
paragraph (a) of this section, the Administrator will send notice of the
preliminary finding to the applicant, together with a statement of the
facts and reasons on which the preliminary finding is based, and will
publish notice of the preliminary finding in the Federal Register.
(2) The applicant will be afforded an opportunity to demonstrate or
to achieve compliance with the requirements of this part within 60 days
after publication of notice in accordance with paragraph (b)(1) of this
section or within such further period as the Administrator may allow, by
demonstrating to the satisfaction of the Administrator that the method
in question satisfies the requirements of this part, by commencing a
program to make any adjustments that are necessary to bring the method
into compliance, or by taking such action as may be necessary to cure
any violation of the requirements of Sec. 53.9. If adjustments are
necessary to bring the method into compliance, all such adjustments
shall be made within a reasonable time as determined by the
Administrator. If the applicant demonstrates or achieves compliance in
accordance with this paragraph (b)(2), the Administrator will publish
notice of such demonstration or achievement in the Federal Register.
(c) Request for hearing. Within 60 days after publication of a
notice in accordance with paragraph (b)(1) of this section, the
applicant or any interested person may request a hearing as provided in
Sec. 53.12.
(d) Notice of cancellation. If, at the end of the period referred to
in paragraph (b)(2) of this section, the Administrator determines that
the reference or equivalent method designation should be canceled, a
notice of cancellation will be published in the Federal Register and the
designation will be deleted from the list maintained under Sec. 53.8(c).
If a hearing has been requested and granted in accordance with
Sec. 53.12, action under this paragraph (d) will be taken only after
completion of proceedings (including any administrative review)
conducted in accordance with Sec. 53.13 and only if the decision of the
Administrator reached in such proceedings is that the designation in
question should be canceled.
Sec. 53.12 Request for hearing on cancellation.
Within 60 days after publication of a notice in accordance with
Sec. 53.11(b)(1), the applicant or any interested person may request a
hearing on the Administrator's action. If, after reviewing the request
and supporting data, the Administrator finds that the request raises a
substantial issue of fact, a hearing will be granted in accordance with
Sec. 53.13 with respect to such issue. The request shall be in writing,
signed by an authorized representative of the applicant or interested
person, and shall include a statement specifying:
(a) Any objections to the Administrator's action.
(b) Data or other information in support of such objections.
[[Page 15]]
Sec. 53.13 Hearings.
(a)(1) After granting a request for a hearing under Sec. 53.12, the
Administrator will designate a presiding officer for the hearing.
(2) If a time and place for the hearing have not been fixed by the
Administrator, the hearing will be held as soon as practicable at a time
and place fixed by the presiding officer, except that the hearing shall
in no case be held sooner than 30 days after publication of a notice of
hearing in the Federal Register.
(3) For purposes of the hearing, the parties shall include EPA, the
applicant or interested person(s) who requested the hearing, and any
person permitted to intervene in accordance with paragraph (c) of this
section.
(4) The Deputy General Counsel or the Deputy General Counsel's
representative will represent EPA in any hearing under this section.
(5) Each party other than EPA may be represented by counsel or by
any other duly authorized representative.
(b)(1) Upon appointment, the presiding officer will establish a
hearing file. The file shall contain copies of the notices issued by the
Administrator pursuant to Sec. 53.11(b)(1), together with any
accompanying material, the request for a hearing and supporting data
submitted therewith, the notice of hearing published in accordance with
paragraph (a)(2) of this section, and correspondence and other material
data relevant to the hearing.
(2) The hearing file shall be available for inspection by the
parties or their representatives at the office of the presiding officer,
except to the extent that it contains information identified in
accordance with Sec. 53.15.
(c) The presiding officer may permit any interested person to
intervene in the hearing upon such a showing of interest as the
presiding officer may require; provided that permission to intervene may
be denied in the interest of expediting the hearing where it appears
that the interests of the person seeking to intervene will be adequately
represented by another party (or by other parties), including EPA.
(d)(1) The presiding officer, upon the request of any party or at
the officer's discretion, may arrange for a prehearing conference at a
time and place specified by the officer to consider the following:
(i) Simplification of the issues.
(ii) Stipulations, admissions of fact, and the introduction of
documents.
(iii) Limitation of the number of expert witnesses.
(iv) Possibility of agreement on disposing of all or any of the
issues in dispute.
(v) Such other matters as may aid in the disposition of the hearing,
including such additional tests as may be agreed upon by the parties.
(2) The results of the conference shall be reduced to writing by the
presiding officer and made part of the record.
(e)(1) Hearings shall be conducted by the presiding officer in an
informal but orderly and expeditious manner. The parties may offer oral
or written evidence, subject to exclusion by the presiding officer of
irrelevant, immaterial, or repetitious evidence.
(2) Witnesses shall be placed under oath.
(3) Any witness may be examined or cross-examined by the presiding
officer, the parties, or their representatives. The presiding officer
may, at his/her discretion, limit cross-examination to relevant and
material issues.
(4) Hearings shall be reported verbatim. Copies of transcripts of
proceedings may be purchased from the reporter.
(5) All written statements, charts, tabulations, and data offered in
evidence at the hearing shall, upon a showing satisfactory to the
presiding officer of their authenticity, relevancy, and materiality, be
received in evidence and shall constitute part of the record.
(6) Oral argument shall be permitted. The presiding officer may
limit oral presentations to relevant and material issues and designate
the amount of time allowed for oral argument.
(f)(1) The presiding officer shall make an initial decision which
shall include written findings and conclusions and the reasons therefore
on all the material issues of fact, law, or discretion presented on the
record. The findings, conclusions, and written decision shall be
provided to the parties and made part of the record. The initial
decision
[[Page 16]]
shall become the decision of the Administrator without further
proceedings unless there is an appeal to, or review on motion of, the
Administrator within 30 calendar days after the initial decision is
filed.
(2) On appeal from or review of the initial decision, the
Administrator will have all the powers consistent with making the
initial decision, including the discretion to require or allow briefs,
oral argument, the taking of additional evidence or the remanding to the
presiding officer for additional proceedings. The decision by the
Administrator will include written findings and conclusions and the
reasons or basis therefore on all the material issues of fact, law, or
discretion presented on the appeal or considered in the review.
Sec. 53.14 Modification of a reference or equivalent method.
(a) An applicant who offers a method for sale as a reference or
equivalent method shall report to the EPA Administrator prior to
implementation any intended modification of the method, including but
not limited to modifications of design or construction or of operational
and maintenance procedures specified in the operation manual (see
Sec. 53.9(g)). The report shall be signed by an authorized
representative of the applicant, marked in accordance with Sec. 53.15
(if applicable), and addressed as specified in Sec. 53.4(a).
(b) A report submitted under paragraph (a) of this section shall
include:
(1) A description, in such detail as may be appropriate, of the
intended modification.
(2) A brief statement of the applicant's belief that the
modification will, will not, or may affect the performance
characteristics of the method.
(3) A brief statement of the probable effect if the applicant
believes the modification will or may affect the performance
characteristics of the method.
(4) Such further information, including test data, as may be
necessary to explain and support any statement required by paragraphs
(b)(2) and (b)(3) of this section.
(c) Within 30 calendar days after receiving a report under paragraph
(a) of this section, the Administrator will take one or more of the
following actions:
(1) Notify the applicant that the designation will continue to apply
to the method if the modification is implemented.
(2) Send notice to the applicant that a new designation will apply
to the method (as modified) if the modification is implemented, submit
notice of the determination for publication in the Federal Register, and
revise or supplement the list referred to in Sec. 53.8(c) to reflect the
determination.
(3) Send notice to the applicant that the designation will not apply
to the method (as modified) if the modification is implemented and
submit notice of the determination for publication in the Federal
Register.
(4) Send notice to the applicant that additional information must be
submitted before a determination can be made and specify the additional
information that is needed (in such cases, the 30-day period shall
commence upon receipt of the additional information).
(5) Send notice to the applicant that additional tests are necessary
and specify what tests are necessary and how they shall be interpreted
(in such cases, the 30-day period shall commence upon receipt of the
additional test data).
(6) Send notice to the applicant that additional tests will be
conducted by the Administrator and specify the reasons for and the
nature of the additional tests (in such cases, the 30-day period shall
commence 1 calendar day after the additional tests are completed).
(d) An applicant who has received a notice under paragraph (c)(3) of
this section may appeal the Administrator's action as follows:
(1) The applicant may submit new or additional information pertinent
to the intended modification.
(2) The applicant may request the Administrator to reconsider data
and information already submitted.
(3) The applicant may request that the Administrator repeat any test
conducted that was a material factor in the Administrator's
determination. A representative of the applicant may be present during
the performance of any such retest.
[[Page 17]]
Sec. 53.15 Trade secrets and confidential or privileged information.
Any information submitted under this part that is claimed to be a
trade secret or confidential or privileged information shall be marked
or otherwise clearly identified as such in the submittal. Information so
identified will be treated in accordance with part 2 of this chapter
(concerning public information).
Sec. 53.16 Supersession of reference methods.
(a) This section prescribes procedures and criteria applicable to
requests that the Administrator specify a new reference method, or a new
measurement principle and calibration procedure on which reference
methods shall be based, by revision of the appropriate appendix to part
50 of this chapter. Such action will ordinarily be taken only if the
Administrator determines that a candidate method or a variation thereof
is substantially superior to the existing reference method(s).
(b) In exercising discretion under this section, the Administrator
will consider:
(1) The benefits, in terms of the requirements and purposes of the
Act, that would result from specifying a new reference method or a new
measurement principle and calibration procedure.
(2) The potential economic consequences of such action for State and
local control agencies.
(3) Any disruption of State and local air quality monitoring
programs that might result from such action.
(c) An applicant who wishes the Administrator to consider revising
an appendix to part 50 of this chapter on the ground that the
applicant's candidate method is substantially superior to the existing
reference method(s) shall submit an application for a reference or
equivalent method determination in accordance with Sec. 53.4 and shall
indicate therein that such consideration is desired. The application
shall include, in addition to the information required by Sec. 53.4,
data and any other information supporting the applicant's claim that the
candidate method is substantially superior to the existing reference
method(s).
(d) After receiving an application under paragraph (c) of this
section, the Administrator will publish notice of its receipt in the
Federal Register and, within 120 calendar days after receipt of the
application, take one of the following actions:
(1) Determine that it is appropriate to propose a revision of the
appendix to part 50 of this chapter in question and send notice of the
determination to the applicant.
(2) Determine that it is inappropriate to propose a revision of the
appendix to part 50 of this chapter in question, determine whether the
candidate method is a reference or equivalent method, and send notice of
the determinations, including a statement of reasons for the
determination not to propose a revision, to the applicant.
(3) Send notice to the applicant that additional information must be
submitted before a determination can be made and specify the additional
information that is needed (in such cases, the 120-day period shall
commence upon receipt of the additional information).
(4) Send notice to the applicant that additional tests are
necessary, specifying what tests are necessary and how the test shall be
interpreted (in such cases, the 120-day period shall commence upon
receipt of the additional test data).
(5) Send notice to the applicant that additional tests will be
conducted by the Administrator, specifying the nature of and reasons for
the additional tests and the estimated time required (in such cases, the
120-day period shall commence 1 calendar day after the additional tests
have been completed).
(e)(1)(i) After making a determination under paragraph (d)(1) of
this section, the Administrator will publish a notice of proposed
rulemaking in the Federal Register. The notice of proposed rulemaking
will indicate that the Administrator proposes:
(A) To revise the appendix to part 50 of this chapter in question.
(B) Where the appendix specifies a measurement principle and
calibration procedure, to cancel reference method designations based on
the appendix.
[[Page 18]]
(C) To cancel equivalent method designations based on the existing
reference method(s).
(ii) The notice of proposed rulemaking will include the terms or
substance of the proposed revision, will indicate what period(s) of time
the Administrator proposes to allow for replacement of existing methods
under section 2.3 of appendix C to part 58 of this chapter, and will
solicit public comments on the proposal with particular reference to the
considerations set forth in paragraphs (a) and (b) of this section.
(2)(i) If, after consideration of comments received, the
Administrator determines that the appendix to part 50 in question should
be revised, the Administrator will, by publication in the Federal
Register:
(A) Promulgate the proposed revision, with such modifications as may
be appropriate in view of comments received.
(B) Where the appendix to part 50 (prior to revision) specifies a
measurement principle and calibration procedure, cancel reference method
designations based on the appendix.
(C) Cancel equivalent method designations based on the existing
reference method(s).
(D) Specify the period(s) that will be allowed for replacement of
existing methods under section 2.3 of appendix C to part 58 of this
chapter, with such modifications from the proposed period(s) as may be
appropriate in view of comments received.
(3) Canceled designations will be deleted from the list maintained
under Sec. 53.8(c). The requirements and procedures for cancellation set
forth in Sec. 53.11 shall be inapplicable to cancellation of reference
or equivalent method designations under this section.
(4) If the appendix to part 50 of this chapter in question is
revised to specify a new measurement principle and calibration procedure
on which the applicant's candidate method is based, the Administrator
will take appropriate action under Sec. 53.5 to determine whether the
candidate method is a reference method.
(5) Upon taking action under paragraph (e)(2) of this section, the
Administrator will send notice of the action to all applicants for whose
methods reference and equivalent method designations are canceled by
such action.
(f) An applicant who has received notice of a determination under
paragraph (d)(2) of this section may appeal the determination by taking
one or more of the following actions:
(1) The applicant may submit new or additional information in
support of the application.
(2) The applicant may request that the Administrator reconsider the
data and information already submitted.
(3) The applicant may request that any test conducted by the
Administrator that was a material factor in making the determination be
repeated.
Table A-1 to Subpart A of Part 53--Summary of Applicable Requirements
for Reference and Equivalent Methods for Air Monitoring of Criteria
Pollutants
--------------------------------------------------------------------------------------------------------------------------------------------------------
Applicable Subparts of Part 53
Pollutant Ref. or Equivalent Manual or Automated Applicable Part -----------------------------------------------
50 Appendix A B C D E F
--------------------------------------------------------------------------------------------------------------------------------------------------------
SO2.................................. Reference.............. Manual................. A
Manual................. ....................... [bcheck] [bchec
k]
Equivalent............. Automated.............. ............... [bchec [bchec [bchec
k] k] k]
CO................................... Reference.............. Automated.............. C [bchec [bchec
k] k]
Manual................. ....................... [bcheck] ...... [bchec
k]
Equivalent............. Automated.............. ............... [bchec [bchec [bchec
k] k] k]
O3................................... Reference.............. Automated.............. D [bchec [bchec
k] k]
Manual................. ....................... [bcheck] ...... [bchec
k]
Equivalent............. Automated.............. ............... [bchec [bchec [bchec
k] k] k]
NO2.................................. Reference.............. Automated.............. F [bchec [bchec
k] k]
Manual................. ....................... [bcheck] ...... [bchec
k]
Equivalent............. Automated.............. ............... [bchec [bchec [bchec
k] k] k]
Pb................................... Reference.............. Manual................. G
Equivalent............. Manual................. ............... [bchec ...... [bchec
k] k]
PM10................................. Reference.............. Manual................. J [bchec ...... ...... [bchec
k] k]
[[Page 19]]
Manual................. ....................... [bcheck] ...... [bchec [bchec
k] k]
Equivalent............. Automated.............. ............... [bchec ...... [bchec [bchec
k] k] k]
PM2.5................................ Reference.............. Manual................. L [bchec ...... ...... ...... [bchec
k] k]
Equivalent Class I..... Manual................. L [bchec ...... [bchec ...... [bchec
k] k] k]
Equivalent Class II.... Manual................. L [bchec ...... [bchec ...... [bchec [bchec
k] k] k] k]
Equivalent Class III... Manual or Automated.... ............... [bchec ...... [bchec ...... [bchec [bchec
k] k] \1\ k] \1\ k] \1\
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Note: Because of the wide variety of potential devices possible, the specific requirements applicable to a Class III candidate equivalent method for
PM2.5 are not specified explicitly in this part but, instead, shall be determined on a case-by-case basis for each such candidiate method.
Appendix A to Subpart A of Part 53--References
(1) American National Standard Quality Systems-Model for Quality
Assurance in Design, Development, Production, Installation, and
Servicing, ANSI/ISO/ASQC Q9001-1994. Available from American Society for
Quality Control, 611 East Wisconsin Avenue, Milwaukee, WI 53202.
(2) American National Standard--Specifications and Guidelines for
Quality Systems for Environmental Data Collection and Environmental
Technology Programs, ANSI/ASQC E41994. Available from American Society
for Quality Control, 611 East Wisconsin Avenue, Milwaukee, WI 53202.
(3) Dimensioning and Tolerancing, ASME Y14.5M-1994. Available from
the American Society of Mechanical Engineers, 345 East 47th Street, New
York, NY 10017.
(4) Mathematical Definition of Dimensioning and Tolerancing
Principles, ASME Y14.5.1M-1994. Available from the American Society of
Mechanical Engineers, 345 East 47th Street, New York, NY 10017.
(5) ISO 10012, Quality Assurance Requirements for Measuring
Equipment-Part 1: Meteorological confirmation system for measuring
equipment):1992(E). Available from American Society for Quality Control,
611 East Wisconsin Avenue, Milwaukee, WI 53202.
(6) Copies of section 2.12 of the Quality Assurance Handbook for Air
Pollution Measurement Systems, Volume II, Ambient Air Specific Methods,
EPA/600/R-94/038b, are available from Department E (MD-77B), U.S. EPA,
Research Triangle Park, NC 27711.
Subpart B--Procedures for Testing Performance Characteristics of
Automated Methods SO2, CO, O3, and NO2
Sec. 53.20 General provisions.
(a) The test procedures given in this subpart shall be used to test
the performance of candidate automated methods against the performance
specifications given in table B-1. A test analyzer representative of the
candidate automated method must exhibit performance better than, or
equal to, the specified value for each such specification (except Range)
to satisfy the requirements of this subpart. Except as provided in
paragraph (b) of this section, the range of the candidate method must be
the range specified in table B-1 to satisfy the requirements of this
subpart.
(b) For a candidate method having more than one selectable range,
one range must be that specified in table B-1 and a test analyzer
representative of the method must pass the tests required by this
subpart while operated in that range. The tests may be repeated for a
broader range (i.e., one extending to higher concentrations) than that
specified in table B-1 provided that the range does not extend to
concentrations more than two times the upper range limit specified in
table B-1. If the application is for a reference method determination,
the tests may be repeated for a narrower range (one extending to lower
concentrations) than that specified in table B-1.
If the tests are conducted or passed only for the specified range, any
reference or equivalent method determination with respect to the method
will be limited to that range. If the tests are passed for both the
specified range and a broader range (or ranges), any such determination
will include the broader range(s) as well as the specified range,
provided that the tests required by subpart C of this part (if
applicable) are met for the broader range(s). If the tests are passed
for both the specified range and a narrower range, a reference method
determination for the method will include the narrower range as well as
the specified range. Appropriate test data shall be
[[Page 20]]
submitted for each range sought to be included in a reference or
equivalent method determination under this paragraph (b).
(c) For each performance specification (except Range), the test
procedure shall be initially repeated seven (7) times to yield 7 test
results. Each result shall be compared with the corresponding
specification in table B-1; a value higher than or outside that
specified constitutes a failure. These 7 results for each parameter
shall be interpreted as follows:
(1) Zero (0) failures: Candidate method passes the performance
parameter.
(2) Three (3) or more failures: Candidate method fails the
performance parameter.
(3) One (1) or two (2) failures: Repeat the test procedures for the
parameter eight (8) additional times yielding a total of fifteen (15)
test results. The combined total of 15 test results shall then be
interpreted as follows:
(i) One (1) or two (2) failures: Candidate method passes the
performance parameter.
(ii) Three (3) or more failures: Candidate method fails the
performance parameter.
Table B-1--Performance Specifications for Automated Methods
----------------------------------------------------------------------------------------------------------------
Sulfur Photochemical Carbon Nitrogen Definitions and
Performance parameter Units \1\ dioxide oxidants monoxide dioxide test procedures
----------------------------------------------------------------------------------------------------------------
1. Range..................... Parts per 0-0.5 0-0.5 0-50 0-0.5 Sec. 53.23(a).
million.
2. Noise..................... ......do........ .005 .005 .50 .005 Sec. 53.23(b).
3. Lower detectable limit.... Parts per .01 .01 1.0 .01 Sec. 53.23(c).
million.
4. Interference equivalent... ................ ......... ............. ......... ......... Sec. 53.23(d).
Each interferant........... Parts per . . 2 5 5 percent of full scale.
(c) Once the test analyzer has been set up and calibrated and the
tests started, manual adjustment or normal periodic maintenance is
permitted only every 3 days. Automatic adjustments which the test
analyzer performs by itself are permitted at any time. The submitted
records shall show clearly when any manual adjustment or periodic
maintenance was made and describe the operations performed.
(d) If the test analyzer should malfunction during any of the
performance tests, the tests for that parameter shall be repeated. A
detailed explanation of the malfunction, remedial action taken, and
whether recalibration was necessary (along with all pertinent records
and charts) shall be submitted. If more than one malfunction occurs, all
performance test procedures for all parameters shall be repeated.
(e) Tests for all performance parameters shall be completed on the
same test analyzer, except that use of multiple test analyzers to
accelerate testing will be permitted when alternate ranges of a multi-
range candidate method are being tested.
Sec. 53.22 Generation of test atmospheres.
(a) Table B-2 specifies preferred methods for generating test
atmospheres and suggested methods of verifying the concentrations. Only
one means of establishing the concentration of a test atmosphere is
normally required. If the method of generation can produce reproducible
concentrations, verification is optional. If the method of generation is
not reproducible, then establishment of the concentration by some
verification method is required. However, when a method of generation
other than that given in table B-2 is used, the test concentration shall
be verified.
(b) The test atmosphere delivery system shall be designed and
constructed so as not to significantly alter the test atmosphere
composition or concentration during the period of the test. The delivery
system shall be fabricated from borosilicate glass or FEP Teflon.
(c) The output of the test atmosphere generation system shall be
sufficiently stable to obtain stable response during the required tests.
If a permeation device is used for generation of a test atmosphere, the
device, as well as the air passing over it, shall be controlled to
0.1 deg.C.
(d) All diluent air shall be zero air free of contaminants likely to
cause a detectable response on the test analyzer.
[[Page 22]]
Table B-2--Test Atmospheres
----------------------------------------------------------------------------------------------------------------
Test gas Generation Verification
----------------------------------------------------------------------------------------------------------------
Ammonia............................... Permeation device. Similar to Indophenol method, reference 3.
system described in references 1
and 2.
Carbon dioxide........................ Cylinder of zero air or nitrogen Use NBS-certified standards whenever
containing CO2 as required to possible. If NBS standards are not
obtain the concentration available, obtain 2 standards from
specified in table B-3. independent sources which agree
within 2 percent; or obtain one
standard and submit it to an
independent laboratory for analysis
which must agree within 2 percent of
the supplier's nominal analysis.
Carbon monoxide....................... Cylinder of zero air or nitrogen Do.
containing CO as required to
obtain the concentration
specified in table B-3.
Ethane................................ Cylinder of zero air or nitrogen Do.
containing ethane as required to
obtain the concentration
specified in table B-3.
Ethylene.............................. Cylinder of prepurified nitrogen Do.
containing ethylene as required
to obtain the concentration
specified in table B-3.
Hydrogen chloride..................... Cylinder \1\ of prepurified Collect samples in bubbler containing
nitrogen containing distilled water and analyze by the
approximately 100 p/m of gaseous mercuric thiocyanate method, ASTM
HCl. Dilute with zero air to (D512), p. 29, reference 4.
concentration specified in table
B-3.
Hydrogen sulfide...................... Permeation device system Tentative method of analysis for H2 S
described in references 1 and 2. content of the atmosphere, p. 426,
reference 5.
Methane............................... Cylinder of zero air containing Use NBS-certified standards whenever
methane as required to obtain possible. If NBS standards are not
the concentration specified in available, obtain 2 standards from
table B-3. independent sources which agree
within 2 percent; or obtain one
standard and submit it to an
independent laboratory for an
analysis which must agree within 2
percent of the supplier's nominal
analysis.
Nitric oxide.......................... Cylinder \1\ of prepurified Gas-phase titration as described in
nitrogen containing reference 6, section 7.1.
approximately 100 p/m NO. Dilute
with zero air to required
concentration.
Nitrogen dioxide...................... 1. Gas phase titration as 1. Use an NO 2 analyzer calibrated
described in reference 6. with a gravimetrically calibrated
2. Permeation device, similar to permeation device.
system described in references 1 2. Use an NO 2 analyzer calibrated by
and 2. gas-phase titration as described in
reference 6.
Ozone................................. Calibrated ozone generator as Use an ozone analyzer calibrated by
described in reference 7, gas-phase titration as described in
appendix D. reference 6.
Sulfur dioxide........................ Permeation device Similar to P-rosaniline method. Reference 7,
system described in reference appendix A.
method for SO2, reference 7,
appendix A.
Water................................. Pass zero air through distilled Measure relative humidity by means of
water at a fixed known a dew-point indicator, calibrated
temperature between 20 deg. and electrolytic or piezo electric
30 deg.C. such that the air hygrometer, or wet/dry bulb
stream becomes saturated. Dilute thermometer.
with zero air to concentration
specified in table B-3.
Xylene................................ Cylinder of prepurified nitrogen Use NBS-certified standards whenever
containing 100 p/m xylene. possible. If NBS standards are not
Dilute with zero air to available, obtain 2 standards from
concentration specified in table independent sources which agree
B-3. within 2 percent; or obtain one
standard and submit it to an
independent laboratory for an
analysis which must agree within 2
percent of the supplier's nominal
analysis.
Zero air.............................. 1. Ambient air purified by
appropriate scrubbers or other
devices such that it is free of
contaminants likely to cause a
detectable response on the
analyzer.
2. Cylinder of compressed zero
air certified by the supplier or
an independent laboratory to be
free of contaminants likely to
cause a detectable response on
the analyzer.
----------------------------------------------------------------------------------------------------------------
\1\ Use stainless steel pressure regulator dedicated to the pollutant measured.
Reference 1. O'Keeffe, A. E., and Ortaman, G. C. ``Primary Standards for Trace Gas Analysis,'' Anal. Chem. 38,
760 (1966).
Reference 2. Scaringelli, F. P., A. E., Rosenberg, E., and Bell, J. P., ``Primary Standards for Trace Gas
Analysis.'' Anal. Chem. 42, 871 (1970).
Reference 3. ``Tentative Method of Analysis for Ammonia in the Atmosphere (Indophenol Method)'', Health Lab
Sciences, vol. 10, No. 2, 115-118, April 1973.
Reference 4. 1973 Annual Book of ASTM Standards, American Society for Testing and Materials, 1916 Race St.,
Philadelphia, PA.
Reference 5. Methods for Air Sampling and Analysis, Intersociety Committee, 1972, American Public Health
Association, 1015.
Reference 6. Federal Register, vol. 38, No. 110, Tentative Method for the Continuous Measurement of Nitrogen
Dioxide (Chemiluminescent) addenda C. (June 8, 1973).
Reference 7. Federal Register, vol. 36, No. 228, National Primary and Secondary Ambient Air Quality Standards,
Nov. 25, 1971.
[[Page 23]]
(e) The concentration of each test atmosphere shall be established
and/or verified before or during each series of tests. Samples for
verifying test concentrations shall be collected from the test
atmosphere delivery system as close as possible to the sample intake
port of the test analyzer.
(f) The accuracy of all flow measurements used to calculate test
atmosphere concentrations shall be documented and referenced to a
primary standard (such as a spirometer, bubble meter, etc.). Any
corrections shall be clearly shown. All flow measurements given in
volume units shall be standardized to 25 deg.C. and 760 mm Hg.
(g) Schematic drawings and other information showing complete
procedural details of the test atmosphere generation, verification, and
delivery system shall be provided. All pertinent calculations shall be
clearly indicated.
[40 FR 7049, Feb. 18, 1975, as amended at 40 FR 18168, Apr. 25, 1975]
Sec. 53.23 Test procedures.
(a) Range--(1) Technical definition. Nominal minimum and maximum
concentrations which a method is capable of measuring.
Note: The nominal range is specified at the lower and upper range
limits in concentration units, for example, 0-0.5 p/m.
(2) Test procedure. Submit a suitable calibration curve, as
specified in Sec. 53.21(b), showing the test analyzer's response over at
least 95 percent of the required range.
Note: A single calibration curve will normally suffice.
(b) Noise--(1) Technical definition. Spontaneous, short duration
deviations in output, about the mean output, which are not caused by
input concentration changes. Noise is determined as the standard
deviation about the mean and is expressed in concentration units.
(2) Test procedure. (i) Allow sufficient time for the test analyzer
to warm up and stabilize. Determine at two concentrations, first using
zero air and then a pollutant test gas concentration as indicated below.
The noise specification in table B-1 shall apply to both of these tests.
(ii) Connect an integrating-type digital meter (DM) suitable for the
test analyzer's output and accurate to three significant digits, to
measure the analyzer's output signal.
Note: Use of a chart recorder in addition to the DM is optional.
(iii) Measure zero air for 60 minutes. During this 60-minute
interval, record twenty-five (25) readings at 2-minute intervals. (See
Figure B-2 in appendix A.)
(iv) Convert each DM reading to concentration units (p/m) by
reference to the test analyzer's calibration curve as determined in
Sec. 53.21(b). Label the converted DM readings r1,
r2, r3 . . . ri . . .
r25.
(v) Calculate the standard deviation, S, as follows:
where i indicates the i-th DM reading in ppm.
(vi) Let S at 0 ppm be identified as So; compare
So to the noise specification given in table B-1.
(vii) Repeat steps (iii) through (vi) of this section using a
pollutant test atmosphere concentration of 805 percent of
the upper range limit (URL) instead of zero gas, and let S at 80 percent
of the URL be identified as S80. Compare
S80 to the noise specification given in table B-1.
(viii) Both S0 and S80 must be less
than or equal to the specification for noise to pass the test for the
noise parameter.
(c) Lower detectable limit--(1) Technical definition. The minimum
pollutant concentration which produces a signal of twice the noise
level.
(2) Test procedure. (i) Allow sufficient time for the test analyzer
to warm up and stabilize. Measure zero air and record the stable reading
in ppm as BZ. (See Figure B-3 in appendix A.)
(ii) Generate and measure a pollutant test atmosphere concentration
equal to the value for the lower detectable limit specified in table B-
1.
Note: If necessary, the test atmosphere concentration may be
generated or verified at a higher concentration, then accurately
[[Page 24]]
diluted with zero air to the final required concentration.
(iii) Record the test analyzer's stable indicated reading, in ppm,
as BL.
(iv) Determine the Lower Detectable Limit (LDL) as LDL =
BL-BZ. Compare this LDL value with the noise
level, S0, determined in Sec. 53.23(b), for 0 concentration
test atmosphere. LDL must be equal to or higher than 2S0 to
pass this test.
(d) Interference equivalent--(1) Technical definition. Positive or
negative response caused by a substance other than the one being
measured.
(2) Test procedure. The test analyzer shall be tested for all
substances likely to cause a detectable response. The test analyzer
shall be challenged, in turn, with each interfering agent specified in
table B-3. In the event that there are substances likely to cause a
significant interference which have not been specified in table B-3,
these substances shall be tested at a concentration substantially higher
than that normally found in the ambient air. The interference may be
either positive or negative, depending on whether the test analyzer's
response is increased or decreased by the presence of the interferent.
Interference equivalents shall be determined by mixing each interferent,
one at a time, with the pollutant at the concentrations specified in
table B-3, and comparing the test analyzer's response to the response
caused by the pollutant alone. Known gas-phase reactions that might
occur between an interferent and the pollutant are designated by
footnote 3 in table B-3. In these cases, the interference equivalent
shall be determined in the absence of the pollutant.
(i) Allow sufficient time for warm-up and stabilization of the test
analyzer.
(ii) For a candidate method using a prefilter or scrubber based upon
a chemical reaction to derive part of its specificity, and which
requires periodic service or maintenance, the test analyzer shall be
``conditioned'' prior to each interference test as follows:
[[Page 25]]
Table B-3--Interferant Test Concentration,\1\ Parts Per Million
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Hydrochloric Hydrogen Sulfur Nitrogen Nitric Carbon M- Water Carbon
Pollutant Analyzer type \2\ acid Ammonia sulfide dioxide dioxide oxide dioxide Ethylene Ozone xylene vapor monoxide Methane Ethane
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
SO2..................... Flame photometric (FPD)..... ............ ....... 0.1 \1\ 0.14 ........ ....... 750 ........ ....... ....... \3\ 20,0 50 ....... .......
00
SO2..................... Gas chromatography (FPD).... ............ ....... .1 \4\.14 ........ ....... 750 ........ ....... ....... \3\ 20,0 50 ....... .......
00
SO2..................... Spectrophotometric-wet 0.2 \3\ 0.1 .1 \4\.14 0.5 ....... 750 ........ 0.5 ....... ........ ........ ....... .......
chemical (pararosaniline
reaction).
SO2..................... Electrochemical............. .2 \3\.1 .1 \4\.14 .5 0.5 ........ 0.2 .5 ....... \3\ 20,0 ........ ....... .......
00
SO2..................... Conductivity................ .2 \3\.1 ........ \4\.14 .5 ....... 750 ........ ....... ....... ........ ........ ....... .......
SO2..................... Spectrophotometric-gas phase ............ ....... ........ \4\.14 .5 .5 ........ ........ .5 0.2 ........ ........ ....... .......
O3...................... Chemiluminescent............ ............ ....... \3\.1 ........ ........ ....... 750 ........ \4\.08 ....... \3\ 20,0 ........ ....... .......
00
O3...................... Electrochemical............. ............ \3\.1 ........ .5 .5 ....... ........ ........ \4\.08 ....... \3\ 20,0 ........ ....... .......
00
O3...................... Spectrophotometric-wet ............ \3\.1 ........ .5 .5 \3\.5 ........ ........ \4\.08 ....... ........ ........ ....... .......
chemical (potassium iodide
reaction).
O3...................... Spectrophotometric-gas phase ............ ....... ........ .5 .5 \3\.5 ........ ........ \4\.08 ....... ........ ........ ....... .......
CO...................... Infrared.................... ............ ....... ........ ........ ........ ....... 750 ........ ....... ....... 20,000 \4\ 10 ....... .......
CO...................... Gas chromatography with ............ ....... ........ ........ ........ ....... ........ ........ ....... ....... 20,000 \4\ 10 ....... 0.5
flame ionization detector.
CO...................... Electrochemical............. ............ ....... ........ ........ ........ .5 ........ .2 ....... ....... 20,000 \4\ 10 ....... .......
CO...................... Catalytic combustion-thermal ............ .1 ........ ........ ........ ....... 750 .2 ....... ....... 20,000 \4\ 10 5.0 .5
detection.
CO...................... IR fluorescence............. ............ ....... ........ ........ ........ ....... 750 ........ ....... ....... 20,000 \4\ 10 ....... .5
CO...................... Mercury replacement UV ............ ....... ........ ........ ........ ....... ........ .2 ....... ....... ........ \4\ 10 ....... .5
photometric.
NO2..................... Chemiluminescent............ ............ \3\.1 ........ .5 \4\.1 .5 ........ ........ ....... ....... 20,000 ........ ....... .......
NO2..................... Spectrophotometric-wet ............ ....... ........ .5 \4\.1 .5 750 ........ .5 ....... ........ ........ ....... .......
chemical (azo-dye reaction).
NO2..................... Electrochemical............. 0.2 \3\.1 ........ .5 \4\.1 .5 750 ........ .5 ....... 20,000 50 ....... .......
NO2..................... Spectrophotometric-gas phase ............ \3\.1 ........ .5 \4\.1 .5 ........ ........ .5 ....... 20,000 50 ....... .......
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Concentrations of interferant listed must be prepared and controlled to 10 percent of the state value.
\2\ Analyzer types not listed will be considered by the administrator as special cases.
\3\ Do not mix with pollutant.
\4\ Concentration of pollutant used for test. These pollutant concentrations must be prepared to 10 percent of the stated value.
[[Page 26]]
(A) Service or perform the indicated maintenance on the scrubber or
prefilter as directed in the manual referred to in Sec. 53.4(b)(3).
(B) Before testing for each interferent, allow the test analyzer to
sample through the scrubber a test atmosphere containing the interferent
at a concentration equal to the value specified in table B-3. Sampling
shall be at the normal flow rate and shall be continued for 6 continuous
hours prior to testing.
(iii) Generate three test atmosphere streams as follows:
(A) Test atmosphere P: Pollutant concentration.
(B) Test atmosphere I: Interference concentration.
(C) Test atmosphere Z: Zero air.
(iv) Adjust the individual flow rates and the pollutant or
interferent generators for the three test atmospheres as follows:
(A) The flow rates of test atmospheres I and Z shall be identical.
(B) The concentration of pollutant in test atmosphere P shall be
adjusted such that when P is mixed (diluted) with either test atmosphere
I or Z, the resulting concentration of pollutant shall be as specified
in table B-3.
(C) The concentration of interferent in test atmosphere I shall be
adjusted such that when I is mixed (diluted) with test atmosphere P, the
resulting concentration of interferent shall be equal to the value
specified in table B-3.
(D) To minimize concentration errors due to flow rate differences
between I and Z, it is recommended that, when possible, the flow rate of
P be from 10 to 20 times larger than the flow rates of I and Z.
(v) Mix test atmospheres P and Z by passing the total flow of both
atmospheres through a mixing flask.
(vi) Sample and measure the mixture of test atmospheres P and Z with
the test analyzer. Allow for a stable reading, and record the reading,
in concentration units, as R (see Figure B-3).
(vii) Mix test atmospheres P and I by passing the total flow of both
atmospheres through a mixing flask.
(viii) Sample and measure this mixture. Record the stable reading,
in concentration units, as RI.
(ix) Calculate the interference equivalent (IE) as:
IE = RI-R
IE must be equal to or less than the specification given in table B-1
for each interferent to pass the test.
(x) Follow steps (iii) through (ix) of this section, in turn, to
determine the interference equivalent for each interferent.
(xi) For those interferents which cannot be mixed with the
pollutant, as indicated by footnote (3) in table B-3, adjust the
concentration of test atmosphere I to the specified value without being
mixed or diluted by the pollutant test atmosphere. Determine IE as
follows:
(A) Sample and measure test atmosphere Z (zero air). Allow for a
stable reading and record the reading, in concentration units, as R.
(B) Sample and measure the interferent test atmosphere I. If the
test analyzer is not capable of negative readings, adjust the analyzer
(not the recorder) to give an offset zero. Record the stable reading in
concentration units as RI, extrapolating the calibration
curve, if necessary, to represent negative readings.
(C) Calculate IE=RI-R. IE must be equal to or less than
the specification in table B-1 to pass the test.
(xii) Sum the absolute value of all the individual interference
equivalents. This sum must be equal to or less than the total
interferent specification given in table B-1 to pass the test.
(e) Zero drift, span drift, lag time, rise time, fall time, and
precision--(1) Technical definitions--(i) Zero drift: The change in
response to zero pollutant concentration, over 12- and 24-hour periods
of continuous unadjusted operation.
(ii) Span drift: The percent change in response to an up-scale
pollutant concentration over a 24-hour period of continuous unadjusted
operation.
(iii) Lag time: The time interval between a step change in input
concentration and the first observable corresponding change in response.
(iv) Rise time: The time interval between initial response and 95
percent of final response after a step increase in input concentration.
[[Page 27]]
(v) Fall time: The time interval between initial response and 95
percent of final response after a step decrease in input concentration.
(vi) Precision: Variation about the mean of repeated measurements of
the same pollutant concentration, expressed as one standard deviation
about the mean.
(2) Tests for these performance parameters shall be accomplished
over a period of seven (7) or more days. During this time, the line
voltage supplied to the test analyzer and the ambient temperature
surrounding the analyzer shall be varied from day to day. One test
result for each performance parameter shall be obtained each test day,
for seven (7) or fifteen (15) test days as necessary. The tests are
performed sequentially in a single procedure.
(3) The 24-hour test day may begin at any clock hour. The first 12
hours out of each test day are required for testing 12-hour zero drift.
Tests for the other parameters shall be conducted during the remaining
12 hours.
(4) Table B-4 specifies the line voltage and room temperature to be
used for each test day. The line voltage and temperature shall be
changed to the specified values at the start of each test day (i.e., at
the start of the 12-hour zero test). Initial adjustments (day zero)
shall be made at a line voltage of 115 volts (rms) and a room
temperature of 25 deg.C.
(5) The tests shall be conducted in blocks consisting of 3 test days
each until 7 or 15 test results have been obtained. (The final block may
contain fewer than three test days.) If a test is interrupted by an
occurrence other than a malfunction of the test analyzer, only the block
during which the interruption occurred shall be repeated.
(6) During each block, manual adjustments to the electronics, gas,
or reagent flows or periodic maintenance shall not be permitted.
Automatic adjustments which the test analyzer performs by itself are
permitted at any time.
(7) At least 4 hours prior to the start of the first test day of
each block, the test analyzer may be adjusted and/or serviced according
to the periodic maintenance procedures specified in the manual referred
to in Sec. 53.4(b)(3). If a new block is to immediately follow a
previous block, such adjustments or servicing may be done immediately
after completion of the day's tests for the last day of the previous
block and at the voltage and temperature specified for that day, but
only on test days 3, 6, 9, and 12.
Note: If necessary, the beginning of the test days succeeding such
maintenance or adjustment may be delayed as necessary to complete the
service or adjustment operation.
(8) All response readings to be recorded shall first be converted to
concentration units according to the calibration curve. Whenever a test
atmosphere is to be measured but a stable reading is not required, the
test atmosphere shall be measured long enough to cause a change in
response of at least 10% of full scale. Identify all readings and other
pertinent data on the strip chart. (See Figure B-1 illustrating the
pattern of the required readings.)
Table B-4--Line Voltage and Room Temperature Test Conditions
------------------------------------------------------------------------
Line Room
Test day voltage,\1\ temperature,\2\ Comments
rms deg.C
------------------------------------------------------------------------
0................... 115 25 Initial set-up and
adjustments.
1................... 125 20
2................... 105 20
3................... 125 30 Adjustments and/or
periodic
maintenance
permitted at end of
tests.
4................... 105 30
5................... 125 20
6................... 105 20 Adjustments and/or
periodic
maintenance
permitted at end of
tests.
7................... 125 30 Examine test results
to ascertain if
further testing is
required.
8................... 105 30
9................... 125 20 Adjustments and/or
periodic
maintenance
permitted at end of
tests.
10.................. 105 20
11.................. 125 30
12.................. 105 30 Adjustments and/or
periodic
maintenance
permitted at end of
tests.
[[Page 28]]
13.................. 125 20
14.................. 105 20
15.................. 125 30
------------------------------------------------------------------------
\1\ Voltage specified shall be controlled to 1 volt.
\2\ Temperature specified shall be controlled to 1 deg.C.
[[Page 29]]
[GRAPHIC] [TIFF OMITTED] TC01JY92.000
(9) Test procedure. (i) Arrange to generate pollutant test
atmospheres as follows:
------------------------------------------------------------------------
Pollutant concentration
Test atmosphere (percent)
------------------------------------------------------------------------
A0........................................ Zero air.
A20....................................... 205 of the upper
range limit.
A30....................................... 305 of the upper
range limit.
[[Page 30]]
A80....................................... 805 of the upper
range limit.
A90....................................... 905 of the upper
range limit.
------------------------------------------------------------------------
Test atmospheres A0, A20, and
A80 shall be consistent during the tests and from
day to day.
(ii) For steps (xxv) through (xxxi) of this section, a chart speed
of at least 10 centimeters per hour shall be used. The actual chart
speed, chart speed changes, and time checks shall be clearly marked on
the chart.
(iii) Allow sufficient time for test analyzer to warm up and
stabilize at a line voltage of 115 volts and a room temperature of 25
deg.C. Recalibrate, if necessary, and adjust the zero baseline to 5
percent of chart. No further adjustments shall be made to the analyzer
until the end of the tests on the third day.
(iv) Measure test atmosphere A0 until a stable reading is
obtained, and record this reading (in ppm) as Z'n, where n =
0 (see Figure B-4 in appendix A).
(v) Measure test atmosphere A20. Allow for a
stable reading and record it as M'n, where n = 0.
(vi) Measure test atmosphere A80. Allow for a
stable reading and record it as S'n, where n = 0.
(vii) The above readings for Z'0, M'0, and
S'0 should be taken at least four (4) hours prior to the
beginning of test day 1.
(viii) At the beginning of each test day, adjust the line voltage
and room temperature to the values given in table B-4.
(ix) Measure test atmosphere A0 continuously for at least
twelve (12) continuous hours during each test day.
(x) After the 12-hour zero drift test (step ix), sample test
atmosphere A0. A stable reading is not required.
(xi) Measure test atmosphere A20 and record the stable
reading (in ppm) as P1. (See Figure B-4 in appendix A.)
(xii) Sample test atmosphere A30; a stable
reading is not required.
(xiii) Measure test atmosphere A20 and record
the stable reading as P2.
(xiv) Sample test atmosphere A0; a stable reading is not
required.
(xv) Measure test atmosphere A20 and record
the stable reading as P3.
(xvi) Sample test atmosphere A30; a stable reading is not
required.
(xvii) Measure test atmosphere A20 and record the stable
reading as P4.
(xviii) Sample test atmosphere A0; a stable reading is
not required.
(xix) Measure test atmosphere A20 and record
the stable reading as P5.
(xx) Sample test atmosphere A30; a stable
reading is not required.
(xxi) Measure test atmosphere A20 and record
the stable reading as P6.
(xxii) Measure test atmosphere A30 and record
the stable reading as P7.
(xxiii) Sample test atmosphere A90; a stable
reading is not required.
(xxiv) Measure test atmosphere A80 and record the stable
reading as P8. Increase chart speed to at least 10
centimeters per hour.
(xxv) Measure test atmosphere A0. Record the stable
reading as L1.
(xxvi) Quickly switch the test analyzer to measure test atmosphere
A80 and mark the recorder chart to show the exact time when
the switch occurred.
(xxvii) Measure test atmosphere A90 and record
the stable reading as P80.
(xxviii) Sample test atmosphere A90; a stable
reading is not required.
(xxix) Measure test atmosphere A80 and record the stable
reading as P10.
(xxx) Measure test atmosphere A0 and record the stable
reading as L2.
(xxxi) Measure test atmosphere A80 and record the stable
reading as P11.
(xxxii) Sample test atmosphere A90; a stable
reading is not required.
(xxxiii) Measure test atmosphere A80 and record the
stable reading as P12.
(xxxiv) Repeat steps (viii) through (xxxiii) of this section, each
test day.
(xxxv) If zero and span adjustments are made after the readings are
taken on test days 3, 6, 9, or 12, complete all adjustments; then
measure test atmospheres A0, A80, and
A20. Allow for a stable reading on each, and
record the readings as Z'nS'n, and Mn
respectively, where n = the test day number.
(10) Determine the results of each day's tests as follows. Mark the
recorder chart to show readings and determinations.
(i) Zero drift. (A) 12-hour. Examine the strip chart pertaining to
the 12-
[[Page 31]]
hour continuous zero air test. Determine the minimum (Cmin.) and maximum
(Cmax.) readings (in p/m) during this period of 12 consecutive hours,
extrapolating the calibration curve to negative concentration units if
necessary. Determine the 12-hour zero drift (12ZD) as 12ZD =
Cmax.-Cmin.. (See Figure B-5 in appendix A.)
(B) Calculate the 24-hour zero drift (24ZD) for the n-th test day as
24ZDn = Zn-Zn-1, or 24ZDn =
Zn-Z'n-1 if zero adjustment was made on
the previous day, where Zn = \1/
2\(L1+L2) for L1 and L2
taken on the n-th test day.
(C) Compare 12ZD and 24ZD to the zero drift specification in table
B-1. Both 12ZD and 24ZD must be equal to or less than the specified
value to pass the test for zero drift.
(ii) Span drift. (A) Span drift at 20 percent of URL (MSD)
[GRAPHIC] [TIFF OMITTED] TC09NO91.000
[GRAPHIC] [TIFF OMITTED] TC09NO91.001
If span adjustment was made on the previous day, where
[GRAPHIC] [TIFF OMITTED] TC09NO91.002
n indicates the n-th test day, and i indicates the i-th reading on the n
th day.
(B) Span drift at 80 percent of URL (USD):
[GRAPHIC] [TIFF OMITTED] TC09NO91.003
or
[GRAPHIC] [TIFF OMITTED] TC09NO91.004
If span adjustment was made on the previous day, where
[GRAPHIC] [TIFF OMITTED] TC09NO91.005
n indicates the n-th test day, and i indicates the i-th reading on the
n-th test day.
(C) Both USD and MSD must be equal to or less than the respective
specifications given in table B-1 to pass the test for span draft.
(iii) Lag time. Determine, from the strip chart, the elapsed time in
minutes between the mark made in step (xxvi) and the first observable
(two times the noise level) response. This time must be equal to or less
than the time specified in table B-1 to pass the test for lag time.
(iv) Rise time. Calculate 95 percent of reading P9 and
determine from the recorder chart, the elapsed time between the first
observable (two times noise level) response and a response equal to 95
percent of the P9 reading. This time must be equal to or less
than the rise time specified in table B-1 to pass the test for rise
time.
(v) Fall time. Calculate five percent of (P10-
L2) and determine, from the strip chart, the elapsed time in
minutes between the first observable decrease in response following
reading P10 and a response equal to five percent of
(P10-L2). This time must be equal to or less than
the fall time specification in table B-1 to pass the test for fall time.
(vi) Precision. Calculate precision (P20 and
P80) for each day's test as follows:
(A)
[GRAPHIC] [TIFF OMITTED] TC09NO91.006
(B)
[GRAPHIC] [TIFF OMITTED] TC09NO91.007
(C) Both P20 and P80
must be equal to or less than the specification given in table B-1 to
pass the test for precision.
[40 FR 7049, Feb. 18, 1975, as amended at 41 FR 52694, Dec. 1, 1976]
[[Page 32]]
Appendix A to Subpart B of Part 53--Optional Forms for Reporting Test
Results
Table B-5--Symbols and Abbreviations
BL............................ Analyzer reading at specified LDL
concentration.
Bz............................ Analyzer reading at 0 concentration for
LDL test.
DM............................ Digital meter.
Cmax.......................... Maximum analyzer reading during 12ZD
test.
Cmin.......................... Minimum analyzer reading during 12ZD
test.
i............................. Subscript indicating the i-th quantity
in a series.
IE............................ Interference equivalent.
L1............................ First analyzer zero reading for 24ZD
test.
L2............................ Second analyzer zero reading for 24ZD
test.
Mn............................ Average of P1 . . . P6 for the n-th test
day.
M'n........................... Adjusted span reading at 20 percent of
URL on the n-th test day.
MSD........................... Span drift at 20 percent of URL.
n............................. Subscript indicating the test day
number.
P............................. Analyzer reading for precision test.
Pi............................ The i-th analyzer reading for precision
test.
P20........................... Precision at 20 percent of URL.
P80........................... Precision at 80 percent of URL.
R............................. Analyzer reading of pollutant alone for
IE test.
RI............................ Analyzer reading with interferent added
for IE test.
ri............................ The i-th DM reading for noise test.
S............................. Standard deviation of noise readings.
S0............................ Noise value (S) measured at 0
concentration.
S80........................... Noise value (S) measured at 80 percent
of URL.
Sn............................ Average of P7 . . . P12 for the n-th
test day.
S'n........................... Adjusted span reading at 80 percent of
URL on the n-th test day.
URL........................... Upper range limit.
USD........................... Span drift at 80 percent o
Z............................. Average of L1 and L2.
Zn............................ Average of L1 and L2 on the n-th test
day.
Z'n........................... Adjusted zero reading on the n-th test
day.
ZD............................ Zero drift.
12ZD.......................... 12-hour zero drift.
24ZD.......................... 24-hour zero drift.
[[Page 33]]
[[Page 34]]
[[Page 35]]
[[Page 36]]
[[Page 37]]
[GRAPHIC] [TIFF OMITTED] TC09NO91.031
[40 FR 7049, Feb. 18, 1975, as amended at 40 FR 18169, Apr. 25, 1975]
Subpart C--Procedures for Determining Comparability Between Candidate
Methods and Reference Methods
Source: 62 FR 38792, July 18, 1997, unless otherwise noted.
Sec. 53.30 General provisions.
(a) Determination of comparability. The test procedures prescribed
in this subpart shall be used to determine if a candidate method is
comparable to a reference method when both methods measure pollutant
concentrations in ambient air.
[[Page 38]]
(1) Comparability is shown for SO2, CO, O3,
and NO2 methods when the differences between:
(i) Measurements made by a candidate manual method or by a test
analyzer representative of a candidate automated method.
(ii) Measurements made simultaneously by a reference method, are
less than or equal to the values specified in the last column of table
C-1 of this subpart.
(2) Comparability is shown for lead methods when the differences
between:
(i) Measurements made by a candidate method.
(ii) Measurements made by the reference method on simultaneously
collected lead samples (or the same sample, if applicable), are less
than or equal to the value specified in table C-3 of this subpart.
(3) Comparability is shown for PM10 and PM2.5
methods when the relationship between:
(i) Measurements made by a candidate method.
(ii) Measurements made by a reference method on simultaneously
collected samples (or the same sample, if applicable) at each of two
test sites, is such that the linear regression parameters (slope,
intercept, and correlation coefficient) describing the relationship meet
the values specified in table C-4 of this subpart.
(b) Selection of test sites--(1) All methods. Each test site shall
be in a predominately urban area which can be shown to have at least
moderate concentrations of various pollutants. The site shall be clearly
identified and shall be justified as an appropriate test site with
suitable supporting evidence such as maps, population density data,
vehicular traffic data, emission inventories, pollutant measurements
from previous years, concurrent pollutant measurements, and
meteorological data. If approval of a proposed test site is desired
prior to conducting the tests, a written request for approval of the
test site or sites must be submitted prior to conducting the tests and
must include the supporting and justification information required. The
Administrator may exercise discretion in selecting a different site (or
sites) for any additional tests the Administrator decides to conduct.
(2) Methods for SO2, CO, O3, and
NO2. All test measurements are to be made at the same test
site. If necessary, the concentration of pollutant in the sampled
ambient air may be augmented with artificially generated pollutant to
facilitate measurements in the specified ranges described under
paragraph (d)(2) of this section.
(3) Methods for Pb. Test measurements may be made at any number of
test sites. Augmentation of pollutant concentrations is not permitted,
hence an appropriate test site or sites must be selected to provide lead
concentrations in the specified range.
(4) Methods for PM10. Test measurements must be made, or
derived from particulate samples collected, at not less than two test
sites, each of which must be located in a geographical area
characterized by ambient particulate matter that is significantly
different in nature and composition from that at the other test site(s).
Augmentation of pollutant concentrations is not permitted, hence
appropriate test sites must be selected to provide PM10
concentrations in the specified range. The tests at the two sites may be
conducted in different calendar seasons, if appropriate, to provide
PM10 concentrations in the specified ranges.
(5) Methods for PM2.5. Augmentation of pollutant
concentrations is not permitted, hence appropriate test sites must be
selected to provide PM2.5 concentrations and
PM2.5/PM10 ratios (if applicable) in the specified
ranges.
(i) Where only one test site is required, as specified in table C-4
of this subpart, the site need only meet the PM2.5 ambient
concentration levels required by Sec. 53.34(c)(3).
(ii) Where two sites are required, as specified in table C-4 of this
subpart, each site must be selected to provide the ambient concentration
levels required by Sec. 53.34(c)(3). In addition, one site must be
selected such that all acceptable test sample sets, as defined in
Sec. 53.34(c)(3), have a PM2.5/PM10 ratio of more
than 0.75; the other site must be selected such that all acceptable test
sample sets, as defined in Sec. 53.34(c)(3), have a PM2.5/
PM10 ratio of less than 0.40. At least two reference method
[[Page 39]]
PM10 samplers shall be collocated with the candidate and
reference method PM2.5 samplers and operated simultaneously
with the other samplers at each test site to measure concurrent ambient
concentrations of PM10 to determine the PM2.5/
PM10 ratio for each sample set. The PM2.5/
PM10 ratio for each sample set shall be the average of the
PM2.5 concentration, as determined in Sec. 53.34(c)(1),
divided by the average PM10 concentration, as measured by the
PM10 samplers. The tests at the two sites may be conducted in
different calendar seasons, if appropriate, to provide PM2.5
concentrations and PM2.5/PM10 ratios in the
specified ranges.
(c) Test atmosphere. Ambient air sampled at an appropriate test site
or sites shall be used for these tests. Simultaneous concentration
measurements shall be made in each of the concentration ranges specified
in tables C-1, C-3, or C-4 of this subpart, as appropriate.
(d) Sample collection--(1) All methods. All test concentration
measurements or samples shall be taken in such a way that both the
candidate method and the reference method receive air samples that are
homogenous or as nearly identical as practical.
(2) Methods for SO2, CO, O3, and
NO2. Ambient air shall be sampled from a common intake and
distribution manifold designed to deliver homogenous air samples to both
methods. Precautions shall be taken in the design and construction of
this manifold to minimize the removal of particulates and trace gases,
and to ensure that identical samples reach the two methods. If
necessary, the concentration of pollutant in the sampled ambient air may
be augmented with artificially-generated pollutant. However, at all
times the air sample measured by the candidate and reference methods
under test shall consist of not less than 80 percent ambient air by
volume. Schematic drawings, physical illustrations, descriptions, and
complete details of the manifold system and the augmentation system (if
used) shall be submitted.
(3) Methods for Pb, PM10 and PM2.5. The
ambient air intake points of all the candidate and reference method
collocated samplers for lead, PM10 or PM2.5 shall
be positioned at the same height above the ground level, and between 2
and 4 meters apart. The samplers shall be oriented in a manner that will
minimize spatial and wind directional effects on sample collection.
(4) PM10 methods employing the same sampling procedure as
the reference method but a different analytical method. Candidate
methods for PM10 which employ a sampler and sample collection
procedure that are identical to the sampler and sample collection
procedure specified in the reference method, but use a different
analytical procedure, may be tested by analyzing common samples. The
common samples shall be collected according to the sample collection
procedure specified by the reference method and shall be analyzed in
accordance with the analytical procedures of both the candidate method
and the reference method.
(e) Submission of test data and other information. All recorder
charts, calibration data, records, test results, procedural descriptions
and details, and other documentation obtained from (or pertinent to)
these tests shall be identified, dated, signed by the analyst performing
the test, and submitted. For candidate methods for PM2.5, all
submitted information must meet the requirements of the ANSI/ASQC E4
Standard, sections 3.3.1, paragraphs 1 and 2 (reference 1 of appendix A
of this subpart).
Sec. 53.31 Test conditions.
(a) All methods. All test measurements made or test samples
collected by means of a sample manifold as specified in Sec. 53.30(d)(2)
shall be at a room temperature between 20 deg.C and 30 deg.C, and at a
line voltage between 105 and 125 volts. All methods shall be calibrated
as specified in paragraph (c) of this section prior to initiation of the
tests.
(b) Samplers and automated methods. (1) Setup and start-up of the
test analyzer, test sampler(s), and reference method (if applicable)
shall be in strict accordance with the applicable operation manual(s).
If the test analyzer does not have an integral strip chart or digital
data recorder, connect the analyzer output to a suitable strip chart or
digital data recorder. This recorder shall have a chart width of at
least 25
[[Page 40]]
centimeters, a response time of 1 second or less, a deadband of not more
than 0.25 percent of full scale, and capability of either reading
measurements at least 5 percent below zero or offsetting the zero by at
least 5 percent. Digital data shall be recorded at appropriate time
intervals such that trend plots similar to a strip chart recording may
be constructed with a similar or suitable level of detail.
(2) Other data acquisition components may be used along with the
chart recorder during the conduct of these tests. Use of the chart
recorder is intended only to facilitate visual evaluation of data
submitted.
(3) Allow adequate warmup or stabilization time as indicated in the
applicable operation manual(s) before beginning the tests.
(c) Calibration. The reference method shall be calibrated according
to the appropriate appendix to part 50 of this chapter (if it is a
manual method) or according to the applicable operation manual(s) (if it
is an automated method). A candidate manual method (or portion thereof)
shall be calibrated, according to the applicable operation manual(s), if
such calibration is a part of the method.
(d) Range. (1) Except as provided in paragraph (d)(2) of this
section, each method shall be operated in the range specified for the
reference method in the appropriate appendix to part 50 of this chapter
(for manual reference methods), or specified in table B-1 of subpart B
of this part (for automated reference methods).
(2) For a candidate method having more than one selectable range,
one range must be that specified in table B-1 of subpart B of this part
and a test analyzer representative of the method must pass the tests
required by this subpart while operated on that range. The tests may be
repeated for a broader range (i.e., one extending to higher
concentrations) than the one specified in table B-1 of subpart B of this
part, provided that the range does not extend to concentrations more
than two times the upper range limit specified in table B-1 of subpart B
of this part and that the test analyzer has passed the tests required by
subpart B of this part (if applicable) for the broader range. If the
tests required by this subpart are conducted or passed only for the
range specified in table B-1 of subpart B of this part, any equivalent
method determination with respect to the method will be limited to that
range. If the tests are passed for both the specified range and a
broader range (or ranges), any such determination will include the
broader range(s) as well as the specified range. Appropriate test data
shall be submitted for each range sought to be included in such a
determination.
(e) Operation of automated methods. (1) Once the test analyzer has
been set up and calibrated and tests started, manual adjustment or
normal periodic maintenance as specified in the manual referred to in
Sec. 53.4(b)(3) is permitted only every 3 days. Automatic adjustments
which the test analyzer performs by itself are permitted at any time.
The submitted records shall show clearly when manual adjustments were
made and describe the operations performed.
(2) All test measurements shall be made with the same test analyzer;
use of multiple test analyzers is not permitted. The test analyzer shall
be operated continuously during the entire series of test measurements.
(3) If a test analyzer should malfunction during any of these tests,
the entire set of measurements shall be repeated, and a detailed
explanation of the malfunction, remedial action taken, and whether
recalibration was necessary (along with all pertinent records and
charts) shall be submitted.
Sec. 53.32 Test procedures for methods for SO2, CO,
O3, and NO2.
(a) Conduct the first set of simultaneous measurements with the
candidate and reference methods:
(1) Table C-1 of this subpart specifies the type (1- or 24-hour) and
number of measurements to be made in each of the three test
concentration ranges.
(2) The pollutant concentration must fall within the specified range
as measured by the reference method.
(3) The measurements shall be made in the sequence specified in
table C-2 of this subpart, except for the 1-hour SO2
measurements, which are all in the high range.
[[Page 41]]
(b) For each pair of measurements, determine the difference
(discrepancy) between the candidate method measurement and reference
method measurement. A discrepancy which exceeds the discrepancy
specified in table C-1 of this subpart constitutes a failure. Figure C-1
of this subpart contains a suggested format for reporting the test
results.
(c) The results of the first set of measurements shall be
interpreted as follows:
(1) Zero failures. The candidate method passes the test for
comparability.
(2) Three or more failures. The candidate method fails the test for
comparability.
(3) One or two failures. Conduct a second set of simultaneous
measurements as specified in table C-1 of this subpart. The results of
the combined total of first-set and second-set measurements shall be
interpreted as follows:
(i) One or two failures. The candidate method passes the test for
comparability.
(ii) Three or more failures. The candidate method fails the test for
comparability.
(4) For SO2, the 1-hour and 24-hour measurements shall be
interpreted separately, and the candidate method must pass the tests for
both 1- and 24-hour measurements to pass the test for comparability.
(d) A 1-hour measurement consists of the integral of the
instantaneous concentration over a 60-minute continuous period divided
by the time period. Integration of the instantaneous concentration may
be performed by any appropriate means such as chemical, electronic,
mechanical, visual judgment, or by calculating the mean of not less than
12 equally spaced instantaneous readings. Appropriate allowances or
corrections shall be made in cases where significant errors could occur
due to characteristic lag time or rise/fall time differences between the
candidate and reference methods. Details of the means of integration and
any corrections shall be submitted.
(e) A 24-hour measurement consists of the integral of the
instantaneous concentration over a 24-hour continuous period divided by
the time period. This integration may be performed by any appropriate
means such as chemical, electronic, mechanical, or by calculating the
mean of 24 sequential 1-hour measurements.
(f) For ozone and carbon monoxide, no more than six 1-hour
measurements shall be made per day. For sulfur dioxide, no more than
four 1-hour measurements or one 24-hour measurement shall be made per
day. One-hour measurements may be made concurrently with 24-hour
measurements if appropriate.
(g) For applicable methods, control or calibration checks may be
performed once per day without adjusting the test analyzer or method.
These checks may be used as a basis for a linear interpolation-type
correction to be applied to the measurements to correct for drift. If
such a correction is used, it shall be applied to all measurements made
with the method, and the correction procedure shall become a part of the
method.
Sec. 53.33 Test procedure for methods for lead.
(a) Sample collection. Collect simultaneous 24-hour samples
(filters) of lead at the test site or sites with both the reference and
candidate methods until at least 10 filter pairs have been obtained. If
the conditions of Sec. 53.30(d)(4) apply, collect at least 10 common
samples (filters) in accordance with Sec. 53.30(d)(4) and divide each to
form the filter pairs.
(b) Audit samples. Three audit samples must be obtained from the
address given in Sec. 53.4(a). The audit samples are 3/4x8-inch glass
fiber strips containing known amounts of lead at the following nominal
levels: 100 [mu]g/strip; 300 [mu]g/strip; 750 [mu]g/strip. The true
amount of lead, in total [mu]g/strip, will be provided with each audit
sample.
(c) Filter analysis. (1) For both the reference method samples and
the audit samples, analyze each filter extract three times in accordance
with the reference method analytical procedure. The analysis of
replicates should not be performed sequentially, i.e., a single sample
should not be analyzed three
[[Page 42]]
times in sequence. Calculate the indicated lead concentrations for the
reference method samples in [mu]g/m3 for each analysis of
each filter. Calculate the indicated total lead amount for the audit
samples in [mu]g/strip for each analysis of each strip. Label these test
results as R1A, R1B, R1C,
R2A, R2B, ..., Q1A, Q1B,
Q1C, ..., where R denotes results from the reference method
samples; Q denotes results from the audit samples; 1, 2, 3 indicate the
filter number, and A, B, C indicate the first, second, and third
analysis of each filter, respectively.
(2) For the candidate method samples, analyze each sample filter or
filter extract three times and calculate, in accordance with the
candidate method, the indicated lead concentrates in [mu]g/m3
for each analysis of each filter. Label these test results as
C1A, C1B, C2C, ..., where C denotes
results from the candidate method. For candidate methods which provide a
direct measurement of lead concentrations without a separable procedure,
C1A = C1B = C1C, C2A =
C2B = C2C, etc.
(d) Average lead concentration. For the reference method, calculate
the average lead concentration for each filter by averaging the
concentrations calculated from the three analyses:
Equation 1
[GRAPHIC] [TIFF OMITTED] TR18JY97.052
where:
i is the filter number.
(e) Acceptable filter pairs. Disregard all filter pairs for which
the lead concentration as determined in the previous paragraph (d) of
this section by the average of the three reference method
determinations, falls outside the range of 0.5 to 4.0 [mu]g/
m3. All remaining filter pairs must be subjected to both of
the following tests for precision and comparability. At least five
filter pairs must be within the 0.5 to 4.0 [mu]g/m3 range for
the tests to be valid.
(f) Test for precision. (1) Calculate the precision (P) of the
analysis (in percent) for each filter and for each method, as the
maximum minus the minimum divided by the average of the three
concentration values, as follows:
Equation 2
[GRAPHIC] [TIFF OMITTED] TR18JY97.053
or
Equation 3
[GRAPHIC] [TIFF OMITTED] TR18JY97.054
where:
i indicates the filter number.
(2) If any reference method precision value (PRi) exceeds
15 percent, the precision of the reference method analytical procedure
is out of control. Corrective action must be taken to determine the
source(s) of imprecision and the reference method determinations must be
repeated according to paragraph (c) of this section, or the entire test
procedure (starting with paragraph (a) of this section) must be
repeated.
(3) If any candidate method precision value (PCi) exceeds
15 percent, the candidate method fails the precision test.
(4) The candidate method passes this test if all precision values
(i.e., all PRi's and all PCi's) are less than 15
percent.
(g) Test for accuracy. (1)(i) For the audit samples calculate the
average lead concentration for each strip by averaging the
concentrations calculated from the three analyses:
Equation 4
[GRAPHIC] [TIFF OMITTED] TR18JY97.055
where:
i is audit sample number.
(ii) Calculate the percent difference (Dq) between the
indicated lead concentration for each audit sample and the true lead
concentration (Tq) as follows:
Equation 5
[GRAPHIC] [TIFF OMITTED] TR18JY97.056
(2) If any difference value (Dqi) exceeds 5
percent, the accuracy of the
[[Page 43]]
reference method analytical procedure is out of control. Corrective
action must be taken to determine the source of the error(s) (e.g.,
calibration standard discrepancies, extraction problems, etc.) and the
reference method and audit sample determinations must be repeated
according to paragraph (c) of this section, or the entire test procedure
(starting with paragraph (a) of this section) must be repeated.
(h) Test for comparability. (1) For each filter pair, calculate all
nine possible percent differences (D) between the reference and
candidate methods, using all nine possible combinations of the three
determinations (A, B, and C) for each method, as:
Equation 6
[GRAPHIC] [TIFF OMITTED] TR18JY97.057
where:
i is the filter number, and n numbers from 1 to 9 for the nine possible
difference combinations for the three determinations for each method (j
= A, B, C, candidate; k = A, B, C, reference).
(2) If none of the percent differences (D) exceeds 20
percent, the candidate method passes the test for comparability.
(3) If one or more of the percent differences (D) exceeds
20 percent, the candidate method fails the test for
comparability.
(i) The candidate method must pass both the precision test
(paragraph (f) of this section) and the comparability test (paragraph
(h) of this section) to qualify for designation as an equivalent method.
Sec. 53.34 Test procedure for methods for PM10 and
PM2.5.
(a) Collocated measurements. Set up three reference method samplers
collocated with three candidate method samplers or analyzers at each of
the number of test sites specified in table C-4 of this subpart. At each
site, obtain as many sets of simultaneous PM10 or
PM2.5 measurements as necessary (see paragraph (c)(3) of this
section), each set consisting of three reference method and three
candidate method measurements, all obtained simultaneously. For
PM2.5 candidate Class II equivalent methods, at least two
collocated PM10 reference method samplers are also required
to obtain PM2.5/PM10 ratios for each sample set.
Candidate PM10 method measurements shall be 24-hour
integrated measurements; PM2.5 measurements may be either 24-
or 48-hour integrated measurements. All collocated measurements in a
sample set must cover the same 24- or 48-hour time period. For samplers,
retrieve the samples promptly after sample collection and analyze each
sample according to the reference method or candidate method, as
appropriate, and determine the PM10 or PM2.5
concentration in [mu]g/m3. If the conditions of
Sec. 53.30(d)(4) apply, collect sample sets only with the three
reference method samplers. Guidance for quality assurance procedures for
PM2.5 methods is found in section 2.12 of the Quality
Assurance Handbook (reference 6 of appendix A to subpart A of this
part).
(b) Sequential samplers. For sequential samplers, the sampler shall
be configured for the maximum number of sequential samples and shall be
set for automatic collection of all samples sequentially such that the
test samples are collected equally, to the extent possible, among all
available sequential channels or utilizing the full available sequential
capability.
(c) Test for comparability and precision. (1) For each of the
measurement sets, calculate the average PM10 or
PM2.5 concentration obtained with the reference method
samplers:
Equation 7
[GRAPHIC] [TIFF OMITTED] TR18JY97.058
where:
R denotes results from the reference method;
i is the sampler number; and
j is the set.
(2)(i) For each of the measurement sets, calculate the precision of
the reference method PM10 or PM2.5 measurements
as:
[[Page 44]]
Equation 8
[GRAPHIC] [TIFF OMITTED] TR18JY97.059
If the corresponding Rj is below:
80 [mu]g/m3 for PM10 methods.
40 [mu]g/m3 for 24-hour PM2.5 at single test sites
for Class I candidate methods.
40 [mu]g/m3 for 24-hour PM2.5 at sites having
PM2.5/PM10 ratios 0.75.
30 [mu]g/m3 for 48-hour PM2.5 at single test sites
for Class I candidate methods.
30 [mu]g/m3 for 48-hour PM2.5 at sites having
PM2.5/PM10 ratios 0.75.
30 [mu]g/m3 for 24-hour PM2.5 at sites having
PM2.5/PM10 ratios <0.40.
20 [mu]g/m3 for 48-hour PM2.5 at sites having
PM2.5/PM10 ratios 0.75.
(ii) Otherwise, calculate the precision of the reference method
PM10 or PM2.5 measurements as:
Equation 9
[GRAPHIC] [TIFF OMITTED] TR18JY97.060
(3) If Rj falls outside the acceptable concentration
range specified in table C-4 of this subpart for any set, or if
Pj RPj as applicable, exceeds the value specified
in table C-4 of this subpart for any set, that set of measurements shall
be discarded. For each site, table C-4 of this subpart specifies the
minimum number of sample sets required for various conditions, and
Sec. 53.30(b)(5) specifies the PM2.5/PM10 ratio
requirements applicable to Class II candidate equivalent methods.
Additional measurement sets shall be collected and analyzed, as
necessary, to provide a minimum of 10 acceptable measurement sets for
each test site. If more than 10 measurement sets are collected that meet
the above criteria, all such measurement sets shall be used to
demonstrate comparability.
(4) For each of the acceptable measurement sets, calculate the
average PM10 or PM2.5 concentration obtained with
the candidate method samplers:
Equation 10
[GRAPHIC] [TIFF OMITTED] TR18JY97.061
where:
C denotes results from the candidate method;
i is the sampler number; and
j is the set.
(5) For each site, plot the average PM10 or
PM2.5 measurements obtained with the candidate method
(Rj) against the corresponding average PM10 or
PM2.5 measurements obtained with the reference method
(Rj). For each site, calculate and record the linear
regression slope and intercept, and the correlation coefficient.
(6) If the linear regression parameters calculated under paragraph
(c)(5) of this section meet the values specified in table C-4 of this
subpart for all test sites, the candidate method passes the test for
comparability.
[62 FR 38792, July 19, 1997; 63 FR 7714, Feb. 17, 1998]
Table C-1 to Subpart C of Part 53--Test Concentration Ranges, Number of
Measurements Required, and Maximum Discrepancy Specification
--------------------------------------------------------------------------------------------------------------------------------------------------------
Simultaneous Measurements Required Maximum
------------------------------------------------ Discrepancy
Pollutant Concentration Range Parts per Million 1-hr 24-hr Specification,
------------------------------------------------ Parts per
First Set Second Set First Set Second Set Million
--------------------------------------------------------------------------------------------------------------------------------------------------------
Ozone...................................... Low 0.06 to 0.10......................... 5 6 .......... .......... 0.02
Med 0.15 to 0.25......................... 5 6 .......... .......... .03
High 0.35 to 0.45........................ 4 6 .......... .......... .04
-----------------------------------------------------------------
Total.................................. 14 18
=================================================================
Carbon Monoxide............................ Low 7 to 11.............................. 5 6 .......... .......... 1.5
Med 20 to 30............................. 5 6 .......... .......... 2.0
[[Page 45]]
High 35 to 45............................ 4 6 .......... .......... 3.0
-----------------------------------------------------------------
Total.................................. 14 18
=================================================================
Sulfur Dioxide............................. Low 0.02 to 0.05......................... .......... .......... 3 3 0.02
Med 0.10 to 0.15......................... .......... .......... 2 3 .03
High 0.30 to 0.50........................ 7 8 2 2 .04
-----------------------------------------------------------------
Total................................. 7 8 7 8
=================================================================
Nitrogen Dioxide........................... Low 0.02 to 0.08......................... .......... .......... 3 3 0.02
Med 0.10 to 0.20......................... .......... .......... 2 3 .03
High 0.25 to 0.35........................ .......... .......... 2 2 .03
-----------------------------------------------------------------
Total.................................. .......... .......... 7 8
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table C-2 to Subpart C of Part 53--Sequence of Test Measurements
------------------------------------------------------------------------
Concentration Range
Measurement ---------------------------------
First Set Second Set
------------------------------------------------------------------------
1..................................... Low Medium
2..................................... High High
3..................................... Medium Low
4..................................... High High
5..................................... Low Medium
6..................................... Medium Low
7..................................... Low Medium
8..................................... Medium Low
9..................................... High High
10.................................... Medium Low
11.................................... High Medium
12.................................... Low High
13.................................... Medium Medium
14.................................... Low High
15.................................... ............... Low
16.................................... ............... Medium
17.................................... ............... Low
18.................................... ............... High
------------------------------------------------------------------------
Table C-3 to Subpart C of Part 53--Test Specifications for Lead Methods
------------------------------------------------------------------------
------------------------------------------------------------------------
Concentration range, [mu]g/m\3\............................... 0.5-4.0
Minimum number of 24-hr measurements.......................... 5
Maximum analytical precision, percent......................... 5
Maximum analytical accuracy, percent.......................... 10 and PM2.5 Methods
------------------------------------------------------------------------
PM2.5
Specification PM10 -------------------------
Class I Class II
------------------------------------------------------------------------
Acceptable concentration range 30-300 10-200 10-200
(Rj), [mu]g/m3..................
Minimum number of test sites..... 2 1 2
Number of candidate method 3 3 3
samplers per site...............
Number of reference method 3 3 3
samplers per site...............
Minimum number of acceptable
sample sets per site for PM10:
Rj < 80 [mu]g/m3............. 3
Rj > 80 [mu]g/m3............. 3
Total.................... 10
Minimum number of acceptable
sample sets per site for PM2.5:
Single test site for Class I
candidate equivalent
methods:
Rj < 40 [mu]g/m3 for 24- 3
hr or Rj < 30 [mu]g/m3
for 48-hr samples.......
Rj > 40 [mu]g/m3 for 24- 3
hr or Rj > 30 [mu]g/m3
for 48-hr samples.......
[[Page 46]]
Sites at which the PM2.5/PM10
ratio must be > 0.75:
Rj < 40 [mu]g/m3 for 24- 3
hr or Rj < 30 [mu]g/m3
for 48-hr samples.......
Rj > 40 [mu]g/m3 for 24- 3
hr or Rj > 30 [mu]g/m3
for 48-hr samples.......
Sites at which the PM2.5/PM10
ratio must be < 0.40:
Rj < 30 [mu]g/m3 for 24- 3
hr or Rj < 20 [mu]g/m3
for 48-hr samples.......
Rj > 30 [mu]g/m3 for 24- 3
hr or Rj > 20 [mu]g/m3
for 48-hr samples.......
Total, each site................. 10 10
Precision of replicate reference 5 [mu]g/m3 2 [mu]g/m3 2 [mu]g/m3
method measurements, Pj or RPj or 7% or 5% or 5%
respectively, maximum...........
Slope of regression relationship. 13.......... s5 s1 s1
Correlation of reference method [ge]0.97 [ge]0.97 [ge]0.97
and candidate method
measurements....................
------------------------------------------------------------------------
[62 FR 38792, July 18, 1997; 63 FR 7714, Feb. 17, 1998]
Figure C-1 to Subpart C of Part 53--Suggested Format for Reporting Test
Results
Candidate Method------------------------------------------------------------
Reference Method------------------------------------------------------------
Applicant--------------------------------------------------------------------
[squ] First Set [squ] Second Set [squ] Type [squ] 1 Hour [squ] 24 Hour
----------------------------------------------------------------------------------------------------------------
Concentration, ppm
Concentration Range Date Time -------------------------- Difference Table C-1 Pass or
Candidate Reference Spec. Fail
----------------------------------------------------------------------------------------------------------------
Low 1
---------- ppm
to -------- ppm1
--------------------------------------------------------------------------------------------
2
--------------------------------------------------------------------------------------------
3
--------------------------------------------------------------------------------------------
4
--------------------------------------------------------------------------------------------
5
--------------------------------------------------------------------------------------------
6
----------------------------------------------------------------------------------------------------------------
Medium 1
---------- ppm
to -------- ppm1
--------------------------------------------------------------------------------------------
2
--------------------------------------------------------------------------------------------
3
--------------------------------------------------------------------------------------------
4
--------------------------------------------------------------------------------------------
5
--------------------------------------------------------------------------------------------
6
----------------------------------------------------------------------------------------------------------------
High 1
---------- ppm
to -------- ppm1
--------------------------------------------------------------------------------------------
2
--------------------------------------------------------------------------------------------
3
--------------------------------------------------------------------------------------------
4
--------------------------------------------------------------------------------------------
5
--------------------------------------------------------------------------------------------
6
--------------------------------------------------------------------------------------------
[[Page 47]]
7
--------------------------------------------------------------------------------------------
8
--------------------------------------------------------------------------------------------
... .......... .......... ........... ........... ............ Total
Failures:
----------------------------------------------------------------------------------------------------------------
Appendix A to Subpart C of Part 53--References
(1) American National Standard--Specifications and Guidelines for
Quality Systems for Environmental Data Collection and Environmental
Technology Programs, ANSI/ASQC E4-1994. Available from American Society
for Quality Control, 611 East Wisconsin Avenue, Milwaukee, WI 53202.
Subpart D--Procedures for Testing Performance Characteristics of Methods
for PM10
Source: 52 FR 24729, July 1, 1987, unless otherwise noted.
Sec. 53.40 General provisions.
(a) The test procedures prescribed in this subpart shall be used to
test the performance of candidate methods for PM10 against
the performance specifications given in table D-1. Except as provided in
paragraph (b) of this section, a test sampler or samplers representative
of the sampler described in the candidate method must exhibit
performance better than, or equal to, the specified value for each
performance parameter, to satisfy the requirements of this subpart.
(b) For a candidate method using a PM10 sampler
previously approved as part of a designated PM10 method, only
the test for precision need be conducted and passed to satisfy the
requirements of this subpart. For a candidate method using a
PM10 sampler inlet previously approved as part of a
designated PM10 method, the tests for precision and flow rate
stability must be conducted and passed to satisfy the requirements of
this subpart; the tests for sampling effectiveness and 50 percent
cutpoint need not be conducted if suitable rationale is provided to
demonstrate that test results submitted for the previously approved
method are applicable to the candidate method.
(c) The liquid particle sampling effectiveness and 50 percent
cutpoint of a test sampler shall be determined in a wind tunnel using 10
particle sizes and three wind speeds as specified in table D-2. A
minimum of 3 replicate measurements of sampling effectiveness shall be
required for each of the 30 test conditions for a minimum of 90 test
measurements.
(d) For the liquid particle sampling effectiveness parameter, a
smooth curve plot shall be constructed of sampling effectiveness
(percent) versus aerodynamic particle diameter ([mu]m) for each of the
three wind speeds. These plots shall be used to calculate the expected
mass concentration for the test sampler, using the procedure in
Sec. 53.43(a). The candidate method passes the liquid particle sampling
effectiveness test if the expected mass concentration calculated for the
test sampler at each wind speed differs by no more than 10
percent from that predicted for the ``ideal'' sampler.*
---------------------------------------------------------------------------
* The sampling effectiveness curve for this ``ideal'' sampler is
described by column 5 of table D-3 and is based on a model that
approximates the penetration of particles into the human respiratory
tract. Additional information on this model may be found in a document
entitled, ``Particle Collection Criteria for 10 Micrometer Samplers,''
which is available from the Quality Assurance Division (MD-77),
Environmental Monitoring Systems Laboratory, U.S. Environmental
Protection Agency, Research Triangle Park, NC 27711.
---------------------------------------------------------------------------
[[Page 48]]
(e) For the 50 percent cutpoint parameter, the test result for each
wind speed shall be reported as the particle size at which the curve
specified in Sec. 53.40(d) crosses the 50 percent effectiveness line.
The candidate method passes the 50 percent cutpoint test if the test
result at each wind speed falls within 100.5 [mu]m.
(f) The solid particle sampling effectiveness of a test sampler
shall be determined in a wind tunnel using 25 [mu]m particles at 2 wind
speeds as specified in table D-2. A minimum of three replicate
measurements of sampling effectiveness for the 25 [mu]m solid particles
shall be required at both wind speeds for a minimum of 6 test
measurements.
(g) For the solid particle sampling effectiveness parameter, the
test result for each wind speed shall be reported as the difference
between the average of the replicate sampling effectiveness measurements
obtained for the 25 [mu]m solid particles and the average of the
replicate measurements obtained for the 25 [mu]m liquid particles. The
candidate method passes the solid particle sampling effectiveness test
if the test result for each wind speed is less than, or equal to, 5
percent.
(h) The precision and flow rate stability of three identical test
samplers shall be determined at a suitable test site by simultaneously
sampling the PM10 concentration of the atmosphere for 10
periods of 24 hours.
(i) For the precision parameter, the test result for each of the 10
periods of 24 hours shall be calculated using the procedure in
Sec. 53.43(c). The candidate method passes the precision test if all of
the test results meet the specifications in table D-1.
(j) For the flow rate stability parameter, the test results for each
of the three test samplers and for each of the 10 periods of 24 hours
shall be calculated using the procedure in Sec. 53.43(d). The candidate
method passes the flow rate stability test if all of the test results
meet the specifications in table D-1.
(k) All test data and other documentation obtained from or pertinent
to these tests shall be identified, dated, signed by the analyst
performing the test, and submitted to EPA.
Table D-1--Performance Specifications for PM10 Samplers
------------------------------------------------------------------------
Performance parameter Units Specification
------------------------------------------------------------------------
1. Sampling effectiveness:
A. Liquid particles......... Percent.......... Such that the
expected mass
concentration is
within 10 percent of
that predicted for
the ideal sampler.
B. Solid particles.......... Percent.......... Sampling
effectiveness is no
more than 5 percent
above that obtained
for liquid particles
of same size.
2. 50 Percent cutpoint [mu]m............ 10[mu].5
[mu]m aerodynamic
diameter.
3. Precision [mu]g/m\3\ or 5 [mu]g/m\3\ or 7
percent. percent for three
collocated samplers.
4. Flow rate stability Percent.......... Average flow rate
over 24 hours within
5
percent of initial
flow rate; all
measured flow rates
over 24 hours within
10
percent of initial
flow rate.
------------------------------------------------------------------------
Sec. 53.41 Test conditions.
(a) Set-up and start-up of all test samplers shall be in strict
accordance with the operating instructions specified in the manual
referred to in Sec. 53.4(b)(3).
(b) If the internal surface or surfaces of the candidate method's
sampler inlet on which the particles removed by the inlet are collected
is a dry surface (i.e., not normally coated with oil or grease), those
surfaces shall be cleaned prior to conducting wind tunnel tests with
solid particles.
(c) Once the test sampler or samplers have been set up and the
performance tests started, manual adjustment shall be permitted only
between test points for the sampling effectiveness and 50 percent
cutpoint tests or between test days for the precision and flow rate
stability tests. The manual adjustments and any periodic maintenance
shall be limited to only those procedures prescribed in the manual
referred
[[Page 49]]
to in Sec. 53.4(b)(3). The submitted records shall show clearly when any
manual adjustment or periodic maintenance was made and shall describe
the operations performed.
(d) If a test sampler malfunctions during any of the sampling
effectiveness and 50 percent cutpoint tests, that test run shall be
repeated. If a test sampler malfunctions during any of the precision and
flow rate stability tests, that day's test shall be repeated. A detailed
explanation of all malfunctions and the remedial actions taken shall be
submitted to EPA with the application.
Sec. 53.42 Generation of test atmospheres for wind tunnel tests.
(a) A vibrating orifice aerosol generator shall be used to produce
monodispersed liquid particles of oleic acid tagged with uranine dye and
monodispersed solid particles of ammonium fluoroscein with equivalent
aerodynamic diameters as specified in table D-2. The geometric standard
deviation for each particle size and type generated shall not exceed 1.1
(for primary particles) and the proportion of multiplets (doublets and
triplets) in a test particle atmosphere shall not exceed 10 percent. The
particle delivery system shall consist of a blower system and a wind
tunnel having a test section of sufficiently large cross-sectional area
such that the test sampler, or portion thereof, as installed in the test
section for testing, blocks no more than 15 percent of that area. To be
acceptable, the blower system must be capable of achieving uniform wind
speeds at the speeds specified in table D-2.
Table D-2--Particle Sizes and Wind Speeds for Sampling Effectiveness
Tests
------------------------------------------------------------------------
Wind speed (km/hr)
Particle size ([mu]m) a -------------------------------------
2 8 24
------------------------------------------------------------------------
30.5.................. l l l
50.5.................. l l l
70.5.................. l l l
90.5.................. l l l
100.5................. l l l
110.5................. l l l
131.0................. l l l
151.0................. l l l
201.0................. l l l
251.0................. l l/s l/s
------------------------------------------------------------------------
a&thnsp[gE] Mass median aerodynamic diameter.
l = liquid particle.
s=solid particle.
Number of liquid particle test points (minimum of 3 replicates for each
combination of particle size and wind speed): 90.
Number of solid particle test points (minimum of 3 replicates for each
combination of particle size and wind speed): 6.
Total number of test points: 96.
(b) The size of the test particles delivered to the test section of
the wind tunnel shall be established using the operating parameters of
the vibrating orifice aerosol generator and shall be verified during the
tests by microscopic examination of samples of the particles collected
on glass slides or other suitable substrates. When sizing liquid
particles on glass slides, the slides should be pretreated with an
oleophobic surfactant and an appropriate flattening factor shall be used
in the calculation of aerodynamic diameter. The particle size, as
established by the operating parameters of the vibrating orifice aerosol
generator, shall be within the tolerance specified in table D-2. The
precision of the particle size verification technique shall be 0.5 [mu]m
or better, and particle size determined by the verification technique
shall not differ by more than 0.5 [mu]m or 10 percent, whichever is
higher, from that established by the operating parameters of the
vibrating orifice aerosol generator.
(c) The population of multiplets in a test particle atmosphere shall
be determined during the tests and shall not exceed 10 percent. Solid
particles shall be checked for dryness and evidence of breakage or
agglomeration during the microscopic examination. If the solid particles
in a test atmosphere are wet or show evidence of significant breakage or
agglomeration ([mu]5 percent), the solid particle test atmosphere is
unacceptable for purposes of these tests.
(d) The concentration of particles in the wind tunnel is not
critical. However, the cross-sectional uniformity of the particle
concentration in the sampling zone of the test section shall be
established during the tests using isokinetic samplers. An array of not
less than five evenly spaced isokinetic samplers shall be used to
determine the particle concentration uniformity in the sampling zone. If
the particle concentration measured by any single isokinetic sampler in
the sampling zone differs by more than 10 percent from the mean
concentration, the particle delivery system is unacceptable
[[Page 50]]
in terms of uniformity of particle concentration. The sampling zone
shall be a rectangular area having a horizontal dimension not less than
1.2 times the width of the test sampler at its inlet opening and a
vertical dimension not less than 25 centimeters. The sampling zone is an
area in the test section of the wind tunnel that is horizontally and
vertically symmetrical with respect to the test sampler inlet opening.
(e) The wind speed in the wind tunnel shall be determined during the
tests using an appropriate technique capable of a precision of 5 percent
or better (e.g., hot-wire anemometry). The mean wind speed in the test
section of the wind tunnel during the tests shall be within 10 percent
of the value specified in table D-2. The wind speed measured at any test
point in the test section shall not differ by more than 10 percent from
the mean wind speed in the test section. The turbulence intensity
(longitudinal component and macroscale) in the test section shall be
determined during the tests using an appropriate technique (e.g., hot-
wire anemometry).
(f) The accuracy of all flow measurements used to calculate the test
atmosphere concentrations and the test results shall be documented to be
within 2 percent, referenced to a primary standard. Any flow
measurement corrections shall be clearly shown. All flow measurements
shall be given in actual volumetric units.
(g) Schematic drawings of the particle delivery system (wind tunnel
and blower system) and other information showing complete procedural
details of the test atmosphere generation, verification, and delivery
techniques shall be submitted to EPA. All pertinent calculations shall
be clearly presented.
Sec. 53.43 Test procedures.
(a) Sampling effectiveness--(1) Technical definition. The ratio
(expressed as a percentage) of the mass concentration of particles of a
given size reaching the sampler filter or filters to the mass
concentration of particles of the same size approaching the sampler.
(2) Test procedure. (i) Establish a wind speed specified in table D-
2 and measure the wind speed and turbulence intensity (longitudinal
component and macroscale) at a minimum of 12 test points in a cross-
sectional area of the test section of the wind tunnel. The mean wind
speed in the test section must be within 10 percent of the
value specified in table D-2 and the variation at any test point in the
test section may not exceed 10 percent of the mean.
(ii) Generate particles of a size and type specified in table D-2
using a vibrating orifice aerosol generator. Check for the presence of
satellites and adjust the generator as necessary. Calculate the
aerodynamic particle size using the operating parameters of the
vibrating orifice aerosol generator and record. The calculated
aerodynamic diameter must be within the tolerance specified in table D-
2.
(iii) Collect a sample of the particles on a glass slide or other
suitable substrate at the particle injection point. If a glass slide is
used, it should be pretreated with an appropriate oleophobic surfactant
when collecting liquid particles. Use a microscopic technique to size a
minimum of 25 primary particles in three viewing fields (do not include
multiplets). Determine the geometric mean aerodynamic diameter and
geometric standard deviation using the bulk density of the particle type
(and an appropriate flattening factor for liquid particles if collected
on a glass slide). The measured geometric mean aerodynamic diameter must
be within 0.5 [mu]m or 10 percent of the aerodynamic diameter calculated
from the operating parameters of the vibrating orifice aerosol
generator. The geometric standard deviation must not exceed 1.1.
(iv) Determine the population of multiplets (doublets and triplets)
in the collected sample by counting a minimum of 100 particles in three
viewing fields. The multiplet population of the particle test atmosphere
must not exceed 10 percent.
(v) Introduce the particles into the wind tunnel and allow the
particle concentration to stabilize.
(vi) Install an array of five or more evenly spaced isokinetic
samplers in the sampling zone (see Sec. 53.42(d)) of the wind tunnel.
Collect particles on appropriate filters (e.g., glass fiber) over a time
period such that the relative error of the measured particle
concentration
[[Page 51]]
is less than 5 percent. Relative error is defined as (px100%)/(X), where
p is the precision of the fluorometer on the appropriate range, X is the
measured concentration, and the units of p and X are the same.
(vii) Determine the quantity of material collected with each
isokinetic sampler in the array using a calibrated fluorometer.
Calculate and record the mass concentration for each isokinetic sampler
as:
[GRAPHIC] [TIFF OMITTED] TC09NO91.015
where
i = replicate number and j = isokinetic sampler number.
(viii) Calculate and record the mean mass concentration as:
[GRAPHIC] [TIFF OMITTED] TC09NO91.016
where
n = total number of isokinetic samplers.
(ix) Calculate and record the coefficient of variation of the mass
concentration measurements as:
[GRAPHIC] [TIFF OMITTED] TC09NO91.017
If the value of CViso(i) exceeds 0.10, the particle
concentration uniformity is unacceptable and steps (vi) through (ix)
must be repeated. If adjustment of the vibrating orifice aerosol
generator or changes in the particle delivery system are necessary to
achieve uniformity, steps (ii) through (ix) must be repeated. Remove the
array of isokinetic samplers from the wind tunnel. NOTE: A single
isokinetic sampler, operated at the same nominal flow rate as the test
sampler, may be used in place of the array of isokinetic samplers for
the determination of particle mass concentration used in the calculation
of sampling effectiveness of the test sampler in step (xiii). In this
case, the array of isokinetic samplers must be used to demonstrate
particle concentration uniformity prior to the replicate measurements of
sampling effectiveness.
(x) If a single isokinetic sampler is used, install the sampler in
the wind tunnel with the sampler nozzle centered in the sampling zone
(see Sec. 53.42(d)). Collect particles on an appropriate filter (e.g.,
glass fiber) for a time period such that the relative error of the
measured concentration (as defined in step (vi)) is less than 5 percent.
Determine the quantity of material collected with the isokinetic sampler
using a calibrated fluorometer. Calculate and record the mass
concentration as Ciso(i) as in step vii. Remove the
isokinetic sampler from the wind tunnel.
(xi) Install the test sampler (or portion thereof) in the wind
tunnel with the sampler inlet opening centered in the sampling zone (see
Sec. 53.42(d)). To meet the maximum blockage limit of Sec. 53.42(a) or
for convenience, part of the test sampler may be positioned external to
the wind tunnel provided that neither the geometry of the sampler nor
the length of any connecting tube or pipe is altered. Collect particles
on
[[Page 52]]
an appropriate filter or filters (e.g., glass fiber) for a time period
such that the relative error of the measured concentration (as defined
in step (vi)) is less than 5 percent.
(xii) Determine the quantity of material collected with the test
sampler using a calibrated fluorometer. Calculate and record the mass
concentration as:
[GRAPHIC] [TIFF OMITTED] TC09NO91.018
where i=replicate number.
(xiii) Calculate and record the sampling effectiveness of the test
sampler as:
[GRAPHIC] [TIFF OMITTED] TC09NO91.019
where i = replicate number.
Note: If a single isokinetic sampler is used for the determination
of particle mass concentration, replace Ciso(i) with
Ciso(i).
(xiv) Remove the test sampler from the wind tunnel. Repeat steps
(vi) through (xiii), as appropriate, to obtain a minimum of three
replicate measurements of sampling effectiveness.
(xv) Calculate and record the average sampling effectiveness of the
test sampler as:
[GRAPHIC] [TIFF OMITTED] TC09NO91.020
where n=number of replicates.
(xvi) Calculate and record the coefficient of variation for the
replicate sampling effectiveness measurements of the test sampler as:
[GRAPHIC] [TIFF OMITTED] TC09NO91.021
If the value of CVE exceeds 0.10, the test run (steps (ii)
through (xvi)) must be repeated.
(xvii) Repeat steps i through xvi for each wind speed, particle
size, and particle type specified in table D-2.
(xviii) For each of the three wind speeds (nominally 2, 8, and 24
km/hr), correct the liquid particle sampling effectiveness data for the
presence of multiplets (doublets and triplets) in the test particle
atmospheres.
(xix) For each wind speed, plot the corrected liquid particle
sampling effectiveness of the test sampler (Ecorr) as a
function of particle size (dp) on semi-logarithmic graph
paper where dp is the particle size established by the
operating parameters of the vibrating orifice aerosol generator.
Construct a smooth curve through the data.
(xx) For each wind speed, calculate the expected mass concentration
for the test sampler under the assumed particle size distribution and
compare it to the mass concentration predicted for the ideal sampler, as
follows:
(A) Extrapolate the upper and lower ends of the corrected liquid
particle sampling effectiveness curve to 100 percent and 0 percent,
respectively, using smooth curves. Assume that Ecorr = 100
percent at a particle size of 1.0 [mu]m and Ecorr = 0 percent
at a particle size of 50 [mu]m.
(B) Determine the value of Ecorr at each of the particle
sizes specified in the first column of table D-3. Record each
Ecorr value as a decimal between 0 and 1 in the second column
of table D-3.
(C) Multiply the values of Ecorr in column 2 by the
interval mass concentration values in column 3 and enter the products in
column 4 of table D-3.
(D) Sum the values in column 4 and enter the total as the expected
mass concentration for the test sampler at the bottom of column 4 of
table D-3.
[[Page 53]]
(E) Calculate and record the percent difference in expected mass
concentration between the test sampler and the ideal sampler as:
[GRAPHIC] [TIFF OMITTED] TC09NO91.022
where:
Csam(exp) = expected mass concentration for the test sampler,
[mu]g/m\3\
Cideal(exp) = expected mass concentration for the ideal
sampler, [mu]g/m\3\ (calculated for the ideal sampler and given at the
bottom of column 7 of table D-3.)
(F) The candidate method passes the liquid particle sampling
effectiveness test if the [Delta] C value for each wind speed meets the
specification in table D-1.
(xxi) For each of the two wind speeds (nominally 8 and 24 km/hr),
calculate the difference between the average sampling effectiveness
value for the 25 [mu]m solid particles and the average sampling
effectiveness value for the 25 [mu]m liquid particles (uncorrected for
multiplets).
(xxii) The candidate method passes the solid particle sampling
effectiveness test if each such difference meets the specification in
table D-1.
Table D-3--Expected Mass Concentration for PM10 Samplers
--------------------------------------------------------------------------------------------------------------------------------------------------------
Test sampler Ideal Sampler
-----------------------------------------------------------------------------------------------------------------------------------
Particle size (um) Interval mass Expected mass Interval mass Expected mass
Sampling concentration ([mu]g/ concentration ([mu]g/ Sampling concentration ([mu]g/ concentration ([mu]g/
effectiveness m\3\) m\3\) effectiveness m\3\) m\3\)
--------------------------------------------------------------------------------------------------------------------------------------------------------
(1) (2) (3) (4) (5) (6) (7)
--------------------------------------------------------------------------------------------------------------------------------------------------------
<1.0 1.000 62.813 62.813 1.000 62.813 62.813
1.5 9.554 0.949 9.554 9.067
02.0 2.164 0.942 2.164 2.038
02.5 1.785 0.933 1.785 1.665
03.0 2.084 0.922 2.084 1.921
03.5 2.618 0.909 2.618 2.380
04.0 3.211 0.893 3.211 2.867
04.5 3.784 0.876 3.784 3.315
05.0 4.300 0.857 4.300 3.685
05.5 4.742 0.835 4.742 3.960
06.0 5.105 0.812 5.105 4.145
06.5 5.389 0.786 5.389 4.236
07.0 5.601 0.759 5.601 4.251
07.5 5.746 0.729 5.746 4.189
08.0 5.834 0.697 5.834 4.066
08.5 5.871 0.664 5.871 3.898
09.0 5.864 0.628 5.864 3.683
09.5 5.822 0.590 5.822 3.435
10.0 5.750 0.551 5.750 3.168
10.5 5.653 0.509 5.653 2.877
11.0 8.257 0.465 8.257 3.840
12.0 10.521 0.371 10.521 3.903
13.0 9.902 0.269 9.902 2.664
14.0 9.250 0.159 9.250 1.471
15.0 8.593 0.041 8.593 0.352
16.0 7.948 0.000 7.948 0.000
17.0 7.329 0.000 7.329 0.000
18.0 9.904 0.000 9.904 0.000
20.0 11.366 0.000 11.366 0.000
22.0 9.540 0.000 9.540 0.000
24.0 7.997 0.000 7.997 0.000
26.0 6.704 0.000 6.704 0.000
28.0 5.627 0.000 5.627 0.000
30.0 7.785 0.000 7.785 0.000
35.0 7.800 0.000 7.800 0.000
40.0 5.192 0.000 5.192 0.000
45.0 4.959 0.000 4.959 0.000
Csam(exp) = D Cideal(exp) = 143.889
--------------------------------------------------------------------------------------------------------------------------------------------------------
(b) 50 Percent cutpoint--(1) Technical definition. The particle size
for which the sampling effectiveness of the sampler is 50 percent.
[[Page 54]]
(2) Test procedure. (i) From the corrected liquid particle sampling
effectiveness curves for each of the three wind speeds, determine the
particle size at which the curve crosses the 50 percent effectiveness
line and record as D50 on the corresponding sampling
effectiveness plot.
(ii) The candidate method passes the 50 percent cutpoint test if the
D50 value at each wind speed meets the specification in table
D-1.
(c) Precision--(1) Technical definition. The variation in the
measured particle concentration among identical samplers under typical
sampling conditions.
(2) Test procedure. (i) Set up three identical test samplers at the
test site in strict accordance with the instructions in the manual
referred to in Sec. 53.4(b)(3). Locate the test sampler inlet openings
at the same height and between 2 and 4 meters apart. The samplers shall
be oriented in a manner that will minimize spatial and wind directional
effects on sample collection. Perform a flow calibration for each test
sampler in accordance with the instructions given in the instruction
manual and/or appendix J to part 50 of this chapter. Set the operating
flow rate to the value prescribed in the sampler instruction manual.
Note: For candidate equivalent methods, this test may be used to
satisfy part of the requirements of subpart C of this chapter. In that
case, three reference method samplers are also used at the test site,
measurements with the candidate and reference methods are compared as
specified in Sec. 53.34, and the test site must meet the requirements of
Sec. 53.30(b).
(ii) Measure the PM10 concentration of the atmosphere
using the three test samplers for 10 periods (test days) of 24 hours
each. On each of the 10 test days, measure the initial and final flow
rates of each test sampler. On three of the test days, measure the flow
rate of each test sampler after 6, 12, and 18 hours of operation. All
measurements of flow rate and mass collected must be made in accordance
with the procedures prescribed in the sampler instruction manual and/or
appendix J to part 50 of this chapter. All measurements of flow rate
must be in actual volumetric units. Record the PM10
concentration for each sampler and each test day as C(i)(j)
where i is the sampler number and j is the test day.
(iii) For each test day, calculate and record the average of the
three measured PM10 concentrations as C(j) where j
is the test day. If C(j)<30 [mu] g/m\3\ for any test day,
data from that test day are unacceptable and the tests for that day must
be repeated.
(iv) Calculate and record the precision for each of the 10 test days
as:
[[Page 55]]
(v) The candidate method passes the precision test if all 10
Pj or RPj values meet the specifications in table
D-1.
(d) Flow rate stability--(1) Technical definition. Freedom from
variation in the operating flow rate of the sampler under typical
sampling conditions.
(2) Test procedure. (i) For each of the three test samplers and each
of the 10 test days of the precision test, record each measured flow
rate as F(i)(j)(t), where i is the sampler number, j is the
test day, and t is the time of flow rate measurement (t=0, 6, 12, 18, or
24 hours).
(ii) For each sampler and for each test day, calculate and record
the average flow rate as:
where n = number of flow rate measurements during the 24-hour test day.
(iii) For each sampler and for each test day, calculate and record
the percent difference between the average flow rate and the initial
flow rate as:
where F(i)(j)(0) is the initial flow rate (t=0).
(iv) For each sampler and for each of the 3 test days on which flow
measurements were obtained at 6-hour intervals throughout the 24-hour
sampling period, calculate and record the percent differences between
each measured flow rate and the initial flow rate as:
where t = 6, 12, 18, or 24 hours.
(v) The candidate method passes the flow rate stability test if all
of the [Delta] F(i)(j) and [Delta] F(i)(j)(t)
values meet the specifications in table D-1.
Subpart E--Procedures for Testing Physical (Design) and Performance
Characteristics of Reference Methods and Class I Equivalent Methods for
PM2.5
Source: 62 FR 38799, July 18, 1997, unless otherwise noted.
Sec. 53.50 General provisions.
(a) This subpart sets forth the specific tests that must be carried
out and the test results, evidence, documentation, and other materials
that must be provided to EPA to demonstrate that a PM2.5
sampler associated with a candidate reference method or Class I
equivalent method meets all design and performance specifications set
forth in 40 CFR part 50, appendix L, as well as additional requirements
specified in this subpart E. Some of these tests may also be applicable
to portions of a candidate Class II equivalent method sampler, as
determined under subpart F of this part. Some or all of these tests may
also be applicable to a candidate Class III equivalent method sampler,
as may be determined under Sec. 53.3(a)(4) or Sec. 53.3(b)(3).
(b) Samplers associated with candidate reference methods for
PM2.5 shall be subject to the provisions, specifications, and
test procedures prescribed in Secs. 53.51 through 53.58. Samplers
associated with candidate Class I equivalent methods for
PM2.5 shall be subject to the provisions, specifications, and
test procedures prescribed in all sections of this subpart. Samplers
associated with candidate Class II equivalent methods for
PM2.5 shall be subject to the provisions, specifications, and
test procedures prescribed in all applicable sections of this subpart,
as specified in subpart F of this part.
(c) The provisions of Sec. 53.51 pertain to test results and
documentation required to demonstrate compliance of a candidate method
sampler with the design specifications set forth in 40 CFR part 50,
appendix L. The test procedures prescribed in Secs. 53.52 through 53.59
pertain to performance tests required
[[Page 56]]
to demonstrate compliance of a candidate method sampler with the
performance specifications set forth in 40 CFR part 50, appendix L, as
well as additional requirements specified in this subpart E. These
latter test procedures shall be used to test the performance of
candidate samplers against the performance specifications and
requirements specified in each procedure and summarized in table E-1 of
this subpart.
(d) Test procedures prescribed in Sec. 53.59 do not apply to
candidate reference method samplers. These procedures apply primarily to
candidate Class I equivalent method samplers for PM2.5 which
have a sample air flow path configuration upstream of the sample filter
that is modified with respect to that specified for the reference method
sampler, as set forth in 40 CFR part 50, appendix L, figures L-1 to L-
29, such as might be necessary to provide for sequential sample
capability. The additional tests determine the adequacy of aerosol
transport through any altered components or supplemental devices that
are used in a candidate sampler upstream of the sample filter. In
addition to the other test procedures in this subpart, these test
procedures shall be used to further test the performance of such an
equivalent method sampler against the performance specifications given
in the procedure and summarized in table E-1 of this subpart.
(e) A 10-day operational field test of measurement precision is
required under Sec. 53.58 for both candidate reference and equivalent
method samplers. This test requires collocated operation of three
candidate method samplers at a field test site. For candidate equivalent
method samplers, this test may be combined and carried out concurrently
with the test for comparability to the reference method specified under
Sec. 53.34, which requires collocated operation of three reference
method samplers and three candidate equivalent method samplers.
(f) All tests and collection of test data shall be performed in
accordance with the requirements of reference 1, section 4.10.5 (ISO
9001) and reference 2, part B, section 3.3.1, paragraphs 1 and 2 and
part C, section 4.6 (ANSI/ASQC E4) in appendix A of this subpart. All
test data and other documentation obtained specifically from or
pertinent to these tests shall be identified, dated, signed by the
analyst performing the test, and submitted to EPA in accordance with
subpart A of this part.
Sec. 53.51 Demonstration of compliance with design specifications and
manufacturing and test requirements.
(a) Overview. (1) The subsequent paragraphs of this section specify
certain documentation that must be submitted and tests that are required
to demonstrate that samplers associated with a designated reference or
equivalent method for PM2.5 are properly manufactured to meet
all applicable design and performance specifications and have been
properly tested according to all applicable test requirements for such
designation. Documentation is required to show that instruments and
components of a PM2.5 sampler are manufactured in an ISO
9001-registered facility under a quality system that meets ISO-9001
requirements for manufacturing quality control and testing.
(2) In addition, specific tests are required to verify that two
critical features of reference method samplers impactor jet diameter and
the surface finish of surfaces specified to be anodized meet the
specifications of 40 CFR part 50, appendix L. A checklist is required to
provide certification by an ISO-certified auditor that all performance
and other required tests have been properly and appropriately conducted,
based on a reasonable and appropriate sample of the actual operations or
their documented records. Following designation of the method, another
checklist is required, initially and annually, to provide an ISO-
certified auditor's certification that the sampler manufacturing process
is being implemented under an adequate and appropriate quality system.
(3) For the purposes of this section, the definitions of ISO 9001-
registered facility and ISO-certified auditor are found in Sec. 53.1. An
exception to the reliance by EPA on ISO-certified auditors is the
requirement for the submission of the operation or instruction manual
associated with the candidate method to EPA as part of the application.
This
[[Page 57]]
manual is required under Sec. 53.4(b)(3). EPA has determined that
acceptable technical judgment for review of this manual may not be
assured by ISO-certified auditors, and approval of this manual will
therefore be performed by EPA.
(b) ISO registration of manufacturing facility. (1) The applicant
must submit documentation verifying that the samplers identified and
sold as part of a designated PM2.5 reference or equivalent
method will be manufactured in an ISO 9001-registered facility and that
the manufacturing facility is maintained in compliance with all
applicable ISO 9001 requirements (reference 1 in appendix A of this
subpart). The documentation shall indicate the date of the original ISO
9001 registration for the facility and shall include a copy of the most
recent certification of continued ISO 9001 facility registration. If the
manufacturer does not wish to initiate or complete ISO 9001 registration
for the manufacturing facility, documentation must be included in the
application to EPA describing an alternative method to demonstrate that
the facility meets the same general requirements as required for
registration to ISO-9001. In this case, the applicant must provide
documentation in the application to demonstrate, by required ISO-
certified auditor's inspections, that a quality system is in place which
is adequate to document and monitor that the sampler system components
and final assembled samplers all conform to the design, performance and
other requirements specified in this part and in 40 CFR part 50,
appendix L.
(2) Phase-in period. For a period of 1 year following the effective
date of this subpart, a candidate reference or equivalent method for
PM2.5 that utilizes a sampler manufactured in a facility that
is not ISO 9001-registered or otherwise approved by EPA under paragraph
(b)(1) of this section may be conditionally designated as a reference or
equivalent method under this part. Such conditional designation will be
considered on the basis of evidence submitted in association with the
candidate method application showing that appropriate efforts are
currently underway to seek ISO 9001 registration or alternative approval
of the facility's quality system under paragraph (b)(1) of this section
within the next 12 months. Such conditional designation shall expire 1
year after the date of the Federal Register notice of the conditional
designation unless documentation verifying successful ISO 9001
registration for the facility or other EPA-acceptable quality system
review and approval process of the production facility that will
manufacture the samplers is submitted at least 30 days prior to the
expiration date.
(c) Sampler manufacturing quality control. The manufacturer must
ensure that all components used in the manufacture of PM2.5
samplers to be sold as part of a reference or equivalent method and that
are specified by design in 40 CFR part 50, appendix L, are fabricated or
manufactured exactly as specified. If the manufacturer's quality records
show that its quality control (QC) and quality assurance (QA) system of
standard process control inspections (of a set number and frequency of
testing that is less than 100 percent) complies with the applicable QA
provisions of section 4 of reference 4 in appendix A of this subpart and
prevents nonconformances, 100 percent testing shall not be required
until that conclusion is disproved by customer return or other
independent manufacturer or customer test records. If problems are
uncovered, inspection to verify conformance to the drawings,
specifications, and tolerances shall be performed. Refer also to
paragraph (e) of this section--final assembly and inspection
requirements.
(d) Specific tests and supporting documentation required to verify
conformance to critical component specifications--(1) Verification of
PM2.5 impactor jet diameter. The diameter of the jet of each
impactor manufactured for a PM2.5 sampler under the impactor
design specifications set forth in 40 CFR part 50, appendix L, shall be
verified against the tolerance specified on the drawing, using standard,
NIST-traceable ZZ go/no go plug gages. This test shall be a final check
of the jet diameter following all fabrication operations, and a record
shall be kept of this final check.
[[Page 58]]
The manufacturer shall submit evidence that this procedure is
incorporated into the manufacturing procedure, that the test is or will
be routinely implemented, and that an appropriate procedure is in place
for the disposition of units that fail this tolerance test.
(2) Verification of surface finish. The anodization process used to
treat surfaces specified to be anodized shall be verified by testing
treated specimen surfaces for weight and corrosion resistance to ensure
that the coating obtained conforms to the coating specification. The
specimen surfaces shall be finished in accordance with military standard
specification 8625F, Type II, Class I (reference 4 in appendix A of this
subpart) in the same way the sampler surfaces are finished, and tested,
prior to sealing, as specified in section 4.5.2 of reference 4 in
appendix A of this subpart.
(e) Final assembly and inspection requirements. Each sampler shall
be tested after manufacture and before delivery to the final user. Each
manufacturer shall document its post-manufacturing test procedures. As a
minimum, each test shall consist of the following: Tests of the overall
integrity of the sampler, including leak tests; calibration or
verification of the calibration of the flow measurement device,
barometric pressure sensor, and temperature sensors; and operation of
the sampler with a filter in place over a period of at least 48 hours.
The results of each test shall be suitably documented and shall be
subject to review by an ISO-certified auditor.
(f) Manufacturer's audit checklists. Manufacturers shall require an
ISO-certified auditor to sign and date a statement indicating that the
auditor is aware of the appropriate manufacturing specifications
contained in 40 CFR part 50, appendix L, and the test or verification
requirements in this subpart. Manufacturers shall also require an ISO-
certified auditor to complete the checklists, shown in figures E-1 and
E-2 of this subpart, which describe the manufacturer's ability to meet
the requirements of the standard for both designation testing and
product manufacture.
(1) Designation testing checklist. The completed statement and
checklist as shown in figure E-1 of this subpart shall be submitted with
the application for reference or equivalent method determination.
(2) Product manufacturing checklist. Manufacturers shall require an
ISO-certified auditor to complete a Product Manufacturing Checklist
(figure E-2 of this subpart), which evaluates the manufacturer on its
ability to meet the requirements of the standard in maintaining quality
control in the production of reference or equivalent devices. The
initial completed checklist shall be submitted with the application for
reference or equivalent method determination. Also, this checklist
(figure E-2 of this subpart) must be completed and submitted annually to
retain a reference or equivalent method designation for a
PM2.5 method.
(3) Phase-in period. If the conditions of paragraph (b)(2) of this
section apply, a candidate reference or equivalent method for
PM2.5 may be conditionally designated as a reference or
equivalent method under this part 53 without the submission of the
checklists described in paragraphs (f)(1) and (f)(2) of this section.
Such conditional designation shall expire 1 year after the date of the
Federal Register notice of the conditional designation unless the
checklists are submitted at least 30 days prior to the expiration date.
[62 FR 38799, July 18, 1997; 63 FR 7714, Feb. 17, 1998]
Sec. 53.52 Leak check test.
(a) Overview. In section 7.4.6 of 40 CFR part 50, appendix L, the
sampler is required to include the facility, including components,
instruments, operator controls, a written procedure, and other
capabilities as necessary, to allow the operator to carry out a leak
test of the sampler at a field monitoring site without additional
equipment. This test procedure is intended to test the adequacy and
effectiveness of the sampler's leak check facility. Because of the
variety of potential sampler configurations and leak check procedures
possible, some adaptation of this procedure may be necessary to
accommodate the specific sampler
[[Page 59]]
under test. The test conditions and performance specifications
associated with this test are summarized in table E-1 of this subpart.
The candidate test sampler must meet all test parameters and test
specifications to successfully pass this test.
(b) Technical definitions. (1) External leakage includes the total
flow rate of external ambient air which enters the sampler other than
through the sampler inlet and which passes through any one or more of
the impactor, filter, or flow rate measurement components.
(2) Internal leakage is the total sample air flow rate that passes
through the filter holder assembly without passing through the sample
filter.
(c) Required test equipment. (1) Flow rate measurement device, range
70 mL/min to 130 mL/min, 2 percent certified accuracy, NIST-traceable.
(2) Flow rate measurement adaptor (40 CFR part 50, appendix L,
figure L-30) or equivalent adaptor to facilitate measurement of sampler
flow rate at the top of the downtube.
(3) Impermeable membrane or disk, 47 mm nominal diameter.
(4) Means, such as a micro-valve, of providing a simulated leak flow
rate through the sampler of approximately 80 mL/min under the conditions
specified for the leak check in the sampler's leak check procedure.
(5) Teflon sample filter, as specified in section 6 of 40 CFR part
50, appendix L.
(d) Calibration of test measurement instruments. Submit
documentation showing evidence of appropriately recent calibration,
certification of calibration accuracy, and NIST-traceability (if
required) of all measurement instruments used in the tests. The accuracy
of flow rate meters shall be verified at the highest and lowest
pressures and temperatures used in the tests and shall be checked at
zero and one or more non-zero flow rates within 7 days of use for this
test.
(e) Test setup. (1) The test sampler shall be set up for testing as
described in the sampler's operation or instruction manual referred to
in Sec. 53.4(b)(3). The sampler shall be installed upright and set up in
its normal configuration for collecting PM2.5 samples, except
that the sample air inlet shall be removed and the flow rate measurement
adaptor shall be installed on the sampler's downtube.
(2) The flow rate control device shall be set up to provide a
constant, controlled flow rate of 80 mL/min into the sampler downtube
under the conditions specified for the leak check in the sampler's leak
check procedure.
(3) The flow rate measurement device shall be set up to measure the
controlled flow rate of 80 mL/min into the sampler downtube under the
conditions specified for the leak check in the sampler's leak check
procedure.
(f) Procedure. (1) Install the impermeable membrane in a filter
cassette and install the cassette into the sampler. Carry out the
internal leak check procedure as described in the sampler's operation/
instruction manual and verify that the leak check acceptance criterion
specified in table E-1 of this subpart is met.
(2) Replace the impermeable membrane with a Teflon filter and
install the cassette in the sampler. Remove the inlet from the sampler
and install the flow measurement adaptor on the sampler's downtube.
Close the valve of the adaptor to seal the flow system. Conduct the
external leak check procedure as described in the sampler's operation/
instruction manual and verify that the leak check acceptance criteria
specified in table E-1 of this subpart are met.
(3) Arrange the flow control device, flow rate measurement device,
and other apparatus as necessary to provide a simulated leak flow rate
of 80 mL/min into the test sampler through the downtube during the
specified external leak check procedure. Carry out the external leak
check procedure as described in the sampler's operation/instruction
manual but with the simulated leak of 80 mL/min.
(g) Test results. The requirements for successful passage of this
test are:
(1) That the leak check procedure indicates no significant external
or internal leaks in the test sampler when no simulated leaks are
introduced.
(2) That the leak check procedure properly identifies the occurrence
of the simulated external leak of 80 mL/min.
[[Page 60]]
Sec. 53.53 Test for flow rate accuracy, regulation, measurement
accuracy, and cut-off.
(a) Overview. This test procedure is designed to evaluate a
candidate sampler's flow rate accuracy with respect to the design flow
rate, flow rate regulation, flow rate measurement accuracy, coefficient
of variability measurement accuracy, and the flow rate cut-off function.
The tests for the first four parameters shall be conducted over a 6-hour
time period during which reference flow measurements are made at
intervals not to exceed 5 minutes. The flow rate cut-off test, conducted
separately, is intended to verify that the sampler carries out the
required automatic sample flow rate cut-off function properly in the
event of a low-flow condition. The test conditions and performance
specifications associated with this test are summarized in table E-1 of
this subpart. The candidate test sampler must meet all test parameters
and test specifications to successfully pass this test.
(b) Technical definitions. (1) Sample flow rate means the
quantitative volumetric flow rate of the air stream caused by the
sampler to enter the sampler inlet and pass through the sample filter,
measured in actual volume units at the temperature and pressure of the
air as it enters the inlet.
(2) The flow rate cut-off function requires the sampler to
automatically stop sample flow and terminate the current sample
collection if the sample flow rate deviates by more than the variation
limits specified in table E-1 of this subpart (10 percent
from the nominal sample flow rate) for more than 60 seconds during a
sample collection period. The sampler is also required to properly
notify the operator with a flag warning indication of the out-of-
specification flow rate condition and if the flow rate cut-off results
in an elapsed sample collection time of less than 23 hours.
(c) Required test equipment. (1) Flow rate meter, suitable for
measuring and recording the actual volumetric sample flow rate at the
sampler downtube, with a minimum range of 10 to 25 L/min, 2 percent
certified, NIST-traceable accuracy. Optional capability for continuous
(analog) recording capability or digital recording at intervals not to
exceed 30 seconds is recommended. While a flow meter which provides a
direct indication of volumetric flow rate is preferred for this test, an
alternative certified flow measurement device may be used as long as
appropriate volumetric flow rate corrections are made based on
measurements of actual ambient temperature and pressure conditions.
(2) Ambient air temperature sensor, with a resolution of 0.1 deg.C
and certified to be accurate to within 0.5 deg.C (if needed). If the
certified flow meter does not provide direct volumetric flow rate
readings, ambient air temperature measurements must be made using
continuous (analog) recording capability or digital recording at
intervals not to exceed 5 minutes.
(3) Barometer, range 600 mm Hg to 800 mm Hg, certified accurate to 2
mm Hg (if needed). If the certified flow meter does not provide direct
volumetric flow rate readings, ambient pressure measurements must be
made using continuous (analog) recording capability or digital recording
at intervals not to exceed 5 minutes.
(4) Flow measurement adaptor (40 CFR part 50, appendix L, figure L-
30) or equivalent adaptor to facilitate measurement of sample flow rate
at the sampler downtube.
(5) Valve or other means to restrict or reduce the sample flow rate
to a value at least 10 percent below the design flow rate (16.67 L/min).
If appropriate, the valve of the flow measurement adaptor may be used
for this purpose.
(6) Means for creating an additional pressure drop of 55 mm Hg in
the sampler to simulate a heavily loaded filter, such as an orifice or
flow restrictive plate installed in the filter holder or a valve or
other flow restrictor temporarily installed in the flow path near the
filter.
(7) Teflon sample filter, as specified in section 6 of 40 CFR part
50, appendix L (if required).
(d) Calibration of test measurement instruments. Submit
documentation showing evidence of appropriately recent calibration,
certification of calibration accuracy, and NIST-
[[Page 61]]
traceability (if required) of all measurement instruments used in the
tests. The accuracy of flow-rate meters shall be verified at the highest
and lowest pressures and temperatures used in the tests and shall be
checked at zero and at least one flow rate within 3 percent
of 16.7 L/min within 7 days prior to use for this test. Where an
instrument's measurements are to be recorded with an analog recording
device, the accuracy of the entire instrument-recorder system shall be
calibrated or verified.
(e) Test setup. (1) Setup of the sampler shall be as required in
this paragraph (e) and otherwise as described in the sampler's operation
or instruction manual referred to in Sec. 53.4(b)(3). The sampler shall
be installed upright and set up in its normal configuration for
collecting PM2.5 samples. A sample filter and (or) the device
for creating an additional 55 mm Hg pressure drop shall be installed for
the duration of these tests. The sampler's ambient temperature, ambient
pressure, and flow rate measurement systems shall all be calibrated per
the sampler's operation or instruction manual within 7 days prior to
this test.
(2) The inlet of the candidate sampler shall be removed and the flow
measurement adaptor installed on the sampler's downtube. A leak check as
described in the sampler's operation or instruction manual shall be
conducted and must be properly passed before other tests are carried
out.
(3) The inlet of the flow measurement adaptor shall be connected to
the outlet of the flow rate meter.
(4) For the flow rate cut-off test, the valve or means for reducing
sampler flow rate shall be installed between the flow measurement
adaptor and the downtube or in another location within the sampler such
that the sampler flow rate can be manually restricted during the test.
(f) Procedure. (1) Set up the sampler as specified in paragraph (e)
of this section and otherwise prepare the sampler for normal sample
collection operation as directed in the sampler's operation or
instruction manual. Set the sampler to automatically start a 6-hour
sample collection period at a convenient time.
(2) During the 6-hour operational flow rate portion of the test,
measure and record the sample flow rate with the flow rate meter at
intervals not to exceed 5 minutes. If ambient temperature and pressure
corrections are necessary to calculate volumetric flow rate, ambient
temperature and pressure shall be measured at the same frequency as that
of the certified flow rate measurements. Note and record the actual
start and stop times for the 6-hour flow rate test period.
(3) Following completion of the 6-hour flow rate test period,
install the flow rate reduction device and change the sampler flow rate
recording frequency to intervals of not more than 30 seconds. Reset the
sampler to start a new sample collection period. Manually restrict the
sampler flow rate such that the sampler flow rate is decreased slowly
over several minutes to a flow rate slightly less than the flow rate
cut-off value (15.0 L/min). Maintain this flow rate for at least 2.0
minutes or until the sampler stops the sample flow automatically.
Manually terminate the sample period, if the sampler has not terminated
it automatically.
(g) Test results. At the completion of the test, validate the test
conditions and determine the test results as follows:
(1) Mean sample flow rate. (i) From the certified measurements
(Qref) of the test sampler flow rate obtained by use of the
flow rate meter, tabulate each flow rate measurement in units of L/min.
If ambient temperature and pressure corrections are necessary to
calculate volumetric flow rate, each measured flow rate shall be
corrected using its corresponding temperature and pressure measurement
values. Calculate the mean flow rate for the sample period
(Qref,ave) as follows:
Equation 1
[GRAPHIC] [TIFF OMITTED] TR18JY97.063
where:
n equals the number of discrete certified flow rate measurements over
the 6-hour test period.
(ii)(A) Calculate the percent difference between this mean flow rate
[[Page 62]]
value and the design value of 16.67 L/min, as follows:
Equation 2
[GRAPHIC] [TIFF OMITTED] TR18JY97.064
(B) To successfully pass the mean flow rate test, the percent
difference calculated in Equation 2 of this paragraph (g)(1)(ii) must be
within 5 percent.
(2) Sample flow rate regulation. (i) From the certified measurements
of the test sampler flow rate, calculate the sample coefficient of
variation (CV) of the discrete measurements as follows:
Equation 3
[GRAPHIC] [TIFF OMITTED] TR18JY97.065
(ii) To successfully pass the flow rate regulation test, the
calculated coefficient of variation for the certified flow rates must
not exceed 2 percent.
(3) Flow rate measurement accuracy. (i) Using the mean volumetric
flow rate reported by the candidate test sampler at the completion of
the 6-hour test period (Qind,ave), determine the accuracy of
the reported mean flow rate as:
Equation 4
[GRAPHIC] [TIFF OMITTED] TR18JY97.066
(ii) To successfully pass the flow rate measurement accuracy test,
the percent difference calculated in Equation 4 of this paragraph (g)(3)
shall not exceed 2 percent.
(4) Flow rate coefficient of variation measurement accuracy. (i)
Using the flow rate coefficient of variation indicated by the candidate
test sampler at the completion of the 6-hour test (%CVind),
determine the accuracy of this reported coefficient of variation as:
Equation 5
[GRAPHIC] [TIFF OMITTED] TR18JY97.067
(ii) To successfully pass the flow rate CV measurement accuracy
test, the absolute difference in values calculated in Equation 5 of this
paragraph (g)(4) must not exceed 0.3 (CV%).
(5) Flow rate cut-off. (i) Inspect the measurements of the sample
flow rate during the flow rate cut-off test and determine the time at
which the sample flow rate decreased to a value less than the cut-off
value specified in table E-1 of this subpart. To pass this test, the
sampler must have automatically stopped the sample flow at least 30
seconds but not more than 90 seconds after the time at which the sampler
flow rate was determined to have decreased to a value less than the cut-
off value.
(ii) At the completion of the flow rate cut-off test, download the
archived data from the test sampler and verify that the sampler's
required Flow-out-of-spec and Incorrect sample period flag indicators
are properly set.
Sec. 53.54 Test for proper sampler operation following power
interruptions.
(a) Overview. (1) This test procedure is designed to test certain
performance parameters of the candidate sampler during a test period in
which power interruptions of various duration occur. The performance
parameters tested are:
(i) Proper flow rate performance of the sampler.
(ii) Accuracy of the sampler's average flow rate, CV, and sample
volume measurements.
(iii) Accuracy of the sampler's reported elapsed sampling time.
(iv) Accuracy of the reported time and duration of power
interruptions.
(2) This test shall be conducted during operation of the test
sampler over a continuous 6-hour test period during which the sampler's
flow rate shall be measured and recorded at intervals not to exceed 5
minutes. The performance parameters tested under this procedure, the
corresponding minimum performance specifications, and the applicable
test conditions are summarized
[[Page 63]]
in table E-1 of this subpart. Each performance parameter tested, as
described or determined in the test procedure, must meet or exceed the
associated performance specification to successfully pass this test.
(b) Required test equipment. (1) Flow rate meter, suitable for
measuring and recording the actual volumetric sample flow rate at the
sampler downtube, with a minimum range of 10 to 25 L/min, 2 percent
certified, NIST-traceable accuracy. Optional capability for continuous
(analog) recording capability or digital recording at intervals not to
exceed 5 minutes is recommended. While a flow meter which provides a
direct indication of volumetric flow rate is preferred for this test, an
alternative certified flow measurement device may be used as long as
appropriate volumetric flow rate corrections are made based on
measurements of actual ambient temperature and pressure conditions.
(2) Ambient air temperature sensor (if needed for volumetric
corrections to flow rate measurements), with a resolution of 0.1 deg.C,
certified accurate to within 0.5 deg.C, and continuous (analog)
recording capability or digital recording at intervals not to exceed 5
minutes.
(3) Barometer (if needed for volumetric corrections to flow rate
measurements), range 600 mm Hg to 800 mm Hg, certified accurate to 2 mm
Hg, with continuous (analog) recording capability or digital recording
at intervals not to exceed 5 minutes.
(4) Flow measurement adaptor (40 CFR part 50, appendix L, figure L-
30) or equivalent adaptor to facilitate measurement of sample flow rate
at the sampler downtube.
(5) Means for creating an additional pressure drop of 55 mm Hg in
the sampler to simulate a heavily loaded filter, such as an orifice or
flow restrictive plate installed in the filter holder or a valve or
other flow restrictor temporarily installed in the flow path near the
filter.
(6) Teflon sample filter, as specified in section 6 of 40 CFR part
50, appendix L (if required).
(7) Time measurement system, accurate to within 10 seconds per day.
(c) Calibration of test measurement instruments. Submit
documentation showing evidence of appropriately recent calibration,
certification of calibration accuracy, and NIST-traceability (if
required) of all measurement instruments used in the tests. The accuracy
of flow rate meters shall be verified at the highest and lowest
pressures and temperatures used in the tests and shall be checked at
zero and at least one flow rate within 3 percent of 16.7 L/
min within 7 days prior to use for this test. Where an instrument's
measurements are to be recorded with an analog recording device, the
accuracy of the entire instrument-recorder system shall be calibrated or
verified.
(d) Test setup. (1) Setup of the sampler shall be performed as
required in this paragraph (d) and otherwise as described in the
sampler's operation or instruction manual referred to in
Sec. 53.4(b)(3). The sampler shall be installed upright and set up in
its normal configuration for collecting PM2.5 samples. A
sample filter and (or) the device for creating an additional 55 mm Hg
pressure drop shall be installed for the duration of these tests. The
sampler's ambient temperature, ambient pressure, and flow measurement
systems shall all be calibrated per the sampler's operating manual
within 7 days prior to this test.
(2) The inlet of the candidate sampler shall be removed and the flow
measurement adaptor installed on the sample downtube. A leak check as
described in the sampler's operation or instruction manual shall be
conducted and must be properly passed before other tests are carried
out.
(3) The inlet of the flow measurement adaptor shall be connected to
the outlet of the flow rate meter.
(e) Procedure. (1) Set up the sampler as specified in paragraph (d)
of this section and otherwise prepare the sampler for normal sample
collection operation as directed in the sampler's operation or
instruction manual. Set the sampler to automatically start a 6-hour
sample collection period at a convenient time.
(2) During the entire 6-hour operational flow rate portion of the
test, measure and record the sample flow
[[Page 64]]
rate with the flow rate meter at intervals not to exceed 5 minutes. If
ambient temperature and pressure corrections are necessary to calculate
volumetric flow rate, ambient temperature and pressure shall be measured
at the same frequency as that of the certified flow rate measurements.
Note and record the actual start and stop times for the 6-hour flow rate
test period.
(3) During the 6-hour test period, interrupt the AC line electrical
power to the sampler 5 times, with durations of 20 seconds, 40 seconds,
2 minutes, 7 minutes, and 20 minutes (respectively), with not less than
10 minutes of normal electrical power supplied between each power
interruption. Record the hour and minute and duration of each power
interruption.
(4) At the end of the test, terminate the sample period (if not
automatically terminated by the sampler) and download all archived
instrument data from the test sampler.
(f) Test results. At the completion of the sampling period, validate
the test conditions and determine the test results as follows:
(1) Mean sample flow rate. (i) From the certified measurements
(Qref) of the test sampler flow rate, tabulate each flow rate
measurement in units of L/min. If ambient temperature and pressure
corrections are necessary to calculate volumetric flow rate, each
measured flow rate shall be corrected using its corresponding
temperature and pressure measurement values. Calculate the mean flow
rate for the sample period (Qref,ave) as follows:
Equation 6
[GRAPHIC] [TIFF OMITTED] TR18JY97.068
where:
n equals the number of discrete certified flow rate measurements over
the 6-hour test period, excluding flow rate values obtained during
periods of power interruption.
(ii)(A) Calculate the percent difference between this mean flow rate
value and the design value of 16.67 L/min, as follows:
Equation 7
[GRAPHIC] [TIFF OMITTED] TR18JY97.069
(B) To successfully pass this test, the percent difference
calculated in Equation 7 of this paragraph (f)(1)(ii) must be within
5 percent.
(2) Sample flow rate regulation. (i) From the certified measurements
of the test sampler flow rate, calculate the sample coefficient of
variation of the discrete measurements as follows:
Equation 8
[GRAPHIC] [TIFF OMITTED] TR18JY97.070
(ii) To successfully pass this test, the calculated coefficient of
variation for the certified flow rates must not exceed 2 percent.
(3) Flow rate measurement accuracy. (i) Using the mean volumetric
flow rate reported by the candidate test sampler at the completion of
the 6-hour test (Qind,ave), determine the accuracy of the
reported mean flow rate as:
Equation 9
[GRAPHIC] [TIFF OMITTED] TR18JY97.071
(ii) To successfully pass this test, the percent difference
calculated in Equation 9 of this paragraph (f)(3) shall not exceed 2
percent.
(4) Flow rate CV measurement accuracy. (i) Using the flow rate
coefficient of variation indicated by the candidate test sampler at the
completion of the 6-hour test (%CVind), determine the
accuracy of the reported coefficient of variation as:
Equation 10
[GRAPHIC] [TIFF OMITTED] TR18JY97.072
(ii) To successfully pass this test, the absolute difference in
values calculated in Equation 10 of this paragraph (f)(4) must not
exceed 0.3 (CV%).
[[Page 65]]
(5) Verify that the sampler properly provided a record and visual
display of the correct year, month, day-of-month, hour, and minute with
an accuracy of 2 minutes, of the start of each power
interruption of duration greater than 60 seconds.
(6) Calculate the actual elapsed sample time, excluding the periods
of electrical power interruption. Verify that the elapsed sample time
reported by the sampler is accurate to within 20 seconds for
the 6-hour test run.
(7) Calculate the sample volume as Qref.ave multiplied by
the sample time, excluding periods of power interruption. Verify that
the sample volume reported by the sampler is within 2 percent of the
calculated sample volume to successfully pass this test.
(8) Inspect the downloaded instrument data from the test sampler and
verify that all data are consistent with normal operation of the
sampler.
[62 FR 38799, July 18, 1997; 63 FR 7714, Feb. 17, 1998]
Sec. 53.55 Test for effect of variations in power line voltage and
ambient temperature.
(a) Overview. (1) This test procedure is a combined procedure to
test various performance parameters under variations in power line
voltage and ambient temperature. Tests shall be conducted in a
temperature controlled environment over four 6-hour time periods during
which reference temperature and flow rate measurements shall be made at
intervals not to exceed 5 minutes. Specific parameters to be evaluated
at line voltages of 105 and 125 volts and temperatures of -20 deg.C and
=40 deg.C are as follows:
(i) Sample flow rate.
(ii) Flow rate regulation.
(iii) Flow rate measurement accuracy.
(iv) Coefficient of variability measurement accuracy.
(v) Ambient air temperature measurement accuracy.
(vi) Proper operation of the sampler when exposed to power line
voltage and ambient temperature extremes.
(2) The performance parameters tested under this procedure, the
corresponding minimum performance specifications, and the applicable
test conditions are summarized in table E-1 of this subpart. Each
performance parameter tested, as described or determined in the test
procedure, must meet or exceed the associated performance specification
given. The candidate sampler must meet all specifications for the
associated PM2.5 method to pass this test procedure.
(b) Technical definition. Sample flow rate means the quantitative
volumetric flow rate of the air stream caused by the sampler to enter
the sampler inlet and pass through the sample filter, measured in actual
volume units at the temperature and pressure of the air as it enters the
inlet.
(c) Required test equipment. (1) Environmental chamber or other
temperature-controlled environment or environments, capable of obtaining
and maintaining temperatures at -20 deg.C and =40 deg.C as required
for the test with an accuracy of 2 deg.C. The test
environment(s) must be capable of maintaining these temperatures within
the specified limits continuously with the additional heat load of the
operating test sampler in the environment. Henceforth, where the test
procedures specify a test or environmental ``chamber,'' an alternative
temperature-controlled environmental area or areas may be substituted,
provided the required test temperatures and all other test requirements
are met.
(2) Variable voltage AC power transformer, range 100 Vac to 130 Vac,
with sufficient current capacity to operate the test sampler
continuously under the test conditions.
(3) Flow rate meter, suitable for measuring and recording the actual
volumetric sample flow rate at the sampler downtube, with a minimum
range of 10 to 25 actual L/min, 2 percent certified, NIST-traceable
accuracy. Optional capability for continuous (analog) recording
capability or digital recording at intervals not to exceed 5 minutes is
recommended. While a flow meter which provides a direct indication of
volumetric flow rate is preferred for this test, an alternative
certified flow measurement device may be used as long as appropriate
volumetric flow rate corrections are made
[[Page 66]]
based on measurements of actual ambient temperature and pressure
conditions.
(4) Ambient air temperature recorder, range -30 deg.C to =50
deg.C, with a resolution of 0.1 deg.C and certified accurate to within
0.5 deg.C. Ambient air temperature measurements must be made using
continuous (analog) recording capability or digital recording at
intervals not to exceed 5 minutes.
(5) Barometer, range 600 mm Hg to 800 mm Hg, certified accurate to 2
mm Hg. If the certified flow rate meter does not provide direct
volumetric flow rate readings, ambient pressure measurements must be
made using continuous (analog) recording capability or digital recording
at intervals not to exceed 5 minutes.
(6) Flow measurement adaptor (40 CFR part 50, appendix L, figure L-
30) or equivalent adaptor to facilitate measurement of sampler flow rate
at the sampler downtube.
(7) Means for creating an additional pressure drop of 55 mm Hg in
the sampler to simulate a heavily loaded filter, such as an orifice or
flow restrictive plate installed in the filter holder or a valve or
other flow restrictor temporarily installed in the flow path near the
filter.
(8) AC RMS voltmeter, accurate to 1.0 volt.
(9) Teflon sample filter, as specified in section 6 of 40 CFR part
50, appendix L (if required).
(d) Calibration of test measurement instruments. Submit
documentation showing evidence of appropriately recent calibration,
certification of calibration accuracy, and NIST-traceability (if
required) of all measurement instruments used in the tests. The accuracy
of flow rate meters shall be verified at the highest and lowest
pressures and temperatures used in the tests and shall be checked at
zero and at least one flow rate within 3 percent of 16.7 L/
min within 7 days prior to use for this test. Where an instrument's
measurements are to be recorded with an analog recording device, the
accuracy of the entire instrument-recorder system shall be calibrated or
verified.
(e) Test setup. (1) Setup of the sampler shall be performed as
required in this paragraph (e) and otherwise as described in the
sampler's operation or instruction manual referred to in
Sec. 53.4(b)(3). The sampler shall be installed upright and set up in
the temperature-controlled chamber in its normal configuration for
collecting PM2.5 samples. A sample filter and (or) the device
for creating an additional 55 mm Hg pressure drop shall be installed for
the duration of these tests. The sampler's ambient temperature, ambient
pressure, and flow measurement systems shall all be calibrated per the
sampler's operating manual within 7 days prior to this test.
(2) The inlet of the candidate sampler shall be removed and the flow
measurement adaptor installed on the sampler's downtube. A leak check as
described in the sampler's operation or instruction manual shall be
conducted and must be properly passed before other tests are carried
out.
(3) The inlet of the flow measurement adaptor shall be connected to
the outlet of the flow rate meter.
(4) The ambient air temperature recorder shall be installed in the
test chamber such that it will accurately measure the temperature of the
air in the vicinity of the candidate sampler without being unduly
affected by the chamber's air temperature control system.
(f) Procedure. (1) Set up the sampler as specified in paragraph (e)
of this section and otherwise prepare the sampler for normal sample
collection operation as directed in the sampler's operation or
instruction manual.
(2) The test shall consist of four test runs, one at each of the
following conditions of chamber temperature and electrical power line
voltage (respectively):
(i) -20 deg.C 2 deg.C and 105 1 Vac.
(ii) -20 deg.C 2 deg.C and 125 1 Vac.
(iii) =40 deg.C 2 deg.C and 105 1 Vac.
(iv) =40 deg.C 2 deg.C and 125 1 Vac.
(3) For each of the four test runs, set the selected chamber
temperature and power line voltage for the test run. Upon achieving each
temperature setpoint in the chamber, the candidate sampler and flow
meter shall be thermally equilibrated for a period of at least 2 hours
prior to the test run. Following the thermal conditioning time, set the
sampler to automatically start
[[Page 67]]
a 6-hour sample collection period at a convenient time.
(4) During each 6-hour test period:
(i) Measure and record the sample flow rate with the flow rate meter
at intervals not to exceed 5 minutes. If ambient temperature and
pressure corrections are necessary to calculate volumetric flow rate,
ambient temperature and pressure shall be measured at the same frequency
as that of the certified flow rate measurements. Note and record the
actual start and stop times for the 6-hour flow rate test period.
(ii) Determine and record the ambient (chamber) temperature
indicated by the sampler and the corresponding ambient (chamber)
temperature measured by the ambient temperature recorder specified in
paragraph (c)(4) of this section at intervals not to exceed 5 minutes.
(iii) Measure the power line voltage to the sampler at intervals not
greater than 1 hour.
(5) At the end of each test run, terminate the sample period (if not
automatically terminated by the sampler) and download all archived
instrument data from the test sampler.
(g) Test results. For each of the four test runs, examine the
chamber temperature measurements and the power line voltage
measurements. Verify that the temperature and line voltage met the
requirements specified in paragraph (f) of this section at all times
during the test run. If not, the test run is not valid and must be
repeated. Determine the test results as follows:
(1) Mean sample flow rate. (i) From the certified measurements
(Qref) of the test sampler flow rate, tabulate each flow rate
measurement in units of L/min. If ambient temperature and pressure
corrections are necessary to calculate volumetric flow rate, each
measured flow rate shall be corrected using its corresponding
temperature and pressure measurement values. Calculate the mean flow
rate for each sample period (Qref,ave) as follows:
Equation 11
[GRAPHIC] [TIFF OMITTED] TR18JY97.073
where:
n equals the number of discrete certified flow rate measurements over
each 6-hour test period.
(ii)(A) Calculate the percent difference between this mean flow rate
value and the design value of 16.67 L/min, as follows:
Equation 12
[GRAPHIC] [TIFF OMITTED] TR18JY97.074
(B) To successfully pass this test, the percent difference
calculated in Equation 12 of this paragraph (g)(1)(ii) must be within
5 percent for each test run.
(2) Sample flow rate regulation. (i) From the certified measurements
of the test sampler flow rate, calculate the sample coefficient of
variation of the discrete measurements as follows:
Equation 13
[GRAPHIC] [TIFF OMITTED] TR18JY97.075
(ii) To successfully pass this test, the calculated coefficient of
variation for the certified flow rates must not exceed 2 percent.
(3) Flow rate measurement accuracy. (i) Using the mean volumetric
flow rate reported by the candidate test sampler at the completion of
each 6-hour test (Qind,ave), determine the accuracy of the
reported mean flow rate as:
Equation 14
[GRAPHIC] [TIFF OMITTED] TR18JY97.076
[[Page 68]]
(ii) To successfully pass this test, the percent difference
calculated in Equation 14 of this paragraph (g)(3) shall not exceed 2
percent for each test run.
(4) Flow rate coefficient of variation measurement accuracy. (i)
Using the flow rate coefficient of variation indicated by the candidate
test sampler (%CVind), determine the accuracy of the reported
coefficient of variation as:
Equation 15
[GRAPHIC] [TIFF OMITTED] TR18JY97.077
(ii) To successfully pass this test, the absolute difference
calculated in Equation 15 of this paragraph (g)(4) must not exceed 0.3
(CV%) for each test run.
(5) Ambient temperature measurement accuracy. (i) Calculate the
absolute value of the difference between the mean ambient air
temperature indicated by the test sampler and the mean ambient (chamber)
air temperature measured with the ambient air temperature recorder as:
Equation 16
[GRAPHIC] [TIFF OMITTED] TR18JY97.078
where:
Tind,ave = mean ambient air temperature indicated by the test
sampler, deg.C; and
ref,ave = mean ambient air temperature measured by the
reference temperature instrument, deg.C.
(ii) The calculated temperature difference must be less than 2
deg.C for each test run.
(6) Sampler functionality. To pass the sampler functionality test,
the following two conditions must both be met for each test run:
(i) The sampler must not shutdown during any portion of the 6-hour
test.
(ii) An inspection of the downloaded data from the test sampler
verifies that all the data are consistent with normal operation of the
sampler.
Sec. 53.56 Test for effect of variations in ambient pressure.
(a) Overview. (1) This test procedure is designed to test various
sampler performance parameters under variations in ambient (barometric)
pressure. Tests shall be conducted in a pressure-controlled environment
over two 6-hour time periods during which reference pressure and flow
rate measurements shall be made at intervals not to exceed 5 minutes.
Specific parameters to be evaluated at operating pressures of 600 and
800 mm Hg are as follows:
(i) Sample flow rate.
(ii) Flow rate regulation.
(iii) Flow rate measurement accuracy.
(iv) Coefficient of variability measurement accuracy.
(v) Ambient pressure measurement accuracy.
(vi) Proper operation of the sampler when exposed to ambient
pressure extremes.
(2) The performance parameters tested under this procedure, the
corresponding minimum performance specifications, and the applicable
test conditions are summarized in table E-1 of this subpart. Each
performance parameter tested, as described or determined in the test
procedure, must meet or exceed the associated performance specification
given. The candidate sampler must meet all specifications for the
associated PM2.5 method to pass this test procedure.
(b) Technical definition. Sample flow rate means the quantitative
volumetric flow rate of the air stream caused by the sampler to enter
the sampler inlet and pass through the sample filter, measured in actual
volume units at the temperature and pressure of the air as it enters the
inlet.
(c) Required test equipment. (1) Hypobaric chamber or other
pressure-controlled environment or environments, capable of obtaining
and maintaining pressures at 600 mm Hg and 800 mm Hg required for the
test with an accuracy of 5 mm Hg. Henceforth, where the test procedures
specify a test or environmental chamber, an alternative pressure-
controlled environmental area or areas may be substituted, provided the
test pressure requirements are met. Means for simulating ambient
pressure using a closed-loop sample air system may also be approved for
this test; such a proposed method for simulating the test pressure
conditions may be described and submitted to EPA at the address given in
Sec. 53.4(a) prior to conducting the test
[[Page 69]]
for a specific individual determination of acceptability.
(2) Flow rate meter, suitable for measuring and recording the actual
volumetric sampler flow rate at the sampler downtube, with a minimum
range of 10 to 25 L/min, 2 percent certified, NIST-traceable accuracy.
Optional capability for continuous (analog) recording capability or
digital recording at intervals not to exceed 5 minutes is recommended.
While a flow meter which provides a direct indication of volumetric flow
rate is preferred for this test, an alternative certified flow
measurement device may be used as long as appropriate volumetric flow
rate corrections are made based on measurements of actual ambient
temperature and pressure conditions.
(3) Ambient air temperature recorder (if needed for volumetric
corrections to flow rate measurements) with a range -30 deg.C to =50
deg.C, certified accurate to within 0.5 deg.C. If the certified flow
meter does not provide direct volumetric flow rate readings, ambient
temperature measurements must be made using continuous (analog)
recording capability or digital recording at intervals not to exceed 5
minutes.
(4) Barometer, range 600 mm Hg to 800 mm Hg, certified accurate to 2
mm Hg. Ambient air pressure measurements must be made using continuous
(analog) recording capability or digital recording at intervals not to
exceed 5 minutes.
(5) Flow measurement adaptor (40 CFR part 50, appendix L, figure L-
30) or equivalent adaptor to facilitate measurement of sampler flow rate
at the sampler downtube.
(6) Means for creating an additional pressure drop of 55 mm Hg in
the sampler to simulate a heavily loaded filter, such as an orifice or
flow restrictive plate installed in the filter holder or a valve or
other flow restrictor temporarily installed in the flow path near the
filter.
(7) Teflon sample filter, as specified in section 6 of 40 CFR part
50, appendix L (if required).
(d) Calibration of test measurement instruments. Submit
documentation showing evidence of appropriately recent calibration,
certification of calibration accuracy, and NIST-traceability (if
required) of all measurement instruments used in the tests. The accuracy
of flow rate meters shall be verified at the highest and lowest
pressures and temperatures used in the tests and shall be checked at
zero and at least one flow rate within 3 percent of 16.7 L/
min within 7 days prior to use for this test. Where an instrument's
measurements are to be recorded with an analog recording device, the
accuracy of the entire instrument-recorder system shall be calibrated or
verified.
(e) Test setup. (1) Setup of the sampler shall be performed as
required in this paragraph (e) and otherwise as described in the
sampler's operation or instruction manual referred to in
Sec. 53.4(b)(3). The sampler shall be installed upright and set up in
the pressure-controlled chamber in its normal configuration for
collecting PM2.5 samples. A sample filter and (or) the device
for creating an additional 55 mm Hg pressure drop shall be installed for
the duration of these tests. The sampler's ambient temperature, ambient
pressure, and flow measurement systems shall all be calibrated per the
sampler's operating manual within 7 days prior to this test.
(2) The inlet of the candidate sampler shall be removed and the flow
measurement adaptor installed on the sampler's downtube. A leak check as
described in the sampler's operation or instruction manual shall be
conducted and must be properly passed before other tests are carried
out.
(3) The inlet of the flow measurement adaptor shall be connected to
the outlet of the flow rate meter.
(4) The barometer shall be installed in the test chamber such that
it will accurately measure the air pressure to which the candidate
sampler is subjected.
(f) Procedure. (1) Set up the sampler as specified in paragraph (e)
of this section and otherwise prepare the sampler for normal sample
collection operation as directed in the sampler's operation or
instruction manual.
(2) The test shall consist of two test runs, one at each of the
following conditions of chamber pressure:
(i) 600 mm Hg.
(ii) 800 mm Hg.
[[Page 70]]
(3) For each of the two test runs, set the selected chamber pressure
for the test run. Upon achieving each pressure setpoint in the chamber,
the candidate sampler shall be pressure-equilibrated for a period of at
least 30 minutes prior to the test run. Following the conditioning time,
set the sampler to automatically start a 6-hour sample collection period
at a convenient time.
(4) During each 6-hour test period:
(i) Measure and record the sample flow rate with the flow rate meter
at intervals not to exceed 5 minutes. If ambient temperature and
pressure corrections are necessary to calculate volumetric flow rate,
ambient temperature and pressure shall be measured at the same frequency
as that of the certified flow rate measurements. Note and record the
actual start and stop times for the 6-hour flow rate test period.
(ii) Determine and record the ambient (chamber) pressure indicated
by the sampler and the corresponding ambient (chamber) pressure measured
by the barometer specified in paragraph (c)(4) of this section at
intervals not to exceed 5 minutes.
(5) At the end of each test period, terminate the sample period (if
not automatically terminated by the sampler) and download all archived
instrument data for the test run from the test sampler.
(g) Test results. For each of the two test runs, examine the chamber
pressure measurements. Verify that the pressure met the requirements
specified in paragraph (f) of this section at all times during the test.
If not, the test run is not valid and must be repeated. Determine the
test results as follows:
(1) Mean sample flow rate. (i) From the certified measurements
(Qref) of the test sampler flow rate, tabulate each flow rate
measurement in units of L/min. If ambient temperature and pressure
corrections are necessary to calculate volumetric flow rate, each
measured flow rate shall be corrected using its corresponding
temperature and pressure measurement values. Calculate the mean flow
rate for the sample period (Qref,ave) as follows:
Equation 17
[GRAPHIC] [TIFF OMITTED] TR18JY97.079
where:
n equals the number of discrete certified flow measurements over the 6-
hour test period.
(ii)(A) Calculate the percent difference between this mean flow rate
value and the design value of 16.67 L/min, as follows:
Equation 18
[GRAPHIC] [TIFF OMITTED] TR18JY97.080
(B) To successfully pass this test, the percent difference
calculated in Equation 18 of this paragraph (g)(1) must be within
5 percent for each test run.
(2) Sample flow rate regulation. (i) From the certified measurements
of the test sampler flow rate, calculate the sample coefficient of
variation of the discrete measurements as follows:
Equation 19
[GRAPHIC] [TIFF OMITTED] TR18JY97.081
(ii) To successfully pass this test, the calculated coefficient of
variation for the certified flow rates must not exceed 2 percent.
(3) Flow rate measurement accuracy. (i) Using the mean volumetric
flow rate reported by the candidate test sampler at the completion of
each 6-hour test (Qind,ave), determine the accuracy of the
reported mean flow rate as:
Equation 20
[GRAPHIC] [TIFF OMITTED] TR18JY97.082
(ii) To successfully pass this test, the percent difference
calculated in Equation 20 of this paragraph (g)(3) shall not exceed 2
percent for each test run.
[[Page 71]]
(4) Flow rate CV measurement accuracy. (i) Using the flow rate
coefficient of variation indicated by the candidate test sampler at the
completion of the 6-hour test (%CVind), determine the
accuracy of the reported coefficient of variation as:
Equation 21
[GRAPHIC] [TIFF OMITTED] TR18JY97.083
(ii) To successfully pass this test, the absolute difference in
values calculated in Equation 21 of this paragraph (g)(4) must not
exceed 0.3 (CV%) for each test run.
(5) Ambient pressure measurement accuracy. (i) Calculate the
absolute difference between the mean ambient air pressure indicated by
the test sampler and the ambient (chamber) air pressure measured with
the reference barometer as:
Equation 22
[GRAPHIC] [TIFF OMITTED] TR18JY97.084
where:
Pind,ave = mean ambient pressure indicated by the test
sampler, mm Hg; and
Pref,ave = mean barometric pressure measured by the reference
barometer, mm Hg.
(ii) The calculated pressure difference must be less than 10 mm Hg
for each test run to pass the test.
(6) Sampler functionality. To pass the sampler functionality test,
the following two conditions must both be met for each test run:
(i) The sampler must not shut down during any part of the 6-hour
tests; and
(ii) An inspection of the downloaded data from the test sampler
verifies that all the data are consistent with normal operation of the
sampler.
[62 FR 38799, July 18, 1997; 63 FR 7714, Feb. 17, 1998]
Sec. 53.57 Test for filter temperature control during sampling and
post-sampling periods.
(a) Overview. This test is intended to measure the candidate
sampler's ability to prevent excessive overheating of the
PM2.5 sample collection filter (or filters) under conditions
of elevated solar insolation. The test evaluates radiative effects on
filter temperature during a 4-hour period of active sampling as well as
during a subsequent 4-hour non-sampling time period prior to filter
retrieval. Tests shall be conducted in an environmental chamber which
provides the proper radiant wavelengths and energies to adequately
simulate the sun's radiant effects under clear conditions at sea level.
For additional guidance on conducting solar radiative tests under
controlled conditions, consult military standard specification 810-E
(reference 6 in appendix A of this subpart). The performance parameters
tested under this procedure, the corresponding minimum performance
specifications, and the applicable test conditions are summarized in
table E-1 of this subpart. Each performance parameter tested, as
described or determined in the test procedure, must meet or exceed the
associated performance specification to successfully pass this test.
(b) Technical definition. Filter temperature control during sampling
is the ability of a sampler to maintain the temperature of the
particulate matter sample filter within the specified deviation (5
deg.C) from ambient temperature during any active sampling period. Post-
sampling temperature control is the ability of a sampler to maintain the
temperature of the particulate matter sample filter within the specified
deviation from ambient temperature during the period from the end of
active sample collection of the PM2.5 sample by the sampler
until the filter is retrieved from the sampler for laboratory analysis.
(c) Required test equipment. (1) Environmental chamber providing the
means, such as a bank of solar-spectrum lamps, for generating or
simulating thermal radiation in approximate spectral content and
intensity equivalent to solar insolation of 1000 50 W/
m2 inside the environmental chamber. To properly simulate the
sun's radiative effects on the sampler, the solar bank must provide the
spectral energy distribution and permitted tolerances specified in table
E-2 of this subpart. The solar radiation source area shall be such that
the width of the candidate sampler shall not exceed one-half the
dimensions of the solar
[[Page 72]]
bank. The solar bank shall be located a minimum of 76 cm (30 inches)
from any surface of the candidate sampler. To meet requirements of the
solar radiation tests, the chamber's internal volume shall be a minimum
of 10 times that of the volume of the candidate sampler. Air velocity in
the region of the sampler must be maintained continuously during the
radiative tests at 2.0 0.5 m/sec.
(2) Ambient air temperature recorder, range -30 deg.C to =50
deg.C, with a resolution of 0.1 deg.C and certified accurate to within
0.5 deg.C. Ambient air temperature measurements must be made using
continuous (analog) recording capability or digital recording at
intervals not to exceed 5 minutes.
(3) Flow measurement adaptor (40 CFR part 50, appendix L, figure L-
30) or equivalent adaptor to facilitate measurement of sampler flow rate
at the sampler downtube.
(4) Miniature temperature sensor(s), capable of being installed in
the sampler without introducing air leakage and capable of measuring the
sample air temperature within 1 cm of the center of the filter,
downstream of the filter; with a resolution of 0.1 deg.C, certified
accurate to within 0.5 deg.C, NIST-traceable, with continuous (analog)
recording capability or digital recording at intervals of not more than
5 minutes.
(5) Solar radiometer, to measure the intensity of the simulated
solar radiation in the test environment, range of 0 to approximately
1500 W/m2. Optional capability for continuous (analog)
recording or digital recording at intervals not to exceed 5 minutes is
recommended.
(6) Sample filter or filters, as specified in section 6 of 40 CFR
part 50, appendix L.
(d) Calibration of test measurement instruments. Submit
documentation showing evidence of appropriately recent calibration,
certification of calibration accuracy, and NIST-traceability (if
required) of all measurement instruments used in the tests. The accuracy
of flow rate meters shall be verified at the highest and lowest
pressures and temperatures used in the tests and shall be checked at
zero and at least one flow rate within 3 percent of 16.7 L/
min within 7 days prior to use for this test. Where an instrument's
measurements are to be recorded with an analog recording device, the
accuracy of the entire instrument-recorder system shall be calibrated or
verified.
(e) Test setup. (1) Setup of the sampler shall be performed as
required in this paragraph (e) and otherwise as described in the
sampler's operation or instruction manual referred to in
Sec. 53.4(b)(3). The sampler shall be installed upright and set up in
the solar radiation environmental chamber in its normal configuration
for collecting PM2.5 samples (with the inlet installed). The
sampler's ambient and filter temperature measurement systems shall be
calibrated per the sampler's operating manual within 7 days prior to
this test. A sample filter shall be installed for the duration of this
test. For sequential samplers, a sample filter shall also be installed
in each available sequential channel or station intended for collection
of a sequential sample (or at least 5 additional filters for magazine-
type sequential samplers) as directed by the sampler's operation or
instruction manual.
(2) The miniature temperature sensor shall be temporarily installed
in the test sampler such that it accurately measures the air temperature
1 cm from the center of the filter on the downstream side of the filter.
The sensor shall be installed such that no external or internal air
leakage is created by the sensor installation. The sensor's dimensions
and installation shall be selected to minimize temperature measurement
uncertainties due to thermal conduction along the sensor mounting
structure or sensor conductors. For sequential samplers, similar
temperature sensors shall also be temporarily installed in the test
sampler to monitor the temperature 1 cm from the center of each filter
stored in the sampler for sequential sample operation.
(3) The solar radiant energy source shall be installed in the test
chamber such that the entire test sampler is irradiated in a manner
similar to the way it would be irradiated by solar radiation if it were
located outdoors in an open area on a sunny day, with the
[[Page 73]]
radiation arriving at an angle of between 30 deg. and 45 deg. from
vertical. The intensity of the radiation received by all sampler
surfaces that receive direct radiation shall average 1000 50
W/m2, measured in a plane perpendicular to the incident
radiation. The incident radiation shall be oriented with respect to the
sampler such that the area of the sampler's ambient temperature sensor
(or temperature shield) receives full, direct radiation as it would or
could during normal outdoor installation. Also, the temperature sensor
must not be shielded or shaded from the radiation by a sampler part in a
way that would not occur at other normal insolation angles or
directions.
(4) The solar radiometer shall be installed in a location where it
measures thermal radiation that is generally representative of the
average thermal radiation intensity that the upper portion of the
sampler and sampler inlet receive. The solar radiometer shall be
oriented so that it measures the radiation in a plane perpendicular to
its angle of incidence.
(5) The ambient air temperature recorder shall be installed in the
test chamber such that it will accurately measure the temperature of the
air in the chamber without being unduly affected by the chamber's air
temperature control system or by the radiant energy from the solar
radiation source that may be present inside the test chamber.
(f) Procedure. (1) Set up the sampler as specified in paragraph (e)
of this section and otherwise prepare the sampler for normal sample
collection operation as directed in the sampler's operation or
instruction manual.
(2) Remove the inlet of the candidate test sampler and install the
flow measurement adaptor on the sampler's downtube. Conduct a leak check
as described in the sampler's operation or instruction manual. The leak
test must be properly passed before other tests are carried out.
(3) Remove the flow measurement adaptor from the downtube and re-
install the sampling inlet.
(4) Activate the solar radiation source and verify that the
resulting energy distribution prescribed in table E-2 of this subpart is
achieved.
(5) Program the test sampler to conduct a single sampling run of 4
continuous hours. During the 4-hour sampling run, measure and record the
radiant flux, ambient temperature, and filter temperature (all filter
temperatures for sequential samplers) at intervals not to exceed 5
minutes.
(6) At the completion of the 4-hour sampling phase, terminate the
sample period, if not terminated automatically by the sampler. Continue
to measure and record the radiant flux, ambient temperature, and filter
temperature or temperatures for 4 additional hours at intervals not to
exceed 5 minutes. At the completion of the 4-hour post-sampling period,
discontinue the measurements and turn off the solar source.
(7) Download all archived sampler data from the test run.
(g) Test results. Chamber radiant flux control. Examine the
continuous record of the chamber radiant flux and verify that the flux
met the requirements specified in table E-2 of this subpart at all times
during the test. If not, the entire test is not valid and must be
repeated.
(1) Filter temperature measurement accuracy. (i) For each 4-hour
test period, calculate the absolute value of the difference between the
mean filter temperature indicated by the sampler (active filter) and the
mean filter temperature measured by the reference temperature sensor
installed within 1 cm downstream of the (active) filter as:
Equation 23
[GRAPHIC] [TIFF OMITTED] TR18JY97.085
where:
Tind,filter = mean filter temperature indicated by the test
sampler, deg.C; and
Tref,filter = mean filter temperature measured by the
reference temperature sensor, deg.C.
(ii) To successfully pass the indicated filter temperature accuracy
test, the calculated difference between the measured means
(Tdiff,filter) must not exceed 2 deg.C for each 4-hour test
period.
(2) Ambient temperature measurement accuracy. (i) For each 4-hour
test period, calculate the absolute value of the difference between the
mean ambient air temperature indicated by the
[[Page 74]]
test sampler and the mean ambient air temperature measured by the
reference ambient air temperature recorder as:
Equation 24
[GRAPHIC] [TIFF OMITTED] TR18JY97.086
where:
Tind,ambient = mean ambient air temperature indicated by the
test sampler, deg.C; and
Tref,ambient = mean ambient air temperature measured by the
reference ambient air temperature recorder, deg.C.
(ii) To successfully pass the indicated ambient temperature accuracy
test, the calculated difference between the measured means
(Tdiff,ambient) must not exceed 2 deg.C for each 4-hour test
period.
(3) Filter temperature control accuracy. (i) For each temperature
measurement interval over each 4-hour test period, calculate the
difference between the filter temperature indicated by the reference
temperature sensor and the ambient temperature indicated by the test
sampler as:
Equation 25
[GRAPHIC] [TIFF OMITTED] TR18JY97.087
(ii) Tabulate and inspect the calculated differences as a function
of time. To successfully pass the indicated filter temperature control
test, the calculated difference between the measured values must not
exceed 5 deg.C for any consecutive intervals covering more than a 30-
minute time period.
(iii) For sequential samplers, repeat the test calculations for each
of the stored sequential sample filters. All stored filters must also
meet the 5 deg.C temperature control test.
[62 FR 38799, July 18, 1997; 63 FR 7714, Feb. 17, 1998]
Sec. 53.58 Operational field precision and blank test.
(a) Overview. This test is intended to determine the operational
precision of the candidate sampler during a minimum of 10 days of field
operation, using three collocated test samplers. Measurements of
PM2.5 are made at a test site with all of the samplers and
then compared to determine replicate precision. Candidate sequential
samplers are also subject to a test for possible deposition of
particulate matter on inactive filters during a period of storage in the
sampler. This procedure is applicable to both reference and equivalent
methods. In the case of equivalent methods, this test may be combined
and conducted concurrently with the comparability test for equivalent
methods (described in subpart C of this part), using three reference
method samplers collocated with three candidate equivalent method
samplers and meeting the applicable site and other requirements of
subpart C of this part.
(b) Technical definition. (1) Field precision is defined as the
standard deviation or relative standard deviation of a set of
PM2.5 measurements obtained concurrently with three or more
collocated samplers in actual ambient air field operation.
(2) Storage deposition is defined as the mass of material
inadvertently deposited on a sample filter that is stored in a
sequential sampler either prior to or subsequent to the active sample
collection period.
(c) Test site. Any outdoor test site having PM2.5
concentrations that are reasonably uniform over the test area and that
meet the minimum level requirement of paragraph (g)(2) of this section
is acceptable for this test.
(d) Required facilities and equipment. (1) An appropriate test site
and suitable electrical power to accommodate three test samplers are
required.
(2) Teflon sample filters, as specified in section 6 of 40 CFR part
50, appendix L, conditioned and preweighed as required by section 8 of
40 CFR part 50, appendix L, as needed for the test samples.
(e) Test setup. (1) Three identical test samplers shall be installed
at the test site in their normal configuration for collecting
PM2.5 samples in accordance with the instructions in the
associated manual referred to in Sec. 53.4(b)(3) and should be in
accordance with applicable supplemental guidance provided in reference 3
in appendix A of this subpart. The test samplers' inlet openings shall
be located at the same height above ground and between 2 and 4 meters
apart horizontally. The samplers shall be arranged or oriented in a
manner that will minimize the spatial and
[[Page 75]]
wind directional effects on sample collection of one sampler on any
other sampler.
(2) Each test sampler shall be successfully leak checked,
calibrated, and set up for normal operation in accordance with the
instruction manual and with any applicable supplemental guidance
provided in reference 3 in appendix A of this subpart.
(f) Test procedure. (1) Install a conditioned, preweighed filter in
each test sampler and otherwise prepare each sampler for normal sample
collection. Set identical sample collection start and stop times for
each sampler. For sequential samplers, install a conditioned, preweighed
specified filter in each available channel or station intended for
automatic sequential sample filter collection (or at least 5 additional
filters for magazine-type sequential samplers), as directed by the
sampler's operation or instruction manual. Since the inactive sequential
channels are used for the storage deposition part of the test, they may
not be used to collect the active PM2.5 test samples.
(2) Collect either a 24-hour or a 48-hour atmospheric
PM2.5 sample simultaneously with each of the three test
samplers.
(3) Following sample collection, retrieve the collected sample from
each sampler. For sequential samplers, retrieve the additional stored
(blank, unsampled) filters after at least 5 days (120 hours) storage in
the sampler if the active samples are 24-hour samples, or after at least
10 days (240 hours) if the active samples are 48-hour samples.
(4) Determine the measured PM2.5 mass concentration for
each sample in accordance with the applicable procedures prescribed for
the candidate method in appendix L, 40 CFR part 50 of this chapter, in
the associated manual referred to in Sec. 53.4(b)(3) and in accordance
with supplemental guidance in reference 2 in appendix A of this subpart.
For sequential samplers, also similarly determine the storage deposition
as the net weight gain of each blank, unsampled filter after the 5-day
(or 10-day) period of storage in the sampler.
(5) Repeat this procedure to obtain a total of 10 sets of any
combination of 24-hour or 48-hour PM2.5 measurements over 10
test periods. For sequential samplers, repeat the 5-day (or 10-day)
storage test of additional blank filters once for a total of two sets of
blank filters.
(g) Calculations. (1) Record the PM2.5 concentration for
each test sampler for each test period as Ci,j, where i is
the sampler number (i = 1,2,3) and j is the test period (j = 1,2, . . .
10).
(2)(i) For each test period, calculate and record the average of the
three measured PM2.5 concentrations as Cj where j
is the test period:
Equation 26
[GRAPHIC] [TIFF OMITTED] TR18JY97.088
(ii) If Cave,j < 10 [mu]g/m3 for any test
period, data from that test period are unacceptable, and an additional
sample collection set must be obtained to replace the unacceptable data.
(3)(i) Calculate and record the precision for each of the 10 test
days as:
Equation 27
[GRAPHIC] [TIFF OMITTED] TR18JY97.089
(ii) If Cave,j is below 40 [mu]g/m3 for 24-
hour measurements or below 30 [mu]g/m3 for 48-hour
measurements; or
Equation 28
[GRAPHIC] [TIFF OMITTED] TR18JY97.090
(iii) If Cave,j is above 40 [mu]g/m3 for 24-
hour measurements or above 30 [mu]g/m3 for 48-hour
measurements.
(h) Test results. (1) The candidate method passes the precision test
if all 10 Pj or RPj values meet the specifications
in table E-1 of this subpart.
(2) The candidate sequential sampler passes the blank filter storage
deposition test if the average net storage deposition weight gain of
each set of blank filters (total of the net weight gain of
[[Page 76]]
each blank filter divided by the number of filters in the set) from each
test sampler (six sets in all) is less than 50 [mu]g.
Sec. 53.59 Aerosol transport test for Class I equivalent method
samplers.
(a) Overview. This test is intended to verify adequate aerosol
transport through any modified or air flow splitting components that may
be used in a Class I candidate equivalent method sampler such as may be
necessary to achieve sequential sampling capability. This test is
applicable to all Class I candidate samplers in which the aerosol flow
path (the flow path through which sample air passes upstream of sample
collection filter) differs from that specified for reference method
samplers as specified in 40 CFR part 50, appendix L. The test
requirements and performance specifications for this test are summarized
in table E-1 of this subpart.
(b) Technical definitions. (1) Aerosol transport is the percentage
of a laboratory challenge aerosol which penetrates to the active sample
filter of the candidate equivalent method sampler.
(2) The active sample filter is the exclusive filter through which
sample air is flowing during performance of this test.
(3) A no-flow filter is a sample filter through which no sample air
is intended to flow during performance of this test.
(4) A channel is any of two or more flow paths that the aerosol may
take, only one of which may be active at a time.
(5) An added component is any physical part of the sampler which is
different in some way from that specified for a reference method sampler
in 40 CFR part 50, appendix L, such as a device or means to allow or
cause the aerosol to be routed to one of several channels.
(c) Required facilities and test equipment. (1) Aerosol generation
system, as specified in Sec. 53.62(c)(2).
(2) Aerosol delivery system, as specified in Sec. 53.64(c)(2).
(3) Particle size verification equipment, as specified in
Sec. 53.62(c)(3).
(4) Fluorometer, as specified in Sec. 53.62(c)(7).
(5) Candidate test sampler, with the inlet and impactor or impactors
removed, and with all internal surfaces of added components electroless
nickel coated as specified in Sec. 53.64(d)(2).
(6) Filters that are appropriate for use with fluorometric methods
(e.g., glass fiber).
(d) Calibration of test measurement instruments. Submit
documentation showing evidence of appropriately recent calibration,
certification of calibration accuracy, and NIST-traceability (if
required) of all measurement instruments used in the tests. The accuracy
of flow rate meters shall be verified at the highest and lowest
pressures and temperatures used in the tests and shall be checked at
zero and at least one flow rate within 3 percent of 16.7 L/
min within 7 days prior to use for this test. Where an instrument's
measurements are to be recorded with an analog recording device, the
accuracy of the entire instrument-recorder system shall be calibrated or
verified.
(e) Test setup. (1) The candidate test sampler shall have its inlet
and impactor or impactors removed. The lower end of the down tube shall
be reconnected to the filter holder, using an extension of the downtube,
if necessary. If the candidate sampler has a separate impactor for each
channel, then for this test, the filter holder assemblies must be
connected to the physical location on the sampler where the impactors
would normally connect.
(2) The test particle delivery system shall be connected to the
sampler downtube so that the test aerosol is introduced at the top of
the downtube.
(f) Test procedure. (1) All surfaces of the added or modified
component or components which come in contact with the aerosol flow
shall be thoroughly washed with 0.01 N NaOH and then dried.
(2) Generate aerosol. (i) Generate aerosol composed of oleic acid
with a uranine fluorometric tag of 3 0.25 [mu]m aerodynamic
diameter using a vibrating orifice aerosol generator according to
conventions specified in Sec. 53.61(g).
(ii) Check for the presence of satellites and adjust the generator
to minimize their production.
[[Page 77]]
(iii) Calculate the aerodynamic particle size using the operating
parameters of the vibrating orifice aerosol generator. The calculated
aerodynamic diameter must be 3 0.25 [mu]m aerodynamic
diameter.
(3) Verify the particle size according to procedures specified in
Sec. 53.62(d)(4)(i).
(4) Collect particles on filters for a time period such that the
relative error of the resulting measured fluorometric concentration for
the active filter is less than 5 percent.
(5) Determine the quantity of material collected on the active
filter using a calibrated fluorometer. Record the mass of fluorometric
material for the active filter as Mactive (i) where i = the
active channel number.
(6) Determine the quantity of material collected on each no-flow
filter using a calibrated fluorometer. Record the mass of fluorometric
material on each no-flow filter as Mno-flow.
(7) Using 0.01 N NaOH, wash the surfaces of the added component or
components which contact the aerosol flow. Determine the quantity of
material collected using a calibrated fluorometer. Record the mass of
fluorometric material collected in the wash as Mwash.
(8) Calculate the aerosol transport as:
Equation 29
[GRAPHIC] [TIFF OMITTED] TR18JY97.091
where:
i = the active channel number.
(9) Repeat paragraphs (f)(1) through (8) of this section for each
channel, making each channel in turn the exclusive active channel.
(g) Test results. The candidate Class I sampler passes the aerosol
transport test if T(i) is at least 97 percent for each
channel.
Table E-1 to Subpart E of Part 53--Summary of Test Requirements for
Reference and Class I Equivalent Methods for PM2.5
----------------------------------------------------------------------------------------------------------------
Part 50,
Subpart E Procedure Performance Test Performance Test Conditions Appendix L
Specification Reference
----------------------------------------------------------------------------------------------------------------
Sec. 53.52 Sampler leak check Sampler leak check External leakage: Controlled leak Sec. 7.4.6
test. facility 80 mL/min, max flow rate of 80
Internal leakage: mL/min
80 mL/min, max
----------------------------------------------------------------------------------------------------------------
Sec. 53.53 Base flow rate test... Sample flow rate: 1. 16.67 5%, L/min operational test Sec. 7.4.2
2. Regulation 2. 2%, max plus flow rate Sec. 7.4.3
3. Meas. accuracy 3. 2%, max cut-off test Sec. 7.4.4
4. CV accuracy 4. 0.3%, max (b) Nominal Sec. 7.4.5
5. Cut-off 5. Flow rate cut- conditions
off if flow rate (c) Additional 55
deviates more mm Hg pressure
than 10% from drop to simulate
design flow rate loaded filter
for 60 restriction used
30 seconds for cut-off test
----------------------------------------------------------------------------------------------------------------
Sec. 53.54 Power interruption Sample flow rate: 1. 16.675%, L/min operational test Sec. 7.4.2
2. Regulation 2. 2%, max (b) Nominal Sec. 7.4.3
3. Meas. accuracy 3. 2%, max conditions Sec. 7.4.5
4. CV accuracy 4. 0.3%, max (c) Additional 55 Sec. 7.4.12
5. Occurrence time 5. 2 mm Hg pressure Sec. 7.4.13
of power min if 60 seconds loaded filter Sec. 7.4.15.5
6. Elapsed sample 6. 20 (d) 6 power
time seconds interruptions of
7. Sample volume 7. 2%, various durations
max
----------------------------------------------------------------------------------------------------------------
[[Page 78]]
Sec. 53.55 Temperature and line Sample flow rate: 1. 16.675%, L/min operational test Sec. 7.4.2
2. Regulation 2. 2 %, max (b) Nominal Sec. 7.4.3
3. Meas. accuracy 3. 2 %, max conditions Sec. 7.4.5
4. CV accuracy 4. 0.3 %, max (c) Additional 55 Sec. 7.4.8
5. Temperature 5. 2 deg.C mm Hg pressure Sec. 7.4.15.1
meas. accuracy drop to simulate
6. Proper operation loaded filter
(d) Ambient
temperature at -
20 and +40 deg.C
(e) Line voltage:
105 Vac to 125
Vac
----------------------------------------------------------------------------------------------------------------
Sec. 53.56 Barometric pressure Sample flow rate: 1. 16.675%, L/min operational test Sec. 7.4.2
2. Regulation 2. 2%, max (b) Nominal Sec. 7.4.3
3. Meas. accuracy 3. 2%, max conditions Sec. 7.4.5
4. CV accuracy 4. 0.3%, max (c) Additional 55 Sec. 7.4.9
5. Pressure meas. 5. 10 mm Hg mm Hg pressure
accuracy drop to simulate
6. Proper operation loaded filter
(d) Barometric
pressure at 600
and 800 mm Hg.
----------------------------------------------------------------------------------------------------------------
Sec. 53.57 Filter temperature 1. Filter temp 1. 2 deg.C (a) 4-hour Sec. 7.4.8
control test. meas. accuracy 2. 2 deg.C simulated solar Sec. 7.4.10
2. Ambient temp. 3. Not more than 5 radiation, Sec. 7.4.11
meas. accuracy deg.C above sampling
3. Filter temp ambient temp. for (b) 4-hour
control accuracy, more than 30 min simulated solar
sampling and non- radiation, non-
sampling sampling
(c) Solar flux of
10005
0W/m2
----------------------------------------------------------------------------------------------------------------
Sec. 53.58 Field precision test.. 1. Measurement 1. Pj <2 [mu]g/m3 (a) 3 collocated Sec. 5.1
precision for conc. <40 samplers at 1 Sec. 7.3.5
2. Storage [mu]g/m3 (24-hr) site for at least Sec. 8
deposition test or <30 [mu]g/m3 10 days Sec. 9
for sequential (48-hr); or (b) PM2.5 Sec. 10
samplers RPj < 5% for conc. conc.[ge]10 [mu]g/
>40 [mu]g/m3 (24- m3
hr) or >30 [mu]g/ (c) 24- or 48-hour
m3 (48-hr) samples
2. 50 [mu]g, max (d) 5- or 10-day
weight gain storage period
for inactive
stored filters
----------------------------------------------------------------------------------------------------------------
The Following Requirement is Applicable to Candidate Equivalent Methods Only
----------------------------------------------------------------------------------------------------------------
Sec. 53.59 Aerosol transport test Aerosol transport 97%, min, for all Determine aerosol
channels transport through
any new or
modified
components with
respect to the
reference method
sampler before
the filter for
each channel.
----------------------------------------------------------------------------------------------------------------
[62 FR 38799, July 18, 1997; 63 FR 7714, Feb. 17, 1998]
Table E-2 to Subpart E of Part 53--Spectral Energy Distribution and
Permitted Tolerance for Conducting Radiative Tests
------------------------------------------------------------------------
Spectral Region
Characteristic -----------------------------------------------------
Ultraviolet Visible Infrared
------------------------------------------------------------------------
Bandwidth ([mu]m) 0.28 to 0.32 0.40 to 0.78 0.78 to 3.00
0.32 to 0.40
Irradiance (W/m2) 5 450 to 550 439
56
Allowed Tolerance 35% 10%
, Rev.
Y N NA to Sections of 40 CFR Part 53 or , Rev.
40 CFR Part 50, Appendix L Date)
------------------------------------------------------------------------
Performance Specification Tests
Sample flow rate coefficient of
variation (Sec. 53.53) (L-
7.4.3)
------------------------------------------------------------------------
Filter temperature control
(sampling) (Sec. 53.57) (L-
7.4.10)
------------------------------------------------------------------------
Elapsed sample time accuracy
(Sec. 53.54) (L-7.4.13)
------------------------------------------------------------------------
Filter temperature control (post
sampling) (Sec. 53.57) (L-
7.4.10)
------------------------------------------------------------------------
Application Specification Tests
------------------------------------------------------------------------
Field Precision (Sec. 53.58) (L-
5.1)
------------------------------------------------------------------------
Meets all Appendix L
requirements (part 53, subpart
A, Sec. 53.2(a)(3)) (part 53,
subpart E, Sec. 53.51(a),(d))
------------------------------------------------------------------------
Filter Weighing (L-8)
------------------------------------------------------------------------
Field Sampling Procedure (Sec.
53.30, .31, .34)
------------------------------------------------------------------------
Design Specification Tests
------------------------------------------------------------------------
Filter ( L-6)
------------------------------------------------------------------------
Range of Operational Conditions
(L-7.4.7)
------------------------------------------------------------------------
The Following Requirements Apply Only to Class I Candidate Equivalent
Methods
------------------------------------------------------------------------
Aerosol Transport (Sec. 53.59)
------------------------------------------------------------------------
Figure E-2 to Subpart E of Part 53--Product Manufacturing Checklist
PRODUCT MANUFACTURING CHECKLIST
-------------------- -------------------- --
------------------
Auditee Auditor signature
Date
------------------------------------------------------------------------
Compliance Status: Y = Yes N = No NA = Not Verification
applicable/Not available Comments
------------------------------------------------------ (Includes
Verification Verified by Direct Observation documentation of
-------------------- of Process or of Documented who, what, where,
Evidence: Performance, Design or when, why) (Doc.
Application Spec. Corresponding , Rev.
Y N NA to Sections of 40 CFR Part 53 or , Rev.
40 CFR Part 50, Appendix L Date)
------------------------------------------------------------------------
Performance Specification Tests
------------------------------------------------------------------------
Assembled operational
performance (Burn-in test)
(Sec. 53.53)
------------------------------------------------------------------------
Sample flow rate (Sec. 53.53)
(L-7.4.1, L-7.4.2)
------------------------------------------------------------------------
Sample flow rate regulation
(Sec. 53.53) (L-7.4.3)
------------------------------------------------------------------------
Flow rate and average flow
rate measurement accuracy (Sec.
53.53) (L-7.4.5)
------------------------------------------------------------------------
Ambient air temperature
measurement accuracy (Sec.
53.55) (L-7.4.8)
------------------------------------------------------------------------
Ambient barometric pressure
measurement accuracy (Sec.
53.56) (L-7.4.9)
------------------------------------------------------------------------
Sample flow rate cut-off (Sec.
53.53) (L-7.4.4)
------------------------------------------------------------------------
Sampler leak check facility
(Sec. 53.52) (L-7.4.6)
------------------------------------------------------------------------
Application Specification
Tests
------------------------------------------------------------------------
Flow rate calibration transfer
standard (L-9.2)
------------------------------------------------------------------------
Operational /Instructional
manual (L-7.4.18)
------------------------------------------------------------------------
[[Page 80]]
Design Specification Tests
------------------------------------------------------------------------
Impactor (jet width) (Sec.
53.51(d)(1)) (L-7.3.4.1)
------------------------------------------------------------------------
Surface finish (Sec. 53.51(
d)(2)) (L-7.3.7)
------------------------------------------------------------------------
Appendix A to Subpart E of Part 53--References
(1) Quality systems--Model for quality assurance in design,
development, production, installation and servicing, ISO 9001. July
1994. Available from American Society for Quality Control, 611 East
Wisconsin Avenue, Milwaukee, WI 53202.
(2) American National Standard--Specifications and Guidelines for
Quality Systems for Environmental Data Collection and Environmental
Technology Programs. ANSI/ASQC E4-1994. January 1995. Available from
American Society for Quality Control, 611 East Wisconsin Avenue,
Milwaukee, WI 53202.
(3) Copies of section 2.12 of the Quality Assurance Handbook for Air
Pollution Measurement Systems, Volume II, Ambient Air Specific Methods,
EPA/600/R-94/038b, are available from Department E (MD-77B), U.S. EPA,
Research Triangle Park, NC 27711.
(4) Military standard specification (mil. spec.) 8625F, Type II,
Class 1 as listed in Department of Defense Index of Specifications and
Standards (DODISS), available from DODSSP-Customer Service,
Standardization Documents Order Desk, 700 Robbins Avenue, Building 4D,
Philadelphia, PA 1911-5094.
(5) Quality Assurance Handbook for Air Pollution Measurement
Systems, Volume IV: Meteorological Measurements. Revised March, 1995.
EPA-600/R-94-038d. Available from U.S. EPA, ORD Publications Office,
Center for Environmental Research Information (CERI), 26 West Martin
Luther King Drive, Cincinnati, Ohio 45268-1072 (513-569-7562).
(6) Military standard specification (mil. spec.) 810-E as listed in
Department of Defense Index of Specifications and Standards (DODISS),
available from DODSSP-Customer Service, Standardization Documents Order
Desk, 700 Robbins Avenue, Building 4D, Philadelphia, PA 1911-5094.
Subpart F--Procedures for Testing Performance Characteristics of Class
II Equivalent Methods for PM2.5
Source: 62 FR 38814, July 18, 1997, unless otherwise noted.
Sec. 53.60 General provisions.
(a) This subpart sets forth the specific requirements that a
PM2.5 sampler associated with a candidate Class II equivalent
method must meet to be designated as an equivalent method for
PM2.5. This subpart also sets forth the explicit test
procedures that must be carried out and the test results, evidence,
documentation, and other materials that must be provided to EPA to
demonstrate that a sampler meets all specified requirements for
designation as an equivalent method.
(b) A candidate method described in an application for a reference
or equivalent method application submitted under Sec. 53.4 shall be
determined by the EPA to be a Class II candidate equivalent method on
the basis of the definition of a Class II equivalent method given in
Sec. 53.1.
(c) Any sampler associated with a Class II candidate equivalent
method (Class II sampler) must meet all requirements for reference
method samplers and Class I equivalent method samplers specified in
subpart E of this part, as appropriate. In addition, a Class II sampler
must meet the additional requirements as specified in paragraph (d) of
this section.
[[Page 81]]
(d) Except as provided in paragraphs (d) (1), (2), and (3) of this
section, all Class II samplers are subject to the additional tests and
performance requirements specified in Sec. 53.62 (full wind tunnel
test), Sec. 53.65 (loading test), and Sec. 53.66 (volatility test).
Alternative tests and performance requirements, as described in
paragraphs (d)(1), (2), and (3) of this section, are optionally
available for certain Class II samplers which meet the requirements for
reference method or Class I samplers given in 40 CFR part 50, appendix
L, and in subpart E of this part, except for specific deviations of the
inlet, fractionator, or filter.
(1) Inlet deviation. A sampler which has been determined to be a
Class II sampler solely because the design or construction of its inlet
deviates from the design or construction of the inlet specified in 40
CFR part 50, appendix L, for reference method samplers shall not be
subject to the requirements of Sec. 53.62 (full wind tunnel test),
provided that it meets all requirements of Sec. 53.63 (wind tunnel inlet
aspiration test), Sec. 53.65 (loading test), and Sec. 53.66 (volatility
test).
(2) Fractionator deviation. A sampler which has been determined to
be a Class II sampler solely because the design or construction of its
particle size fractionator deviates from the design or construction of
the particle size fractionator specified in 40 CFR part 50, appendix L
for reference method samplers shall not be subject to the requirements
of Sec. 53.62 (full wind tunnel test), provided that it meets all
requirements of Sec. 53.64 (static fractionator test), Sec. 53.65
(loading test), and Sec. 53.66 (volatility test).
(3) Filter size deviation. A sampler which has been determined to be
a Class II sampler solely because its effective filtration area deviates
from that of the reference method filter specified in 40 CFR part 50,
appendix L, for reference method samplers shall not be subject to the
requirements of Sec. 53.62 (full wind tunnel test) nor Sec. 53.65
(loading test), provided it meets all requirements of Sec. 53.66
(volatility test).
(e) The test specifications and acceptance criteria for each test
are summarized in table F-1 of this subpart. The candidate sampler must
demonstrate performance that meets the acceptance criteria for each
applicable test to be designated as an equivalent method.
(f) Overview of various test procedures for Class II samplers--(1)
Full wind tunnel test. This test procedure is designed to ensure that
the candidate sampler's effectiveness (aspiration of an ambient aerosol
and penetration of the sub 2.5-micron fraction to its sample filter)
will be comparable to that of a reference method sampler. The candidate
sampler is challenged at wind speeds of 2 and 24 km/hr with monodisperse
aerosols of the size specified in table F-2 of this subpart. The
experimental test results are then integrated with three idealized
ambient distributions (typical, fine, and coarse) to yield the expected
mass concentration measurement for each. The acceptance criteria are
based on the results of this numerical analysis and the particle
diameter for which the sampler effectiveness is 50 percent.
(2) Wind tunnel inlet aspiration test. The wind tunnel inlet
aspiration test directly compares the inlet of the candidate sampler to
the inlet of a reference method sampler with the single-sized, liquid,
monodisperse challenge aerosol specified in table F-2 of this subpart at
wind speeds of 2 km/hr and 24 km/hr. The acceptance criteria, presented
in table F-1 of this subpart, is based on the relative aspiration
between the candidate inlet and the reference method inlet.
(3) Static fractionator test. The static fractionator test
determines the effectiveness of the candidate sampler's 2.5-micron
fractionator under static conditions for aerosols of the size specified
in table F-2 of this subpart. The numerical analysis procedures and
acceptance criteria are identical to those in the full wind tunnel test.
(4) Loading test. The loading test is conducted to ensure that the
performance of a candidate sampler is not significantly affected by the
amount of particulate deposited on its interior surfaces between
periodic cleanings. The candidate sampler is artificially loaded by
sampling a test environment containing aerosolized, standard test dust.
The duration of the loading phase is dependent on both the time between
cleaning as specified by the candidate
[[Page 82]]
method and the aerosol mass concentration in the test environment. After
loading, the candidate's performance must then be evaluated by
Sec. 53.62 (full wind tunnel evaluation), Sec. 53.64 (wind tunnel inlet
aspiration test), or Sec. 53.64 (static fractionator test). If the
results of the appropriate test meet the criteria presented in table F-1
of this subpart, then the candidate sampler passes the loading test
under the condition that it be cleaned at least as often as the cleaning
frequency proposed by the candidate method and that has been
demonstrated to be acceptable by this test.
(5) Volatility test. The volatility test challenges the candidate
sampler with a polydisperse, semi-volatile liquid aerosol. This aerosol
is simultaneously sampled by the candidate method sampler and a
reference method sampler for a specified time period. Clean air is then
passed through the samplers during a blow-off time period. Residual mass
is then calculated as the weight of the filter after the blow-off phase
is subtracted from the initial weight of the filter. Acceptance criteria
are based on a comparison of the residual mass measured by the candidate
sampler (corrected for flow rate variations from that of the reference
method) to the residual mass measured by the reference method sampler
for several specified clean air sampling time periods.
(g) Test data. All test data and other documentation obtained from
or pertinent to these tests shall be identified, dated, signed by the
analyst performing the test, and submitted to EPA as part of the
equivalent method application. Schematic drawings of each particle
delivery system and other information showing complete procedural
details of the test atmosphere generation, verification, and delivery
techniques for each test performed shall be submitted to EPA. All
pertinent calculations shall be clearly presented. In addition,
manufacturers are required to submit as part of the application, a
Designation Testing Checklist (Figure F-1 of this subpart) which has
been completed and signed by an ISO-certified auditor.
Sec. 53.61 Test conditions for PM2.5 reference method
equivalency.
(a) Sampler surface preparation. Internal surfaces of the candidate
sampler shall be cleaned and dried prior to performing any Class II
sampler test in this subpart. The internal collection surfaces of the
sampler shall then be prepared in strict accordance with the operating
instructions specified in the sampler's operating manual referred to in
section 7.4.18 of 40 CFR part 50, appendix L.
(b) Sampler setup. Set up and start up of all test samplers shall be
in strict accordance with the operating instructions specified in the
manual referred to in section 7.4.18 of 40 CFR part 50, appendix L,
unless otherwise specified within this subpart.
(c) Sampler adjustments. Once the test sampler or samplers have been
set up and the performance tests started, manual adjustment shall be
permitted only between test points for all applicable tests. Manual
adjustments and any periodic maintenance shall be limited to only those
procedures prescribed in the manual referred to in section 7.4.18 of 40
CFR part 50, appendix L. The submitted records shall clearly indicate
when any manual adjustment or periodic maintenance was made and shall
describe the operations performed.
(d) Sampler malfunctions. If a test sampler malfunctions during any
of the applicable tests, that test run shall be repeated. A detailed
explanation of all malfunctions and the remedial actions taken shall be
submitted as part of the equivalent method application.
(e) Particle concentration measurements. All measurements of
particle concentration must be made such that the relative error in
measurement is less than 5.0 percent. Relative error is defined as (s x
100 percent)/(X), where s is the sample standard deviation of the
particle concentration detector, X is the measured concentration, and
the units of s and X are identical.
(f) Operation of test measurement equipment. All test measurement
equipment shall be set up, calibrated, and maintained by qualified
personnel according to the manufacturer's instructions. All appropriate
calibration information
[[Page 83]]
and manuals for this equipment shall be kept on file.
(g) Vibrating orifice aerosol generator conventions. This section
prescribes conventions regarding the use of the vibrating orifice
aerosol generator (VOAG) for the size-selective performance tests
outlined in Secs. 53.62, 53.63, 53.64, and 53.65.
(1) Particle aerodynamic diameter. The VOAG produces near-
monodisperse droplets through the controlled breakup of a liquid jet.
When the liquid solution consists of a non-volatile solute dissolved in
a volatile solvent, the droplets dry to form particles of near-
monodisperse size.
(i) The physical diameter of a generated spherical particle can be
calculated from the operating parameters of the VOAG as:
Equation 1
[GRAPHIC] [TIFF OMITTED] TR18JY97.094
where:
Dp = particle physical diameter, [mu]m;
Q = liquid volumetric flow rate, [mu]m3/sec;
Cvol = volume concentration (particle volume produced per
drop volume), dimensionless; and
f = frequency of applied vibrational signal, 1/sec.
(ii) A given particle's aerodynamic behavior is a function of its
physical particle size, particle shape, and density. Aerodynamic
diameter is defined as the diameter of a unit density ([rho]o
= 1g/cm3) sphere having the same settling velocity as the
particle under consideration. For converting a spherical particle of
known density to aerodynamic diameter, the governing relationship is:
Equation 2
[GRAPHIC] [TIFF OMITTED] TR18JY97.095
where:
Dae = particle aerodynamic diameter, [mu]m;
[rho]p = particle density, g/cm3;
[rho]o = aerodynamic particle density = 1 g/cm3;
CDp = Cunningham's slip correction factor for physical
particle diameter, dimensionless; and
CDae = Cunningham's slip correction factor for aerodynamic
particle diameter, dimensionless.
(iii) At room temperature and standard pressure, the Cunningham's
slip correction factor is solely a function of particle diameter:
Equation 3
[GRAPHIC] [TIFF OMITTED] TR18JY97.096
or
Equation 4
[GRAPHIC] [TIFF OMITTED] TR18JY97.097
(iv) Since the slip correction factor is itself a function of
particle diameter, the aerodynamic diameter in equation 2 of paragraph
(g)(1)(ii) of this section cannot be solved directly but must be
determined by iteration.
(2) Solid particle generation. (i) Solid particle tests performed in
this subpart shall be conducted using particles composed of ammonium
fluorescein. For use in the VOAG, liquid solutions of known volumetric
concentration can be prepared by diluting fluorescein powder
(C20H12O5, FW = 332.31, CAS 2321-07-5)
with aqueous ammonia. Guidelines for preparation of fluorescein
solutions of the desired volume concentration (Cvol) are
presented by Vanderpool and Rubow (1988) (Reference 2 in appendix A of
this subpart). For purposes of converting particle physical diameter to
aerodynamic diameter, an ammonium fluorescein density of 1.35 g/
cm3 shall be used.
(ii) Mass deposits of ammonium fluorescein shall be extracted and
analyzed using solutions of 0.01 N ammonium hydroxide.
(3) Liquid particle generation. (i) Tests prescribed in Sec. 53.63
for inlet aspiration require the use of liquid particle tests composed
of oleic acid tagged with uranine to enable subsequent fluorometric
quantitation of collected aerosol mass deposits. Oleic acid
(C18H34O2, FW = 282.47, CAS 112-80-1)
has a density of 0.8935 g/cm3. Because the viscosity of oleic
acid is relatively high, significant errors can occur when dispensing
oleic acid using volumetric
[[Page 84]]
pipettes. For this reason, it is recommended that oleic acid solutions
be prepared by quantifying dispensed oleic acid gravimetrically. The
volume of oleic acid dispensed can then be calculated simply by dividing
the dispensed mass by the oleic acid density.
(ii) Oleic acid solutions tagged with uranine shall be prepared as
follows. A known mass of oleic acid shall first be diluted using
absolute ethanol. The desired mass of the uranine tag should then be
diluted in a separate container using absolute ethanol. Uranine
(C20H10O5Na2, FW = 376.3,
CAS 518-47-8) is the disodium salt of fluorescein and has a density of
1.53 g/cm3. In preparing uranine tagged oleic acid particles,
the uranine content shall not exceed 20 percent on a mass basis. Once
both oleic acid and uranine solutions are properly prepared, they can
then be combined and diluted to final volume using absolute ethanol.
(iii) Calculation of the physical diameter of the particles produced
by the VOAG requires knowledge of the liquid solution's volume
concentration (Cvol). Because uranine is essentially
insoluble in oleic acid, the total particle volume is the sum of the
oleic acid volume and the uranine volume. The volume concentration of
the liquid solution shall be calculated as:
Equation 5
[GRAPHIC] [TIFF OMITTED] TR18JY97.098
where:
Vu = uranine volume, ml;
Voleic = oleic acid volume, ml;
Vsol = total solution volume, ml;
Mu = uranine mass, g;
[rho]u = uranine density, g/cm3;
Moleic = oleic acid mass, g; and
[rho]oleic = oleic acid density, g/cm3.
(iv) For purposes of converting the particles' physical diameter to
aerodynamic diameter, the density of the generated particles shall be
calculated as:
Equation 6
[GRAPHIC] [TIFF OMITTED] TR18JY97.099
(v) Mass deposits of oleic acid shall be extracted and analyzed
using solutions of 0.01 N sodium hydroxide.
[62 FR 38814, July 18, 1997; 63 FR 7714, Feb. 17, 1998]
Sec. 53.62 Test procedure: Full wind tunnel test.
(a) Overview. The full wind tunnel test evaluates the effectiveness
of the candidate sampler at 2 km/hr and 24 km/hr for aerosols of the
size specified in table F-2 of this subpart (under the heading, ``Full
Wind Tunnel Test''). For each wind speed, a smooth curve is fit to the
effectiveness data and corrected for the presence of multiplets in the
wind tunnel calibration aerosol. The cutpoint diameter (Dp50)
at each wind speed is then determined from the corrected effectiveness
curves. The two resultant penetration curves are then each numerically
integrated with three idealized ambient particle size distributions to
provide six estimates of measured mass concentration. Critical
parameters for these idealized distributions are presented in table F-3
of this subpart.
(b) Technical definitions. Effectiveness is the ratio (expressed as
a percentage) of the mass concentration of particles of a specific size
reaching the sampler filter or filters to the mass concentration of
particles of the same size approaching the sampler.
(c) Facilities and equipment required--(1) Wind tunnel. The particle
delivery system shall consist of a blower system and a wind tunnel
having a test section of sufficiently large cross-sectional area such
that the test sampler, or portion thereof, as installed in the test
section for testing, blocks no more than 15 percent of the test section
area. The wind tunnel blower system must be capable of maintaining
uniform wind speeds at the 2 km/hr and 24 km/hr in the test section.
(2) Aerosol generation system. A vibrating orifice aerosol generator
shall be used to produce monodisperse solid particles of ammonium
fluorescein with equivalent aerodynamic diameters as specified in table
F-2 of this subpart. The geometric standard deviation for each particle
size generated shall not exceed 1.1 (for primary particles) and the
proportion of multiplets
[[Page 85]]
(doublets and triplets) in all test particle atmosphere shall not exceed
10 percent of the particle population. The aerodynamic particle
diameter, as established by the operating parameters of the vibrating
orifice aerosol generator, shall be within the tolerance specified in
table F-2 of this subpart.
(3) Particle size verification equipment. The size of the test
particles shall be verified during this test by use of a suitable
instrument (e.g., scanning electron microscope, optical particle sizer,
time-of-flight apparatus). The instrument must be capable of measuring
solid and liquid test particles with a size resolution of 0.1 [mu]m or
less. The accuracy of the particle size verification technique shall be
0.15 [mu]m or better.
(4) Wind speed measurement. The wind speed in the wind tunnel shall
be determined during the tests using an appropriate technique capable of
a precision of 2 percent and an accuracy of 5 percent or better (e.g.,
hot-wire anemometry). For the wind speeds specified in table F-2 of this
subpart, the wind speed shall be measured at a minimum of 12 test points
in a cross-sectional area of the test section of the wind tunnel. The
mean wind speed in the test section must be within 10
percent of the value specified in table F-2 of this subpart, and the
variation at any test point in the test section may not exceed 10
percent of the measured mean.
(5) Aerosol rake. The cross-sectional uniformity of the particle
concentration in the sampling zone of the test section shall be
established during the tests using an array of isokinetic samplers,
referred to as a rake. Not less than five evenly spaced isokinetic
samplers shall be used to determine the particle concentration spatial
uniformity in the sampling zone. The sampling zone shall be a
rectangular area having a horizontal dimension not less than 1.2 times
the width of the test sampler at its inlet opening and a vertical
dimension not less than 25 centimeters.
(6) Total aerosol isokinetic sampler. After cross-sectional
uniformity has been confirmed, a single isokinetic sampler may be used
in place of the array of isokinetic samplers for the determination of
particle mass concentration used in the calculation of sampling
effectiveness of the test sampler in paragraph (d)(5) of this section.
In this case, the array of isokinetic samplers must be used to
demonstrate particle concentration uniformity prior to the replicate
measurements of sampling effectiveness.
(7) Fluorometer. A fluorometer used for quantifying extracted
aerosol mass deposits shall be set up, maintained, and calibrated
according to the manufacturer's instructions. A series of calibration
standards shall be prepared to encompass the minimum and maximum
concentrations measured during size-selective tests. Prior to each
calibration and measurement, the fluorometer shall be zeroed using an
aliquot of the same solvent used for extracting aerosol mass deposits.
(8) Sampler flow rate measurements. All flow rate measurements used
to calculate the test atmosphere concentrations and the test results
must be accurate to within 2 percent, referenced to a NIST-
traceable primary standard. Any necessary flow rate measurement
corrections shall be clearly documented. All flow rate measurements
shall be performed and reported in actual volumetric units.
(d) Test procedures--(1) Establish and verify wind speed. (i)
Establish a wind speed specified in table F-2 of this subpart.
(ii) Measure the wind speed at a minimum of 12 test points in a
cross-sectional area of the test section of the wind tunnel using a
device as described in paragraph (c)(4) of this section.
(iii) Verify that the mean wind speed in the test section of the
wind tunnel during the tests is within 10 percent of the value specified
in table F-2 of this subpart. The wind speed measured at any test point
in the test section shall not differ by more than 10 percent from the
mean wind speed in the test section.
(2) Generate aerosol. (i) Generate particles of a size specified in
table F-2 of this subpart using a vibrating orifice aerosol generator.
(ii) Check for the presence of satellites and adjust the generator
as necessary.
(iii) Calculate the physical particle size using the operating
parameters of
[[Page 86]]
the vibrating orifice aerosol generator and record.
(iv) Determine the particle's aerodynamic diameter from the
calculated physical diameter and the known density of the generated
particle. The calculated aerodynamic diameter must be within the
tolerance specified in table F-2 of this subpart.
(3) Introduce particles into the wind tunnel. Introduce the
generated particles into the wind tunnel and allow the particle
concentration to stabilize.
(4) Verify the quality of the test aerosol. (i) Extract a
representative sample of the aerosol from the sampling test zone and
measure the size distribution of the collected particles using an
appropriate sizing technique. If the measurement technique does not
provide a direct measure of aerodynamic diameter, the geometric mean
aerodynamic diameter of the challenge aerosol must be calculated using
the known density of the particle and the measured mean physical
diameter. The determined geometric mean aerodynamic diameter of the test
aerosol must be within 0.15 [mu]m of the aerodynamic diameter calculated
from the operating parameters of the vibrating orifice aerosol
generator. The geometric standard deviation of the primary particles
must not exceed 1.1.
(ii) Determine the population of multiplets in the collected sample.
The multiplet population of the particle test atmosphere must not exceed
10 percent of the total particle population.
(5) Aerosol uniformity and concentration measurement. (i) Install an
array of five or more evenly spaced isokinetic samplers in the sampling
zone (paragraph (c)(5) of this section). Collect particles on
appropriate filters over a time period such that the relative error of
the measured particle concentration is less than 5.0 percent.
(ii) Determine the quantity of material collected with each
isokinetic sampler in the array using a calibrated fluorometer.
Calculate and record the mass concentration for each isokinetic sampler
as:
Equation 7
[GRAPHIC] [TIFF OMITTED] TR18JY97.100
where:
i = replicate number;
j = isokinetic sampler number;
Miso = mass of material collected with the isokinetic
sampler;
Q = isokinetic sampler volumetric flow rate; and
t = sampling time.
(iii) Calculate and record the mean mass concentration as:
Equation 8
[GRAPHIC] [TIFF OMITTED] TR18JY97.101
where:
i = replicate number;
j = isokinetic sampler number; and
n = total number of isokinetic samplers.
(iv) Precision calculation. (A) Calculate the coefficient of
variation of the mass concentration measurements as:
Equation 9
[GRAPHIC] [TIFF OMITTED] TR18JY97.102
where:
i = replicate number;
j = isokinetic sampler number; and
n = total number of isokinetic samplers.
(B) If the value of CViso(i) for any replicate exceeds 10
percent, the particle concentration uniformity is unacceptable and step
5 must be repeated. If adjustment of the vibrating orifice aerosol
generator or changes in the particle delivery system are necessary to
achieve uniformity, steps 1 through 5 must be repeated. When an
acceptable aerosol spatial uniformity is achieved, remove the array of
isokinetic samplers from the wind tunnel.
(6) Alternative measure of wind tunnel total concentration. If a
single isokinetic sampler is used to determine the mean aerosol
concentration in the
[[Page 87]]
wind tunnel, install the sampler in the wind tunnel with the sampler
nozzle centered in the sampling zone (paragraph (c)(6) of this section).
(i) Collect particles on an appropriate filter over a time period
such that the relative error of the measured concentration is less than
5.0 percent.
(ii) Determine the quantity of material collected with the
isokinetic sampler using a calibrated fluorometer.
(iii) Calculate and record the mass concentration as
Ciso(i) as in paragraph (d)(5)(ii) of this section.
(iv) Remove the isokinetic sampler from the wind tunnel.
(7) Measure the aerosol with the candidate sampler. (i) Install the
test sampler (or portion thereof) in the wind tunnel with the sampler
inlet opening centered in the sampling zone. To meet the maximum
blockage limit of paragraph (c)(1) of this section or for convenience,
part of the test sampler may be positioned external to the wind tunnel
provided that neither the geometry of the sampler nor the length of any
connecting tube or pipe is altered. Collect particles for a time period
such that the relative error of the measured concentration is less than
5.0 percent.
(ii) Remove the test sampler from the wind tunnel.
(iii) Determine the quantity of material collected with the test
sampler using a calibrated fluorometer. Calculate and record the mass
concentration for each replicate as:
Equation 10
[GRAPHIC] [TIFF OMITTED] TR18JY97.103
where:
i = replicate number;
Mcand = mass of material collected with the candidate
sampler;
Q = candidate sampler volumetric flow rate; and
t = sampling time.
(iv)(A) Calculate and record the sampling effectiveness of the
candidate sampler as:
Equation 11
[GRAPHIC] [TIFF OMITTED] TR18JY97.104
where:
i = replicate number.
(B) If a single isokinetic sampler is used for the determination of
particle mass concentration, replace Ciso(i) with
Ciso.
(8) Replicate measurements and calculation of mean sampling
effectiveness. (i) Repeat steps in paragraphs (d)(5) through (d)(7) of
this section, as appropriate, to obtain a minimum of three valid
replicate measurements of sampling effectiveness.
(ii) Calculate and record the average sampling effectiveness of the
test sampler for the particle size as:
Equation 12
[GRAPHIC] [TIFF OMITTED] TR18JY97.105
where:
i = replicate number; and
n = number of replicates.
(iii) Sampling effectiveness precision. (A) Calculate and record the
coefficient of variation for the replicate sampling effectiveness
measurements of the test sampler as:
Equation 13
[GRAPHIC] [TIFF OMITTED] TR18JY97.106
where:
i = replicate number, and
n = number of replicates.
(B) If the value of CVE exceeds 10 percent, the test run
(steps in paragraphs (d)(2) through (d)(8) of this section) must be
repeated until an acceptable value is obtained.
(9) Repeat steps in paragraphs (d)(2) through (d)(8) of this section
until the
[[Page 88]]
sampling effectiveness has been measured for all particle sizes
specified in table F-2 of this subpart.
(10) Repeat steps in paragraphs (d)(1) through (d)(9) of this
section until tests have been successfully conducted for both wind
speeds of 2 km/hr and 24 km/hr.
(e) Calculations--(1) Graphical treatment of effectiveness data. For
each wind speed given in table F-2 of this subpart, plot the particle
average sampling effectiveness of the candidate sampler as a function of
aerodynamic particle diameter (Dae) on semi-logarithmic graph
paper where the aerodynamic particle diameter is the particle size
established by the parameters of the VOAG in conjunction with the known
particle density. Construct a best-fit, smooth curve through the data by
extrapolating the sampling effectiveness curve through 100 percent at an
aerodynamic particle size of 0.5 [mu]m and 0 percent at an aerodynamic
particle size of 10 [mu]m. Correction for the presence of multiplets
shall be performed using the techniques presented by Marple, et al
(1987). This multiplet-corrected effectiveness curve shall be used for
all remaining calculations in this paragraph (e).
(2) Cutpoint determination. For each wind speed determine the
sampler Dp50 cutpoint defined as the aerodynamic particle
size corresponding to 50 percent effectiveness from the multiplet
corrected smooth curve.
(3) Expected mass concentration calculation. For each wind speed,
calculate the estimated mass concentration measurement for the test
sampler under each particle size distribution (Tables F-4, F-5, and F-6
of this subpart) and compare it to the mass concentration predicted for
the reference sampler as follows:
(i) Determine the value of corrected effectiveness using the best-
fit, multiplet-corrected curve at each of the particle sizes specified
in the first column of table F-4 of this subpart. Record each corrected
effectiveness value as a decimal between 0 and 1 in column 2 of table F-
4 of this subpart.
(ii) Calculate the interval estimated mass concentration measurement
by multiplying the values of corrected effectiveness in column 2 by the
interval mass concentration values in column 3 and enter the products in
column 4 of table F-4 of this subpart.
(iii) Calculate the estimated mass concentration measurement by
summing the values in column 4 and entering the total as the estimated
mass concentration measurement for the test sampler at the bottom of
column 4 of table F-4 of this subpart.
(iv) Calculate the estimated mass concentration ratio between the
candidate method and the reference method as:
Equation 14
[GRAPHIC] [TIFF OMITTED] TR18JY97.107
where:
Ccand(est) = estimated mass concentration measurement for the
test sampler, [mu]g/m3; and
Cref(est) = estimated mass concentration measurement for the
reference sampler, [mu]g/m3 (calculated for the reference
sampler and specified at the bottom of column 7 of table F-4 of this
subpart).
(v) Repeat steps in paragraphs (e) (1) through (e)(3) of this
section for tables F-5 and F-6 of this subpart.
(f) Evaluation of test results. The candidate method passes the wind
tunnel effectiveness test if the Rc value for each wind speed
meets the specification in table F-1 of this subpart for each of the
three particle size distributions.
Sec. 53.63 Test procedure: Wind tunnel inlet aspiration test.
(a) Overview. This test applies to a candidate sampler which differs
from the reference method sampler only with respect to the design of the
inlet. The purpose of this test is to ensure that the aspiration of a
Class II candidate sampler is such that it representatively extracts an
ambient aerosol at elevated wind speeds. This wind tunnel test uses a
single-sized, liquid aerosol in conjunction with wind speeds of 2 km/hr
and 24 km/hr. The test atmosphere concentration is alternately measured
with the candidate sampler and a reference method device, both of which
are operated without the
[[Page 89]]
2.5-micron fractionation device installed. The test conditions are
summarized in table F-2 of this subpart (under the heading of ``wind
tunnel inlet aspiration test''). The candidate sampler must meet or
exceed the acceptance criteria given in table F-1 of this subpart.
(b) Technical definition. Relative aspiration is the ratio
(expressed as a percentage) of the aerosol mass concentration measured
by the candidate sampler to that measured by a reference method sampler.
(c) Facilities and equipment required. The facilities and equipment
are identical to those required for the full wind tunnel test
(Sec. 53.62(c)).
(d) Setup. The candidate and reference method samplers shall be
operated with the PM2.5 fractionation device removed from the
flow path throughout this entire test procedure. Modifications to
accommodate this requirement shall be limited to removal of the
fractionator and insertion of the filter holder directly into the
downtube of the inlet.
(e) Test procedure--(1) Establish the wind tunnel test atmosphere.
Follow the procedures in Sec. 53.62(d)(1) through (d)(4) to establish a
test atmosphere for one of the two wind speeds specified in table F-2 of
this subpart.
(2) Measure the aerosol concentration with the reference sampler.
(i) Install the reference sampler (or portion thereof) in the wind
tunnel with the sampler inlet opening centered in the sampling zone. To
meet the maximum blockage limit of Sec. 53.62(c)(1) or for convenience,
part of the test sampler may be positioned external to the wind tunnel
provided that neither the geometry of the sampler nor the length of any
connecting tube or pipe is altered. Collect particles for a time period
such that the relative error of the measured concentration is less than
5.0 percent.
(ii) Determine the quantity of material collected with the reference
method sampler using a calibrated fluorometer. Calculate and record the
mass concentration as:
Equation 15
[GRAPHIC] [TIFF OMITTED] TR18JY97.108
where:
i = replicate number;
Mref = mass of material collected with the reference method
sampler;
Q = reference method sampler volumetric flow rate; and
t = sampling time.
(iii) Remove the reference method sampler from the tunnel.
(3) Measure the aerosol concentration with the candidate sampler.
(i) Install the candidate sampler (or portion thereof) in the wind
tunnel with the sampler inlet centered in the sampling zone. To meet the
maximum blockage limit of Sec. 53.62(c)(1) or for convenience, part of
the test sampler may be positioned external to the wind tunnel provided
that neither the geometry of the sampler nor the length of any
connecting tube or pipe is altered. Collect particles for a time period
such that the relative error of the measured concentration is less than
5.0 percent.
(ii) Determine the quantity of material collected with the candidate
sampler using a calibrated fluorometer. Calculate and record the mass
concentration as:
Equation 16
[GRAPHIC] [TIFF OMITTED] TR18JY97.109
where:
i = replicate number;
Mcand = mass of material collected with the candidate
sampler;
Q = candidate sampler volumetric flow rate; and
t = sampling time.
(iii) Remove the candidate sampler from the wind tunnel.
(4) Repeat steps in paragraphs (d) (2) and (d)(3) of this section.
Alternately measure the tunnel concentration with the reference sampler
and the candidate sampler until four reference sampler and three
candidate sampler
[[Page 90]]
measurements of the wind tunnel concentration are obtained.
(5) Calculations. (i) Calculate and record aspiration ratio for each
candidate sampler run as:
Equation 17
[GRAPHIC] [TIFF OMITTED] TR18JY97.110
where:
i = replicate number.
(ii) Calculate and record the mean aspiration ratio as:
Equation 18
[GRAPHIC] [TIFF OMITTED] TR18JY97.111
where:
i = replicate number; and
n = total number of measurements of aspiration ratio.
(iii) Precision of the aspiration ratio. (A) Calculate and record
the precision of the aspiration ratio measurements as the coefficient of
variation as:
Equation 19
[GRAPHIC] [TIFF OMITTED] TR18JY97.112
where:
i = replicate number; and
n = total number of measurements of aspiration ratio.
(B) If the value of CVA exceeds 10 percent, the entire
test procedure must be repeated.
(f) Evaluation of test results. The candidate method passes the
inlet aspiration test if all values of A meet the acceptance criteria
specified in table F-1 of this subpart.
Sec. 53.64 Test procedure: Static fractionator test.
(a) Overview. This test applies only to those candidate methods in
which the sole deviation from the reference method is in the design of
the 2.5-micron fractionation device. The purpose of this test is to
ensure that the fractionation characteristics of the candidate
fractionator are acceptably similar to that of the reference method
sampler. It is recognized that various methodologies exist for
quantifying fractionator effectiveness. The following commonly-employed
techniques are provided for purposes of guidance. Other methodologies
for determining sampler effectiveness may be used contingent upon prior
approval by the Agency.
(1) Wash-off method. Effectiveness is determined by measuring the
aerosol mass deposited on the candidate sampler's after filter versus
the aerosol mass deposited in the fractionator. The material deposited
in the fractionator is recovered by washing its internal surfaces. For
these wash-off tests, a fluorometer must be used to quantitate the
aerosol concentration. Note that if this technique is chosen, the
candidate must be reloaded with coarse aerosol prior to each test point
when reevaluating the curve as specified in the loading test.
(2) Static chamber method. Effectiveness is determined by measuring
the aerosol mass concentration sampled by the candidate sampler's after
filter versus that which exists in a static chamber. A calibrated
fluorometer shall be used to quantify the collected aerosol deposits.
The aerosol concentration is calculated as the measured aerosol mass
divided by the sampled air volume.
(3) Divided flow method. Effectiveness is determined by comparing
the aerosol concentration upstream of the candidate sampler's
fractionator versus that concentration which exists downstream of the
candidate fractionator. These tests may utilize either fluorometry or a
real-time aerosol measuring device to determine the aerosol
concentration.
(b) Technical definition. Effectiveness under static conditions is
the ratio (expressed as a percentage) of the mass concentration of
particles of a given size reaching the sampler filter to the mass
concentration of particles of the same size existing in the test
atmosphere.
[[Page 91]]
(c) Facilities and equipment required--(1) Aerosol generation.
Methods for generating aerosols shall be identical to those prescribed
in Sec. 53.62(c)(2).
(2) Particle delivery system. Acceptable apparatus for delivering
the generated aerosols to the candidate fractionator is dependent on the
effectiveness measurement methodology and shall be defined as follows:
(i) Wash-off test apparatus. The aerosol may be delivered to the
candidate fractionator through direct piping (with or without an in-line
mixing chamber). Validation particle size and quality shall be conducted
at a point directly upstream of the fractionator.
(ii) Static chamber test apparatus. The aerosol shall be introduced
into a chamber and sufficiently mixed such that the aerosol
concentration within the chamber is spatially uniform. The chamber must
be of sufficient size to house at least four total filter samplers in
addition to the inlet of the candidate method size fractionator.
Validation of particle size and quality shall be conducted on
representative aerosol samples extracted from the chamber.
(iii) Divided flow test apparatus. The apparatus shall allow the
aerosol concentration to be measured upstream and downstream of the
fractionator. The aerosol shall be delivered to a manifold with two
symmetrical branching legs. One of the legs, referred to as the bypass
leg, shall allow the challenge aerosol to pass unfractionated to the
detector. The other leg shall accommodate the fractionation device.
(3) Particle concentration measurement--(i) Fluorometry. Refer to
Sec. 53.62(c)(7).
(ii) Number concentration measurement. A number counting particle
sizer may be used in conjunction with the divided flow test apparatus in
lieu of fluorometric measurement. This device must have a minimum range
of 1 to 10 [mu]m, a resolution of 0.1 [mu]m, and an accuracy of 0.15
[mu]m such that primary particles may be distinguished from multiplets
for all test aerosols. The measurement of number concentration shall be
accomplished by integrating the primary particle peak.
(d) Setup--(1) Remove the inlet and downtube from the candidate
fractionator. All tests procedures shall be conducted with the inlet and
downtube removed from the candidate sampler.
(2) Surface treatment of the fractionator. Rinsing aluminum surfaces
with alkaline solutions has been found to adversely affect subsequent
fluorometric quantitation of aerosol mass deposits. If wash-off tests
are to be used for quantifying aerosol penetration, internal surfaces of
the fractionator must first be plated with electroless nickel.
Specifications for this plating are specified in Society of Automotive
Engineers Aerospace Material Specification (SAE AMS) 2404C, Electroless
Nickel Plating (Reference 3 in appendix A of subpart F).
(e) Test procedure: Wash-off method--(1) Clean the candidate
sampler. Note: The procedures in this step may be omitted if this test
is being used to evaluate the fractionator after being loaded as
specified in Sec. 53.65.
(i) Clean and dry the internal surfaces of the candidate sampler.
(ii) Prepare the internal fractionator surfaces in strict accordance
with the operating instructions specified in the sampler's operating
manual referred to in section 7.4.18 of 40 CFR part 50, appendix L.
(2) Generate aerosol. Follow the procedures for aerosol generation
prescribed in Sec. 53.62(d)(2).
(3) Verify the quality of the test aerosol. Follow the procedures
for verification of test aerosol size and quality prescribed in
Sec. 53.62(d)(4).
(4) Determine effectiveness for the particle size being produced.
(i) Collect particles downstream of the fractionator on an appropriate
filter over a time period such that the relative error of the
fluorometric measurement is less than 5.0 percent.
(ii) Determine the quantity of material collected on the after
filter of the candidate method using a calibrated fluorometer. Calculate
and record the aerosol mass concentration for the sampler filter as:
Equation 20
[GRAPHIC] [TIFF OMITTED] TR18JY97.113
[[Page 92]]
where:
i = replicate number;
Mcand = mass of material collected with the candidate
sampler;
Q = candidate sampler volumetric flowrate; and
t = sampling time.
(iii) Wash all interior surfaces upstream of the filter and
determine the quantity of material collected using a calibrated
fluorometer. Calculate and record the fluorometric mass concentration of
the sampler wash as:
Equation 21
[GRAPHIC] [TIFF OMITTED] TR18JY97.114
where:
i = replicate number;
Mwash = mass of material washed from the interior surfaces of
the fractionator;
Q = candidate sampler volumetric flowrate; and
t = sampling time.
(iv) Calculate and record the sampling effectiveness of the test
sampler for this particle size as:
Equation 22
[GRAPHIC] [TIFF OMITTED] TR18JY97.115
where:
i = replicate number.
(v) Repeat steps in paragraphs (e)(4) of this section, as
appropriate, to obtain a minimum of three replicate measurements of
sampling effectiveness. Note: The procedures for loading the candidate
in Sec. 53.65 must be repeated between repetitions if this test is being
used to evaluate the fractionator after being loaded as specified in
Sec. 53.65.
(vi) Calculate and record the average sampling effectiveness of the
test sampler as:
Equation 23
[GRAPHIC] [TIFF OMITTED] TR18JY97.116
where:
i = replicate number; and
n = number of replicates.
(vii)(A) Calculate and record the coefficient of variation for the
replicate sampling effectiveness measurements of the test sampler as:
Equation 24
[GRAPHIC] [TIFF OMITTED] TR18JY97.117
where:
i = replicate number; and
n = total number of measurements.
(B) If the value of CVE exceeds 10 percent, then steps in
paragraphs (e) (2) through (e)(4) of this section must be repeated.
(5) Repeat steps in paragraphs (e) (1) through (e)(4) of this
section for each particle size specified in table F-2 of this subpart.
(f) Test procedure: Static chamber method--(1) Generate aerosol.
Follow the procedures for aerosol generation prescribed in
Sec. 53.62(d)(2).
(2) Verify the quality of the test aerosol. Follow the procedures
for verification of test aerosol size and quality prescribed in
Sec. 53.62(d)(4).
(3) Introduce particles into chamber. Introduce the particles into
the static chamber and allow the particle concentration to stabilize.
(4) Install and operate the candidate sampler's fractionator and its
after-filter and at least four total filters. (i) Install the
fractionator and an array of four or more equally spaced total filter
samplers such that the total filters surround and are in the same plane
as the inlet of the fractionator.
(ii) Simultaneously collect particles onto appropriate filters with
the total filter samplers and the fractionator for a time period such
that the relative error of the measured concentration is less than 5.0
percent.
(5) Calculate the aerosol spatial uniformity in the chamber. (i)
Determine the quantity of material collected with each total filter
sampler in the array using a calibrated fluorometer. Calculate and
record the mass concentration for each total filter sampler as:
[[Page 93]]
Equation 25
[GRAPHIC] [TIFF OMITTED] TR18JY97.118
where:
i = replicate number;
j = total filter sampler number;
Mtotal = mass of material collected with the total filter
sampler;
Q = total filter sampler volumetric flowrate; and
t = sample time.
(ii) Calculate and record the mean mass concentration as:
Equation 26
[GRAPHIC] [TIFF OMITTED] TR18JY97.119
where:
n = total number of samplers;
i = replicate number; and
j = filter sampler number.
(iii) (A) Calculate and record the coefficient of variation of the
total mass concentration as:
Equation 27
[GRAPHIC] [TIFF OMITTED] TR18JY97.120
where:
i = replicate number;
j = total filter sampler number; and
n = number of total filter samplers.
(B) If the value of CVtotal exceeds 10 percent, then the
particle concentration uniformity is unacceptable, alterations to the
static chamber test apparatus must be made, and steps in paragraphs
(f)(1) through (f)(5) of this section must be repeated.
(6) Determine the effectiveness of the candidate sampler. (i)
Determine the quantity of material collected on the candidate sampler's
after filter using a calibrated fluorometer. Calculate and record the
mass concentration for the candidate sampler as:
Equation 28
[GRAPHIC] [TIFF OMITTED] TR18JY97.121
where:
i = replicate number;
Mcand = mass of material collected with the candidate
sampler;
Q = candidate sampler volumetric flowrate; and
t = sample time.
(ii) Calculate and record the sampling effectiveness of the
candidate sampler as:
Equation 29
[GRAPHIC] [TIFF OMITTED] TR18JY97.122
where:
i = replicate number.
(iii) Repeat step in paragraph (f)(4) through (f)(6) of this
section, as appropriate, to obtain a minimum of three replicate
measurements of sampling effectiveness.
(iv) Calculate and record the average sampling effectiveness of the
test sampler as:
Equation 30
[GRAPHIC] [TIFF OMITTED] TR18JY97.123
where:
i= replicate number.
(v)(A) Calculate and record the coefficient of variation for the
replicate
[[Page 94]]
sampling effectiveness measurements of the test sampler as:
Equation 31
[GRAPHIC] [TIFF OMITTED] TR18JY97.124
where:
i = replicate number; and
n = number of measurements of effectiveness.
(B) If the value of CVE exceeds 10 percent, then the test
run (steps in paragraphs (f)(2) through (f)(6) of this section) is
unacceptable and must be repeated.
(7) Repeat steps in paragraphs (f)(1) through (f)(6) of this section
for each particle size specified in table F-2 of this subpart.
(g) Test procedure: Divided flow method--(1) Generate calibration
aerosol. Follow the procedures for aerosol generation prescribed in
Sec. 53.62(d)(2).
(2) Verify the quality of the calibration aerosol. Follow the
procedures for verification of calibration aerosol size and quality
prescribed in Sec. 53.62(d)(4).
(3) Introduce aerosol. Introduce the calibration aerosol into the
static chamber and allow the particle concentration to stabilize.
(4) Validate that transport is equal for the divided flow option.
(i) With fluorometry as a detector:
(A) Install a total filter on each leg of the divided flow
apparatus.
(B) Collect particles simultaneously through both legs at 16.7 L/min
onto an appropriate filter for a time period such that the relative
error of the measured concentration is less than 5.0 percent.
(C) Determine the quantity of material collected on each filter
using a calibrated fluorometer. Calculate and record the mass
concentration measured in each leg as:
Equation 32
[GRAPHIC] [TIFF OMITTED] TR18JY97.125
where:
i = replicate number,
M = mass of material collected with the total filter; and
Q = candidate sampler volumetric flowrate.
(D) Repeat steps in paragraphs (g)(4)(i)(A) through (g)(4)(i)(C) of
this section until a minimum of three replicate measurements are
performed.
(ii) With an aerosol number counting device as a detector:
(A) Remove all flow obstructions from the flow paths of the two
legs.
(B) Quantify the aerosol concentration of the primary particles in
each leg of the apparatus.
(C) Repeat steps in paragraphs (g)(4)(ii)(A) through (g)(4)(ii)(B)
of this section until a minimum of three replicate measurements are
performed.
(iii) (A) Calculate the mean concentration and coefficient of
variation as:
Equation 33
[GRAPHIC] [TIFF OMITTED] TR18JY97.126
Equation 34
[GRAPHIC] [TIFF OMITTED] TR18JY97.127
where:
i = replicate number; and
n = number of replicates.
(B) If the measured mean concentrations through the two legs do not
agree within 5 percent, then adjustments may be made in the setup, and
this step must be repeated.
(5) Determine effectiveness. Determine the sampling effectiveness of
the test sampler with the inlet removed by one of the following
procedures:
(i) With fluorometry as a detector:
(A) Prepare the divided flow apparatus for particle collection.
Install a total filter into the bypass leg of the divided flow
apparatus. Install the particle size fractionator with a total filter
placed immediately downstream of it into the other leg.
(B) Collect particles simultaneously through both legs at 16.7 L/min
onto
[[Page 95]]
appropriate filters for a time period such that the relative error of
the measured concentration is less than 5.0 percent.
(C) Determine the quantity of material collected on each filter
using a calibrated fluorometer. Calculate and record the mass
concentration measured by the total filter and that measured after
penetrating through the candidate fractionator as follows:
Equation 35
[GRAPHIC] [TIFF OMITTED] TR18JY97.128
Equation 36
[GRAPHIC] [TIFF OMITTED] TR18JY97.129
where:
i = replicate number.
(ii) With a number counting device as a detector:
(A) Install the particle size fractionator into one of the legs of
the divided flow apparatus.
(B) Quantify and record the aerosol number concentration of the
primary particles passing through the fractionator as
Ccand(i).
(C) Divert the flow from the leg containing the candidate
fractionator to the bypass leg. Allow sufficient time for the aerosol
concentration to stabilize.
(D) Quantify and record the aerosol number concentration of the
primary particles passing through the bypass leg as
Ctotal(i).
(iii) Calculate and record sampling effectiveness of the candidate
sampler as:
Equation 37
[GRAPHIC] [TIFF OMITTED] TR18JY97.130
where:
i = replicate number.
(6) Repeat step in paragraph (g)(5) of this section, as appropriate,
to obtain a minimum of three replicate measurements of sampling
effectiveness.
(7) Calculate the mean and coefficient of variation for replicate
measurements of effectiveness. (i) Calculate and record the mean
sampling effectiveness of the candidate sampler as:
Equation 38
[GRAPHIC] [TIFF OMITTED] TR18JY97.131
where:
i = replicate number.
(ii)(A) Calculate and record the coefficient of variation for the
replicate sampling effectiveness measurements of the candidate sampler
as:
Equation 39
[GRAPHIC] [TIFF OMITTED] TR18JY97.132
where:
i = replicate number; and
n = number of replicates.
(B) If the coefficient of variation is not less than 10 percent,
then the test run must be repeated (steps in paragraphs (g)(1) through
(g)(7) of this section).
(8) Repeat steps in paragraphs (g)(1) through (g)(7) of this section
for each particle size specified in table F-2 of this subpart.
(h) Calculations--(1) Treatment of multiplets. For all measurements
made by fluorometric analysis, data shall be corrected for the presence
of multiplets as described in Sec. 53.62(f)(1). Data collected using a
real-time device (as described in paragraph (c)(3)(ii)) of this section
will not require multiplet correction.
(2) Cutpoint determination. For each wind speed determine the
sampler Dp50 cutpoint defined as the aerodynamic particle
size corresponding to 50 percent effectiveness from the multiplet
corrected smooth curve.
(3) Graphical analysis and numerical integration with ambient
distributions. Follow the steps outlined in Sec. 53.62 (e)(3) through
(e)(4) to calculate the estimated concentration measurement
[[Page 96]]
ratio between the candidate sampler and a reference method sampler.
(i) Test evaluation. The candidate method passes the static
fractionator test if the values of Rc and Dp50 for each
distribution meets the specifications in table F-1 of this subpart.
[62 FR 38814, July 18, 1997; 63 FR 7714, Feb. 17, 1998]
Sec. 53.65 Test procedure: Loading test.
(a) Overview. (1) The loading tests are designed to quantify any
appreciable changes in a candidate method sampler's performance as a
function of coarse aerosol collection. The candidate sampler is exposed
to a mass of coarse aerosol equivalent to sampling a mass concentration
of 150 [mu]g/m3 over the time period that the manufacturer
has specified between periodic cleaning. After loading, the candidate
sampler is then evaluated by performing the test in Sec. 53.62 (full
wind tunnel test), Sec. 53.63 (wind tunnel inlet aspiration test), or
Sec. 53.64 (static fractionator test). If the acceptance criteria are
met for this evaluation test, then the candidate sampler is approved for
multi-day sampling with the periodic maintenance schedule as specified
by the candidate method. For example, if the candidate sampler passes
the reevaluation tests following loading with an aerosol mass equivalent
to sampling a 150 [mu]g/m3 aerosol continuously for 7 days,
then the sampler is approved for 7 day field operation before cleaning
is required.
(2) [Reserved]
(b) Technical definition. Effectiveness after loading is the ratio
(expressed as a percentage) of the mass concentration of particles of a
given size reaching the sampler filter to the mass concentration of
particles of the same size approaching the sampler.
(c) Facilities and equipment required--(1) Particle delivery system.
The particle delivery system shall consist of a static chamber or a low
velocity wind tunnel having a sufficiently large cross-sectional area
such that the test sampler, or portion thereof, may be installed in the
test section. At a minimum, the system must have a sufficiently large
cross section to house the candidate sampler inlet as well as a
collocated isokinetic nozzle for measuring total aerosol concentration.
The mean velocity in the test section of the static chamber or wind
tunnel shall not exceed 2 km/hr.
(2) Aerosol generation equipment. For purposes of these tests, the
test aerosol shall be produced from commercially available, bulk Arizona
road dust. To provide direct interlaboratory comparability of sampler
loading characteristics, the bulk dust is specified as 0-10 [mu]m ATD
available from Powder Technology Incorporated (Burnsville, MN). A
fluidized bed aerosol generator, Wright dust feeder, or sonic nozzle
shall be used to efficiently deagglomerate the bulk test dust and
transform it into an aerosol cloud. Other dust generators may be used
contingent upon prior approval by the Agency.
(3) Isokinetic sampler. Mean aerosol concentration within the static
chamber or wind tunnel shall be established using a single isokinetic
sampler containing a preweighed high-efficiency total filter.
(4) Analytic balance. An analytical balance shall be used to
determine the weight of the total filter in the isokinetic sampler. The
precision and accuracy of this device shall be such that the relative
measurement error is less than 5.0 percent for the difference between
the initial and final weight of the total filter. The identical analytic
balance shall be used to perform both initial and final weighing of the
total filter.
(d) Test procedure. (1) Calculate and record the target time
weighted concentration of Arizona road dust which is equivalent to
exposing the sampler to an environment of 150 [mu]g/m3 over
the time between cleaning specified by the candidate sampler's
operations manual as:
Equation 40
[GRAPHIC] [TIFF OMITTED] TR18JY97.133
where:
t = the number of hours specified by the candidate method prior to
periodic cleaning.
(2) Clean the candidate sampler. (i) Clean and dry the internal
surfaces of the candidate sampler.
[[Page 97]]
(ii) Prepare the internal surfaces in strict accordance with the
operating manual referred to in section 7.4.18 of 40 CFR part 50,
appendix L.
(3) Determine the preweight of the filter that shall be used in the
isokinetic sampler. Record this value as InitWt.
(4) Install the candidate sampler's inlet and the isokinetic sampler
within the test chamber or wind tunnel.
(5) Generate a dust cloud. (i) Generate a dust cloud composed of
Arizona test dust.
(ii) Introduce the dust cloud into the chamber.
(iii) Allow sufficient time for the particle concentration to become
steady within the chamber.
(6) Sample aerosol with a total filter and the candidate sampler.
(i) Sample the aerosol for a time sufficient to produce an equivalent
TWC equal to that of the target TWC 15 percent.
(ii) Record the sampling time as t.
(7) Determine the time weighted concentration. (i) Determine the
postweight of the isokinetic sampler's total filter.
(ii) Record this value as FinalWt.
(iii) Calculate and record the TWC as:
Equation 41
[GRAPHIC] [TIFF OMITTED] TR18JY97.134
where:
Q = the flow rate of the candidate method.
(iv) If the value of TWC deviates from the target TWC 15
percent, then the loaded mass is unacceptable and the entire test
procedure must be repeated.
(8) Determine the candidate sampler's effectiveness after loading.
The candidate sampler's effectiveness as a function of particle
aerodynamic diameter must then be evaluated by performing the test in
Sec. 53.62 (full wind tunnel test). A sampler which fits the category of
inlet deviation in Sec. 53.60(e)(1) may opt to perform the test in
Sec. 53.63 (inlet aspiration test) in lieu of the full wind tunnel test.
A sampler which fits the category of fractionator deviation in
Sec. 53.60(e)(2) may opt to perform the test in Sec. 53.64 (static
fractionator test) in lieu of the full wind tunnel test.
(e) Test results. If the candidate sampler meets the acceptance
criteria for the evaluation test performed in paragraph (d)(8) of this
section, then the candidate sampler passes this test with the
stipulation that the sampling train be cleaned as directed by and as
frequently as that specified by the candidate sampler's operations
manual.
Sec. 53.66 Test procedure: Volatility test.
(a) Overview. This test is designed to ensure that the candidate
method's losses due to volatility when sampling semi-volatile ambient
aerosol will be comparable to that of a federal reference method
sampler. This is accomplished by challenging the candidate sampler with
a polydisperse, semi-volatile liquid aerosol in three distinct phases.
During phase A of this test, the aerosol is elevated to a steady-state,
test-specified mass concentration and the sample filters are conditioned
and preweighed. In phase B, the challenge aerosol is simultaneously
sampled by the candidate method sampler and a reference method sampler
onto the preweighed filters for a specified time period. In phase C (the
blow-off phase), aerosol and aerosol-vapor free air is sampled by the
samplers for an additional time period to partially volatilize the
aerosol on the filters. The candidate sampler passes the volatility test
if the acceptance criteria presented in table F-1 of this subpart are
met or exceeded.
(b) Technical definitions. (1) Residual mass (RM) is defined as the
weight of the filter after the blow-off phase subtracted from the
initial weight of the filter.
(2) Corrected residual mass (CRM) is defined as the residual mass of
the filter from the candidate sampler multiplied by the ratio of the
reference method flow rate to the candidate method flow rate.
(c) Facilities and equipment required--(1) Environmental chamber.
Because the nature of a volatile aerosol is greatly dependent upon
environmental conditions, all phases of this test shall be conducted at
a temperature of 22.0 0.5
[[Page 98]]
deg.C and a relative humidity of 40 3 percent. For this
reason, it is strongly advised that all weighing and experimental
apparatus be housed in an environmental chamber capable of this level of
control.
(2) Aerosol generator. The aerosol generator shall be a pressure
nebulizer operated at 20 to 30 psig (140 to 207 kPa) to produce a
polydisperse, semi-voltile aerosol with a mass median diameter larger
than 1 [mu]m and smaller than 2.5 [mu]m. The nebulized liquid shall be
A.C.S. reagent grade glycerol (C3H8O, FW = 92.09,
CAS 56-81-5) of 99.5 percent minimum purity. For the purpose of this
test the accepted mass median diameter is predicated on the stable
aerosol inside the internal chamber and not on the aerosol emerging from
the nebulizer nozzle. Aerosol monitoring and its stability are described
in (c)(3) and (c)(4) of this section.
(3) Aerosol monitoring equipment. The evaporation and condensation
dynamics of a volatile aerosol is greatly dependent upon the vapor
pressure of the volatile component in the carrier gas. The size of an
aerosol becomes fixed only when an equilibrium is established between
the aerosol and the surrounding vapor; therefore, aerosol size
measurement shall be used as a surrogate measure of this equilibrium. A
suitable instrument with a range of 0.3 to 10 [mu]m, an accuracy of 0.5
[mu]m, and a resolution of 0.2 [mu]m (e.g., an optical particle sizer,
or a time-of-flight instrument) shall be used for this purpose. The
parameter monitored for stability shall be the mass median instrument
measured diameter (i.e. optical diameter if an optical particle counter
is used). A stable aerosol shall be defined as an aerosol with a mass
median diameter that has changed less than 0.25 [mu]m over a 4 hour time
period.
(4) Internal chamber. The time required to achieve a stable aerosol
depends upon the time during which the aerosol is resident with the
surrounding air. This is a function of the internal volume of the
aerosol transport system and may be facilitated by recirculating the
challenge aerosol. A chamber with a volume of 0.5 m3 and a
recirculating loop (airflow of approximately 500 cfm) is recommended for
this purpose. In addition, a baffle is recommended to dissipate the jet
of air that the recirculating loop can create. Furthermore, a HEPA
filtered hole in the wall of the chamber is suggested to allow makeup
air to enter the chamber or excess air to exit the chamber to maintain a
system flow balance. The concentration inside the chamber shall be
maintained at 1 mg/m3 20 percent to obtain
consistent and significant filter loading.
(5) Aerosol sampling manifold. A manifold shall be used to extract
the aerosol from the area in which it is equilibrated and transport it
to the candidate method sampler, the reference method sampler, and the
aerosol monitor. The losses in each leg of the manifold shall be
equivalent such that the three devices will be exposed to an identical
aerosol.
(6) Chamber air temperature recorders. Minimum range 15-25 deg.C,
certified accuracy to within 0.2 deg.C, resolution of 0.1 deg.C.
Measurement shall be made at the intake to the sampling manifold and
adjacent to the weighing location.
(7) Chamber air relative humidity recorders. Minimum range 30 - 50
percent, certified accuracy to within 1 percent, resolution of 0.5
percent. Measurement shall be made at the intake to the sampling
manifold and adjacent to the weighing location.
(8) Clean air generation system. A source of aerosol and aerosol-
vapor free air is required for phase C of this test. This clean air
shall be produced by filtering air through an absolute (HEPA) filter.
(9) Balance. Minimum range 0 - 200 mg, certified accuracy to within
10 [mu]g, resolution of 1 [mu]g.
(d) Additional filter handling conditions. (1) Filter handling.
Careful handling of the filter during sampling, conditioning, and
weighing is necessary to avoid errors due to damaged filters or loss of
collected particles from the filters. All filters must be weighed
immediately after phase A dynamic conditioning and phase C.
(2) Dynamic conditioning of filters. Total dynamic conditioning is
required prior to the initial weight determined in phase A. Dynamic
conditioning refers to pulling clean air from the clean air generation
system through the filters. Total dynamic conditioning can
[[Page 99]]
be established by sequential filter weighing every 30 minutes following
repetitive dynamic conditioning. The filters are considered sufficiently
conditioned if the sequential weights are repeatable to 3
[mu]g.
(3) Static charge. The following procedure is suggested for
minimizing charge effects. Place six or more Polonium static control
devices (PSCD) inside the microbalance weighing chamber, (MWC). Two of
them must be placed horizontally on the floor of the MWC and the
remainder placed vertically on the back wall of the MWC. Taping two
PSCD's together or using double-sided tape will help to keep them from
falling. Place the filter that is to be weighed on the horizontal PSCDs
facing aerosol coated surface up. Close the MWC and wait 1 minute. Open
the MWC and place the filter on the balance dish. Wait 1 minute. If the
charges have been neutralized the weight will stabilize within 30-60
seconds. Repeat the procedure of neutralizing charges and weighing as
prescribed above several times (typically 2-4 times) until consecutive
weights will differ by no more than 3 micrograms. Record the last
measured weight and use this value for all subsequent calculations.
(e) Test procedure--(1) Phase A - Preliminary steps. (i) Generate a
polydisperse glycerol test aerosol.
(ii) Introduce the aerosol into the transport system.
(iii) Monitor the aerosol size and concentration until stability and
level have been achieved.
(iv) Condition the candidate method sampler and reference method
sampler filters until total dynamic conditioning is achieved as
specified in paragraph (d)(2) of this section.
(v) Record the dynamically conditioned weight as InitWtc
and InitWtr where c is the candidate method sampler and r is
the reference method sampler.
(2) Phase B - Aerosol loading. (i) Install the dynamically
conditioned filters into the appropriate samplers.
(ii) Attach the samplers to the manifold.
(iii) Operate the candidate and the reference samplers such that
they simultaneously sample the test aerosol for 30 minutes.
(3) Phase C - Blow-off. (i) Alter the intake of the samplers to
sample air from the clean air generation system.
(ii) Sample clean air for one of the required blow-off time
durations (1, 2, 3, and 4 hours).
(iii) Remove the filters from the samplers.
(iv) Weigh the filters immediately and record this weight,
FinalWtc and FinalWtr, where c is the candidate
method sampler and r is the reference method sampler.
(v) Calculate the residual mass for the reference method sampler:
Equation 41a
[GRAPHIC] [TIFF OMITTED] TR18JY97.135
where:
i = repetition number; and
j = blow-off time period.
(vi) Calculate the corrected residual mass for the candidate method
sampler as:
Equation 41b
[GRAPHIC] [TIFF OMITTED] TR18JY97.136
where:
i = repetition number;
j = blow-off time period;
Qc = candidate method sampler flow rate, and
Qr = reference method sampler flow rate.
(4) Repeat steps in paragraph (e)(1) through (e)(3) of this section
until three repetitions have been completed for each of the required
blow-off time durations (1, 2, 3, and 4 hours).
(f) Calculations and analysis. (1) Perform a linear regression with
the candidate method CRM as the dependent variable and the reference
method RM as the independent variable.
(2) Determine the following regression parameters: slope, intercept,
and correlation coefficient (r).
(g) Test results. The candidate method passes the volatility test if
the regression parameters meet the acceptance criteria specified in
table F-1 of this subpart.
[[Page 100]]
Table F-1 to Subpart F of Part 53--Performance Specifications for
PM2.5 Class II Equivalent Samplers
------------------------------------------------------------------------
Acceptance
Performance Test Specifications Criteria
------------------------------------------------------------------------
Sec. 53.62 Full Wind Tunnel Solid VOAG produced Dp50 = 2.5 [mu]m
Evaluation. aerosol at 2 km/hr 0.2
and 24 km/hr. [mu]m; Numerical
Analysis Results:
95%
[le]Rc[le]105%
Sec. 53.63 Wind Tunnel Inlet Liquid VOAG Relative
Aspiration Test. produced aerosol Aspiration: 95%
at 2 km/hr and 24 [le]A[le]105%
km/hr.
Sec. 53.64 Static Fractionator Evaluation of the Dp50 = 2.5 [mu]m
Test. fractionator under 0.2
static conditions. [mu]m; Numerical
Analysis Results:
95%
[le]Rc[le]105%
Sec. 53.65 Loading Test....... Loading of the Acceptance
clean candidate criteria as
under laboratory specified in the
conditions. post-loading
evaluation test
(Sec. 53.62,
Sec. 53.63, or
Sec. 53.64)
Sec. 53.66 Volatility Test.... Polydisperse liquid Regression
aerosol produced Parameters Slope
by air = 1 0.1,
A.C.S. reagent Intercept = 0
grade glycerol, 0.15
99.5% minimum r [ge] 0.97
purity.
------------------------------------------------------------------------
Table F-2 to Subpart F of Part 53--Particle Sizes and Wind Speeds for
Full Wind Tunnel Test, Wind Tunnel Inlet Aspiration Test, and Static
Chamber Test
----------------------------------------------------------------------------------------------------------------
Full Wind Tunnel Test Inlet Aspiration Test Static
Primary Partical Mean Size a ([mu]m) ------------------------------------------------ Fractionator Volatility
2 km/hr 24 km/hr 2 km/hr 24 km/hr Test Test
----------------------------------------------------------------------------------------------------------------
1.50.25................... S S S
2.00.25................... S S S
2.20.25................... S S S
2.50.25................... S S S
2.80.25................... S S S
3.00.25................... L L
3.50.25................... S S S
4.00.5.................... S S S
Polydisperse Glycerol Aerosol......... L
----------------------------------------------------------------------------------------------------------------
a Aerodynamic diameter.
S=Solid particles.
L=Liquid particles.
Table F-3 to Subpart F of Part 53--Critical Parameters of Idealized
Ambient Particle Size Distributions
--------------------------------------------------------------------------------------------------------------------------------------------------------
Fine Particle Mode Coarse Particle Mode FRM
------------------------------------------------------------------ Sampler
PM2.5/ Expected
Idealized Distribution Conc. Conc. PM10 Mass
MMD Geo. Std. ([mu]g/ MMD Geo. Std. ([mu]g/ Ratio Conc.
([mu]m) Dev. m3) ([mu]m) Dev. m3) ([mu]g/
m3)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Coarse.......................................................... 0.50 2 12.0 10 2 88.0 0.27 13.814
``Typical''..................................................... 0.50 2 33.3 10 2 66.7 0.55 34.284
Fine............................................................ 0.85 2 85.0 15 2 15.0 0.94 78.539
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table F-4 to Subpart F of Part 53--Estimated Mass Concentration
Measurement of PM2.5 for Idealized Coarse Aerosol Size
Distribution
----------------------------------------------------------------------------------------------------------------
Test Sampler Ideal Sampler
Particle ------------------------------------------------------------------------------------------------
Aerodynamic Estimated Mass Estimated Mass
Diameter Fractional Interval Mass Concentration Fractional Interval Mass Concentration
([mu]m) Sampling Concentration Measurement Sampling Concentration Measurement
Effectiveness ([mu]g/m3) ([mu]g/m3) Effectiveness ([mu]g/m3) ([mu]g/m3)
----------------------------------------------------------------------------------------------------------------
(1) (2) (3) (4) (5) (6) (7)
----------------------------------------------------------------------------------------------------------------
<0.500 1.000 6.001 1.000 6.001 6.001
0.625 2.129 0.999 2.129 2.127
0.750 0.982 0.998 0.982 0.980
0.875 0.730 0.997 0.730 0.728
1.000 0.551 0.995 0.551 0.548
1.125 0.428 0.991 0.428 0.424
1.250 0.346 0.987 0.346 0.342
1.375 0.294 0.980 0.294 0.288
[[Page 101]]
1.500 0.264 0.969 0.264 0.256
1.675 0.251 0.954 0.251 0.239
1.750 0.250 0.932 0.250 0.233
1.875 0.258 0.899 0.258 0.232
2.000 0.272 0.854 0.272 0.232
2.125 0.292 0.791 0.292 0.231
2.250 0.314 0.707 0.314 0.222
2.375 0.339 0.602 0.339 0.204
2.500 0.366 0.480 0.366 0.176
2.625 0.394 0.351 0.394 0.138
2.750 0.422 0.230 0.422 0.097
2.875 0.449 0.133 0.449 0.060
3.000 0.477 0.067 0.477 0.032
3.125 0.504 0.030 0.504 0.015
3.250 0.530 0.012 0.530 0.006
3.375 0.555 0.004 0.555 0.002
3.500 0.579 0.001 0.579 0.001
3.625 0.602 0.000000 0.602 0.000000
3.750 0.624 0.000000 0.624 0.000000
3.875 0.644 0.000000 0.644 0.000000
4.000 0.663 0.000000 0.663 0.000000
4.125 0.681 0.000000 0.681 0.000000
4.250 0.697 0.000000 0.697 0.000000
4.375 0.712 0.000000 0.712 0.000000
4.500 0.726 0.000000 0.726 0.000000
4.625 0.738 0.000000 0.738 0.000000
4.750 0.750 0.000000 0.750 0.000000
4.875 0.760 0.000000 0.760 0.000000
5.000 0.769 0.000000 0.769 0.000000
5.125 0.777 0.000000 0.777 0.000000
5.250 0.783 0.000000 0.783 0.000000
5.375 0.789 0.000000 0.789 0.000000
5.500 0.794 0.000000 0.794 0.000000
5.625 0.798 0.000000 0.798 0.000000
5.75 0.801 0.000000 0.801 0.000000
Csam(exp)= Cideal(exp)= 13.814
----------------------------------------------------------------------------------------------------------------
Table F-5 to Subpart F of Part 53--Estimated Mass Concentration
Measurement of PM2.5 for Idealized ``Typical'' Coarse Aerosol
Size Distribution
----------------------------------------------------------------------------------------------------------------
Test Sampler Ideal Sampler
Particle ------------------------------------------------------------------------------------------------
Aerodynamic Estimated Mass Estimated Mass
Diameter Fractional Interval Mass Concentration Fractional Interval Mass Concentration
([mu]m) Sampling Concentration Measurement Sampling Concentration Measurement
Effectiveness ([mu]g/m3) ([mu]g/m3) Effectiveness ([mu]g/m3) ([mu]g/m3)
----------------------------------------------------------------------------------------------------------------
(1) (2) (3) (4) (5) (6) (7)
----------------------------------------------------------------------------------------------------------------
<0.500 1.000 16.651 1.000 16.651 16.651
0.625 5.899 0.999 5.899 5.893
0.750 2.708 0.998 2.708 2.703
0.875 1.996 0.997 1.996 1.990
1.000 1.478 0.995 1.478 1.471
1.125 1.108 0.991 1.108 1.098
1.250 0.846 0.987 0.846 0.835
1.375 0.661 0.980 0.661 0.648
1.500 0.532 0.969 0.532 0.516
1.675 0.444 0.954 0.444 0.424
1.750 0.384 0.932 0.384 0.358
1.875 0.347 0.899 0.347 0.312
2.000 0.325 0.854 0.325 0.277
2.125 0.314 0.791 0.314 0.248
2.250 0.312 0.707 0.312 0.221
2.375 0.316 0.602 0.316 0.190
2.500 0.325 0.480 0.325 0.156
2.625 0.336 0.351 0.336 0.118
2.750 0.350 0.230 0.350 0.081
[[Page 102]]
2.875 0.366 0.133 0.366 0.049
3.000 0.382 0.067 0.382 0.026
3.125 0.399 0.030 0.399 0.012
3.250 0.416 0.012 0.416 0.005
3.375 0.432 0.004 0.432 0.002
3.500 0.449 0.001 0.449 0.000000
3.625 0.464 0.000000 0.464 0.000000
3.750 0.480 0.000000 0.480 0.000000
3.875 0.494 0.000000 0.494 0.000000
4.000 0.507 0.000000 0.507 0.000000
4.125 0.520 0.000000 0.520 0.000000
4.250 0.000000 0.532 0.000000
4.375 0.000000 0.543 0.000000
4.500 0.000000 0.553 0.000000
4.625 0.000000 0.562 0.000000
4.750 0.000000 0.570 0.000000
4.875 0.000000 0.577 0.000000
5.000 0.000000 0.584 0.000000
5.125 0.000000 0.590 0.000000
5.250 0.000000 0.595 0.000000
5.375 0.000000 0.599 0.000000
5.500 0.000000 0.603 0.000000
5.625 0.000000 0.605 0.000000
5.75 0.000000 0.608 0.000000
Csam(exp)= Cideal(exp)= 34.284
----------------------------------------------------------------------------------------------------------------
Table F-6 to Subpart F of Part 53--Estimated Mass Concentration
Measurement of PM2.5 for Idealized Fine Aerosol Size
Distribution
----------------------------------------------------------------------------------------------------------------
Test Sampler Ideal Sampler
Particle ------------------------------------------------------------------------------------------------
Aerodynamic Estimated Mass Estimated Mass
Diameter Fractional Interval Mass Concentration Fractional Interval Mass Concentration
([mu]m) Sampling Concentration Measurement Sampling Concentration Measurement
Effectiveness ([mu]g/m3) ([mu]g/m3) Effectiveness ([mu]g/m3) ([mu]g/m3)
----------------------------------------------------------------------------------------------------------------
(1) (2) (3) (4) (5) (6) (7)
----------------------------------------------------------------------------------------------------------------
<0.500 1.000 18.868 1.000 18.868 18.868
0.625 13.412 0.999 13.412 13.399
0.750 8.014 0.998 8.014 7.998
0.875 6.984 0.997 6.984 6.963
1.000 5.954 0.995 5.954 5.924
1.125 5.015 0.991 5.015 4.970
1.250 4.197 0.987 4.197 4.142
1.375 3.503 0.980 3.503 3.433
1.500 2.921 0.969 2.921 2.830
1.675 2.438 0.954 2.438 2.326
1.750 2.039 0.932 2.039 1.900
1.875 1.709 0.899 1.709 1.536
2.000 1.437 0.854 1.437 1.227
2.125 1.212 0.791 1.212 0.959
2.250 1.026 0.707 1.026 0.725
2.375 0.873 0.602 0.873 0.526
2.500 0.745 0.480 0.745 0.358
2.625 0.638 0.351 0.638 0.224
2.750 0.550 0.230 0.550 0.127
2.875 0.476 0.133 0.476 0.063
3.000 0.414 0.067 0.414 0.028
3.125 0.362 0.030 0.362 0.011
3.250 0.319 0.012 0.319 0.004
3.375 ............... 0.282 0.004 0.282 0.001
3.500 0.252 0.001 0.252 0.000000
3.625 0.226 0.000000 0.226 0.000000
3.750 0.204 0.000000 0.204 0.000000
3.875 0.185 0.000000 0.185 0.000000
4.000 0.170 0.000000 0.170 0.000000
4.125 0.157 0.000000 0.157 0.000000
[[Page 103]]
4.250 0.146 0.000000 0.146 0.000000
4.375 0.136 0.000000 0.136 0.000000
4.500 0.129 0.000000 0.129 0.000000
4.625 0.122 0.000000 0.122 0.000000
4.750 0.117 0.000000 0.117 0.000000
4.875 0.112 0.000000 0.112 0.000000
5.000 0.108 0.000000 0.108 0.000000
5.125 0.105 0.000000 0.105 0.000000
5.250 0.102 0.000000 0.102 0.000000
5.375 0.100 0.000000 0.100 0.000000
5.500 0.098 0.000000 0.098 0.000000
5.625 0.097 0.000000 0.097 0.000000
5.75 0.096 0.000000 0.096 0.000000
Csam(exp)= Cideal(exp)= 78.539
----------------------------------------------------------------------------------------------------------------
Figure E-1 to Subpart F of Part 53--Designation Testing Checklist
DESIGNATION TESTING CHECKLIST FOR CLASS II
-------------------- -------------------- ----
----------------
Auditee Auditor signature
Date
------------------------------------------------------------------------
Compliance Status: Y = Yes N = No NA
= Not applicable/Not available
------------------------------------------------
Verification Verified by Direct Verification Comments
----------------------- Observation of Process (Includes documentation
or of Documented of who, what, where,
Evidence: Performance, when, why) (Doc. , Rev. ,
Y N NA Spec. Corresponding to Rev. Date)
Sections of 40 CFR Part
53, Subparts E and F
------------------------------------------------------------------------
Subpart E: Performance
Specification Tests
------------------------------------------------------------------------
Evaluation completed .......................
according to Subpart E
Sec. 53.50 to Sec.
53.56
------------------------------------------------------------------------
Subpart E: Class I
Sequential Tests
------------------------------------------------------------------------
Class II samplers that
are also Class I
(sequentialized) have
passed the tests in
Sec. 53.57
------------------------------------------------------------------------
Subpart F: Performance
Spec/Test
------------------------------------------------------------------------
Evaluation of Physical
Characteristics of
Clean Sampler - One of
these tests must be
performed:
Sec. 53.62 - Full Wind
Tunnel
Sec. 53.63 - Inlet
Aspiration
Sec. 53.64 - Static
Fractionator
------------------------------------------------------------------------
Evaluation of Physical
Characteristics of
Loaded Sampler
Sec. 53.65 Loading
Test
One of the following
tests must be
performed for
evaluation after
loading: Sec. 53.62,
Sec. 53.63, Sec.
53.64
------------------------------------------------------------------------
Evaluation of the
Volatile
Characteristics of the
Class II Sampler Sec.
53.66
------------------------------------------------------------------------
[[Page 104]]
Appendix A to Subpart F of Part 53--References
(1) Marple, V.A., K.L. Rubow, W. Turner, and J.D. Spangler, Low Flow
Rate Sharp Cut Impactors for Indoor Air Sampling: Design and
Calibration., JAPCA, 37: 1303-1307 (1987).
(2) Vanderpool, R.W. and K.L. Rubow, Generation of Large, Solid
Calibration Aerosols, J. of Aer. Sci. and Tech., 9:65-69 (1988).
(3) Society of Automotive Engineers Aerospace Material Specification
(SAE AMS) 2404C, Electroless Nickel Planting, SAE, 400 Commonwealth
Drive, Warrendale PA-15096, Revised 7-1-84, pp. 1-6.
PART 54--PRIOR NOTICE OF CITIZEN SUITS--Table of Contents
Sec.
54.1 Purpose.
54.2 Service of notice.
54.3 Contents of notice.
Authority: Sec. 304 of the Clean Air Act, as amended (sec. 12, Pub.
L. 91-604, 84 Stat. 1706).
Source: 36 FR 23386, Dec. 9, 1971, unless otherwise noted.
Sec. 54.1 Purpose.
Section 304 of the Clean Air Act, as amended, authorizes the
commencement of civil actions to enforce the Act or to enforce certain
requirements promulgated pursuant to the Act. The purpose of this part
is to prescribe procedures governing the giving of notices required by
subsection 304(b) of the Act (sec. 12, Pub. L. 91-604; 84 Stat. 1706) as
a prerequisite to the commencement of such actions.
Sec. 54.2 Service of notice.
(a) Notice to Administrator: Service of notice given to the
Administrator under this part shall be accomplished by certified mail
addressed to the Administrator, Environmental Protection Agency,
Washington, DC 20460. Where notice relates to violation of an emission
standard or limitation or to violation of an order issued with respect
to an emission standard or limitation, a copy of such notice shall be
mailed to the Regional Administrator of the Environmental Protection
Agency for the Region in which such violation is alleged to have
occurred.
(b) Notice to State: Service of notice given to a State under this
part regarding violation of an emission standard or limitation, or an
order issued with respect to an emission standard or limitation shall be
accomplished by certified mail addressed to an authorized representative
of the State agency charged with responsibility for air pollution
control in the State. A copy of such notice shall be mailed to the
Governor of the State.
(c) Notice to alleged violator: Service of notice given to an
alleged violator under this part shall be accomplished by certified mail
addressed to, or by personal service upon, the owner or managing agent
of the building, plant, installation, or facility alleged to be in
violation of an emission standard or limitation, or an order issued with
respect to an emission standard or limitation. Where the alleged
violator is a corporation, a copy of such notice shall be sent by
certified mail to the registered agent, if any, of such corporation in
the State in which such violation is alleged to have occurred.
(d) Notice served in accordance with the provisions of this part
shall be deemed given on the postmark date, if served by mail, or on the
date of receipt, if personally served.
Sec. 54.3 Contents of notice.
(a) Failure to act. Notice regarding a failure of the Administrator
to perform an act or duty which is not discretionary shall identify the
provisions of the Act which requires such act or creates such duty,
shall describe with reasonable specificity the action taken or not taken
by the Administrator which is claimed to constitute a failure to perform
such act or duty, and shall state the full name and address of the
person giving the notice.
(b) Violation of standard, limitation or order. Notices to the
Administrator, States, and alleged violators regarding violation of an
emission standard or limitation or an order issued with respect to an
emission standard or limitation, shall include sufficient information to
permit the recipient to identify the specific standard, limitation, or
order which has allegedly been violated, the activity alleged to be in
violation, the person or persons responsible for the alleged violation,
the location of the alleged violation, the date
[[Page 105]]
or dates of such violation, and the full name and address of the person
giving the notice.
PART 55--OUTER CONTINENTAL SHELF AIR REGULATIONS--Table of Contents
Sec.
55.1 Statutory authority and scope.
55.2 Definitions.
55.3 Applicability.
55.4 Requirements to submit a notice of intent.
55.5 Corresponding onshore area designation.
55.6 Permit requirements.
55.7 Exemptions.
55.8 Monitoring, reporting, inspections, and compliance.
55.9 Enforcement.
55.10 Fees.
55.11 Delegation.
55.12 Consistency updates.
55.13 Federal requirements that apply to OCS sources.
55.14 Requirements that apply to OCS sources located within 25 miles of
States' seaward boundaries, by State.
55.15 Specific designation of corresponding onshore areas.
Appendix A to Part 55--Listing of State and Local Requirements
Incorporated by Reference Into Part 55, by State
Authority: Section 328 of the Clean Air Act (42 U.S.C. 7401, et
seq.) as amended by Public Law 101-549.
Source: 57 FR 40806, Sept. 4, 1992, unless otherwise noted.
Sec. 55.1 Statutory authority and scope.
Section 328(a)(1) of the Clean Air Act (``the Act''), requires the
Environmental Protection Agency (``EPA'') to establish requirements to
control air pollution from outer continental shelf (``OCS'') sources in
order to attain and maintain Federal and State ambient air quality
standards and to comply with the provisions of part C of title I of the
Act. This part establishes the air pollution control requirements for
OCS sources and the procedures for implementation and enforcement of the
requirements, consistent with these stated objectives of section
328(a)(1) of the Act. In implementing, enforcing and revising this rule
and in delegating authority hereunder, the Administrator will ensure
that there is a rational relationship to the attainment and maintenance
of Federal and State ambient air quality standards and the requirements
of part C of title I, and that the rule is not used for the purpose of
preventing exploration and development of the OCS.
Sec. 55.2 Definitions.
Administrator means the Administrator of the U.S. Environmental
Protection Agency.
Corresponding Onshore Area (COA) means, with respect to any existing
or proposed OCS source located within 25 miles of a State's seaward
boundary, the onshore area that is geographically closest to the source
or another onshore area that the Administrator designates as the COA,
pursuant to Sec. 55.5 of this part.
Delegated agency means any agency that has been delegated authority
to implement and enforce requirements of this part by the Administrator,
pursuant to Sec. 55.11 of this part. It can refer to a State agency, a
local agency, or an Indian tribe, depending on the delegation status of
the program.
Existing source or existing OCS source shall have the meaning given
in the applicable requirements incorporated into Secs. 55.13 and 55.14
of this part, except that for two years following the date of
promulgation of this part the definition given in Sec. 55.3 of this part
shall apply for the purpose of determining the required date of
compliance with this part.
Exploratory source or exploratory OCS source means any OCS source
that is a temporary operation conducted for the sole purpose of
gathering information. This includes an operation conducted during the
exploratory phase to determine the characteristics of the reservoir and
formation and may involve the extraction of oil and gas.
Modification shall have the meaning given in the applicable
requirements incorporated into Secs. 55.13 and 55.14 of this part,
except that for two years following the date of promulgation of this
part the definition given in section 111(a) of the Act shall apply for
the purpose of determining the required date of compliance with this
part, as set forth in Sec. 55.3 of this part.
Nearest Onshore Area (NOA) means, with respect to any existing or
proposed OCS source, the onshore area
[[Page 106]]
that is geographically closest to that source.
New source or new OCS source shall have the meaning given in the
applicable requirements of Secs. 55.13 and 55.14 of this part, except
that for two years following the date of promulgation of this part, the
definition given in Sec. 55.3 of this part shall apply for the purpose
of determining the required date of compliance with this part.
OCS source means any equipment, activity, or facility which:
(1) Emits or has the potential to emit any air pollutant;
(2) Is regulated or authorized under the Outer Continental Shelf
Lands Act (``OCSLA'') (43 U.S.C. Sec. 1331 et seq.); and
(3) Is located on the OCS or in or on waters above the OCS.
This definition shall include vessels only when they are:
(1) Permanently or temporarily attached to the seabed and erected
thereon and used for the purpose of exploring, developing or producing
resources therefrom, within the meaning of section 4(a)(1) of OCSLA (43
U.S.C. Sec. 1331 et seq.); or
(2) Physically attached to an OCS facility, in which case only the
stationary sources aspects of the vessels will be regulated.
Onshore area means a coastal area designated as an attainment,
nonattainment, or unclassifiable area by EPA in accordance with section
107 of the Act. If the boundaries of an area designated pursuant to
section 107 of the Act do not coincide with the boundaries of a single
onshore air pollution control agency, then onshore area shall mean a
coastal area defined by the jurisdictional boundaries of an air
pollution control agency.
Outer continental shelf shall have the meaning provided by section 2
of the OCSLA (43 U.S.C. Sec. 1331 et seq.).
Potential emissions means the maximum emissions of a pollutant from
an OCS source operating at its design capacity. Any physical or
operational limitation on the capacity of a source to emit a pollutant,
including air pollution control equipment and restrictions on hours of
operation or on the type or amount of material combusted, stored, or
processed, shall be treated as a limit on the design capacity of the
source if the limitation is federally enforceable. Pursuant to section
328 of the Act, emissions from vessels servicing or associated with an
OCS source shall be considered direct emissions from such a source while
at the source, and while enroute to or from the source when within 25
miles of the source, and shall be included in the ``potential to emit''
for an OCS source. This definition does not alter or affect the use of
this term for any other purposes under Secs. 55.13 or 55.14 of this
part, except that vessel emissions must be included in the ``potential
to emit'' as used in Secs. 55.13 and 55.14 of this part.
Residual emissions means the difference in emissions from an OCS
source if it applies the control requirements(s) imposed pursuant to
Sec. 55.13 or Sec. 55,14 of this part and emissions from that source if
it applies a substitute control requirement pursuant to an exemption
granted under Sec. 55.7 of this part.
State means the State air pollution control agency that would be the
permitting authority, a local air pollution permitting agency, or
certain Indian tribes which can be the permitting authority for areas
within their jurisdiction. State may also be used in the geographic
sense to refer to a State, the NOA, or the COA.
[57 FR 40806, Sept. 4, 1992, as amended at 62 FR 46408, Sept. 2, 1997]
Sec. 55.3 Applicability.
(a) This part applies to all OCS sources except those located in the
Gulf of Mexico west of 87.5 degrees longitude.
(b) OCS sources located within 25 miles of States' seaward
boundaries shall be subject to all the requirements of this part, which
include, but are not limited to, the Federal requirements as set forth
in Sec. 55.13 of this part and the Federal, State, and local
requirements of the COA (designated pursuant to Sec. 55.5 of this part),
as set forth in Sec. 55.14 of this part.
(c) The OCS sources located beyond 25 miles of States' seaward
boundaries shall be subject to all the requirements of this part, except
the requirements of Secs. 55.4, 55.5, 55.12 and 55.14 of this part.
(d) New OCS sources shall comply with the requirements of this part
by
[[Page 107]]
September 4, 1992 where a ``new OCS source'' means an OCS source that is
a new source within the meaning of section 111(a) of the Act.
(e) Existing sources shall comply with the requirements of this part
by September 4, 1994, where an ``existing OCS source'' means any source
that is not a new source within the meaning of section 111(a) of the
Act.
[57 FR 40806, Sept. 4, 1992, as amended at 62 FR 46408, Sept. 2, 1997]
Sec. 55.4 Requirements to submit a notice of intent.
(a) Prior to performing any physical change or change in method of
operation that results in an increase in emissions, and not more than 18
months prior to submitting an application for a preconstruction permit,
the applicant shall submit a Notice of Intent (``NOI'') to the
Administrator through the EPA Regional Office, and at the same time
shall submit copies of the NOI to the air pollution control agencies of
the NOA and onshore areas adjacent to the NOA. This section applies only
to sources located within 25 miles of States' seaward boundaries.
(b) The NOI shall include the following:
(1) General company information, including company name and address,
owner's name and agent, and facility site contact.
(2) Facility description in terms of the proposed process and
products, including identification by Standard Industrial Classification
Code.
(3) Estimate of the proposed project's potential emissions of any
air pollutant, expressed in total tons per year and in such other terms
as may be necessary to determine the applicability of requirements of
this part. Potential emissions for the project must include all vessel
emissions associated with the proposed project in accordance with the
definition of potential emissions in Sec. 55.2 of this part.
(4) Description of all emissions points including associated
vessels.
(5) Estimate of quantity and type of fuels and raw materials to be
used.
(6) Description of proposed air pollution control equipment.
(7) Proposed limitations on source operations or any work practice
standards affecting emissions.
(8) Other information affecting emissions, including, where
applicable, information related to stack parameters (including height,
diameter, and plume temperature), flow rates, and equipment and facility
dimensions.
(9) Such other information as may be necessary to determine the
applicability of onshore requirements.
(10) Such other information as may be necessary to determine the
source's impact in onshore areas.
(c) Exploratory sources and modifications to existing sources with
designated COAs shall be exempt from the requirement in paragraph
(b)(10) of this section.
(d) The scope and contents of the NOI shall in no way limit the
scope and contents of the required permit application or applicable
requirements given in this part.
Sec. 55.5 Corresponding onshore area designation.
(a) Proposed exploratory sources. The NOA shall be the COA for
exploratory sources located within 25 miles of States' seaward
boundaries. Paragraphs (b), (c), and (f) of this section are not
applicable to these sources.
(b) Requests for designation. (1) The chief executive officer of the
air pollution control agency of an area that believes it has more
stringent air pollution control requirements than the NOA for a proposed
OCS source, may submit a request to be designated as the COA to the
Administrator and at the same time shall send copies of the request to
the chief executive officer of the NOA and to the proposed source. The
request must be received by the Administrator within 60 days of the
receipt of the NOI. If no requests are received by the Administrator
within 60 days of the receipt of the NOI, the NOA will become the
designated COA without further action.
(2) No later than 90 days after the receipt of the NOI, a
demonstration must be received by the Administrator showing that:
(i) The area has more stringent requirements with respect to the
control
[[Page 108]]
and abatement of air pollution than the NOA;
(ii) The emissions from the source are or would be transported to
the requesting area; and
(iii) The transported emissions would affect the requesting area's
efforts to attain or maintain a Federal or State ambient air quality
standard or to comply with the requirements of part C of title I of the
Act, taking into account the effect of air pollution control
requirements that would be imposed if the NOA were designated as the
COA.
(c) Determination by the Administrator. (1) If no demonstrations are
received by the Administrator within 90 days of the receipt of the NOI,
the NOA will become the designated COA without further action.
(2) If one or more demonstrations are received, the Administrator
will issue a preliminary designation of the COA within 150 days of the
receipt of the NOI, which shall be followed by a 30 day public comment
period, in accordance with paragraph (f) of this section.
(3) The Administrator will designate the COA for a specific source
within 240 days of the receipt of the NOI.
(4) When the Administrator designates a more stringent area as the
COA with respect to a specific OCS source, the delegated agency in the
COA will exercise all delegated authority. If there is no delegated
agency in the COA, then EPA will issue the permit and implement and
enforce the requirements of this part. The Administrator may retain
authority for implementing and enforcing the requirements of this part
if the NOA and the COA are in different States.
(5) The Administrator shall designate the COA for each source only
once in the source's lifetime.
(d) Offset requirements. Offsets shall be obtained based on the
applicable requirements of the COA, as set forth in Secs. 55.13 and
55.14 of this part.
(e) Authority to designate the COA. The authority to designate the
COA for any OCS source shall not be delegated to a State or local
agency, but shall be retained by the Administrator.
(f) Administrative procedures and public participation. The
Administrator will use the following public notice and comment
procedures for processing a request for COA designation under this
section:
(1) Within 150 days from receipt of an NOI, if one or more
demonstrations are received, the Administrator shall make a preliminary
determination of the COA and shall:
(i) Make available, in at least one location in the NOA and in the
area requesting COA designation, a copy of all materials submitted by
the requester, a copy of the Administrator's preliminary determination,
and a copy or summary of other materials, if any, considered by the
Administrator in making the preliminary determination; and
(ii) Notify the public, by prominent advertisement in a newspaper of
general circulation in the NOA and the area requesting COA designation,
of a 30-day opportunity for written public comment on the available
information and the Administrator's preliminary COA designation.
(2) A copy of the notice required pursuant to paragraph (f)(1)(ii)
of this section shall be sent to the requester, the affected source,
each person from whom a written request of such notice has been
received, and the following officials and agencies having jurisdiction
over the COA and NOA: State and local air pollution control agencies,
the chief executive of the city and county, the Federal Land Manager of
potentially affected Class I areas, and any Indian governing body whose
lands may be affected by emissions from the OCS source.
(3) Public comments received in writing within 30 days after the
date the public notice is made available will be considered by the
Administrator in making the final decision on the request. All comments
will be made available for public inspection.
(4) The Administrator will make a final COA designation within 60
days after the close of the public comment period. The Administrator
will notify, in writing, the requester and each person who has requested
notice of the final action and will set forth the reasons for the
determination. Such notification will be made available for public
inspection.
[57 FR 40806, Sept. 4, 1992, as amended at 61 FR 25151, May 20, 1996]
[[Page 109]]
Sec. 55.6 Permit requirements.
(a) General provisions--(1) Permit applications. (i) The owner or
operator of an OCS source shall submit to the Administrator or delegated
agency all information necessary to perform any analysis or make any
determination required under this section.
(ii) Any application submitted pursuant to this part by an OCS
source shall include a description of all the requirements of this part
and a description of how the source will comply with the applicable
requirements. For identification purposes only, the application shall
include a description of those requirements that have been proposed by
EPA for incorporation into this part and that the applicant believes,
after diligent research and inquiry, apply to the source.
(2) Exemptions. (i) When an applicant submits any approval to
construct or permit to operate application to the Administrator or
delegated agency it shall include a request for exemption from
compliance with any pollution control technology requirement that the
applicant believes is technically infeasible or will cause an
unreasonable threat to health and safety. The Administrator or delegated
agency shall act on the request for exemption in accordance with the
procedures established in Sec. 55.7 of this part.
(ii) A final permit shall not be issued under this part until a
final determination is made on any exemption request, including those
appealed to the Administrator in accordance with Sec. 55.7 of this part.
(3) Administrative procedures and public participation. The
Administrator will follow the applicable procedures of 40 CFR part 124
in processing applications under this part. Until 40 CFR part 124 has
been modified to specifically reference permits issued under this part,
the Administrator will follow the procedures in part 124 used to issue
Prevention of Significant Deterioration (``PSD'') permits.
(4) Source obligation. (i) Any owner or operator who constructs or
operates an OCS source not in accordance with the application submitted
pursuant to this part 55, or with any approval to construct or permit to
operate, or any owner or operator of a source subject to the
requirements of this part who commences construction after the effective
date of this part without applying for and receiving approval under this
part, shall be in violation of this part.
(ii) Any owner or operator of a new OCS source who commenced
construction prior to the promulgation date of this rule shall comply
with the requirements of paragraph (e) of this section.
(iii) Receipt of an approval to construct or a permit to operate
from the Administrator or delegated agency shall not relieve any owner
or operator of the responsibility to comply fully with the applicable
provisions of any other requirements under Federal law.
(iv) The owner or operator of an OCS source to whom the approval to
construct or permit to operate is issued under this part shall notify
all other owners and operators, contractors, and the subsequent owners
and operators associated with emissions from the source, of the
conditions of the permit issued under this part.
(5) Delegation of authority. If the Administrator delegates any of
the authority to implement and enforce the requirements of this section,
the following provisions shall apply:
(i) The applicant shall send a copy of any permit application
required by this section to the Administrator through the EPA Regional
Office at the same time as the application is submitted to the delegated
agency.
(ii) The delegated agency shall send a copy of any public comment
notice required under this section or Secs. 55.13 or 55.14 to the
Administrator through the EPA Regional Office.
(iii) The delegated agency shall send a copy of any preliminary
determination and final permit action required under this section or
Secs. 55.13 or 55.14 to the Administrator through the EPA Regional
Office at the time of the determination and shall make available to the
Administrator any materials used in making the determination.
(b) Preconstruction requirements for OCS sources located within 25
miles of States' seaward boundaries. (1) No OCS source to which the
requirements of Secs. 55.13 or 55.14 of this part apply shall
[[Page 110]]
begin actual construction after the effective date of this part without
a permit that requires the OCS source to meet those requirements.
(2) Any permit application required under this part shall not be
submitted until the Administrator has determined whether a consistency
update is necessary, pursuant to Sec. 55.12 of this part, and, if the
Administrator finds an update to be necessary, has published a proposed
consistency update.
(3) The applicant may be required to obtain more than one
preconstruction permit, if necessitated by partial delegation of this
part or by the requirements of this section and Secs. 55.13 and 55.14 of
this part.
(4) An approval to construct shall become invalid if construction is
not commenced within 18 months after receipt of such approval, if
construction is discontinued for a period of 18 months or more, or if
construction is not completed within a reasonable time. The 18-month
period may be extended upon a showing satisfactory to the Administrator
or the delegated agency that an extension is justified. Sources
obtaining extensions are subject to all new or interim requirements and
a reassessment of the applicable control technology when the extension
is granted. This requirement shall not supersede a more stringent
requirement under Secs. 55.13 or 55.14 of this part.
(5) Any preconstruction permit issued to a new OCS source or
modification shall remain in effect until it expires under paragraph
(b)(4) of this section or is rescinded under the applicable requirements
incorporated in Secs. 55.13 and 55.14 of this part.
(6) Whenever any proposed OCS source or modification to an existing
OCS source is subject to action by a Federal agency that might
necessitate preparation of an environmental impact statement pursuant to
the National Environmental Policy Act (42 U.S.C. 4321), review by the
Administrator conducted pursuant to this section shall be coordinated
with the environmental reviews under that Act to the extent feasible and
reasonable.
(7) The Administrator or delegated agency and the applicant shall
provide written notice of any permit application from a source, the
emissions from which may affect a Class I area, to the Federal Land
Manager charged with direct responsibility for management of any lands
within the Class I area. Such notification shall include a copy of all
information contained in the permit application and shall be given
within 30 days of receipt of the application and at least 60 days prior
to any public hearing on the preconstruction permit.
(8) Modification of existing sources. The preconstruction
requirements above shall not apply to a particular modification, as
defined in Sec. 55.13 or Sec. 55.14 of this part, of an existing OCS
source if:
(i) The modification is necessary to comply with this part, and no
other physical change or change in the method of operation is made in
conjunction with the modification;
(ii) The modification is made within 24 months of promulgation of
this part; and
(iii) The modification does not result in an increase, in excess of
any de minimus levels contained in the applicable requirements of
Secs. 55.13 and 55.14, of potential emissions or actual hourly emissions
of a pollutant regulated under the Act.
(9) Compliance plans. Sources intending to perform modifications
that meet all of the criteria of paragraph (b)(8) of this section shall
submit a compliance plan to the Administrator or delegated agency prior
to performing the modification. The compliance shall describe the
schedule and method the source will use to comply with the applicable
OCS requirements within 24 months of the promulgation date of this part
and shall include a request for any exemptions from compliance with a
pollution control technology requirement that the applicant believes is
technically infeasible or will cause an unreasonable threat to health
and safety. The Administrator or delegated agency shall act on the
request for exemption in accordance with the procedures established in
Sec. 55.7 of this part.
(i) The Administrator or delegated agency shall review the
compliance plan and provide written comments to the source within 45
days of receipt of such plan. The source shall provide a written
response to such comments as required by the reviewing agency.
[[Page 111]]
(ii) Receipt and review of a compliance plan by the Administrator or
delegated agency shall not relieve any owner or operator of an existing
OCS source of the responsibility to comply fully with the applicable
requirements of Secs. 55.13 and 55.14 of this part within 24 months of
promulgation of this part.
(c) Operating permit requirements for sources located within 25
miles of States' seaward boundaries. (1) All applicable operating permit
requirements listed in this section and incorporated into Secs. 55.13
and 55.14 of this part shall apply to OCS sources.
(2) The Administrator or delegated agency shall not issue a permit
to operate to any existing OCS source that has not demonstrated
compliance with all the applicable requirements of this part.
(3) If the COA does not have an operating permits program approved
pursuant to 40 CFR part 70 or if EPA has determined that the COA is not
adequately implementing an approved program, the applicable requirements
of 40 CFR part 71, the Federal operating permits program, shall apply to
the OCS sources. The applicable requirements of 40 CFR part 71 will be
implemented and enforced by the Administrator. The Administrator may
delegate the authority to implement and enforce all or part of a Federal
operating permits program to a State pursuant to Sec. 55.11 of this
part.
(d) Permit requirements for sources located beyond 25 miles of
States' seaward boundaries. (1) OCS sources located beyond 25 miles of
States' seaward boundaries shall be subject to the permitting
requirements set forth in this section and Sec. 55.13 of this part.
(2) The Administrator or delegated agency shall not issue a permit-
to-operate to any existing OCS source that has not demonstrated
compliance with all the applicable requirements of this part.
(e) Permit requirements for new sources that commenced construction
prior to September 4, 1992--(1) Applicability. Sec. 55.6(e) applies to a
new OCS source, as defined by section 328 of the Act, that commenced
construction before September 4, 1992.
(2) A source subject to Sec. 55.6(e) shall comply with the following
requirements:
(i) By October 5, 1992, the owner or operator of the source shall
submit a transitional permit application (``TPA'') to the Administrator
or the delegated agency. The TPA shall include the following:
(A) The information specified in Secs. 55.4(b)(1) through
Sec. 55.4(b)(9) of this part;
(B) A list of all requirements applicable to the source under this
part;
(C) A request for exemption from compliance with any control
technology requirement that the applicant believes is technically
infeasible or will cause an unreasonable threat to health and safety;
(D) An air quality screening analysis demonstrating whether the
source has or is expected in the future to cause or contribute to a
violation of any applicable State or Federal ambient air quality
standard or exceed any applicable increment. If no air quality analysis
is required by the applicable requirements of Secs. 55.13 and 55.14,
this requirement does not apply;
(E) Documentation that source emissions are currently being offset,
or will be offset if the source has not commenced operation, at the
ratio required under this part, and documentation that those offsets
meet or will meet the requirements of this part; and
(F) A description of how the source is complying with the applicable
requirements of Secs. 55.13 and 55.14 of this part, including emission
levels and corresponding control measures, including Best Available
Control Technology (``BACT'') or Lowest Achievable Emission Rates
(``LAER''), but excluding the requirements to have valid permits.
(ii) The source shall expeditiously complete its permit application
in compliance with the schedule determined by the Administrator or
delegated agency.
(iii) The source shall comply with all applicable requirements of
this part except for the requirements of paragraph (a)(4)(i) of this
section. The source shall comply with the control technology
requirements (such as BACT or LAER) set forth in the TPA that would
[[Page 112]]
be applicable if the source had a valid permit.
(iv) Any owner or operator subject to this subsection who continues
to construct or operate an OCS source thirty days from promulgation of
this part without submitting a TPA, or continues to construct or operate
an OCS source not in accordance with the TPA submitted pursuant to
paragraph (e) of this section, or constructs or operates an OCS source
not in accordance with the schedule determined by the permitting
authority, shall be in violation of this part.
(3) Upon the submittal of a permit application deemed to be complete
by the permitting authority, the owner or operator of the source shall
be subject to the permitting requirements of Secs. 55.13 and 55.14 of
this part that apply subsequent to the submission of a complete permit
application. When a source receives the permit or permits required under
this part, its TPA shall expire.
(4) Until the date that a source subject to this subsection receives
the permit or permits required under this part, that source shall cease
operation if, based on projected or actual emissions, the permitting
authority determines that the source is currently or may in the future
cause or contribute to a violation of a State or Federal ambient air
quality standard or exceed any applicable increment.
[57 FR 40806, Sept. 4, 1992, as amended at 61 FR 34228, July 1, 1996; 62
FR 46409, Sept. 2, 1997]
Sec. 55.7 Exemptions.
(a) Authority and criteria. The Administrator or the delegated
agency may exempt a source from a control technology requirement of this
part if the Administrator or the delegated agency finds that compliance
with the control technology requirement is technically infeasible or
will cause an unreasonable threat to health and safety.
(b) Request for an exemption--(1) Permit application required. An
applicant shall submit a request for an exemption from a control
technology requirement at the same time as the applicant submits a
preconstruction or operating permit application to the Administrator or
delegated agency.
(2) No permit application required. If no permit or permit
modification is required, a request for an exemption must be received by
the Administrator or delegated agency within 60 days from the date the
control technology requirement is promulgated by EPA.
(3) Compliance plan. An existing source that submits a compliance
plan in accordance with Sec. 55.6(b) of this part shall submit all
requests for exemptions at the same time as the compliance plan. For the
purpose of applying Sec. 55.7 of this part, a request submitted with a
compliance plan shall be treated in the same manner as a request that
does not require a permit application.
(4) Content of request. (i) The request shall include information
that demonstrates that compliance with a control technology requirement
of this part would be technically infeasible or would cause an
unreasonable threat to health and safety.
(ii) The request shall include a proposed substitute requirement(s)
as close in stringency to the original requirement as possible.
(iii) The request shall include an estimate of emission reductions
that would be achieved by compliance with the original requirement, an
estimate of emission reductions that would be achieved by compliance
with the proposed substitute requirement(s) and an estimate of residual
emissions.
(iv) The request shall identify emission reductions of a sufficient
quantity to offset the estimated residual emissions. Sources located
beyond 25 miles from States' seaward boundaries shall consult with the
Administrator to identify suitable emission reductions.
(c) Consultation requirement. If the authority to grant or deny
exemptions has been delegated, the delegated agency shall consult with
the Minerals Management Service of the U.S. Department of Interior and
the U.S. Coast Guard to determine whether the exemption will be granted
or denied.
(1) The delegated agency shall transmit to the Administrator
(through the Regional Office), the Minerals Management Service, and the
U.S. Coast Guard, a copy of the permit application, or the request if no
permit is required, within 5 days of its receipt.
[[Page 113]]
(2) Consensus. If the delegated agency, the Minerals Management
Service, and the U.S. Coast Guard reach a consensus decision on the
request within 90 days from the date the delegated agency received the
request, the delegated agency may issue a preliminary determination in
accordance with the applicable requirements of paragraph (f) of this
section.
(3) No consensus. If the delegated agency, the Minerals Management
Service, and the U.S. Coast Guard do not reach a consensus decision
within 90 days from the date the delegated agency received the request,
the request shall automatically be referred to the Administrator who
will process the referral in accordance with paragraph (f)(3) of this
section. The delegated agency shall transmit to the Administrator,
within 91 days of its receipt, the request and all materials submitted
with the request, such as the permit application or the compliance plan,
and any other information considered or developed during the
consultation process.
(4) If a request is referred to the Administrator and the delegated
agency issues a preliminary determination on a permit application before
the Administrator issues a final decision on the exemption, the
delegated agency shall include a notice of the opportunity to comment on
the Administrator's preliminary determination in accordance with the
procedures of paragraph (f)(4) of this section.
(5) The Administrator's final decision on a request that has been
referred pursuant to paragraph (c) of this section shall be incorporated
into the final permit issued by the delegated agency. If no permit is
required, the Administrator's final decision on the request shall be
implemented and enforced by the delegated agency.
(d) Preliminary determination. The Administrator or delegated agency
shall issue a preliminary determination in accordance with paragraph (f)
of this section. A preliminary determination shall propose to grant or
deny the request for exemption. A preliminary determination to grant the
request shall include proposed substitute control requirements and
offsets necessary to comply with the requirements of paragraph (e) of
this section.
(e) Grant of exemption. (1) The source shall comply with a
substitute requirement(s), equal to or as close in stringency to the
original requirement as possible, as determined by the Administrator or
delegated agency.
(2) An OCS source located within 25 miles of States' seaward
boundaries shall offset residual emissions resulting from the grant of
an exemption request in accordance with the requirements of the Act and
the regulations thereunder. The source shall obtain offsets in
accordance with the applicable requirements as follows:
(i) If offsets are required in the COA, a new source shall offset
residual emissions in the same manner as all other new source emissions
in accordance with the requirements of Sec. 55.5(d) of this part.
(ii) If offsets are not required in the COA, a new source shall
comply with an offset ratio of 1:1.
(iii) An existing OCS source shall comply with an offset at a ratio
of 1:1.
(3) An OCS source located beyond 25 miles from States' seaward
boundaries shall obtain emission reductions at a ratio determined by the
Administrator to be adequate to protect State and Federal ambient air
quality standards and to comply with part C of title I of the Act.
(f) Administrative procedures and public participation--(1) Request
submitted with a permit application. If a request is submitted with a
permit application, the request shall be considered part of the permit
application and shall be processed accordingly for the purpose of
administrative procedures and public notice and comment requirements.
The Administrator shall comply with the requirements of 40 CFR part 124
and the requirements set forth at Sec. 55.6 of this part. If the
Administrator has delegated authority to a State, the delegated agency
shall use its own procedures as deemed adequate by the Administrator in
accordance with Sec. 55.11 of this part. These procedures must provide
for public notice and comment on the preliminary determination.
(2) Request submitted without a permit or with a compliance plan. If
a permit is not required, the Administrator or the
[[Page 114]]
delegated agency shall issue a preliminary determination within 90 days
from the date the request was received, and shall use the procedures set
forth at paragraph (f)(4) of this section for processing a request.
(3) Referral. If a request is referred to the Administrator pursuant
to paragraph (c) of this section, the Administrator shall make a
preliminary determination no later than 30 days after receipt of the
request and any accompanying materials transmitted by the delegated
agency. The Administrator shall use the procedures set forth at
paragraph (f)(4) of this section for processing a request.
(4) The Administrator or the delegated agency shall comply with the
following requirements for processing requests submitted without a
permit, with a compliance plan, and requests referred to the
Administrator:
(i) Issue a preliminary determination to grant or deny the request.
A preliminary determination by the Administrator to deny a request shall
be considered a final decision and will be accompanied by the reasons
for the decision. As such, it is not subject to any further public
notice, comment, or hearings. Written notice of the denial shall be
given to the requester.
(ii) Make available, in at least one location in the COA and NOA, a
copy of all materials submitted by the requester, a copy of the
preliminary determination, and a copy or summary of other materials, if
any, considered in making the preliminary determination.
(iii) Notify the public, by prominent advertisement in a newspaper
of general circulation in the COA and NOA, of a 30-day opportunity for
written public comment on the information submitted by the owner or
operator and on the preliminary determination.
(iv) Send a copy of the notice required pursuant to paragraph
(f)(4)(iii) of this section to the requester, the affected source, each
person from whom a written request of such notice has been received, and
the following officials and agencies having jurisdiction over the COA
and NOA: State and local air pollution control agencies, the chief
executive of the city and county, the Federal Land Manager of
potentially affected Class I areas, and any Indian governing body whose
lands may be affected by emissions from the OCS source.
(v) Consider written public comments received within 30 days after
the date the public notice is made available when making the final
decision on the request. All comments will be made available for public
inspection. At the time that any final decision is issued, the
Administrator or delegated agency will issue a response to comments.
(vi) Make a final decision on the request within 30 days after the
close of the public comment period. The Administrator or the delegated
agency will notify, in writing, the applicant and each person who has
submitted written comments, or from whom a written request of such
notice has been received, of the final decision and will set forth the
reasons. Such notification will be made available for public inspection.
(5) Within 30 days after the final decision has been made on a
request, the requester, or any person who filed comments on the
preliminary determination, may petition the Administrator to review any
aspect of the decision. Any person who failed to file comments on the
preliminary decision may petition for administrative review only on the
changes from the preliminary to the final determination.
Sec. 55.8 Monitoring, reporting, inspections, and compliance.
(a) The Administrator may require monitoring or reporting and may
authorize inspections pursuant to section 114 of the Act and the
regulations thereunder. Sources shall also be subject to the
requirements set forth in Secs. 55.13 and 55.14 of this part.
(b) All monitoring, reporting, inspection and compliance
requirements authorized under the Act shall apply.
(c) An existing OCS source that is not required to obtain a permit
to operate within 24 months of the date of promulgation of this part
shall submit a compliance report to the Administrator or delegated
agency within 25 months of promulgation of this part. The compliance
report shall specify all the applicable OCS requirements of this part
and a description of how the
[[Page 115]]
source has complied with these requirements.
(d) The Administrator or the delegated agency shall consult with the
Minerals Management Service and the U.S. Coast Guard prior to
inspections. This shall in no way interfere with the ability of EPA or
the delegated agency to conduct unannounced inspections.
(Approved by the Office of Management and Budget under control number
2060-0249)
[57 FR 40806, Sept. 4, 1992, as amended at 58 FR 16626, Mar. 30, 1993]
Sec. 55.9 Enforcement.
(a) OCS sources shall comply with all requirements of this part and
all permits issued pursuant to this part. Failure to do so shall be
considered a violation of section 111(e) of the Act.
(b) All enforcement provisions of the Act, including, but not
limited to, the provisions of sections 113, 114, 120, 303 and 304 of the
Act, shall apply to OCS sources.
(c) If a facility is ordered to cease operation of any piece of
equipment due to enforcement action taken by EPA or a delegated agency
pursuant to this part, the shutdown will be coordinated by the enforcing
agency with the Minerals Management Service and the U.S. Coast Guard to
assure that the shutdown will proceed in a safe manner. No shutdown
action will occur until after consultation with these agencies, but in
no case will initiation of the shutdown be delayed by more than 24
hours.
Sec. 55.10 Fees.
(a) OCS sources located within 25 miles of States' seaward
boundaries. (1) The EPA will calculate and collect operating permit fees
from OCS sources in accordance with the requirements of 40 CFR part 71.
(2) EPA will collect all other fees from OCS sources calculated in
accordance with the fee requirements imposed in the COA if the fees are
based on regulatory objectives, such as discouraging emissions. If the
fee requirements are based on cost recovery objectives, however, EPA
will adjust the fees to reflect the costs to EPA to issue permits and
administer the permit program.
(3) Upon delegation, the delegated agency will collect fees from OCS
sources calculated in accordance with the fee requirements imposed in
the COA. Upon delegation of authority to implement and enforce any
portion of this part, EPA will cease to collect fees imposed in
conjunction with that portion.
(b) The OCS sources located beyond 25 miles of States' seaward
boundaries. The EPA will calculate and collect operating permit fees
from OCS sources in accordance with the requirements of 40 CFR part 71.
[57 FR 40806, Sept. 4, 1992, as amended at 61 FR 34228, July 1, 1996]
Sec. 55.11 Delegation.
(a) The Governor or the Governor's designee of any State adjacent to
an OCS source subject to the requirements of this part may submit a
request, purusant to section 328(a)(3) of the Act, to the Administrator
for the authority to implement and enforce the requirements of this OCS
program: Within 25 miles of the State's seaward boundary; and/or Beyond
25 miles of the State's seaward boundary. Authority to implement and
enforce Secs. 55.5, 55.11, and 55.12 of this part will not be delegated.
(b) The Administrator will delegate implementation and enforcement
authority to a State if the State has an adjacent OCS source and the
Administrator determines that the State's regulations are adequate,
including a demonstration by the State that the State has:
(1) Adopted the appropriate portions of this part into State law;
(2) Adequate authority under State law to implement and enforce the
requirements of this part. A letter from the State Attorney General
shall be required stating that the requesting agency has such authority;
(3) Adequate resources to implement and enforce the requirements of
this part; and
(4) Adequate administrative procedures to implement and enforce the
requirements of this part, including public notice and comment
procedures.
(c) The Administrator will notify in writing the Governor or the
Governor's designee of the Administrator's final
[[Page 116]]
action on a request for delegation within 6 months of the receipt of the
request.
(d) If the Administrator finds that the State regulations are
adequate, the Administrator will authorize the State to implement and
enforce the OCS requirements under State law. If the Administrator finds
that only part of the State regulations are adequate, he will authorize
the State to implement and enforce only that portion of this part.
(e) Upon delegation, a State may use any authority it possesses
under State law to enforce any permit condition or any other requirement
of this part for which the agency has delegated authority under this
part. A State may use anyauthority it possesses under State law to
require monitoring and reporting and to conduct inspections.
(f) Nothing in this part shall prohibit the Administrator from
enforcing any requirement of this part.
(g) The Administrator will withdraw a delegation of any authority to
implement and enforce any or all of this part if the Administrator
determines that: (1) The requirements of this part are not being
adequately implemented or enforced by the delegated agency, or (2) The
delegated agency no longer has adequate regulations as required by
Sec. 55.11(b) of this part.
(h) Sharing of information. Any information obtained or used in the
administration of a delegated program shall be made available to EPA
upon request without restriction. If the information has been submitted
to the delegated agency under a claim of confidentiality, the delegated
agency must notify the source of this obligation and submit that claim
to EPA. Any information obtained from a delegated agency accompanied by
a claim of confidentiality will be treated in accordance with the
requirements of 40 CFR part 2.
(i) Grant of exemptions. A decision by a delegated agency to grant
or deny an exemption request may be appealed to the Administrator in
accordance with Sec. 55.7 of this part.
(j) Delegated authority. The delegated agency in the COA for sources
located within 25 miles of the State's seaward boundary or the delegated
agency in the NOA for sources located beyond 25 miles of the State's
seaward boundary will exercise all delegated authority. If there is no
delegated agency in the COA for sources located within 25 miles of the
State's seaward boundary, or in the NOA for sources located beyond 25
miles of the State's seaward boundary, the EPA will issue the permit and
implement and enforce the requirements of this part. For sources located
within 25 miles of the State's seaward boundary, the Administrator may
retain the authority for implementing and enforcing the requirements of
this part if the NOA and COA are in different States.
[57 FR 40806, Sept. 4, 1992, as amended at 62 FR 46409, Sept. 2, 1997]
Sec. 55.12 Consistency updates.
(a) The Administrator will update this part as necessary to maintain
consistency with the regulations of onshore areas in order to attain and
maintain Federal and State ambient standards and comply with part C of
title I of the Act.
(b) Where an OCS activity is occurring within 25 miles of a State
seaward boundary, consistency reviews will occur at least annually. In
addition, in accordance with paragraphs (c) and (d) of this section,
consistency reviews will occur upon receipt of an NOI and when a State
or local agency submits a rule to EPA to be considered for incorporation
by reference in this part 55.
(1) Upon initiation of a consistency review, the Administrator will
evaluate the requirements of part 55 to determine whether they are
consistent with the current onshore requirements.
(2) If the Administrator finds that part 55 is inconsistent with the
requirements in effect in the onshore area, EPA will conduct a notice
and comment rulemaking to update part 55 accordingly.
(c) Consistency reviews triggered by receipt of an NOI. Upon receipt
of an NOI, the Administrator will initiate a consistency review of
regulations in the onshore area.
(1) If the NOI is submitted by a source for which the COA has
previously been assigned, EPA will publish a proposed consistency update
in the Federal Register no later than 60 days after the receipt of the
NOI, if an
[[Page 117]]
update is deemed necessary by the Administrator:
(2) If the NOI is submitted by a source requiring a COA designation,
EPA will publish a proposed consistency update in the Federal Register,
if an update is deemed necessary by the Administrator:
(i) No later than 75 days after receipt of the NOI if no adjacent
areas submit a request for COA designation and the NOA becomes the COA
by default, or
(ii) No later than 105 days after receipt of the NOI if an adjacent
area submits a request to be designated as COA but fails to submit the
required demonstration within 90 days of receipt of the NOI, or
(iii) No later than 15 days after the date of the final COA
determination if one or more demonstrations are received.
(d) Consistency reviews triggered by State and local air pollution
control agencies submitting rules directly to EPA for inclusion into
part 55. (1) EPA will propose in the Federal Register to approve
applicable rules submitted by State or local regulatory agencies for
incorporation by reference into Sec. 55.14 of this part by the end of
the calendar quarter following the quarter in which the submittal is
received by EPA.
(2) State and local rules submitted for inclusion in part 55 must be
rationally related to the attainment and maintenance of Federal or State
ambient air quality standards or to the requirements of part C of title
I of the Act. The submittal must be legible and unmarked, with the
adoption date and the name of the agency on each page, and must be
accompanied by proof of adoption.
(e) No rule or regulation that EPA finds to be arbitrary or
capricious will be incorporated into this part.
(f) A source may not submit a complete permit application until any
update the Administrator deems necessary to make part 55 consistent with
the COA's rules has been proposed.
Sec. 55.13 Federal requirements that apply to OCS sources.
(a) The requirements of this section shall apply to OCS sources as
set forth below. In the event that a requirement of this section
conflicts with an applicable requirement of Sec. 55.14 of this part and
a source cannot comply with the requirements of both sections, the more
stringent requirement shall apply.
(b) In applying the requirements incorporated into this section:
(1) New Source means new OCS source; and
(2) Existing Source means existing OCS source; and
(3) Modification means a modification to an OCS source.
(4) For requirements adopted prior to promulgation of this part,
language in such requirements limiting the applicability of the
requirements to onshore sources or to sources within State boundaries
shall not apply.
(c) 40 CFR part 60 (NSPS) shall apply to OCS sources in the same
manner as in the COA, except that any source determined to be an
existing source pursuant to Sec. 55.3(e) of this part shall not be
considered a ``new source'' for the purpose of NSPS adopted before
December 5, 1991.
(d) 40 CFR 52.21 (PSD) shall apply to OCS sources:
(1) Located within 25 miles of a State's seaward boundary if the
requirements of 40 CFR 52.21 are in effect in the COA;
(2) Located beyond 25 miles of States' seaward boundaries.
(e) 40 CFR part 61, together with any other provisions promulgated
pursuant to section 112 of the Act, shall apply if rationally related to
the attainment and maintenance of Federal or State ambient air quality
standards or the requirements of part C of title I of the Act.
(f) 40 CFR part 71 shall apply to OCS sources:
(1) Located within 25 miles of States' seaward boundaries if the
requirements of 40 CFR part 71 are in effect in the COA.
(2) Located beyond 25 miles of States' seaward boundaries.
(3) When an operating permits program approved pursuant to 40 CFR
part 70 is in effect in the COA and a Federal operating permit is issued
to satisfy an EPA objection pursuant to 40 CFR 71.4(e).
[[Page 118]]
(g) The provisions of 40 CFR 52.10, 40 CFR 52.24, and 40 CFR part 51
and accompanying appendix S shall apply to OCS sources located within 25
miles of States' seaward boundaries, if these requirements are in effect
in the COA.
(h) If the Administrator determines that additional requirements are
necessary to protect Federal and State ambient air quality standards or
to comply with part C of title I, such requirements will be incorporated
in this part.
[57 FR 40806, Sept. 4, 1992, as amended at 61 FR 34228, July 1, 1996]
Sec. 55.14 Requirements that apply to OCS sources located within 25
miles of States' seaward boundaries, by State.
(a) The requirements of this section shall apply to OCS sources as
set forth below. In the event that a requirement of this section
conflicts with an applicable requirement of Sec. 55.13 of this part and
a source cannot comply with the requirements of both sections, the more
stringent requirement shall apply.
(b) In applying the requirements incorporated into this section:
(1) New Source means new OCS source; and
(2) Existing Source means existing OCS source; and
(3) Modification means a modification to an existing OCS source.
(4) For requirements adopted prior to promulgation of this part,
language in such requirements limiting the applicability of the
requirements to onshore sources or to sources within State boundaries
shall not apply.
(c) During periods of EPA implementation and enforcement of this
section, the following shall apply:
(1) Any reference to a State or local air pollution control agency
or air pollution control officer shall mean EPA or the Administrator,
respectively.
(2) Any submittal to State or local air pollution control agency
shall instead be submitted to the Administrator through the EPA Regional
Office.
(3) Nothing in this section shall alter or limit EPA's authority to
administer or enforce the requirements of this part under Federal law.
(4) EPA shall not be bound by any State or local administrative or
procedural requirements including, but not limited to, requirements
pertaining to hearing boards, permit issuance, public notice procedures,
and public hearings. EPA will follow the applicable procedures set forth
elsewhere in this part, in 40 CFR part 124, and in Federal rules
promulgated pursuant to title V of the Act (as such rules apply in the
COA), when administering this section.
(5) Only those requirements of 40 CFR part 52 that are rationally
related to the attainment and maintenance of Federal or State ambient
air quality standards or part C of title I shall apply to OCS sources.
(d) Implementation Plan Requirements.
(1) [Reserved]
(2) Alaska.
(i) 40 CFR part 52, subpart C.
(ii) [Reserved]
(3) California.
(i) 40 CFR part 52, subpart F.
(ii) [Reserved]
(4)-(5) [Reserved]
(6) Florida.
(i) 40 CFR part 52, subpart K.
(ii) [Reserved]
(7)-(16) [Reserved]
(17) North Carolina.
(i) 40 CFR part 52, subpart II.
(ii) [Reserved]
(18)-(23) [Reserved]
(e) State and local requirements. State and local requirements
promulgated by EPA as applicable to OCS sources located within 25 miles
of States' seaward boundaries have been compiled into separate documents
organized by State and local areas of jurisdiction. These documents, set
forth below, are incorporated by reference. This incorporation by
reference was approved by the Director of the Federal Register Office in
accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies may be
inspected at the Office of the Federal Register, 800 North Capitol
Street, NW., Suite 700, Washington, DC. Copies of rules pertaining to
particular States or local areas may be inspected or obtained from the
EPA Air Docket (A-91-76), U.S. EPA, room M-1500, 401 M St., SW.,
Washington, DC 20460 or the appropriate EPA regional offices: U.S. EPA,
Region 4 (Florida and North Carolina), 345 Courtland Street, NE.,
[[Page 119]]
Atlanta, GA 30365; U.S. EPA, Region 9 (California), 75 Hawthorne Street,
San Francisco, CA 94105; and U.S. EPA, Region 10 (Alaska), 1200 Sixth
Avenue, Seattle, WA 98101. For an informational listing of the State and
local requirements incorporated into this part, which are applicable to
sources of air pollution located on the OCS, see appendix A to this
part.
(1) [Reserved]
(2) Alaska.
(i) State requirements.
(A) State of Alaska Requirements Applicable to OCS Sources, July 2,
2000.
(B) [Reserved]
(ii) Local requirements.
(A) South Central Alaska Clean Air Authority Requirements Applicable
to OCS Sources, August 21, 1992.
(B) [Reserved]
(3) California.
(i) State requirements.
(A) State of California Requirements Applicable to OCS Sources.
(ii) Local requirements.
(A)-(D) [Reserved]
(E) San Luis Obispo County Air Pollution Control District
Requirements Applicable to OCS Sources, February 2000.
(F) Santa Barbara County Air Pollution Control District Requirements
Applicable to OCS Sources, February 2000.
(G) South Coast Air Quality Management District Requirements
Applicable to OCS Sources (Part I , II and Part III), February 2000.
(H) Ventura County Air Pollution Control District Requirements
Applicable to OCS Sources, February 2000.
(4) and (5) [Reserved]
(6) Florida.
(i) State requirements.
(A) State of Florida Requirements Applicable to OCS Sources, January
11, 1995.
(B) [Reserved]
(ii) Local requirements.
(A) [Reserved]
(7)-(16) [Reserved]
(17) North Carolina.
(i) State requirements.
(A) State of North Carolina Air Pollution Control Requirements
Applicable to OCS Sources, August 21, 1992.
(B) [Reserved]
(ii) Local requirements.
(A) [Reserved]
(18)-(23) [Reserved]
[57 FR 40806, Sept. 4, 1992, as amended at 58 FR 16626, Mar. 30, 1993;
58 FR 59173, Nov. 8, 1993; 59 FR 17270, Apr. 12, 1994; 59 FR 50846, Oct.
6, 1994; 60 FR 47293, Sept. 12, 1995; 60 FR 55327, Oct. 31, 1995; 61 FR
28758, June 6, 1996; 62 FR 41871, Aug. 4, 1997; 65 FR 15869, Mar. 24,
2000; 66 FR 12984, Mar. 1, 2001; 67 FR 14648, Mar. 27, 2002]
Sec. 55.15 Specific designation of corresponding onshore areas.
(a) California.
(1) The South Coast Air Quality Management District is designated as
the COA for the following OCS facilities: Edith, Ellen, Elly, and
Eureka.
(2) The Ventura County Air Pollution Control District is designated
as the COA for the following OCS facilities: Grace, Gilda, Gail and
Gina.
(3) The Santa Barbara County Air Pollution Control District is
designated as the COA for the following OCS facilities: Habitat,
Hacienda, Harmony, Harvest, Heather, Henry, Heritage, Hermosa, Hidalgo,
Hillhouse, Hogan, Houchin, Hondo, Irene, Independence (formerly Iris),
the OS and T, and Union A, B, and C.
(b) [Reserved]
[58 FR 14159, Mar. 16, 1993]
Appendix A to Part 55--Listing of State and Local Requirements
Incorporated by Reference Into Part 55, by State
This appendix lists the titles of the State and local requirements
that are contained within the documents incorporated by reference into
40 CFR part 55.
Alaska
(a) State requirements.
(1) The following State of Alaska requirements are applicable to OCS
Sources, July 2, 2000. Alaska Administrative Code--Department of
Environmental Conservation. The following sections of Title 18, Chapter
50:
Article 1. Ambient Air Quality Management
18 AAC 50.005. Purpose and Applicability of Chapter. (effective 1/18/
1997)
18 AAC 50.010. Ambient Air Quality Standards. (effective 6/21/1998)
18 AAC 50.015. Air Quality Designations, Classifications, And Control
Regions. (effective 1/18/1997)
Table 1. Air Quality Classifications
[[Page 120]]
18 AAC 50.020. Baseline Dates, Maximum Allowable Increases, And Maximum
Allowable Ambient Concentrations. (effective 6/21/1998)
Table 2. Baseline Dates
Table 3. Maximum Allowable Increases
18 AAC 50.025. Visibility and Other Special Protection Areas. (effective
1/18/1997)
(a) [untitled]
18 AAC 50.030. State Air Quality Control Plan. (effective 9/04/1998)
18 AAC 50.035. Documents, Procedures, and Methods Adopted by Reference.
(effective 7/02/2000)
18 AAC 50.045. Prohibitions. (effective 1/18/1997)
18 AAC 50.050. Incinerator Emission Standards. (effective 1/18/1997)
Table 4. Particulate Matter Standards for Incinerators
18 AAC 50.055. Industrial Processes and Fuel-burning Equipment.
(effective 11/04/1999)
18 AAC 50.065. Open Burning. (effective 1/18/1997)
(a) General Requirements.
(b) Black Smoke Prohibited.
(c) Toxic and Acid Gases and Particulate Matter Prohibited.
(d) Adverse Effects Prohibited.
(e) Air Quality Advisory.
(i) Firefighter Training: Fuel Burning.
(j) Public Notice.
(k) Complaints.
18 AAC 50.070. Marine Vessel Visible Emission Standards. (effective 6/
21/1998)
18 AAC 50.080. Ice Fog Standards. (effective 1/18/1997)
18 AAC 50.100. Nonroad engines. (effective 1/18/1997)
18 AAC 50.110. Air Pollution Prohibited. (effective 5/26/1972)
Article 2. Program Administration
18 AAC 50.201. Ambient Air Quality Investigation. (effective 1/18/1997)
18 AAC 50.205. Certification. (effective 1/18/1997)
18 AAC 50.210. Potential to Emit. (effective 1/18/1997)
18 AAC 50.215. Ambient Air Quality Analysis Methods. (effective 6/21/
1998)
18 AAC 50.220. Enforceable Test Methods. (effective 1/18/1997)
18 AAC 50.225. Owner-requested Limits. (effective 6/21/1998)
18 AAC 50.230. Preapproved Limits. (effective 6/21/1998)
18 AAC 50.235. Unavoidable Emergencies and Malfunctions. (effective 6/
14/1998)
18 AAC 50.240. Excess Emissions. (effective 1/18/1997)
Article 3. Permit Procedures and Requirements
18 AAC 50.300. Construction Permits: Classifications. (effective 6/21/
1998)
(a) [untitled]
(b) Ambient Air Quality Facilities.
(c) Prevention of Significant Deterioration Major Facilities.
(d) Nonattainment Major Facilities.
(e) Major Facility Near a Nonattainment Area.
(f) Hazardous Air Contaminant Major Facilities.
(h) Modifications. (paragraphs 1 through 10)
18 AAC 50.305. Construction Permit Provisions Requested by the Owner or
Operator. (effective 1/18/97)
18 AAC 50.310. Construction Permits: Application. (effective 1/18/1997)
(a) Application Required.
(b) Operating Permit Coordination.
(c) General Information.
(d) Prevention of Significant Deterioration Information. Table 6.
Significant Concentrations
(e) Excluded Ambient Air Monitoring.
(f) Nonattainment Information.
(g) Demonstration Required Near A Nonattainment Area.
(h) Hazardous Air Contaminant Information.
(j) Nonattainment Air Contaminant Reductions.
(k) Revising Permit Terms.
(l) Requested Limits.
(m) Stack Injection.
(n) Ambient Air Quality Information.
18 AAC 50.320. Construction Permits: Content and Duration. (effective 1/
18/1997)
18 AAC 50.325. Operating Permits: Classifications. (effective 6/21/1998)
18 AAC 50.330. Operating Permits: Exemptions. (effective 1/18/1997)
18 AAC 50.335. Operating Permits: Application. (effective 6/21/1998)
(a) Application Required.
(b) Identification.
(c) General Emission Information.
(d) Fees.
(e) Regulated Source Information.
(f) Facility-wide Information: Ambient Air Quality.
(g) Facility-wide Information: Owner Requested Limits.
(h) Facility-wide Information: Emissions Trading.
(i) Compliance Information.
(j) Proposed Terms and Conditions.
(k) Compliance Certifications.
(l) Permit Shield.
(m) Supporting Documentation.
(n) Additional Information.
(o) Certification of Accuracy and Completeness.
(p) Renewals.
(q) Insignificant Sources.
(r) Insignificant Sources: Emission Rate Basis.
(s) Insignificant Sources: Category Basis.
(t) Insignificance Sources: Size or Production Rate Basis.
[[Page 121]]
(u) Insignificant Sources: Case-by-Case Basis.
(v) Administratively Insignificant Sources.
18 AAC 50.340. Operating Permits: Review and Issuance. (effective 1/18/
1997)
(a) Review of Completeness.
(b) Evaluation of Complete Applications.
(c) Expiration of Application Shield.
18 AAC 50.341. Operating Permits: Reopenings. (paragraphs a, b, c, f,
and g)(effective 6/14/1998)
18 AAC 50.345. Operating Permits: Standard Conditions. (effective 6/21/
1998)
18 AAC 50.350. Operating Permits: Content. (effective 6/21/1998)
(a) Purpose of Section
(b) Standard Requirements.
(c) Fee Information.
(d) Source-Specific Permit Requirements.
(e) Facility-Wide Permit Requirements.
(f) Other Requirements.
(g) Monitoring Requirements.
(h) Records.
(i) Reporting Requirements.
(j) Compliance Certification.
(k) Compliance Plan and Schedule.
(l) Permit Shield.
(m) Insignificant Sources.
18 AAC 50.355. Changes to a Permitted Facility. (effective 1/18/1997)
18 AAC 50.360. Facility Changes that Violate a Permit Condition.
(effective 1/18/1997)
18 AAC 50.365. Facility Changes that do not Violate a Permit Condition.
(effective 6/14/1998)
18 AAC 50.370. Administrative Revisions. (effective 6/14/1998)
18 AAC 50.375. Minor and Significant Permit Revisions. (effective 6/21/
1998)
18 AAC 50.380. General Operating Permits. (effective 6/14/1998)
18 AAC 50.385. Permit-by-rule for Certain Small Storage Tanks.
(effective 6/21/1998)
Article 5. User Fees
18 AAC 50.400. Permit Administration Fees. (effective 6/21/1998)
18 AAC 50.410. Emission Fees. (effective 1/18/1997)
18 AAC 50.420. Billing Procedures. (effective 1/18/1997)
Article 9. General Provisions
18 AAC 50.910. Establishing Level of Actual Emissions. (effective 1/18/
1997)
18 AAC 50.990. Definitions. (effective 1/01/2000)
California
(a) State requirements.
(1) The following requirements are contained in State of California
Requirements Applicable to OCS Sources, February 2000.
Barclays California Code of Regulations
The following sections of Title 17 Subchapter 6:
17 Sec. 92000 Definitions (Adopted 5/31/91)
17 Sec. 92100 Scope and Policy (Adopted 5/31/91)
17 Sec. 92200 Visible Emission Standards (Adopted 5/31/91)
17 Sec. 92210 Nuisance Prohibition (Adopted 5/31/91)
17 Sec. 92220 Compliance with Performance Standards (Adopted 5/31/91)
17 Sec. 92400 Visible Evaluation Techniques (Adopted 5/31/91)
17 Sec. 92500 General Provisions (Adopted 5/31/91)
17 Sec. 92510 Pavement Marking (Adopted 5/31/91)
17 Sec. 92520 Stucco and Concrete (Adopted 5/31/91)
17 Sec. 92530 Certified Abrasive (Adopted 5/31/91)
17 Sec. 92540 Stucco and Concrete (Adopted 5/31/91)
Health and Safety Code
The following section of Division 26, Part 4, Chapter 4, Article 1:
Health and Safety Code Sec. 42301.13 of seq. Stationary sources:
demolition or removal (chaptered 7/25/96)
(b) Local requirements.
(1)-(4) [Reserved]
(5) The following requirements are contained in San Luis Obispo
County Air Pollution Control District Requirements Applicable to OCS
Sources, February 2000:
Rule 103 Conflicts Between District, State and Federal Rules (Adopted
8/6/76)
Rule 105 Definitions (Adopted 1/24/96)
Rule 106 Standard Conditions (Adopted 8/6/76)
Rule 108 Severability (Adopted 11/13/84)
Rule 113 Continuous Emissions Monitoring, except F. (Adopted 7/5/77)
Rule 201 Equipment not Requiring a Permit, except A.1.b. (Revised 4/26/
95)
Rule 202 Permits, except A.4. and A.8. (Adopted 11/5/91)
Rule 203 Applications, except B. (Adopted 11/5/91)
Rule 204 Requirements, except B.3. and C. (Adopted 8/10/93)
Rule 209 Provision for Sampling and Testing Facilities (Adopted 11/5/
91)
Rule 210 Periodic Inspection, Testing and Renewal of Permits to Operate
(Adopted 11/5/91)
Rule 213 Calculations, except E.4. and F. (Adopted 8/10/93)
Rule 302 Schedule of Fees (Adopted 6/18/97)
Rule 305 Fees for Major Non-Vehicular Sources (Adopted 9/15/92)
Rule 401 Visible Emissions (Adopted 8/6/76)
Rule 403 Particulate Matter Emissions (Adopted 8/6/76)
Rule 404 Sulfur Compounds Emission Standards, Limitations and
Prohibitions (Revised 12/6/76)
Rule 405 Nitrogen Oxides Emission Standards, Limitations and
Prohibitions (Adopted 11/16/93)
[[Page 122]]
Rule 406 Carbon Monoxide Emission Standards, Limitations and
Prohibitions (Adopted 11/14/84)
Rule 407 Organic Material Emission Standards, Limitations and
Prohibitions (Adopted 5/22/96)
Rule 411 Surface Coating of Metal Parts and Products (Adopted 1/28/98)
Rule 416 Degreasing Operations (Adopted 6/18/79)
Rule 417 Control of Fugitive Emissions of Volatile Organic Compounds
(Adopted 2/9/93)
Rule 419 Petroleum Pits, Ponds, Sumps, Well Cellars, and Wastewater
Separators (Revised 7/12/94)
Rule 422 Refinery Process Turnarounds (Adopted 6/18/79)
Rule 425 Storage of Volatile Organic Compounds (Adopted 7/12/94)
Rule 427 Marine Tanker Loading (Adopted 4/26/95)
Rule 429 Oxides of Nitrogen and Carbon Monoxide Emissions from Electric
Power Generation Boilers (Revised 11/12/97)
Rule 430 Control of Oxides of Nitrogen from Industrial, Institutional,
Commercial Boilers, Steam Generators, and Process Heaters (Adopted 7/26/
95)
Rule 431 Stationary Internal Combustion Engines (Adopted 11/13/96)
Rule 501 General Burning Provisions (Adopted 1/10/89)
Rule 503 Incinerator Burning, except B.1.a. (Adopted 2/7/89)
Rule 601 New Source Performance Standards (Adopted 5/28/97)
(6) The following requirements are containing in Santa Barbara
County Air Pollution Control District Requirements Applicable to OCS
Sources, February 2000:
Rule 102 Definitions (Adopted 5/20/99)
Rule 103 Severability (Adopted 10/23/78)
Rule 106 Notice to Comply for Minor Violations (Adopted 7/15/99)
Rule 201 Permits Required (Adopted 4/17/97)
Rule 202 Exemptions to Rule 201 (Adopted 4/17/97)
Rule 203 Transfer (Adopted 4/17/97)
Rule 204 Applications (Adopted 4/17/97)
Rule 205 Standards for Granting Applications (Adopted 4/17/97)
Rule 206 Conditional Approval of Authority to Construct or Permit to
Operate (Adopted 10/15/91)
Rule 207 Denial of Application (Adopted 10/23/78)
Rule 210 Fees (Adopted 4/17/97)
Rule 212 Emission Statements (Adopted 10/20/92)
Rule 301 Circumvention (Adopted 10/23/78)
Rule 302 Visible Emissions (Adopted 10/23/78)
Rule 304 Particulate Matter-Northern Zone (Adopted 10/23/78)
Rule 305 Particulate Matter Concentration-Southern Zone (Adopted 10/23/
78)
Rule 306 Dust and Fumes-Northern Zone (Adopted 10/23/78)
Rule 307 Particulate Matter Emission Weight Rate-Southern Zone (Adopted
10/23/78)
Rule 308 Incinerator Burning (Adopted 10/23/78)
Rule 309 Specific Contaminants (Adopted 10/23/78)
Rule 310 Odorous Organic Sulfides (Adopted 10/23/78)
Rule 311 Sulfur Content of Fuels (Adopted 10/23/78)
Rule 312 Open Fires (Adopted 10/2/90)
Rule 316 Storage and Transfer of Gasoline (Adopted 4/17/97)
Rule 317 Organic Solvents (Adopted 10/23/78)
Rule 318 Vacuum Producing Devices or Systems-Southern Zone (Adopted 10/
23/78)
Rule 321 Solvent Cleaning Operations (Adopted 9/18/97)
Rule 322 Metal Surface Coating Thinner and Reducer (Adopted 10/23/78)
Rule 323 Architectural Coatings (Adopted 7/18/96)
Rule 324 Disposal and Evaporation of Solvents (Adopted 10/23/78)
Rule 325 Crude Oil Production and Separation (Adopted 1/25/94)
Rule 326 Storage of Reactive Organic Liquid Compounds (Adopted 12/14/
93)
Rule 327 Organic Liquid Cargo Tank Vessel Loading (Adopted 12/16/85)
Rule 328 Continuous Emission Monitoring (Adopted 10/23/78)
Rule 330 Surface Coating of Miscellaneous Metal Parts and Products
(Adopted 4/21/95)
Rule 331 Fugitive Emissions Inspection and Maintenance (Adopted 12/10/
91)
Rule 332 Petroleum Refinery Vacuum Producing Systems, Wastewater
Separators and Process Turnarounds (Adopted 6/11/79)
Rule 333 Control of Emissions from Reciprocating Internal Combustion
Engines (Adopted 4/17/97)
Rule 342 Control of Oxides of Nitrogen (NOX) from Boilers,
Steam Generators and Process Heaters) (Adopted 4/17/97)
Rule 343 Petroleum Storage Tank Degassing (Adopted 12/14/93)
Rule 344 Petroleum Sumps, Pits, and Well Cellars (Adopted 11/10/94)
Rule 352 Natural Gas-Fired Fan-Type Central Furnaces and Residential
Water Heaters (Adopted 9/16/99)
Rule 353 Adhesives and Sealants (Adopted 8/19/99)
Rule 359 Flares and Thermal Oxidizers (6/28/94)
Rule 370 Potential to Emit--Limitations for Part 70 Sources (Adopted 6/
15/95)
Rule 505 Breakdown Conditions Sections A., B.1,. and D. only (Adopted
10/23/78)
Rule 603 Emergency Episode Plans (Adopted 6/15/81)
Rule 702 General Conformity (Adopted 10/20/94)
[[Page 123]]
Rule 801 New Source Review (Adopted 4/17/97)
Rule 802 Nonattainment Review (Adopted 4/17/97)
Rule 803 Prevention of Significant Deterioration (Adopted 4/17/97)
Rule 804 Emission Offsets (Adopted 4/17/97)
Rule 805 Air Quality Impact Analysis and Modeling (Adopted 4/17/97)
Rule 808 New Source Review for Major Sources of Hazardous Air
Pollutants (Adopted 5/20/99)
Rule 1301 Part 70 Operating Permits--General Information (Adopted 4/17/
97)
Rule 1302 Part 70 Operating Permits--Permit Application (Adopted 11/09/
93)
Rule 1303 Part 70 Operating Permits--Permits (Adopted 11/09/93)
Rule 1304 Part 70 Operating Permits--Issuance, Renewal, Modification
and Reopening (Adopted 11/09/93)
Rule 1305 Part 70 Operating Permits--Enforcement (Adopted 11/09/93)
(7) The following requirements are contained in South Coast Air
Quality Management District Requirements Applicable to OCS Sources (Part
I, II and III), February 2000:
Rule 102 Definition of Terms (Adopted 6/13/97)
Rule 103 Definition of Geographical Areas (Adopted 1/9/76)
Rule 104 Reporting of Source Test Data and Analyses (Adopted 1/9/76)
Rule 108 Alternative Emission Control Plans (Adopted 4/6/90)
Rule 109 Recordkeeping for Volatile Organic Compound Emissions (Adopted
3/6/92)
Rule 118 Emergencies (Adopted 12/7/95)
Rule 201 Permit to Construct (Adopted 1/5/90)
Rule 201.1 Permit Conditions in Federally Issued Permits to Construct
(Adopted 1/5/90)
Rule 202 Temporary Permit to Operate (Adopted 5/7/76)
Rule 203 Permit to Operate (Adopted 1/5/90)
Rule 204 Permit Conditions (Adopted 3/6/92)
Rule 205 Expiration of Permits to Construct (Adopted 1/5/90)
Rule 206 Posting of Permit to Operate (Adopted 1/5/90)
Rule 207 Altering or Falsifying of Permit (Adopted 1/9/76)
Rule 208 Permit for Open Burning (Adopted 1/5/90)
Rule 209 Transfer and Voiding of Permits (Adopted 1/5/90)
Rule 210 Applications (Adopted 1/5/90)
Rule 212 Standards for Approving Permits (Adopted 12/7/95) except
(c)(3) and (e)
Rule 214 Denial of Permits (Adopted 1/5/90)
Rule 217 Provisions for Sampling and Testing Facilities (Adopted 1/5/
90)
Rule 218 Stack Monitoring (Adopted 8/7/81)
Rule 219 Equipment Not Requiring a Written Permit Pursuant to
Regulation II (Adopted 12/13/96)
Rule 220 Exemption--Net Increase in Emissions (Adopted 8/7/81)
Rule 221 Plans (Adopted 1/4/85)
Rule 301 Permit Fees (Adopted 5/9/97) except (e)(6) and Table IV
Rule 304 Equipment, Materials, and Ambient Air Analyses (Adopted 5/9/
97)
Rule 304.1 Analyses Fees (Adopted 5/9/97)
Rule 305 Fees for Acid Deposition (Adopted 10/4/91)
Rule 306 Plan Fees (Adopted 5/9/97)
Rule 309 Fees for Regulation XVI Plans (Adopted 5/9/97)
Rule 401 Visible Emissions (Adopted 4/7/89)
Rule 403 Fugitive Dust (Adopted 2/14/97)
Rule 404 Particulate Matter--Concentration (Adopted 2/7/86)
Rule 405 Solid Particulate Matter--Weight (Adopted 2/7/86)
Rule 407 Liquid and Gaseous Air Contaminants (Adopted 4/2/82)
Rule 408 Circumvention (Adopted 5/7/76)
Rule 409 Combustion Contaminants (Adopted 8/7/81)
Rule 429 Start-Up and Shutdown Provisions for Oxides of Nitrogen
(Adopted 12/21/90)
Rule 430 Breakdown Provisions, (a) and (e) only (Adopted 7/12/96)
Rule 431.1 Sulfur Content of Gaseous Fuels (Adopted 11/17/95)
Rule 431.2 Sulfur Content of Liquid Fuels (Adopted 5/4/90)
Rule 431.3 Sulfur Content of Fossil Fuels (Adopted 5/7/76)
Rule 441 Research Operations (Adopted 5/7/76)
Rule 442 Usage of Solvents (Adopted 3/5/82)
Rule 444 Open Fires (Adopted 10/2/87)
Rule 463 Organic Liquid Storage (Adopted 3/11/94)
Rule 465 Vacuum Producing Devices or Systems (Adopted 11/1/91)
Rule 468 Sulfur Recovery Units (Adopted 10/8/76)
Rule 473 Disposal of Solid and Liquid Wastes (Adopted 5/7/76)
Rule 474 Fuel Burning Equipment-Oxides of Nitrogen (Adopted 12/4/81)
Rule 475 Electric Power Generating Equipment (Adopted 8/7/78)
Rule 476 Steam Generating Equipment (Adopted 10/8/76)
Rule 480 Natural Gas Fired Control Devices (Adopted 10/7/77); Addendum
to Regulation IV (Effective 1977)
Rule 518 Variance Procedures for Title V Facilities (Adopted 8/11/95)
Rule 518.1 Permit Appeal Procedures for Title V Facilities (Adopted 8/
11/95)
Rule 518.2 Federal Alternative Operating Conditions (Adopted 1/12/96)
Rule 701 Air Pollution Emergency Contingency Actions (Adopted 6/13/97)
Rule 702 Definitions (Adopted 7/11/80)
Rule 704 Episode Declaration (Adopted 7/9/82)
[[Page 124]]
Rule 707 Radio--Communication System (Adopted 7/11/80)
Rule 708 Plans (Adopted 7/9/82)
Rule 708.1 Stationary Sources Required to File Plans (Adopted 4/4/80)
Rule 708.2 Content of Stationary Source Curtailment Plans (Adopted 4/4/
80)
Rule 708.4 Procedural Requirements for Plans (Adopted 7/11/80)
Rule 709 First Stage Episode Actions (Adopted 7/11/80)
Rule 710 Second Stage Episode Actions (Adopted 7/11/80)
Rule 711 Third Stage Episode Actions (Adopted 7/11/80)
Rule 712 Sulfate Episode Actions (Adopted 7/11/80)
Rule 715 Burning of Fossil Fuel on Episode Days (Adopted 8/24/77)
Regulation IX--New Source Performance Standards (Adopted 1/9/98)
Rule 1106 Marine Coatings Operations (Adopted 1/13/95)
Rule 1107 Coating of Metal Parts and Products (Adopted 3/8/96)
Rule 1109 Emissions of Oxides of Nitrogen for Boilers and Process
Heaters in Petroleum Refineries (Adopted 8/5/88)
Rule 1110 Emissions from Stationary Internal Combustion Engines
(Demonstration) (Adopted 11/14/97)
Rule 1110.1 Emissions from Stationary Internal Combustion Engines
(Adopted 10/4/85)
Rule 1110.2 Emissions from Gaseous- and Liquid-Fueled Internal
Combustion Engines (Adopted 11/14/97)
Rule 1113 Architectural Coatings (Adopted 11/8/96)
Rule 1116.1 Lightering Vessel Operations-Sulfur Content of Bunker Fuel
(Adopted 10/20/78)
Rule 1121 Control of Nitrogen Oxides from Residential-Type Natural Gas-
Fired Water Heaters (Adopted 3/10/95)
Rule 1122 Solvent Degreasers (Adopted 7/11/97)
Rule 1123 Refinery Process Turnarounds (Adopted 12/7/90)
Rule 1129 Aerosol Coatings (rescinded 3/8/96)
Rule 1134 Emissions of Oxides of Nitrogen from Stationary Gas Turbines
(Adopted 8/8/97)
Rule 1136 Wood Products Coatings (Adopted 6/14/96)
Rule 1140 Abrasive Blasting (Adopted 8/2/85)
Rule 1142 Marine Tank Vessel Operations (Adopted 7/19/91)
Rule 1146 Emissions of Oxides of Nitrogen from Industrial,
Institutional, and Commercial Boilers, Steam Generators, and Process
Heaters (Adopted 5/13/94)
Rule 1146.1 Emission of Oxides of Nitrogen from Small Industrial,
Institutional, and Commercial Boilers, Steam Generators, and Process
Heaters (Adopted 5/13/94)
Rule 1146.2 Emissions of Oxides of Nitrogen from Large Water Heaters
and Small Boilers (Adopted 1/9/98)
Rule 1148 Thermally Enhanced Oil Recovery Wells (Adopted 11/5/82)
Rule 1149 Storage Tank Degassing (Adopted 7/14/95)
Rule 1168 Adhesive Applications (Adopted 2/13/98)
Rule 1171 Solvent Cleaning Operations (Adopted 9/13/96)
Rule 1173 Fugitive Emissions of Volatile Organic Compounds (Adopted 5/
13/94)
Rule 1176 VOC Emissions from Wastewater Systems (Adopted 9/13/96)
Rule 1301 General (Adopted 12/7/95)
Rule 1302 Definitions (Adopted 12/7/95)
Rule 1303 Requirements (Adopted 5/10/96)
Rule 1304 Exemptions (Adopted 6/14/96)
Rule 1306 Emission Calculations (Adopted 6/14/96)
Rule 1313 Permits to Operate (Adopted 12/7/95)
Rule 1403 Asbestos Emissions from Demolition/Renovation Activities
(Adopted 4/8/94)
Rule 1605 Credits for the Voluntary Repair of On-Road Vehicles
Identified Through Remote Sensing Devices (Adopted 10/11/96)
Rule 1610 Old-Vehicle Scrapping (Adopted 5/9/97)
Rule 1612 Credits for Clean On-Road Vehicles (Adopted 9/8/95)
Rule 1620 Credits for Clean Off-Road Mobile Equipment (Adopted 9/8/95)
Rule 1701 General (Adopted 1/6/89)
Rule 1702 Definitions (Adopted 1/6/89)
Rule 1703 PSD Analysis (Adopted 10/7/88)
Rule 1704 Exemptions (Adopted 1/6/89)
Rule 1706 Emission Calculations (Adopted 1/6/89)
Rule 1713 Source Obligation (Adopted 10/7/88)
Regulation XVII Appendix (effective 1977)
Rule 1901 General Conformity (Adopted 9/9/94)
Rule 2000 General (Adopted 4/11/97)
Rule 2001 Applicability (Adopted 2/14/97)
Rule 2002 Allocations for Oxides of Nitrogen (NOX) and
Oxides of Sulfur (Sox) Emissions (Adopted 2/14/97)
Rule 2004 Requirements (Adopted 7/12/96) except (l)
Rule 2005 New Source Review for RECLAIM (Adopted 2/14/97) except (i)
Rule 2006 Permits (Adopted 12/7/95)
Rule 2007 Trading Requirements (Adopted 12/7/95)
Rule 2008 Mobile Source Credits (Adopted 10/15/93)
Rule 2010 Administrative Remedies and Sanctions (Adopted 10/15/93)
Rule 2011 Requirements for Monitoring, Reporting, and Recordkeeping for
Oxides of Sulfur (SOX) Emissions (Adopted 4/11/97)
Appendix A Volume IV--(Protocol for oxides of sulfur) (Adopted 3/10/95)
[[Page 125]]
Rule 2012 Requirements for Monitoring, Reporting, and Recordkeeping for
Oxides of Nitrogen (NOX) Emissions (Adopted 4/11/97)
Appendix A Volume V--(Protocol for oxides of nitrogen) (Adopted 3/10/
95)
Rule 2015 Backstop Provisions (Adopted 2/14/97) except (B)(1)(G) and
(b)(3)(B)
Rule 2100 Registration of Portable Equipment (Adopted 7/11/97)
XXX Title V Permits
Rule 3000 General (Adopted 11/14/97)
Rule 3001 Applicability (Adopted 11/14/97)
Rule 3002 Requirements (Adopted 11/14/97)
Rule 3003 Applications (Adopted 11/14/97)
Rule 3004 Permit Types and Content (Adopted 11/14/97)
Rule 3005 Permit Revisions (Adopted 11/14/97)
Rule 3006 Public Participation (Adopted 11/14/97)
Rule 3007 Effect of Permit (Adopted 10/8/93)
XXXI Acid Rain Permit Program (Adopted 2/10/95)
(8) The following requirements are contained in Ventura County Air
Pollution Control District Requirements Applicable to OCS Sources,
February 2000:
Rule 2 Definitions (Adopted 11/10/98)
Rule 5 Effective Date (Adopted 5/23/72)
Rule 6 Severability (Adopted 11/21/78)
Rule 7 Zone Boundaries (Adopted 6/14/77)
Rule 10 Permits Required (Adopted 6/13/95)
Rule 11 Definition for Regulation II (Adopted 6/13/95)
Rule 12 Application for Permits (Adopted 6/13/95)
Rule 13 Action on Applications for an Authority to Construct (Adopted
6/13/95)
Rule 14 Action on Applications for a Permit to Operate (Adopted 6/13/
95)
Rule 15.1 Sampling and Testing Facilities (Adopted 10/12/93)
Rule 16 BACT Certification (Adopted 6/13/95)
Rule 19 Posting of Permits (Adopted 5/23/72)
Rule 20 Transfer of Permit (Adopted 5/23/72)
Rule 23 Exemptions from Permits (Adopted 7/9/96)
Rule 24 Source Recordkeeping, Reporting, and Emission Statements
(Adopted 9/15/92)
Rule 26 New Source Review (Adopted 10/22/91)
Rule 26.1 New Source Review--Definitions (Adopted 1/13/98)
Rule 26.2 New Source Review--Requirements (Adopted 1/13/98)
Rule 26.3 New Source Review--Exemptions (Adopted 1/13/98)
Rule 26.6 New Source Review--Calculations (Adopted 1/13/98)
Rule 26.8 New Source Review--Permit To Operate (Adopted 10/22/91)
Rule 26.10 New Source Review--PSD (Adopted 1/13/98)
Rule 28 Revocation of Permits (Adopted 7/18/72)
Rule 29 Conditions on Permits (Adopted 10/22/91)
Rule 30 Permit Renewal (Adopted 5/30/89)
Rule 32 Breakdown Conditions: Emergency Variances, A., B.1., and D.
only. (Adopted 2/20/79)
Rule 33 Part 70 Permits--General (Adopted 10/12/93)
Rule 33.1 Part 70 Permits--Definitions (Adopted 10/12/93)
Rule 33.2 Part 70 Permits--Application Contents (Adopted 10/12/93)
Rule 33.3 Part 70 Permits--Permit Content (Adopted 10/12/93)
Rule 33.4 Part 70 Permits--Operational Flexibility (Adopted 10/12/93)
Rule 33.5 Part 70 Permits--Time frames for Applications, Review and
Issuance (Adopted 10/12/93)
Rule 33.6 Part 70 Permits--Permit Term and Permit Reissuance (Adopted
10/12/93)
Rule 33.7 Part 70 Permits--Notification (Adopted 10/12/93)
Rule 33.8 Part 70 Permits--Reopening of Permits (Adopted 10/12/93)
Rule 33.9 Part 70 Permits--Compliance Provisions (Adopted 10/12/93)
Rule 33.10 Part 70 Permits--General Part 70 Permits (Adopted 10/12/93)
Rule 34 Acid Deposition Control (Adopted 3/14/95)
Rule 35 Elective Emission Limits (Adopted 11/12/96)
Rule 36 New Source Review--Hazardous Air Pollutants (Adopted 10/6/98)
Rule 42 Permit Fees (Adopted 6/22/99)
Rule 44 Exemption Evaluation Fee (Adopted 9/10/96)
Rule 45 Plan Fees (Adopted 6/19/90)
Rule 45.2 Asbestos Removal Fees (Adopted 8/4/92)
Rule 47 Source Test, Emission Monitor, and Call-Back Fees (Adopted 6/
22/99)
Rule 50 Opacity (Adopted 2/20/79)
Rule 52 Particulate Matter-Concentration (Adopted 5/23/72)
Rule 53 Particulate Matter-Process Weight (Adopted 7/18/72)
Rule 54 Sulfur Compounds (Adopted 6/14/94)
Rule 56 Open Fires (Adopted 3/29/94)
Rule 57 Combustion Contaminants--Specific (Adopted 6/14/77)
Rule 60 New Non-Mobile Equipment-Sulfur Dioxide, Nitrogen Oxides, and
Particulate Matter (Adopted 7/8/72)
Rule 62.7 Asbestos--Demolition and Renovation (Adopted 6/16/92)
Rule 63 Separation and Combination of Emissions (Adopted 11/21/78)
Rule 64 Sulfur Content of Fuels (Adopted 4/13/99)
Rule 67 Vacuum Producing Devices (Adopted 7/5/83)
Rule 68 Carbon Monoxide (Adopted 6/14/77)
Rule 71 Crude Oil and Reactive Organic Compound Liquids (Adopted 12/13/
94)
Rule 71.1 Crude Oil Production and Separation (Adopted 6/16/92)
[[Page 126]]
Rule 71.2 Storage of Reactive Organic Compound Liquids (Adopted 9/26/
89)
Rule 71.3 Transfer of Reactive Organic Compound Liquids (Adopted 6/16/
92)
Rule 71.4 Petroleum Sumps, Pits, Ponds, and Well Cellars (Adopted 6/8/
93)
Rule 71.5 Glycol Dehydrators (Adopted 12/13/94)
Rule 72 New Source Performance Standards (NSPS) (Adopted 9/10/96)
Rule 74 Specific Source Standards (Adopted 7/6/76)
Rule 74.1 Abrasive Blasting (Adopted 11/12/91)
Rule 74.2 Architectural Coatings (Adopted 08/11/92)
Rule 74.6 Surface Cleaning and Degreasing (Adopted 11/10/98)
Rule 74.6.1 Cold Cleaning Operations (Adopted 7/9/96)
Rule 74.6.2 Batch Loaded Vapor Degreasing Operations (Adopted 7/9/96)
Rule 74.7 Fugitive Emissions of Reactive Organic Compounds at Petroleum
Refineries and Chemical Plants (Adopted 10/10/95)
Rule 74.8 Refinery Vacuum Producing Systems, Waste-water Separators and
Process Turnarounds (Adopted 7/5/83)
Rule 74.9 Stationary Internal Combustion Engines (Adopted 12/21/93)
Rule 74.10 Components at Crude Oil Production Facilities and Natural
Gas Production and Processing Facilities (Adopted 3/10/98)
Rule 74.11 Natural Gas-Fired Residential Water Heaters-Control of
NOX (Adopted 4/9/85)
Rule 74.11.1 Large Water Heaters and Small Boilers (Adopted 9/14/99)
Rule 74.12 Surface Coating of Metal Parts and Products (Adopted 9/10/
96)
Rule 74.15 Boilers, Steam Generators and Process Heaters (5MM BTUs and
greater) (Adopted 11/8/94)
Rule 74.15.1 Boilers, Steam Generators and Process Heaters (1-5MM BTUs)
(Adopted 6/13/95)
Rule 74.16 Oil Field Drilling Operations (Adopted 1/8/91)
Rule 74.20 Adhesives and Sealants (Adopted 1/14/97)
Rule 74.23 Stationary Gas Turbines (Adopted 10/10/95)
Rule 74.24 Marine Coating Operations (Adopted 9/10/96)
Rule 74.24.1 Pleasure Craft Coating and Commercial Boatyard Operations
(Adopted 11/10/98)
Rule 74.26 Crude Oil Storage Tank Degassing Operations (Adopted 11/8/
94)
Rule 74.27 Gasoline and ROC Liquid Storage Tank Degassing Operations
(Adopted 11/8/94)
Rule 74.28 Asphalt Roofing Operations (Adopted 5/10/94)
Rule 74.30 Wood Products Coatings (Adopted 9/10/96)
Rule 75 Circumvention (Adopted 11/27/78)
Rule 76 Federally Enforceable Limits on Potential to Emit (Adopted 10/
10/95)
Rule 100 Analytical Methods (Adopted 7/18/72)
Rule 101 Sampling and Testing Facilities (Adopted 5/23/72)
Rule 102 Source Tests (Adopted 11/21/78)
Rule 103 Continuous Monitoring Systems (Adopted 2/9/99)
Rule 154 Stage 1 Episode Actions (Adopted 9/17/91)
Rule 155 Stage 2 Episode Actions (Adopted 9/17/91)
Rule 156 Stage 3 Episode Actions (Adopted 9/17/91)
Rule 158 Source Abatement Plans (Adopted 9/17/91)
Rule 159 Traffic Abatement Procedures (Adopted 9/17/91)
Rule 220 General Conformity (Adopted 5/9/95)
Florida
(1) The following requirements are contained in State of Florida
Requirements Applicable to OCS Sources, January 11, 1995:
Florida Administrative Code-Department of Environmental Protection.
The following sections of Chapter 62:
4.001 Scope of Part I (Adopted 8/31/88)
4.020 Definitions (Adopted 7/11/93)
4.021 Transferability of Definitions (Adopted 8/31/88)
4.030 General Prohibitions (Adopted 8/31/88)
4.040 Exemptions (Adopted 8/31/88)
4.050 Procedure to Obtain Permit; Application, except (4)(b) through
(4)(l) and 4(r) (Adopted 11/23/94)
4.070 Standards for Issuing or Denying Permits; Issuance; Denial
(Adopted 3/28/91)
4.080 Modification of Permit Conditions (Adopted 3/19/90)
4.090 Renewals (Adopted 7/11/93)
4.100 Suspension and Revocation (Adopted 8/31/88)
4.110 Financial Responsibility (Adopted 8/31/88)
4.120 Transfer of Permits (Adopted 3/19/90)
4.130 Plant Operation--Problems (Adopted 8/31/88)
4.160 Permit Conditions, except (16) and (17) (Adopted 7/11/93)
4.200 Scope of Part II (Adopted 8/31/88)
4.210 Construction Permits (Adopted 8/31/88)
4.220 Operation Permits for New Sources (Adopted 8/31/88)
4.510 Scope of Part III (Adopted 8/31/88)
4.520 Definitions (Adopted 7/11/90)
4.530 Procedures (Adopted 3/19/90)
4.540 General Conditions for all General Permits (Adopted 8/31/88)
210.100 Purpose and Scope (Adopted 11/23/94)
210.200 Definitions (Adopted 11/23/94)
210.300 Permits Required (Adopted 11/23/94)
[[Page 127]]
210.360 Administrative Permit Corrections (Adopted 11/23/94)
210.370 Reports (Adopted 11/23/94)
210.400 Emission Estimates (Adopted 11/23/94)
210.500 Air Quality Models (Adopted 11/23/94)
210.550 Stack Height Policy (Adopted 11/23/94)
210.600 Enhanced Monitoring (Adopted 11/23/94)
210.650 Circumvention (Adopted 9/25/92)
210.700 Excess Emissions (Adopted 11/23/94)
210.900 Forms (Adopted 11/23/94)
210.980 Severability (Adopted 9/25/92)
212.100 Purpose and Scope (Adopted 2/2/93)
212.200 Definitions (Adopted 2/2/93)
212.300 Sources Not Subject to Prevention of Significant Deterioration
or Nonattainment Requirements (Adopted 9/25/92)
212.400 Prevention of Significant Deterioration (Adopted 2/2/93)
212.410 Best Available Control Technology (BACT) (Adopted 9/25/92)
212.500 New Source Review for Nonattainment Areas (Adopted 2/2/93)
212.510 Lowest Achievable Emission Rate (LAER) (Adopted 9/25/92)
212.600 Source Specific New Source Review Requirements (Adopted 9/25/92)
212.700 Source Reclassification (Adopted 9/25/92)
256.100 Declaration and Intent (Adopted 11/30/94)
256.200 Definitions (Adopted 11/30/94)
256.300 Prohibitions (Adopted 11/30/94)
256.450 Open Burning Allowed (Adopted 6/27/91)
256.600 Industrial, Commercial, Municipal and Research Open Burning
(Adopted 8/26/87)
256.700 Open Burning Allowed (Adopted 11/30/94)
272.100 Purpose and Scope (Adopted 11/23/94)
272.200 Definitions (Adopted 11/23/94)
272.300 Ambient Air Quality Standards (Adopted 11/23/94)
272.500 Maximum Allowable Increases (Prevention of Significant
Deterioration) (Adopted 11/23/94)
272.750 DER Ambient Test Methods (Adopted 9/25/92)
273.200 Definitions (Adopted 9/25/92)
273.300 Air Pollution Episodes (Adopted 9/25/92)
273.400 Air Alert (Adopted 9/25/92)
273.500 Air Warning (Adopted 9/25/92)
273.600 Air Emergency (Adopted 9/25/92)
296.100 Purpose and Scope (Adopted 11/23/94)
296.200 Definitions (Adopted 11/23/94)
296.310 General Particulate Emission Limiting Standards (Adopted 11/23/
94)
296.320 General Pollutant Emission Limiting Standards, except (2)
(Adopted 2/2/93)
296.330 Best Available Control Technology (BACT) (Adopted 11/23/94)
296.400 Specific Emission Limiting and Performance Standards (Adopted
11/23/94)
296.500 Reasonably Available Control Technology (RACT)--Volatile Organic
Compounds (VOC) and Nitrogen Oxides (NOX) Emitting Facilities
(Adopted 11/23/94)
296.570 Reasonably Available Control Technology (RACT)--Requirements for
Major VOC- and NOX-Emitting Facilities (Adopted 11/23/94)
296.600 Reasonably Available Control Technology (RACT)--Lead (Adopted 8/
8/94)
296.601 Lead Processing Operations in General (Adopted 8/8/94)
296.700 Reasonably Available Control Technology (RACT)--Particulate
Matter, except (2)(f) (Adopted 11/23/94)
296.800 Standards of Performance for New Stationary Sources (NSPS)
(Adopted 11/23/94)
296.810 National Emission Standards for Hazardous Air Pollutants
(NESHAP)--Part 61 (Adopted 11/23/94)
296.820 National Emission Standards for Hazardous Air Pollutants
(NESHAP)--Part 63 (Adopted 11/23/94)
297.100 Purpose and Scope (Adopted 11/23/94)
297.200 Definitions (Adopted 11/23/94)
297.310 General Test Requirements (Adopted 11/23/94)
297.330 Applicable Test Procedures (Adopted 11/23/94)
297.340 Frequency of Compliance Tests (Adopted 11/23/94)
297.345 Stack Sampling Facilities Provided by the Owner of an Air
Pollution Point Source (Adopted 11/23/94)
297.350 Determination of Process Variables (Adopted 11/23/94)
297.400 EPA Methods Adopted by Reference (Adopted 11/23/94)
297.401 EPA Test Procedures (Adopted 11/23/94)
297.411 DER Method 1 (Adopted 11/23/94)
297.412 DER Method 2 (Adopted 12/2/92)
297.413 DER Method 3 (Adopted 12/2/92)
297.414 DER Method 4 (Adopted 12/2/92)
297.415 DER Method 5 (Adopted 11/23/94)
297.416 DER Method 5A (Adopted 12/2/92)
297.417 DER Method 6 (Adopted 11/23/94)
297.418 DER Method 7 (Adopted 12/2/92)
297.419 DER Method 8 (Adopted 12/2/92)
297.420 DER Method 9 (Adopted 11/23/94)
297.421 DER Method 10 (Adopted 12/2/92)
297.422 DER Method 11 (Adopted 12/2/92)
297.423 DER Method 12--Determination of Inorganic Lead Emissions from
Stationary Sources (Adopted 11/23/94)
297.424 DER Method 13 (Adopted 12/2/92)
297.440 Supplementary Test Procedures (Adopted 11/23/94)
297.450 EPA VOC Capture Efficiency Test Procedures (Adopted 11/23/94)
297.520 EPA Performance Specifications (Adopted 11/23/94)
297.570 Test Report (Adopted 11/23/94)
297.620 Exceptions and Approval of Alternate Procedures and Requirements
(Adopted 11/23/94)
(b) Local requirements.
[[Page 128]]
(1) [Reserved]
North Carolina
(a) State requirements.
(1) The following requirements are contained in State of North
Carolina Air Pollution Control Requirements Applicable to OCS Sources,
August 21, 1992: The following sections of Subchapters 2D and 2H:
2D.0101 Definitions (Adopted 12/1/89)
2D.0104 Adoption by Reference Updates (Adopted 10/1/89)
2D.0201 Classification of Air Pollution Sources (Adopted 7/1/84)
2D.0202 Registration of Air Pollution Sources (Adopted 6/1/85)
2D.0303 Emission Reduction Plans (Adopted 7/1/84)
2D.0304 Preplanned Abatement Program (Adopted 7/1/88)
2D.0305 Emission Reduction Plan; Alert Level (Adopted 7/1/84)
2D.0306 Emission Reduction Plan; Warning Level (Adopted 7/1/84)
2D.0307 Emission Reduction Plan; Emergency Level (Adopted 7/1/84)
2D.0401 Purpose (Adopted 10/1/89)
2D.0501 Compliance with Emission Control Standards (Adopted 10/1/89)
2D.0502 Purpose (Adopted 6/1/85)
2D.0503 Particulates from Fuel Burning Indirect Heat Exchanger (Adopted
6/1/85)
2D.0505 Control of Particulate from Incinerators (Adopted 7/1/87)
2D.0510 Particulates: Sand, Gravel and Crushed Stone Operations (Adopted
1/1/85)
2D.0511 Particulates, SO2 from Lightweight Aggregate
Processes (Adopted 10/1/89)
2D.0515 Particulates from Miscellaneous Industrial Processes (Adopted 1/
1/85)
2D.0516 Sulfur Dioxide Emissions Combustion Sources (Adopted 10/1/89)
2D.0518 Miscellaneous Volatile Organic Compound Emissions (Adopted 2/1/
83)
2D.0519 Control of Nitrogen Dioxide Emissions (Adopted 10/1/89)
2D.0520 Control and Prohibition of Open Burning (Adopted 1/1/85)
2D.0521 Control of Visible Emissions (Adopted 8/1/87)
2D.0530 Prevention of Significant Deterioration (Adopted 10/1/89)
2D.0531 Sources in Nonattainment Area (Adopted 12/1/89)
2D.0532 Sources Contributing to an Ambient Violation (Adopted 10/1/89)
2D.0533 Stack Height (Adopted 7/1/87)
2D.0535 Excess Emissions Reporting and Malfunctions, (a) and (f) only.
(Adopted 5/1/90)
2D.0537 Control of Mercury Emissions (Adopted 6/1/85)
2D.0601 Purpose and Scope (Adopted 7/1/84)
2D.0602 Definitions (Adopted 7/1/84)
2D.0604 Sources Covered by Implementation Plan Requirements (Adopted 7/
1/88)
2D.0606 Other Coal or Residual Oil Burners (Adopted 5/1/85)
2D.0607 Exceptions to Monitoring and Reporting (Adopted 7/1/84)
2D.0901 Definitions (Adopted 12/1/89)
2D.0902 Applicability (Adopted 5/1/90)
2D.0903 Recordkeeping, Reporting, Monitoring (Adopted 12/1/89)
2D.0906 Circumvention (Adopted 1/1/85)
2D.0912 General Provisions on Test Methods and Procedures (Adopted 12/1/
89)
2D.0914 Determination of VOC Emission Control System Efficiency (Adopted
1/1/85)
2D.0925 Petroleum Liquid Storage (Adopted 12/1/89)
2D.0933 Petroleum Liquid Storage in External Floating Roof Tanks
(Adopted 12/1/89)
2D.0939 Determination of Volatile Organic Compound Vapor Emissions
(Adopted 7/1/88)
2D.1101 Purpose (Adopted 5/1/90)
2D.1102 Applicability (Adopted 5/1/90)
2D.1103 Definition (Adopted 5/1/90)
2D.1104 Toxic Air Pollutant Guidelines (Adopted 5/1/90)
2D.1105 Facility Reporting, Recordkeeping (Adopted 5/1/90)
2D.1106 Determination of Ambient Air Concentrations (Adopted 5/1/90)
2D.1107 Multiple Facilities (Adopted 5/1/90)
2D.1108 Multiple Pollutants (Adopted 5/1/90)
2H.0601 Purpose and Scope (Adopted 10/1/89)
2H.0602 Definitions (Adopted 5/1/90)
2H.0603 Applications (Adopted 12/1/89)
2H.0609 Permit Fees (Adopted 8/1/88)
2H.0610 Permit Requirements for Toxic Air Pollutants (Adopted 5/1/90)
(b) Local requirements.
(1) [Reserved]
[57 FR 40806, Sept. 4, 1992, as amended at 58 FR 16626, Mar. 30, 1993;
58 FR 59173, Nov. 8, 1993; 59 FR 17271, Apr. 12, 1994; 59 FR 50846, Oct.
6, 1994; 60 FR 47293, Sept. 12, 1995; 60 FR 55328, Oct. 31, 1995; 61 FR
28758, June 6, 1996; 62 FR 41871, Aug.4, 1997; 65 FR 15870, Mar. 24,
2000; 66 FR 12984, Mar. 1, 2001; 67 FR 14648, Mar. 27, 2002]
PART 56--REGIONAL CONSISTENCY--Table of Contents
Sec.
56.1 Definitions.
56.2 Scope.
56.3 Policy.
56.4 Mechanisms for fairness and uniformity--Responsibilities of
Headquarters employees.
56.5 Mechanisms for fairness and uniformity--Responsibilities of
Regional Office employees.
56.6 Dissemination of policy and guidance.
56.7 State agency performance audits.
Authority: Sec. 301(a)(2) of the Clean Air Act as amended (42 U.S.C.
7601).
[[Page 129]]
Source: 45 FR 85405, Dec. 24, 1980, unless otherwise noted.
Sec. 56.1 Definitions.
As used in this part, all terms not defined herein have the meaning
given them in the Clean Air Act.
Act means the Clean Air Act as amended (42 U.S.C. 7401 et seq.).
Administrator, Deputy Administrator, Assistant Administrator,
General Counsel, Associate General Counsel, Deputy Assistant
Administrator, Regional Administrator, Headquarters, Staff Office,
Operational Office, and Regional Office are described in part 1 of this
title.
Mechanism means an administrative procedure, guideline, manual, or
written statement.
Program directive means any formal written statement by the
Administrator, the Deputy Administrator, the Assistant Administrator, a
Staff Office Director, the General Counsel, a Deputy Assistant
Administrator, an Associate General Counsel, or a division Director of
an Operational Office that is intended to guide or direct Regional
Offices in the implementation or enforcement of the provisions of the
act.
Responsible official means the EPA Administrator or any EPA employee
who is accountable to the Administrator for carrying out a power or duty
delegated under section 301(a)(1) of the act, or is accountable in
accordance with EPA's formal organization for a particular program or
function as described in part 1 of this title.
Sec. 56.2 Scope.
This part covers actions taken by:
(a) Employees in EPA Regional Offices, including Regional
Administrators, in carrying out powers and duties delegated by the
Administrator under section 301(a)(1) of the act; and
(b) EPA employees in Headquarters to the extent that they are
responsible for developing the procedures to be employed or policies to
be followed by Regional Offices in implementing and enforcing the act.
Sec. 56.3 Policy.
It is EPA's policy to:
(a) Assure fair and uniform application by all Regional Offices of
the criteria, procedures, and policies employed in implementing and
enforcing the act;
(b) Provide mechanisms for identifying and correcting
inconsistencies by standardizing criteria, procedures, and policies
being employed by Regional Office employees in implementing and
enforcing the act; and
(c) Insure an adequate quality audit for each State's performance in
implementing and enforcing the act.
Sec. 56.4 Mechanisms for fairness and uniformity--Responsibilities of
Headquarters employees.
(a) The Administrator shall include, as necessary, with any rule or
regulation proposed or promulgated under parts 51 and 58 of this chapter
1 mechanisms to assure that the rule or regulation is
implemented and enforced fairly and uniformly by the Regional Offices.
---------------------------------------------------------------------------
\1\ Part 51 is entitled, ``Requirements for Preparation, Adoption,
and Submittal of Implementation Plans.'' Part 58 is entitled, ``Ambient
Air Quality Surveillance.''
---------------------------------------------------------------------------
(b) The determination that a mechanism required under paragraph (a)
of this section is unnecessary for a rule or regulation shall be
explained in writing by the responsible EPA official and included in the
supporting documentation or the relevant docket.
Sec. 56.5 Mechanisms for fairness and uniformity--Responsibilities of
Regional Office employees.
(a) Each responsible official in a Regional Office, including the
Regional Administrator, shall assure that actions taken under the act:
(1) Are carried out fairly and in a manner that is consistent with
the Act and Agency policy as set forth in the Agency rules and program
directives,
(2) Are as consistent as reasonably possible with the activities of
other Regional Offices, and
(3) Comply with the mechanisms developed under Sec. 56.4 of this
part.
(b) A responsible official in a Regional Office shall seek
concurrence from the appropriate EPA Headquarters office on any
interpretation of the Act, or rule, regulation, or program directive
when such interpretation may result in inconsistent application among
the Regional Offices of the act
[[Page 130]]
or rule, regulation, or program directive.
(c) In reviewing State Implementation Plans, the Regional Office
shall follow the provisions of the guideline, revisions to State
Implementation Plans--Procedures for Approval/Disapproval Actions, OAQPS
No. 1.2-005A, or revision thereof. Where regulatory actions may involve
inconsistent application of the requirements of the act, the Regional
Offices shall classify such actions as special actions.
Sec. 56.6 Dissemination of policy and guidance.
The Assistant Administrators of the Offices of Air, Noise and
Radiation, and of Enforcement, and the General Counsel shall establish
as expeditiously as practicable, but no later than one year after
promulgation of this part, systems to disseminate policy and guidance.
They shall distribute material under foregoing systems to the Regional
Offices and State and local agencies, and shall make the material
available to the public. Air programs policy and guideline systems shall
contain the following:
(a) Compilations of relevant EPA program directives and guidance,
except for rules and regulations, concerning the requirements under the
Act.
(b) Procedures whereby each Headquarters program office and staff
office will enter new and revised guidance into the compilations and
cause superseded guidance to be removed.
(c) Additional guidance aids such as videotape presentations,
workshops, manuals, or combinations of these where the responsible
Headquarters official determines they are necessary to inform Regional
Offices, State and local agencies, or the public about EPA actions.
Sec. 56.7 State agency performance audits.
(a) EPA will utilize the provisions of subpart B, Program Grants, of
part 35 of this chapter, which require yearly evaluations of the manner
in which grantees use Federal monies, to assure that an adequate
evaluation of each State's performance in implementing and enforcing the
act is performed.
(b) Within 60 days after comment is due from each State grantee on
the evaluation report required by Sec. 35.538 of this chapter, the
Regional Administrator shall incorporate or include any comments, as
appropriate, and publish notice of availability of the evaluation report
in the Federal Register.
PART 57--PRIMARY NONFERROUS SMELTER ORDERS--Table of Contents
Subpart A--General
Sec.
57.101 Purpose and scope.
57.102 Eligibility.
57.103 Definitions.
57.104 Amendment of the NSO.
57.105 Submittal of required plans, proposals, and reports.
57.106 Expiration date.
57.107 The State or local agency's transmittal to EPA.
57.108 Comparable existing SIP provisions.
57.109 Maintenance of pay.
57.110 Reimbursement of State or local agency.
57.111 Severability of provisions.
Subpart B--The Application and the NSO Process
57.201 Where to apply.
57.202 How to apply.
57.203 Contents of the application.
57.204 EPA action on second period NSOs which have already been issued.
57.205 Submission of supplementary information upon relaxation of an
SO2 SIP emission limitation.
Subpart C--Constant Controls and Related Requirements
57.301 General requirements.
57.302 Performance level of interim constant controls.
57.303 Total plantwide emission limitation.
57.304 Bypass, excess emissions and malfunctions.
57.305 Compliance monitoring and reporting.
Subpart D--Supplementary Control System Requirements
57.401 General requirements.
57.402 Elements of the supplementary control system.
57.403 Written consent.
57.404 Measurements, records, and reports.
57.405 Formulation, approval, and implementation of requirements.
[[Page 131]]
Subpart E--Fugitive Emission Evaluation and Control
57.501 General requirements.
57.502 Evaluation.
57.503 Control measures.
57.504 Continuing evaluation of fugitive emission control measures.
57.505 Amendments of the NSO.
Subpart F--Research and Development Requirements
57.601 General requirements.
57.602 Approval of proposal.
57.603 Criteria for approval.
57.604 Evaluation of projects.
57.605 Consent.
57.606 Confidentiality.
Subpart G--Compliance Schedule Requirements
57.701 General requirements.
57.702 Compliance with constant control emission limitation.
57.703 Compliance with the supplementary control system requirements.
57.704 Compliance with fugitive emission evaluation and control
requirements.
57.705 Contents of SIP Compliance Schedule required by Sec. 57.201(d)
(2) and (3).
Subpart H--Waiver of Interim Requirement for Use of Continuous Emission
Reduction Technology
57.801 Purpose and scope.
57.802 Request for waiver.
57.803 Issuance of tentative determination; notice.
57.804 Request for hearing; request to participate in hearing.
57.805 Submission of written comments on tentative determination.
57.806 Presiding Officer.
57.807 Hearing.
57.808 Opportunity for cross-examination.
57.809 Ex parte communications.
57.810 Filing of briefs, proposed findings, and proposed
recommendations.
57.811 Recommended decision.
57.812 Appeal from or review of recommended decision.
57.813 Final decision.
57.814 Administrative record.
57.815 State notification.
57.816 Effect of negative recommendation.
Appendix A to Part 57--Primary Nonferrous Smelter Order (NSO)
Application
Authority: Secs. 110, 114, 119, 301, Clean Air Act, as amended (42
U.S.C. 7410, 7414, 7419, and 7601); sec. 406 of Pub. L. 95-95.
Source: 50 FR 6448, Feb. 15, 1985, unless otherwise noted.
Subpart A--General
Sec. 57.101 Purpose and scope.
(a) Applicability of the regulations. The regulations in subparts A
through H govern:
(1) The eligibility of smelters for a Primary Nonferrous Smelter
Order (NSO) under section 119 of the Clean Air Act;
(2) The procedures through which an NSO can be approved or issued by
EPA; and
(3) The minimum contents of each NSO required for EPA issuance or
approval under section 119. Subpart I et seq., will contain NSOs in
effect for individual smelters.
(b) State authority to adopt more stringent requrements. Nothing in
this part shall preclude a State from imposing more stringent
requirements, as provided by section 116 of the Clean Air Act.
Sec. 57.102 Eligibility.
(a) A primary copper, lead, zinc, molybdenum, or other nonferrous
smelter is eligible for an NSO if it meets the following conditions:
(1) The smelter was in existence and operating on August 7, 1977;
(2) The smelter is subject to an approved or promulgated sulfur
dioxide (SO2) State Implementation Plan (SIP) emission
limitation which is adequate to ensure that National Ambient Air Quality
Standards (NAAQS) for SO2 are achieved without the use of any
unauthorized dispersion techniques; and
(3) The Administrator determines, based on a showing by the smelter
owner, that no means of emission limitation applicable to the smelter
which would enable it to comply with its SIP stack emission limitation
for SO2 has been adequately demonstrated to be reasonably
available (taking into account the cost of compliance, nonair quality
health and environmental impact, and energy considerations) in
accordance with Sec. 57.201(d)(1).
(b) For the purposes of these regulations:
(1) The following means of emission limitation shall be considered
adequately demonstrated for nonferrous smelters. (Taking into account
nonair
[[Page 132]]
quality health and environmental impact and energy considerations, but
not the cost of compliance).
(i) Retrofit control technologies.
(A) Sulfuric acid plant in conjunction with an adequately
demonstrated replacement technology or process modification;
(B) Magnesium oxide (concentration) scrubbing;
(C) Lime/limestone scrubbing; and
(D) Ammonia scrubbing.
(ii) Replacement or process modifications.
(A) Flash smelting;
(B) Oxygen enrichment;
(C) Supplemental sulfur burning in conjunction with acid plant;
(D) Electric Furnace;
(E) Noranda process;
(F) Fluid bed roaster;
(G) Continuous smelting (Mitsubishi) process; and
(H) Strong stream/weak stream gas blending.
(2) Each adequately demonstrated means of emission limitation which
would enable a smelter to comply with its SIP emission limitation for
SO2 shall be considered applicable to the smelter unless the
smelter operator demonstrates that the use of a particular system at
that smelter is technically unreasonable, for reasons specific to that
site.
(3) An applicable means of emission limitation which would enable a
smelter to comply with its SIP emission limitation for SO2
shall be considered adequately demonstrated to be reasonably available
to the smelter (taking into account the cost of compliance) if the
information submitted under Secs. 57.107(a) and 57.203(b) (plus any
necessary supplemental information) shows, according to the criteria,
procedures, and tests contained in appendix A to this part and in
accordance with Sec. 57.201(d)(1), that both of the following two tests
are met.
(i) The rate of return test. The present value of the smelter's
future net cash flow (during and after investment in constant control
technology) is more than book value of the smelter's net investment in
constant dollars.
(ii) The profit protection test. The constant control technology
expenditure reduces the present value of the smelter's forecast pretax
profits by less than 50%.
(c) When applying for an NSO, a smelter must establish, for purposes
of applying the financial eligibility tests, which adequately
demonstrated constant control technology applicable to that smelter is
the most economically feasible for use at that smelter.
[50 FR 6448, Feb. 15, 1985, as amended at 51 FR 10211, Mar. 25, 1986]
Sec. 57.103 Definitions.
(a) The Act means the Clean Air Act, as amended.
(b) Active use refers to an SO2 constant control system
installed at a smelter before August 7, 1977 and not totally removed
from regular service by that date.
(c) Adequate SO2 emission limitation means a SIP emission
limitation which was approved or promulgated by EPA as adequate to
attain and maintain the NAAQS in the areas affected by the stack
emissions without the use of any unauthorized dispersion technique.
(d) Administrative Law Judge means an administrative law judge
appointed under 5 U.S.C. 3105 (see also 5 CFR part 930, as amended by 37
FR 16787), and is synonymous with the term ``Hearing Examiner'' as
formerly used in Title 5 of the U.S. Code.
(e) The Administrator means the Administrator of the U.S.
Environmental Protection Agency, or the Administrator's authorized
representative.
(f) Ambient air shall have the meaning given by 40 CFR 50.1(e), as
that definition appears upon promulgation of this subpart, or as
hereafter amended.
(g) Ambient air quality refers only to concentrations of sulfur
dioxide in the ambient air, unless otherwise specified.
(h) An approved measure refers to one contained in an NSO which is
in effect.
(i) Assistant Administrator for Air and Radiation means the
Assistant Administrator for Air and Radiation of the U.S. Environmental
Protection Agency.
(j) Constant controls, control technology, and continuous emission
reduction technology mean systems which limit the quantity, rate, or
concentration, excluding the use of dilution, and emissions of air
pollutants on a continuous basis.
[[Page 133]]
(k) Effective date of an NSO means the effective date listed in the
Federal Register publication of EPA's issuance or approval of an NSO.
(l) EPA and the Agency means the Administrator of the U.S.
Environmental Protection Agency, or the Administrator's authorized
representative.
(m) Fugitive emissions means any air pollutants emitted to the
atmosphere other than from a stack.
(n) Issuance of an NSO means the final transmittal of the NSO
pursuant to Sec. 57.107(a) by an issuing agency (other than EPA) to EPA
for approval, or the publication of an NSO issued by EPA in the Federal
Register.
(o) Issuing agency, unless otherwise specifically indicated, means
the State or local air pollution control agency to which a smelter's
owner has applied for an NSO, or which has issued the NSO, or EPA, when
the NSO application has been made to EPA. Any showings or demonstrations
required to be made under this part to the issuing agency, when not EPA,
are subject to independent determinations by EPA.
(p) Malfunction means any unanticipated and unavoidable failure of
air pollution control equipment or process equipment or of a process to
operate in a normal or usual manner. Failures that are caused entirely
or in part by poor design, poor maintenance, careless operation, or any
other preventable upset condition or preventable equipment breakdown
shall not be considered malfunctions. A malfunction exists only for the
minimum time necessary to implement corrective measures.
(q) Maximum production capacity means either the maximum
demonstrated rate at which a smelter has produced its principal metallic
final product under the process equipment configuration and operating
procedures prevailing on or before August 7, 1977, or a rate which the
smelter is able to demonstrate by calculation is attainable with process
equipment existing on August 7, 1977. The rate may be expressed as a
concentrate feed rate to the smelter.
(r) NAAQS and National Ambient Air Quality Standards, unless
otherwise specified, refer only to the National Primary and Secondary
Ambient Air Quality Standards for sulfur dioxide.
(s) Scheduled maintenance means any periodic procedure, necessary to
maintain the integrity or reliability of emissions control performance,
which can be anticipated and scheduled in advance. In sulfuric acid
plants, it includes among other items the screening or replacement of
catalyst, the re-tubing of heat exchangers, and the routine repair and
cleaning of gas handling/cleaning equipment.
(t) Smelter owner and operator means the owner or operator of the
smelter, without distinction.
(u) Supplementary control system (SCS) means any technique for
limiting the concentration of a pollutant in the ambient air by varying
the emissions of that pollutant according to atmospheric conditions. For
the purposes of this part, the term supplementary control system does
not include any dispersion technique based solely on the use of a stack
the height of which exceeds good engineering practice (as determined
under regulations implementing section 123 of the Act).
(v) Unauthorized dispersion technique refers to any dispersion
technique which, under section 123 of the Act and the regulations
promulgated pursuant to that section, may not be used to reduce the
degree of emission limitation otherwise required in the applicable SIP.
(w) Unless otherwise specified in this part, all terms shall have
the same meaning given them by the Act.
[50 FR 6448, Feb. 15, 1985, as amended at 57 FR 5328, Feb. 13, 1992]
Sec. 57.104 Amendment of the NSO.
An NSO shall be amended whenever necessary for compliance with the
requirements and purposes of this part.
(a)(1) Issuance of amendment. A State or local issuing agency may
issue an amendment of any NSO it has issued. Any amendment issued by a
State or local issuing agency shall be subject to approval by EPA to the
same extent as was the original NSO. Any smelter owner may apply to the
agency which originally issued its NSO for an amendment of the NSO at
any time. Such an application shall be accompanied by whatever
documentation is required by
[[Page 134]]
that agency (or EPA) to support the requested amendment.
(2)(i) Notwithstanding the requirements of paragraph (a)(1) of this
section, amendments to SIP compliance schedule interim compliance dates
in State-issued NSO's need not be submitted for EPA approval if the
amendment does not delay the interim date by more than three months from
the date as approved by the Administrator and if the final compliance
date is unchanged. Delays longer than 3 months shall be handled
according to the provisions of Sec. 57.104(a)(1).
(ii) Changes made in accordance with this subparagraph may be
effective immediately but must be submitted to EPA within seven days.
EPA will give public notice of receipt of such changes by publication of
a Notice in the Federal Register.
(3) In any case in which the issuing agency fails to issue an
amendment necessary for compliance with the requirements and purposes of
this part, EPA may, after first giving the issuing Agency notice, issue
such amendment.
(b) Revision of SCS Manual. Operation in accordance with the revised
provisions of an SCS operational manual (see Sec. 57.402(e)) shall not
be considered a violation of an NSO while the application for approval
of those revisions as NSO amendments is pending before the issuing
agency (or EPA) for approval: Provided, that:
(1) No violations of NAAQS occur in the smelter's Designated
Liability Area during that time; and
(2) The smelter operator has not been informed by the issuing agency
or EPA that its application is not adequately documented, unless such
deficiency has been remedied promptly.
(c) Notice and opportunity for hearing. Notice and opportunity for
public hearing shall be provided before issuance of all major
amendments.
Sec. 57.105 Submittal of required plans, proposals, and reports.
(a) The failure of a smelter owner to submit any plan, report,
document or proposal as required by its NSO or by this part shall
constitute a violation of its NSO.
(b) If the Administrator determines that a nonferrous smelter is in
violation of a requirement contained in an NSO approved under these
regulations, the Administrator shall, as provided by section 119(f) of
the Act:
(1) Enforce such requirement under section 113 (a), (b), or (c) of
the Act;
(2) Revoke the order after notice and opportunity for hearing;
(3) Give notice of noncompliance and commence action under section
120 of the act; or
(4) Take any appropriate combinations of these actions.
(c) Under section 304 of the Act, any person may commence a civil
action against an owner or operator of a smelter which is alleged to be
in violation or any order approved under this part.
Sec. 57.106 Expiration date.
Each NSO shall state its expiration date. No NSO issued under this
regulation shall expire later than January 1, 1988.
Sec. 57.107 The State or local agency's transmittal to EPA.
(a) Content and bases of the State or local agency's NSO. Issuance
of an NSO by a State or local agency shall be completed by the issuing
agency's transmittal to the appropriate EPA Regional Office of:
(1) The text of the NSO;
(2) The application submitted by the smelter owner, except for
appendix A to this part, all correspondence between the issuing agency
and the applicant relating to the NSO, and any material submitted in
support of the application;
(3) A concise statement of the State or local agency's findings and
their bases; and
(4) All documentation or analyses prepared by or for the issuing
agency in support of the NSO.
(b) The State or local agency's enforcement plan. The transmittal
under paragraph (a) of this section shall be accompanied by a
description of the issuing agency's plans for monitoring compliance with
and enforcement of the NSO. The transmittal shall also include a
description of the resources which will be used to implement those
plans. If the enforcement plans appear inadequate, EPA may require that
the
[[Page 135]]
NSO be modified such that the NSO will be adequately enforced.
Sec. 57.108 Comparable existing SIP provisions.
Notwithstanding any other provision of this part, an NSO may contain
provisions to which the affected smelter is subject under the applicable
EPA-approved State Implementation Plan (SIP) for sulfur dioxide in lieu
of the corresponding provisions which would otherwise be required under
this part if the Administrator determines that those SIP provisions are
substantially equivalent to the corresponding NSO provisions which would
otherwise be required, and if the Administrator determines that the
smelter is in substantial compliance with those SIP provisions. For the
purposes of this section, provisions to which the affected smelter is
subject under the applicable EPA-approved State Implementation Plan are
those which became effective before the smelter owner applied for the
NSO.
Sec. 57.109 Maintenance of pay.
The Administrator will not approve or issue an NSO for any smelter
unless he has approved or promulgated SIP provisions which are
applicable to the smelter and which satisfy the requirements of section
110(a)(6) of the Clean Air Act.
Sec. 57.110 Reimbursement of State or local agency.
As a condition of issuing an NSO, any issuing agency may require the
smelter operator to pay a fee to the State or local agency sufficient to
defray the issuing agency's expenses in issuing and enforcing the NSO.
Sec. 57.111 Severability of provisions.
The provisions promulgated in this part and the various applications
thereof are distinct and severable. If any provision of this part or the
application thereof to any person or circumstances is held invalid, such
invalidity shall not affect other provisions, or the application of such
provisions to other persons or circumstances, which can be given effect
without the invalid provision of application.
Subpart B--The Application and the NSO Process
Sec. 57.201 Where to apply.
Any eligible smelter may apply for an NSO to the appropriate EPA
Regional Office or to the appropriate State or local air pollution
control agency.
(a) When application is made to EPA, all parts of the application
required to be submitted under this subpart shall be sent directly to
the Director, Stationary Source Compliance Division (EN-341), U.S.
Environmental Protection Agency, 1200 Pennsylvania Ave., NW.,
Washington, DC 20460, Attention: Confidential Information Unit. In
addition, the smelter owner shall send a copy of the application, except
that part required to be submitted under Sec. 57.203(b) (eligibility),
directly to the appropriate EPA Regional Office.
(b) When application is made to the appropriate State or local
agency, the smelter owner shall submit one complete copy of all parts of
the application required to be submitted under this subpart to that
agency, in addition to the application requirements contained in
paragraph (a) of this section. If the smelter owner is requesting an
advance eligibility determination pursuant to Sec. 57.203(b), such
request must be made in writing and shall accompany the copy of the
application being sent to the Director of the Stationary Source
Compliance Division of the Environmental Protection Agency.
(c) If the smelter owner is requesting a waiver of the interim
constant control requirement of Sec. 57.301, such request must be sent
directly to the Director, Stationary Source Compliance Division, at the
time of application, in accordance with Sec. 57.802.
(d) The NSO Process. (1) A smelter desiring an NSO shall apply for
an NSO by submitting an application under subpart B including the
financial information required in appendix A and including the
information necessary to make the determinations required by this
subparagraph and Sec. 57.201(d)(2). The issuing agency shall analyze the
financial information according to the financial eligibility test
prescribed by subpart A and described in appendix A.
[[Page 136]]
The issuing Agency shall then determine whether the smelter is able to
comply with its SIP on or before the date required in the SIP by
installing adequately demonstrated technology which is reasonably
available. See also Sec. 57.102(a)(3). If the test demonstrates that
adequately demonstrated technology is not reasonably available to the
smelter to allow it to comply with the SIP by the required compliance
date, the smelter is eligible for an NSO.
(2)(i) If the smelter is determined to be eligible for an NSO under
paragraph (d)(1) of this section, the issuing Agency shall apply the
appendix A financial eligibility tests again before issuing an NSO in
order to determine if the smelter can comply with its SIP requirements
on or before January 1, 1988 by installing adequately demonstrated
technology which is reasonably available.
(ii) If application of the tests shows that the smelter could comply
by or before January 1, 1988, the issuing agency shall notify the
smelter of this determination, and shall not issue an NSO to the smelter
unless the NSO contains a SIP compliance schedule meeting the
requirements of Sec. 57.705. Such a compliance schedule must provide for
compliance with the smelter's SO2 SIP as expeditiously as
practicable and in no case later than January 1, 1988. A smelter must
submit to the issuing agency information necessary to determine a
compliance schedule meeting the requirements of Sec. 57.705. This
information shall be submitted by a smelter within thirty days after the
smelter is notified by the issuing agency that a SIP compliance schedule
is required. The Administrator may consider an NSO application to be
withdrawn for SIP enforcement purposes if a smelter fails to submit such
information within the time required under this paragraph.
(iii) If no adequately demonstrated technology is found to be
reasonably available to enable a smelter to comply by January 1, 1988,
it would be excused from the compliance schedule requirement in
Sec. 57.201(d)(2)(ii), but it would be subject to reevaluation of its
ability to comply by that date at any time during the term of the NSO.
(See Sec. 57.201(d)(3)).
(3) At any time during the term of an NSO which does not contain a
SIP compliance schedule, EPA or the issuing agency may reevaluate the
availability of technology to the smelter. If EPA or the issuing agency
determines that adequately demonstrated technology is reasonably
available to permit the smelter to comply with its SIP by or before
January 1, 1988, the NSO shall be amended within 3 months time after
such determination. The amendment shall require compliance with all SIP
requirements by or before January 1, 1988, and shall include a
compliance schedule meeting the requirements of Sec. 57.705. The
determination that adequately demonstrated technology is reasonably
available shall be made by reapplying the same appendix A financial
eligibility tests required by subpart B, updated by economic data
reflecting current operating conditions and currently demonstrated
control technology. Any such determination and amendment shall be
governed by the provisions of this part and section 119 of the Clean Air
Act.
(4) Notice and opportunity for public hearing in accordance with
section 119 of the Clean Air Act must be provided before issuance of any
NSO.
(e) A smelter that does not have any constant SO2
controls or whose existing constant SO2 controls when in full
operation and optimally maintained are not sufficient to treat all
strong SO2 streams may apply for a waiver of the requirements
of subpart C to install interim constant controls by submitting an
application under subpart H. A waiver may be granted only with respect
to the requirement to eliminate bypass of constant controls through the
installation of new constant control equipment, not with respect to the
requirements for optimum maintenance and operation of existing
equipment. EPA shall then determine the smelter's ability to afford
installation of the required additional interim constant SO2
control equipment at the smelter based on financial eligibility
information analyzed according to the financial test prescribed in
appendix A. A waiver of the requirement for additional interim constant
controls will
[[Page 137]]
be granted if EPA determines in accordance with the procedures of
subpart H that imposition of this requirement would necessitate closure
of the smelter for at least one year.
Sec. 57.202 How to apply.
(a) Letter of intent. To initiate an application for an NSO, the
owner or operator of a smelter shall send a letter of intent to an
appropriate air pollution control agency. The letter of intent shall
contain a statement of the owner's intent to apply for an NSO, and an
agreement to provide any information required under this part. The
letter of intent shall be signed by a corporate official authorized to
make such commitments. Upon receipt of any letter of intent by the
issuing agency, the SIP emission limitation for sulfur dioxide, as to
that applicant, shall be deemed suspended for 60 days. The 60 day
suspension may be extended for good cause at the discretion of the
Administrator.
(b) Complete application. (1) Within the period referred to in
paragraph (a) of this section, the smelter owner shall submit its
completed application pursuant to Sec. 57.201. Receipt of all parts of a
substantially complete application postmarked within the original or
extended application period shall be deemed to continue the suspension
of the SIP emission limitation for SO2 until the issuing
agency issues or declines to issue an NSO. This suspension shall in all
cases terminate, however, 90 days after receipt of the substantially
completed application, unless extended for good cause at the discretion
of the Administrator. If, in the Administrator's judgment, good faith
effort has been made to submit a complete application, additional time
may be granted to allow for correction of minor deficiencies.
(2) If an issuing agency transmits an NSO to EPA for approval before
the expiration of the suspension of the Federal SIP emission limitation,
the suspension shall continue until EPA approves or disapproves the NSO.
Sec. 57.203 Contents of the application.
(a) Claim of confidentiality. The smelter owner may make a business
confidentiality claim covering all or part of the information in the NSO
application in accordance with 40 CFR part 2, subpart B (41 FR 36906 et
seq., Sept. 1, 1976 as amended by 43 FR 39997 et seq., Sept. 8, 1978). A
claim is effective only if it is made at the time the material is
submitted to the issuing agency or EPA. A claim shall be made by
attaching to the information a notice of confidentiality. Information
claimed as confidential will be handled by EPA under the provisions of
40 CFR part 2, subpart B. If no claim accompanies the information, it
may be made available to the public without further notice.
(b) Each smelter owner shall make the showing required by
Sec. 57.102(a)(3) by completing and submitting appendix A to this part
and any necessary supplemental information to the issuing agency as a
part of its application. Each smelter shall also submit as part of its
application the information which, in conjunction with the information
required by appendix A, is necessary for the issuing agency to make the
determination required by Sec. 57.201(d)(2). Any smelter owner or State
may, at its option, simultaneously submit this material to EPA for an
advance eligibility determination.
(c) Current operating information. A complete NSO application shall
also contain the following information:
(1) A process flow diagram of the smelter, including current process
and instrumentation diagrams for all processes or equipment which may
emit or affect the emission of sulfur dioxide; the characteristics of
all gas streams emitted from the smelter's process equipment (flow
rates, temperature, volumes, compositions, and variations over time);
and a list of all monitoring data and strip charts, including all data,
charts, logs or sheets kept with respect to the operation of any process
equipment which may emit or affect the emission of sulfur dioxide;
(2) The smelter's maximum daily production capacity (as defined in
Sec. 57.103(r)), the operational rate (in pounds of concentrate charged
to the smelting furnace per hour) of each major piece of process
equipment when the smelter is operating at that capacity; and the
smelter's average and maximum daily production rate for each
[[Page 138]]
product, co-product, or by-product, by year, for the past four years;
(3) The optimal conversion efficiency (defined in terms of percent
of total SO2 removed from the input flow stream) of any acid
plant or other sulfur dioxide control system under the normal process
operating conditions (excluding malfunctions) most conducive to optimal
conversion efficiency;
(4) The average conversion efficiency of any acid plant or other
sulfur dioxide control system during normal process operations
(excluding malfunctions), by month, during the past four years.
(5) The percent of the time the acid plant or other control system
was available for service during each month for the past four years,
excluding downtime for scheduled maintenance, and a full explanation of
any major or recurring problems with the system during that time;
(6) The frequency and duration of times during the past four years
when the SO2 system was unavailable because of scheduled
maintenance of the system;
(7) A description of all scheduled, periodic, shutdowns of the
smelter during the past four years, including their purpose, frequency
and duration; and the same information with respect to unscheduled
shutdowns;
(8) The gas volume, rates, and SO2 concentration which
the control system was actually designed to accommodate, taking into
account any modifications made after its installation;
(9) The average monthly sulfur balance across the process and
control equipment, including fugitive emissions, for the past 4 years;
and
(10) A description of engineering techniques now in use at the
smelter to prevent the release of fugitive emissions into the atmosphere
at low elevations.
(d) The smelter owner's proposals. The smelter owner shall submit as
part of its application, draft NSO provisions which would implement the
requirements of subparts C through G of this part. The issuing agency
may use these proposals as the basis for any NSO that may be granted, or
may modify these proposals in any way it deems necessary in order to
comply with the requirements of this part.
(e) A smelter may submit as part of its application, information
necessary to determine any SIP compliance schedule which might be
required under Sec. 57.201(d)(2).
(f) Additional information. The smelter owner shall designate in its
application a corporate officer responsible and authorized to supply
supplemental technical and economic information and explanations as
required by the issuing agency during the formulation of the NSO.
Failure to supply such information and explanations shall constitute a
failure to submit a complete application.
(g) Request for a waiver of constant controls. Any request for a
waiver of the requirement interim constant control of all strpmg streams
of Sec. 57.301 shall be made in accordance with Sec. 57.802. The
criteria and procedures for granting the waiver are governed by subpart
H of this part.
(h) Unless a smelter applies for a waiver in accordance with subpart
H, a smelter shall submit as part of its application a proposed schedule
for compliance with the interim constant control requirements of subpart
C which satisfies the requirements of Sec. 57.702.
Sec. 57.204 EPA action on second period NSOs which have already been issued.
(a) EPA may approve a second period NSO issued by a State before the
date of publication of these regulations in the Federal Register,
without requiring a complete reapplication under this subpart and new
State proceedings, provided:
(1) The second period NSO was issued by the State consistent with
the procedural requirements of section 119 of the Clean Air Act;
(2) EPA can make a determination that the smelter is eligible for a
second period NSO and whether the smelter can comply with its
SO2 SIP limits on or before January 1, 1988 under the
financial eligibility tests in these regulations on the basis of
available information and such supplementary information as the Agency
may request the smelter to submit; and
[[Page 139]]
(3) The provisions of the NSO are consistent with the requirements
of these regulations.
(b) Should EPA require a smelter to submit information before taking
final action on an NSO referred to in paragraph (a), of this section, it
shall specify a reasonable period for submission of such information in
light of the nature of the information being required. The duration of
such period shall not exceed the period allowed for submission of a
complete application under Sec. 57.202 (a) and (b).
(c) The Agency shall consider the SIP emission limitation for
SO2 to be suspended with respect to a smelter which received
an NSO described in subpart A until EPA takes final action on such NSO.
Such suspension shall terminate if the smelter does not submit
supplementary information within the time specified under paragraph (b).
Sec. 57.205 Submission of supplementary information upon relaxation of
an SO2 SIP emission limitation.
(a) In the event an SO2 SIP limit is relaxed subsequent
to EPA approval or issuance of a second period NSO, the smelter issued
the NSO shall submit to the issuing agency and EPA such supplementary
information that EPA considers appropriate for purposes of determining
whether the means of compliance with the new SIP limit are adequately
demonstrated to be reasonably available under the financial eligibility
tests specified in Sec. 57.102(b)(3). The smelter shall submit such
information within sixty days of notification by EPA. This time limit
may be extended by EPA for good cause.
(b) Upon receipt of any supplementary information required under
paragraph (a), the issuing agency shall promptly reevaluate the
availability of the means of compliance with the new SIP limit under the
NSO eligibility tests specified in Sec. 57.102(b)(3). If the issuing
agency determines that the demonstrated control technology necessary to
attain the new SO2 SIP limit is adequately demonstrated to be
reasonably available under the eligibility tests, so as to permit the
smelter to comply with the new SIP limit on or before January 1, 1988,
the NSO shall be amended within the time contemplated by Sec. 57.202(a)
after receipt of the supplementary information. Such amendment shall
require compliance with the new SO2 SIP limit as
expeditiously as practicable in accordance with Sec. 57.201(d)(3). The
issuing agency, if not EPA, shall promptly submit its determination and
any necessary NSO amendments to EPA.
(c) EPA shall take action to approve or disapprove the issuing
agency's determination and NSO amendment, if any, within a reasonable
time after receipt of such determination and amendment.
(d) If EPA disapproves the issuing agency's determination or NSO
amendment, or if a smelter fails to submit any supplementary information
as required under paragraph (a), EPA and/or the issuing agency shall
take appropriate remedial action. EPA shall take appropriate remedial
action if the issuing agency does not make any determination and
amendment required by this section within the time contemplated by
Sec. 57.202(a).
Subpart C--Constant Controls and Related Requirements
Sec. 57.301 General requirements.
Each NSO shall require an interim level of sulfur dioxide constant
controls to be operated at the smelter, unless a waiver of this
requirement has been granted to the owner under subpart H of this part.
Except as otherwise provided in Sec. 57.304, the interim constant
controls shall be properly operated and maintained at all times. The NSO
shall require the following gas streams to be treated by interim
constant controls:
(a) In copper smelters, off-gases from fluidized bed roasters, flash
furnaces, NORANDA reactors, electric furnaces and copper converters;
(b) In lead smelters, off-gases from the front end of the sintering
machine and any other sinter gases which are recirculated;
(c) In zinc smelters, off-gases from mult-hearth roasters, flash
roasters and fluidized bed roasters; and
(d) In all primary nonferrous smelters, all other strong
SO2 streams.
(e) In all primary nonferrous smelters, any other process streams
which
[[Page 140]]
were regularly or intermittently treated by constant controls at the
smelter as of August 7, 1977.
Sec. 57.302 Performance level of interim constant controls.
(a) Maximum feasible efficiency. Each NSO shall require: that the
smelter operate its interim constant control systems at their maximum
feasible efficiency, including the making of any improvements necessary
to correct the effects of any serious deficiencies; that the process and
control equipment be maintained in the way best designed to ensure such
operation; and that process operations be scheduled and coordinated to
facilitate treatment of process gas streams to the maximum possible
extent. Maximum feasible efficiency shall be expressed in the NSO in the
form of a limitation on the concentration of SO2 in the tail
gas of each individual control system in combination with an appropriate
averaging period, as provided below in paragraphs (b) and (c) of this
section.
(b) The limitation level for SO2 concentration in the
control system tail gas. The level at which the concentration limitation
is set shall take into account fluctuations in the strength and volume
of process off-gases to the extent that those fluctuations affect the
SO2 content of the tail gas and cannot be avoided by improved
scheduling and coordination of process operations. The limitation shall
exclude the effect of any increase in emissions caused by process or
control equipment malfunction. The limitation shall take into account
unavoidable catalyst deterioration in sulfuric acid plants, but may
prescribe the frequency of catalyst screening or replacement. The NSO
shall also prohibit the smelter owner from using dilution air to meet
the limitation.
(c) Averaging period. (1) The averaging period shall be derived in
combination with the concentration limitation and shall take into
account the same factors described in paragraph (b). The averaging
period established under this paragraph should generally not exceed the
following:
(i) For sulfuric acid plants on copper smelters, 12-hour running
average;
(ii) For sulfuric acid plants on lead smelters, 6-hour running
average;
(iii) For sulfuric acid plants on zinc smelters, 2-hour running
average;
(iv) For dimethylaniline (DMA) scrubbing units on copper smelters,
2-hour running average.
(2) A different averaging period may be established if the applicant
demonstrates that such a period is necessary in order to account for the
factors described in paragraph (b) of this section: Provided, that the
period is enforceable and satisfies the criteria of paragraph (a) of
this section.
(d) Improved performance. (1) The performance level representing
maximum feasible efficiency for any existing control system (e.g., a
sulfuric acid plant or a DMA scrubber) shall require the correction of
the effects of any serious deficiencies in the system. For the purpose
of this paragraph, at least the following problems shall constitute
serious deficiencies in acid plants:
(i) Heat exchangers and associated equipment inadequate to sustain
efficient, autothermal operation at the average gas strengths and
volumes received by the acid plant during routine process equipment
operation;
(ii) Failure to completely fill all available catalyst bed stages
with sufficient catalyst;
(iii) Inability of the gas pre-treatment system to prevent unduly
frequent plugging or fouling (deterioration) of catalyst or other
components of the acid plant; or
(iv) Blower capacity inadequate to permit the treatment of the full
volume of gas which the plant could otherwise accommodate, or in-leakage
of air into the flues leading to the plant, to the extent that this
inadequacy results in bypassing of gas around the plant.
(2) Notwithstanding any contrary provisions of Sec. 57.304(c)
(malfunction demonstration), no excess emissions (as defined in
Sec. 57.304(a)) shall be considered to have resulted from a malfunction
in the constant control system if the smelter owner has not upgraded
serious deficiencies in the constant control system in compliance with
the requirements of Sec. 57.302(d)(1), unless the smelter owner
demonstrates under Sec. 57.304(c) that compliance with
[[Page 141]]
those requirements would not have affected the magnitude of the
emission.
(e) Multiple control devices. (1) At any smelter where off-gas
streams are treated by various existing control systems (e.g., multiple
acid plants or a DMA scrubber and an acid plant), the NSO shall require
the use of those systems in the combination that will result in the
maximum feasible net SO2 removal.
(2) To the extent that compliance with this requirement is
demonstrated by the smelter operator to result in excess emissions
during unavoidable start up and shut down of the control systems, those
excess emissions shall not constitute violations of the NSO.
Sec. 57.303 Total plantwide emission limitation.
(a) Calculation of the emission limitation. Each NSO shall contain a
requirement limiting the total allowable emissions from the smelter to
the level which would have been associated with production at the
smelter's maximum production capacity (as defined in Sec. 57.103(r)) as
of August 7, 1977. This limitation shall be expressed in units of mass
per time and shall be calculated as the sum of uncontrolled process and
fugitive emissions, and emissions from any control systems (operating at
the efficiency prescribed under Sec. 57.302). These emission rates may
be derived from either direct measurements or appropriately documented
mass balance calculations.
(b) Compliance with the emission limitation. Each NSO shall require
the use of specific, enforceable testing methods and measurement periods
for determining compliance with the limitation established under
paragraph (a) of this section.
Sec. 57.304 Bypass, excess emissions and malfunctions.
(a) Definition of excess emissions. For the purposes of this
subpart, any emissions greater than those permitted by the NSO
provisions established under Sec. 57.302 (performance level of interim
constant controls) or Sec. 57.303 (plantwide emission limitation) of
this subpart shall constitute excess emissions. Emission of any gas
stream identified under Sec. 57.301 (a), (b), (c), (d) or (e) of this
subpart that is not treated by a sulfur dioxide constant control system
shall also constitute an excess emission under this subpart.
(b) The excess emission report. Each NSO shall require the smelter
to report all excess emissions to the issuing agency, as provided in
Sec. 57.305(b). The report shall include the following:
(1) Identity of the stack or other emission points where the excess
emissions occurred;
(2) Magnitude of the excess emissions expressed in the units of each
applicable emission limitation, as well as the operating data,
documents, and calculations used in determining the magnitude of the
excess emissions;
(3) Time and duration of the excess emissions;
(4) Identity of the equipment causing the excess emissions;
(5) Nature and cause of such excess emissions;
(6) Steps taken to limit the excess emissions, and when those steps
were commenced;
(7) If the excess emissions were the result of a malfunction, the
steps taken to remedy the malfunction and to prevent the recurrence of
such malfunction; and
(8) At the smelter owner's election, the demonstration specified in
paragraph (c) of this section.
(c) Malfunction demonstration. Except as provided in
Sec. 57.302(e)(2) or in paragraph (d) or (e) of this section, any excess
emission shall be a violation of the NSO unless the owner demonstrates
in the excess emissions report required under paragraph (b) of this
section that the excess emission resulted from a malfunction (or an
unavoidable start up and shut down resulting from a malfunction) and
that:
(1) The air pollution control systems, process equipment, or
processes were at all times maintained and operated, to the maximum
extent practicable, in a manner consistent with good practice for
minimizing emissions;
(2) Repairs were made as expeditiously as practicable, including the
use of off-shift labor and overtime;
(3) The amount and duration of the excess emissions were minimized
to the maximum extent practicable during periods of such emissions; and
[[Page 142]]
(4) The excess emissions were not part of a recurring pattern
indicative of serious deficiencies in, or inadequate operation, design,
or maintenance of, the process or control equipment.
(d) Scheduled maintenance exception. Excess emissions occurring
during scheduled maintenance shall not constitute violations of the NSO
to the extent that:
(1) The expected additional annual sulfur dioxide removal by any
control system (including associated process changes) for which
construction had not commenced (as defined in 40 CFR 60.2 (g) and (i))
as of August 7, 1977 and which the smelter owner agrees to install and
operate under subpart F, would have offset such excess emissions if the
system had been in operation throughout the year in which the
maintenance was performed;
(2) The system is installed and operated as provided in the NSO
provisions established under subpart F; and
(3) The system performs at substantially the expected efficiency and
reliability subsequent to its initial break-in period.
(e) An NSO may provide that excess emissions which occur during acid
plant start-up as the result of the cooling of acid plant catalyst due
to the unavailability of process gas to an acid plant during a prolonged
SCS curtailment or scheduled maintenance are not excess emissions. If
the NSO does so provide, it shall also require the use of techniques or
practices designed to minimize these excess emissions, such as the
sealing of the acid plant during prolonged curtailments, the use of
auxiliary heat or SO2 injected during the curtailment, or the
preheating of the acid plant before start-up of the process equipment it
serves.
(f) Requirements for a smelter with constant controls that applies
for a waiver.
(1) If a smelter that has some interim constant controls applies for
a waiver in accordance with subpart H, the following requirements shall
apply pending action on the waiver application and following final
action granting or approving a waiver:
(i) The NSO shall require the smelter to implement maintenance and
operation measures designed to reduce to the maximum extent feasible the
potential for bypass of existing interim constant controls.
(ii) Upon application for a waiver under subpart H, the smelter
shall submit to the issuing agency for its approval and to EPA proposed
maintenance and operation measures for compliance with the requirements
of paragraph (i).
(iii) The remainder of this subpart shall apply except that: (A) The
emission limitations required under this subpart shall be based only on
existing constant control equipment as upgraded through the improved
maintenance and operation required by this paragraph, and (B) bypass of
existing controls shall not constitute excess emissions, provided the
maintenance and operation requirements and emission limitations
prescribed by the NSO are satisfied.
(2) After any denial of a waiver by the issuing Agency, or any
disapproval by EPA of a waiver granted by the issuing agency, the NSO
shall be amended consistent with the requirements of this subpart and
Sec. 57.702.
Sec. 57.305 Compliance monitoring and reporting.
(a) Monitoring. (1) Each NSO shall require compliance with the
control system performance requirements established pursuant to this
subpart to be determined through the use of continuous monitors for
measuring SO2 concentration.
(i) Such monitors must be installed, operated and maintained in
accordance with the performance specifications and other requirements
contained in appendix D to 40 CFR part 52 or part 60. The monitors must
take and record at least one measurement of SO2 concentration
from the effluent of each control system in each 15-minute period.
Failure of the monitors to record at least 95% of the 15-minute periods
in any 30-day period shall constitute a violation of the NSO.
(ii) The sampling point shall be located at least 8 stack diameters
(diameter measured at sampling point) downstream and 2 diameters
upstream from any flow disturbance such as a bend, expansion,
constriction, or flame,
[[Page 143]]
unless another location is approved by the Administrator.
(iii) The sampling point for monitoring emissions shall be in the
duct at the centroid of the cross section if the cross sectional area is
less than 4.645m2 (50 ft2) or at a point no closer
to the wall than 0.914m (3 ft) if the cross sectional area is
4.645m2 (50 ft2) or more. The monitor sample point
shall be in an area of small spatial concentration gradient and shall be
representative of the concentration in the duct.
(iv) The measurement system(s) installed and used pursuant to this
paragraph shall be subject to the manufacturer's recommended zero
adjustment and calibration procedures at least once per 24-hour
operating period unless the manufacturer specifies or recommends
calibration at shorter intervals, in which case such specifications or
recommendations shall be followed. Records of these procedures shall be
made which clearly show instrument readings before and after zero
adjustment and calibration.
(2) Each NSO shall require the monitoring of any ducts or flues used
to bypass gases, required under this subpart to be treated by constant
controls, around the smelter's sulfur dioxide constant control system(s)
for ultimate discharge to the atmosphere. Such monitoring shall be
adequate to disclose the time of the bypass, its duration, and the
approximate volume and SO2 concentration of gas bypassed.
(b) Reporting. (1) Each NSO shall require that the smelter maintain
a record of all measurements required under paragraph (a) of this
section. Results shall be summarized monthly and shall be submitted to
the issuing agency within 15 days after the end of each month. The
smelter owner shall retain a record of such measurements for one year
after the NSO period terminates.
(2) Each NSO shall require that the smelter maintain a record of all
measurements and calculations required under Sec. 57.303(b). Results
shall be summarized on a monthly basis and shall be submitted to the
issuing agency at 6-month intervals. The smelter owner shall retain a
record of such measurements and calculations for at least one year after
the NSO terminates.
(3) The report required under Sec. 57.304(b) shall accompany the
report required under paragraph (b)(1) of this section.
(c) Quality assurance and continuous data--(1) Quality assurance.
Each NSO shall require that the smelter submit a plan for quality
assurance to the issuing agency for approval and that all monitoring
performed by continuous monitors shall be verified for quality assurance
by the smelter. Such plans must follow current EPA guidelines for
quality assurance, in order to be approvable.
(2) Continuous data. Manual source testing methods equivalent to 40
CFR part 60, appendix A shall be used to determine compliance if the
continuous monitoring system malfunctions.
Subpart D--Supplementary Control System Requirements
Sec. 57.401 General requirements.
Except as provided in subpart E, each NSO shall require the smelter
owner to prevent all violations of the NAAQS in the smelter's designated
liability area (DLA) through the operation of an approved supplementary
control system (SCS).
Sec. 57.402 Elements of the supplementary control system.
Each supplementary control system shall contain the following
elements:
(a) Air quality monitoring network. An approvable SCS shall include
the use of appropriate ambient air quality monitors to continuously
measure the concentration of sulfur dioxide in the air in the smelter's
DLA.
(1) The monitors shall be located at all points of expected
SO2 concentrations necessary to anticipate and prevent
possible violations of NAAQS anywhere in the smelter's DLA. The
determination of the locations where such concentrations may occur shall
take into account all recorded or probable meteorological and operating
conditions (including bypassing of control equipment), as well as the
presence of other sources of SO2 significantly affecting
SO2 concentrations in the DLA.
(2) The number and location of sites shall be based on dispersion
modeling, measured ambient air quality data,
[[Page 144]]
meteorological information, and the results of the continuing review
required by paragraph (f) of this section. The system shall include the
use of at least 7 fixed monitors unless the issuing agency determines,
on the basis of a demonstration by the smelter owner, that the use of
fewer monitors would not limit coverage of points of high SO2
concentration or otherwise reduce the capability of the smelter owner to
prevent any violations of the NAAQS in the smelter's DLA.
(3) All monitors shall be continuously operated and maintained and
shall meet the performance specifications contained in 40 CFR part 53.
The monitors shall be capable of routine real time measurement of
maximum expected SO2 concentrations for the averaging times
of SO2 NAAQS.
(b) Meteorological network. The SCS must have a meteorological
assessment capability adequate to predict and identify local conditions
requiring emission curtailment to prevent possible violations of the
NAAQS. The meteorological assessment capability shall provide all
forecast and current information necessary for successful use of the SCS
operational manual required by paragraph (e) of this section.
(c) Designated liability area. The system shall be required to
prevent all violations of the NAAQS within the smelter's DLA. The DLA of
any smelter is the area within which the smelter's emissions may cause
or significantly contribute to violations of the NAAQS for
SO2 when the smelter is operating at its maximum production
capacity under any recorded or probable meterological conditions. The
boundaries of that area shall be specified in the NSO.
(1) Unless an acceptable demonstration is made under paragraph
(c)(2) of this section, the DLA shall be a circle with a center point at
the smelter's tallest stack and a minimum radius as given in the
following table:
Radius for SO2 Emissions at Maximum Production Capacity \1\
------------------------------------------------------------------------
Emission rate in Radius in
Emissions rate in tons per hour grains per sec. kilometers
------------------------------------------------------------------------
16 or less.......................... 4,000 or less......... 11
24.................................. 6,000................. 16
32.................................. 8,000................. 24
40.................................. 10,000................ 32
48 or more.......................... 12,000 or more........ 40
------------------------------------------------------------------------
\1\ Maximum emission rates for periods not to exceed 24 hours. Minimum
radii may be determined from the table by linear interpolation.
(2) The NSO may provide for a DLA with different boundaries if the
smelter owner can demonstrate through the use of appropriate dispersion
modeling and ambient air quality monitoring data that the smelter's
controlled emissions could not cause or significantly contribute to a
violation of the NAAQS beyond the boundaries of such a different area
under any recorded or probable meteorological conditions.
(3) A violation of the NAAQS in the DLA of any smelter shall
constitute a violation of that smelter's NSO, unless the issuing agency
determines on the basis of a showing by the smelter owner that the
smelter owner had taken all emission curtailment action indicated by the
SCS operational manual and that the violation was caused in significant
part by:
(i) Emissions of another source(s) which were in excess of the
maximum permissible emissions applicable to such source(s),
(ii) Fugitive emissions of another source(s), or
(iii) The smelter's own fugitive emissions: Provided, that the
smelter is in compliance with all requirements of or under subpart E of
this part.
(4) For the purposes of this section, maximum permissible emissions
for other sources are the highest of:
(i) SIP emission limitation;
(ii) Orders in effect under section 113(d) of the Clean Air Act; or
(d) Overlapping designated liability areas. Notwithstanding any
other provisions of this subpart, the following requirements shall apply
whenever the designated liability areas of 2 or more smelters do, or
may, overlap:
(1) In the case of any NSO applicant that would have a DLA which
would overlap with the DLA of any other smelter that has applied for an
NSO or has an NSO in effect, the NSO applicant shall include in its
application an enforceable joint plan, agreed to by
[[Page 145]]
such other smelter(s). In determining whether a joint plan is required,
the NSO applicant shall calculate its DLA according to the table in
paragraph (c)(1) of this section. The DLA of the other smelter shall be
calculated according to the table in paragraph (c)(1) unless the other
smelter has an NSO in effect, in which case the boundaries in that NSO
shall be used. The enforceable joint plan shall provide for:
(i) Emission curtailment adequate to ensure that the NAAQS will not
be violated in any areas of overlapping DLAs; and
(ii) Conclusive prospective allocation of legal liability in the
event that the NAAQS are violated in the area of overlapping DLAs.
Such plans may, but need not, include the operation of a joint SCS
system. Each NSO shall require adherence by the NSO applicant owner to
the joint plan for emission curtailment and allocation of liability,
unless the issuing agency determines, pursuant to the provisions of
paragraph (c)(2) of this section, that the NSO applicant's DLA does not
overlap with that of any other smelter.
(2) In the case of any NSO applicant that would have a DLA which
would overlap with the DLA of any other smelter whose owner has not
applied for an NSO (and does not have an NSO in effect), the NSO
applicant's submittal shall contain a written consent, signed by a
corporate official empowered to do so. The consent shall state that if,
at any time thereafter, the owner of the other smelter applies for an
NSO, and the other smelter's DLA would overlap with the NSO applicant's
DLA, the NSO applicant will negotiate and submit an enforceable joint
plan for emission curtailment and allocation of liability (as described
in paragraph (d)(1) of this section). In determining whether it is
necessary to submit such a consent, each smelter's DLA shall be
calculated according to the table set forth in paragraph (c)(1) of this
section. The consent shall state that a joint plan shall be submitted
within 90 days of the issuing agency's notification to the NSO applicant
of receipt of the other smelter's letter of intent, unless the issuing
agency determines that the DLAs do not overlap. Failure of the NSO
applicant to submit such a plan shall constitute grounds for denial of
its NSO application or a violation of an effective NSO, as applicable.
(e) The SCS operational manual. Each NSO shall require the smelter
to be operated in accordance with the provisions of an SCS operational
manual approved by the issuing agency. The SCS operational manual shall
describe the circumstances under which, the extent to which, and the
procedures through which emissions shall be curtailed to prevent
violations of the NAAQS in the smelter's DLA. Failure to curtail
emissions when and as much as indicated by the manual or to follow the
provisions of the manual implementing the requirements of paragraph
(e)(3) of this section shall constitute a violation of the NSO.
(1) The operational manual shall prescribe emission curtailment
decisions based on the use of real time information from the air quality
monitoring network dispersion model estimates of the effect of emissions
on air quality, and meteorological observations and predictions.
(2) The operational manual shall also provide for emission
curtailment to prevent violation of the NAAQS within the smelter's DLA
which may be caused in part by stack emissions, and to the extent
practicable fugitive emissions, from any other source (unless that other
source is a smelter subject to an NSO).
(3) The SCS operational manual shall include (but not be limited
to):
(i) A clear delineation of the authority of the SCS operator to
require all other smelter personnel to implement the operator's
curtailment decisions;
(ii) The maintenance and calibration procedures and schedules for
all SCS equipment;
(iii) A description of the procedures to be followed for the regular
acquisition of all meteorological information necessary to operate the
system;
(iv) The ambient concentrations and meteorological conditions that
will be used as criteria for determining the need for various degrees of
emission curtailment;
(v) The meteorological variables as to which judgments may be made
in
[[Page 146]]
applying the criteria stated pursuant to paragraph (e)(3)(iv) of this
section;
(vi) The procedures through which and the maximum time period within
which a curtailment decision will be made and implemented by the SCS
operator;
(vii) The method for immediately evaluating the adequacy of a
particular curtailment decision, including the factors to be considered
in that evaluation;
(viii) The procedures through which and the time within which
additional necessary curtailment will immediately be effected; and
(ix) The procedures to be followed to protect the NAAQS in the event
of a mechanical failure in any element of the SCS.
(f) Continuing review and improvement of the SCS. Each NSO shall
require the smelter owner to conduct an active program to continuously
review the design and operation of the SCS to determine what measures
may be available for improving the performance of the system. Among the
elements of this program shall be measures to locate and examine
possible places both inside and outside the DLA where unmonitored NAAQS
violations may be occurring. Such measures shall include the use of
modeling as appropriate and mobile ambient air quality monitors,
following up on information and complaints from members of the public,
and other appropriate activities. The NSO shall also require the
submission of a semi-annual report to the issuing agency detailing the
results of this review and specifying measures implemented to prevent
the recurrence of any violations of NAAQS.
Sec. 57.403 Written consent.
(a) The consent. The NSO shall include a written consent, signed by
a corporate official empowered to do so, in the following form:
As a condition of receiving a Primary Nonferrous Smelter Order (NSO)
under Section 119 of the Clean Air Act, for the smelter operated by
(name of company) at (location), the undersigned official, being
empowered to do so, consents for the company as follows:
(1) In any civil proceeding (judicial or administrative) to enforce
the NSO, the company will not contest:
(a) Liability for any violation of the National Ambient Air Quality
Standards for sulfur dioxide in the smelter's designated liability area
(DLA), except on the ground that a determination under 40 CFR
57.402(c)(3) was clearly wrong; or
(b) The conclusive allocation of liability under NSO provisions
satisfying 40 CFR 57.402(d)(1) between the company's smelter and any
other smelter(s) for any violation of the National Ambient Air Quality
Standards for sulfur dioxide in an area of overlapping DLAs.
(2) The issuing agency (as defined in 40 CFR 57.103) will be allowed
unrestricted access at reasonable times to inspect, verify calibration
of, and obtain data from ambient air quality monitors operated by the
company under the requirements of the NSO.
(b) Rights not waived by the consent. This consent shall not be
deemed to waive any right(s) to judicial review of any provisions of an
NSO that are otherwise available to the smelter owner or operator under
section 307(b) of the Clean Air Act.
Sec. 57.404 Measurements, records, and reports.
(a) Measurements. Each NSO shall require the smelter owner to
install, operate, and maintain a measurement system(s) for continuously
monitoring sulfur dioxide emissions and stack gas volumetric flow rates
in each stack (except a stack used exclusively for bypassing control
equipment) which could emit 5 percent or more of the smelter's total
potential (uncontrolled) hourly sulfur dioxide emissions.
(1) Such monitors shall be installed, operated, and maintained in
accordance with the performance specifications and other requirements
contained in appendices D and E to 40 CFR part 52. The monitors must
take and record at least one measurement of sulfur dioxide concentration
and stack gas flow rate from the effluent of each affected stack in each
fifteen-minute period. (The NSO shall require the smelter operator to
devise and implement any procedures necessary for compliance with these
performance specifications.)
(2) The sampling point shall be located at least eight stack
diameters (diameter measured at sampling point) downstream and two
diameters upstream from any flow disturbance such as a bend, expansion,
constriction, or
[[Page 147]]
flame, unless another location is approved by the Administrator.
(3) The sampling point for monitoring emissions shall be in the duct
at the centroid of the cross section if the cross sectional area is less
than 4.645 m2 (50 ft 2) or at a point no closer to
the wall than 0.914m (3 ft) if the cross sectional area is 4.645
m2 (50 ft2) or more. The monitor sample point
shall be in an area of small spatial concentration gradient and shall
provide a sample which is representative of the concentration in the
duct.
(4) The measurement system(s) installed and used pursuant to this
paragraph shall be subject to the manufacturer's recommended zero
adjustment and calibration procedures at least once per 24-hour
operating period unless the manufacturer specifies or recommends
calibration at shorter intervals, in which case such specifications or
recommendations shall be followed. Records of these procedures shall be
made which clearly show instrument readings before and after zero
adjustment and calibration.
(5) The results of such monitoring, calibration, and maintenance
shall be submitted in the form and with the frequency specified in the
NSO.
(b) Records. Each NSO shall require the smelter owner to maintain
records of the air quality measurements made, meteorological information
acquired, emission curtailment ordered (including the identity of the
persons making such decisions), and calibration and maintenance
performed on SCS monitors during the operation of the SCS. These records
shall be maintained for the duration of the NSO.
(c) Reports. Each NSO shall require the smelter owner to:
(1) Submit a monthly summary indicating all places and times at
which the NAAQS for SO2 were violated in the smelter's DLA,
and stating the SO2 concentrations at such times;
(2) Immediately notify EPA and the State agency any time
concentrations of SO2 in the ambient air in the smelter's DLA
reaches 0.3 part per million (800 micrograms/cubic meter), 24-hour
average, or exceed the warning stage in any more stringent emergency
plan in the applicable State Implementation Plan; and
(3) Make such other reports as may be specified in the NSO.
Sec. 57.405 Formulation, approval, and implementation of requirements.
(a) SCS content of the application. The requirements of
Sec. 57.203(d) shall be satisfied with respect to this subpart as
follows:
(1) Each NSO application shall include a complete description of any
supplementary control system in operation at the smelter at the time of
application and a copy of any SCS operational manual in use with that
system.
(2) Each NSO application shall contain proposed NSO provisions for
compliance with the requirements of Secs. 57.401, 57.402 (c), (d), and
(f), 57.403, 57.404, and 57.405 (b)(2).
(3) Each NSO application shall include a specific plan for the
development of a system fulfilling the requirements of Sec. 57.402(a),
(b), and (e) (covering air quality monitoring network, meteorological
network, and the SCS operational manual).
(b) SCS content of the order. (1) Each NSO shall include an approved
version of the plan described in paragraph (a)(3) of this section and
shall provide increments of progress towards its completion. Each NSO
shall require, upon completion of the measures specified in the approved
plan, submission of a report which describes each element of the SCS and
explains why the elements satisfy the requirements of the plan and
submission of a copy of the SCS operational manual developed under the
plan.
(2) Each NSO shall require the submission of a final report, within
6 months of the required date for completion of the measures specified
in the approved plan evaluating the performance and adequacy of the SCS
developed pursuant to the approved plan. The report shall include:
(i) A detailed description of how the criteria that form the basis
for particular curtailment decisions were derived;
(ii) A complete description of each SCS element listed in
Sec. 57.402 (a)
[[Page 148]]
through (d) (covering monitoring, meteorology, and the DLA), and an
explanation of why the elements fulfill the requirements of those
sections;
(iii) A reliability study demonstrating that the SCS will prevent
violations of the NAAQS in the smelter's DLA at all times. The
reliability study shall include a comprehensive analysis of the system's
operation during one or more three-month seasonal periods when
meteorological conditions creating the most serious risk of NAAQS
violations are likely to occur. Where it is impossible, because of time
restraints, to include in such a study and analysis of the three month
seasonal period with meteorological conditions creating the most serious
risk of NAAQS violations, the study shall analyze the system's operation
on the basis of all available information. The NSO shall provide that in
such case, a supplemental reliability study shall be submitted after the
end of the worst case three-month period as a part of the next semi-
annual report required under Sec. 57.402(f).
(iv) A copy of the current SCS operational manual.
(c) Amendment of the NSO. Each NSO shall be amended, if necessary,
within 3 months of completion of the measures required under the SCS
development plan and also, if necessary, within three months of
submission of the final report or any supplement to the final report
required under paragraph (b)(2) of this section, to reflect the most
current approved elements of the SCS and, as appropriate, to fulfill all
other requirements of this subpart. Each NSO shall also be subsequently
amended (as provided in Sec. 57.104) whenever necessary as a result of
the program required by Sec. 57.402(f) or to reflect improved SCS
operating procedures or other system requirements.
Subpart E--Fugitive Emission Evaluation and Control
Sec. 57.501 General requirements.
(a) Each NSO shall require the smelter owner to use such control
measures as may be necessary to ensure that the smelter's fugitive
emissions do not result in violations of the NAAQS for SO2 in
the smelter's DLA.
(b) A smelter which is operating under an NSO containing a SIP
compliance schedule established in accordance with Sec. 57.705 is
required to be making progress toward compliance with any fugitive
control requirements contained in its respective SIP and need not meet
the other requirements contained in this subpart.
(c) A smelter which is subject to an NSO which does not contain a
SIP compliance schedule must meet the provisions of Secs. 57.502 and
57.503.
Sec. 57.502 Evaluation.
(a) Evaluation at the time of application. Any smelter owner may
demonstrate at the time of application for an NSO that the smelter's
SO2 fugitive emissions will not cause or significant
contribute to violations of the NAAQS in the smelter's DLA. If such
demonstration is not made, the smelter owner shall submit the design and
workplan for a study adequate to assess the sources of significant
fugitive emissions from the smelter and their effects upon ambient air
quality.
(b) Evaluation during the first 6 months of the NSO. The design and
workplan of the study shall be approved, if adequate, by the issuing
agency and included in the NSO. The study shall commence no later than
the date when the NSO becomes effective and an analysis of its results
shall be submitted to the issuing agency within 6 months of the
effective date of the NSO. The study shall include an appropriate period
during which the ambient air shall be monitored to determine the impact
of fugitive emissions of sulfur dioxide, arsenic (at copper smelters
only), lead (at lead and zinc smelters only), and total suspended
particulates on the ambient air quality in the smelter's DLA.
Sec. 57.503 Control measures.
The NSO of any smelter subject to the requirements of Sec. 57.502(b)
shall be amended, if necessary, within 6 months of EPA's receipt of the
analysis specified in Sec. 57.502(b), as provided in Sec. 57.704(c) to
implement the requirement of Sec. 57.501. Measures required to be
implemented may include:
(a) Additional supplementary control. The use of the supplementary
control
[[Page 149]]
system, if the additional use of the system does not interfere with the
smelter owner's ability to meet the requirements of subpart D; and
(b) Engineering and maintenance techniques. The use of engineering
and maintenance techniques to detect and prevent leaks and capture and
vent fugitive emissions through appropriate stacks. These techniques
include but are not limited to:
(1) For reactors, installation and proper operation of primary
hoods;
(2) For roasters, installation and proper operation of primary hoods
on all hot calcine transfer points;
(3) For furnaces, installation and proper operation of primary hoods
on all active matte tap holes, matte launders, slag skim bays, and
transfer points;
(4) For converters, installation and proper operation of primary
hoods for blowing operations, and where appropriate, secondary hoods for
charging and pouring operations;
(5) For sintering machines, installation and proper operation of
primary hoods on the sinter bed, all hot sinter ignition points, all
concentrate laydown points, and all hot sinter transfer points;
(6) For blast furnaces, installation and proper operation of primary
hoods on all active slag and lead bullion furnace tap holes and transfer
points;
(7) For dross reverberatory furnaces, installation and proper
operation of primary hoods on all active charging and discharging
points;
(8) Maintenance of all ducts, flues and stacks in a leak-free
condition to the maximum extent possible;
(9) Maintenance of all process equipment under normal operating
conditions in such a fashion that out-leakage of fugitive gases will be
prevented to the maximum extent possible;
(10) Secondary or tertiary hooding on process equipment where
necessary; and
(11) Partial or complete building evacuation as appropriate.
Sec. 57.504 Continuing evaluation of fugitive emission control measures.
Each NSO shall require the smelter owner to conduct an active
program to continuously review the effectiveness of the fugitive
emission control measures implemented pursuant to Sec. 57.503 in
maintaining the NAAQS and, if such measures are not sufficiently
effective, to evaluate what additional measures should be taken to
assure that the NAAQS will be maintained with a reasonably degree of
reliability. The NSO shall also require submission of a semi-annual
report to the issuing Agency detailing the results of this review and
evaluation. Such a report may be submitted as part of the report
required under Sec. 57.402(f).
Sec. 57.505 Amendments of the NSO.
An NSO shall be amended within three months of submission of any
report required under Sec. 57.504 so as to require additional fugitive
emission control measures if such report establishes that such
additional measures are necessary to assure that the NAAQS will be
maintained with a reasonable degree of reliability.
Subpart F--Research and Development Requirements
Sec. 57.601 General requirements.
(a) This subpart is not applicable to NSOs which contain a SIP
compliance schedule in accordance with Sec. 57.705.
(b) The requirements of this subpart may be waived with respect to a
smelter if the owner of that smelter submits with its NSO application a
written certification by a corporate official authorized to make such a
certification that the smelter will either comply with its
SO2 SIP limits by January 2, 1988 or close after January 1,
1988 until it can comply with such limits.
(c) Except as provided in paragraphs (a) and (b), each NSO shall
require the smelter to conduct or participate in a specific research and
development program designed to develop more effective means of
compliance with the sulfur dioxide control requirements of the
applicable State Implementation Plan than presently exist.
Sec. 57.602 Approval of proposal.
(a) The smelter owner's proposal. The smelter owner's NSO
application shall include a proposed NSO provision for implementing the
requirement of Sec. 57.601, a fully documented supporting
[[Page 150]]
analysis of the proposed program, and an evaluation of the consistency
of the proposed program with the criteria listed in Sec. 57.603. The
application shall also specify:
(1) The design and substantive elements of the research and
development program, including the expected amount of time required for
their implementation;
(2) The annual expected capital, operating, and other costs of each
element in the program;
(3) The smelter's current production processes, pollution control
equipment, and emissions which are likely to be affected by the program;
(4) Potential or expected benefits of the program;
(5) The basis upon which the results of the program will be
evaluated; and
(6) The names, positions, and qualifications of the individuals
responsible for conducting and supervising the project.
(b) EPA approval. (1) If the issuing agency will not be EPA, the
smelter owner or the issuing agency may also submit to EPA the
information specified in paragraph (a) of this section at the same time
the information is submitted to the issuing agency. As soon as possible
after the receipt of the information described in paragraph (a) of this
section, EPA shall certify to the issuing agency and to the applicant
whether or not in the judgment of the Administrator the smelter owner's
final proposals are approvable. If EPA does not receive an advance copy
of the proposal, the ultimate approval will occur when the NSO is
approved rather than in advance of receipt of the NSO.
(2) A prerequisite for approval of an R&D proposal by EPA and any
issuing agency is that the planned work must yield the most cost
effective technology possible.
(c) Optional preproposal. The smelter owner may, at its option,
submit to EPA for its approval and comment a preproposal generally
describing the project the owner intends to propose under paragraph (a)
of this section. A preproposal may be submitted to EPA any time prior to
the submission of a proposal under paragraph (a) of this section. As
soon as possible after the receipt of a preproposal, EPA shall certify
to the applicant (and to any other issuing agency, as applicable)
whether or not the project would be approvable. This certification may
include comments indicating necessary modifications which would make the
project approvable.
Sec. 57.603 Criteria for approval.
The approvability of any proposed research and development program
shall be judged primarily according to the following criteria:
(a) The likelihood that the project will result in the use of more
effective means of emission limitation by the smelter within a
reasonable period of time and that the technology can be implemented at
the smelter in question, should the smelter be placed on a SIP
compliance schedule at some future date when adequately demonstrated
technology is reasonably available;
(b) Whether the proposed funding and staffing of the project appear
adequate for its successful completion;
(c) Whether the proposed level of funding for the project is
consistent with the research and development expenditure levels for
pollution control found in other industries;
(d) The potential that the project may yield industrywide pollution
control benefits;
(e) Whether the project may also improve control of other pollutants
of both occupational and environmental significance;
(f) The potential effects of the project on energy conservation; and
(g) Other non-air quality health and environmental considerations.
Sec. 57.604 Evaluation of projects.
The research and development proposal shall include a provision for
the employment of a qualified independent engineering firm to prepare
written reports at least annually which evaluate each completed
significant stage of the research and development program, including all
relevant information and data generated by the program. All reports
required by this paragraph shall be submitted to EPA and also to the
issuing agency if it is not EPA.
[[Page 151]]
Sec. 57.605 Consent.
Each NSO shall incorporate by reference a binding written consent,
signed by a corporate official empowered to do so, requiring the smelter
owner to:
(a) Carry out the approved research and development program;
(b) Grant each issuing agency and EPA and their contractors access
to any information or data employed or generated in the research and
development program, including any process, emissions, or financial
records which such agency determines are needed to evaluate the
technical or economic merits of the program;
(c) Grant physical access to representatives and contractors of each
issuing agency to each facility at which such research is conducted;
(d) Grant the representatives and contractors of EPA and the issuing
agency reasonable access to the persons conducting the program on behalf
of the smelter owner for discussions of progress, interpretation of data
and results, and any other similar purposes as deemed necessary by EPA
or any issuing agency.
Sec. 57.606 Confidentiality.
The provisions of section 114 of the Act and 40 CFR part 2 shall
govern the confidentiality of any data or information provided to EPA
under this subpart.
Subpart G--Compliance Schedule Requirements
Sec. 57.701 General requirements.
This section applies to all smelters applying for an NSO. Each NSO
shall require the smelter owner to meet all of the requirements within
the NSO as expeditiously as practicable but in no case later than the
deadlines contained in this subpart or any other section of these
regulations. For requirements not immediately effective, the NSO shall
provide increments of progress and a schedule for compliance. Each
schedule must reflect the extent to which any required equipment or
systems are already in place and the extent to which any required
reports or studies have already been completed. Requirements for
smelters to submit compliance schedules and the procedures which they
must follow are outlined below.
Sec. 57.702 Compliance with constant control emission limitation.
(a) This section applies to all smelters which receive an NSO, but
only to the extent this section is compatible with any SIP compliance
schedule required by Secs. 57.201(d)(2) and 57.705.
(b) Any NSO issued to a smelter not required to immediately comply
with the requirements of subpart G under Sec. 57.701 shall contain a
schedule for compliance with those requirements as expeditiously as
practicable but in no case later than 6 months from the effective date
of the NSO, except as follows: Where a waiver is requested in accordance
with subpart H, an NSO may be issued without a schedule for compliance
with the requirements for which a waiver is being considered consistent
with subpart H, pending a final decision on the request under subpart H.
If a waiver is requested in accordance with subpart H, compliance with
the requirements of subpart C which were deferred as a result of such
request shall be achieved as expeditiously as practicable after, but in
no case later than 6 months from a final decision by the issuing agency
to deny a waiver under subpart H or disapproval by EPA of a waiver
granted by the issuing agency. The time limits specified herein may be
extended only if a smelter operator demonstrates that special
circumstances warrant more time, in which case the compliance schedule
shall require compliance as expeditiously as practicable. An NSO which
does not contain a schedule for compliance with all the requirements of
subpart C because a waiver has been requested in accordance with subpart
H shall be amended in accordance with Sec. 57.104 within three months
after a final decision under subpart H so as to either grant a waiver of
any remaining requirements of subpart C, or deny such a waiver and place
the smelter on a compliance schedule for meeting those requirements. If
the issuing agency grants a waiver and such waiver is disapproved by
EPA, the issuing agency shall promptly amend
[[Page 152]]
the NSO so as to place the smelter on a compliance schedule meeting any
remaining requirements of subpart C.
(c) Any schedule required under this section shall contain the
following information and increments of progress to the extent
applicable:
(1) Description of the overall design of the SO2 control
system(s) to be installed;
(2) Descriptions of specific process hardware to be used in
achieving compliance with interim SO2 constant controls
including gas capacity values;
(3) The date by which contracts will be let or purchase orders
issued to accomplish any necessary performance improvements;
(4) The date for initiating on-site construction or installation of
necessary equipment;
(5) The date by which on-site construction or installation of
equipment is to be completed; and
(6) The date for achievement of final compliance with interim
emission limitations.
Sec. 57.703 Compliance with the supplementary control system requirements.
This section applies to all nonferrous smelters applying for an NSO.
(a) Schedules for smelters with existing SCS. Each NSO shall require
immediately upon issuance of the NSO operation of any existing
supplementary control system and immediately upon the effective date of
the NSO the assumption of liability for all violations of the NAAQS
detected by any monitor in the SCS system. Each NSO shall require that
within six months of the effective date of the NSO the smelter complete
any measures specified in the smelter's approved SCS development plan
not implemented at the time the NSO is issued, and assume liability for
all violations of the NAAQS detected anywhere in the DLA (except as
provided in subpart D of these regulations). Other requirements of
subpart D such as the requirements for submission of reports records,
and for ongoing evaluation of the SCS shall be complied with at the
times specified in subpart D and Sec. 57.701.
(b) Compliance schedule for smelters with no existing SCS system.
Where a smelter has no SCS at the time of issuance of the NSO, the NSO
shall require compliance with the requirements of subpart D according to
the following schedule:
(1) Within six months after the effective date of the NSO the
smelter shall install all operating elements of the SCS system, begin
operating the system, complete all other measures specified in its
approved SCS development plan, begin compliance with the requirements of
Sec. 57.404, and assume liability for any violations of the NAAQS within
its designated liability area (except as provided by subpart D),
detected by the SCS monitors in place.
(2) Within nine months thereafter the smelter shall submit the SCS
Report, assume liability for all violations of the NAAQS detected
anywhere within its designated liability area, and comply with all other
requirements of subpart D, except for those which subpart D specifies
are to be satisfied at or after the close of such nine-month period,
including requirements for submission of studies, reports, and records,
and the requirements for continued review and evaluation of the SCS.
Sec. 57.704 Compliance with fugitive emission evaluation and control
requirements.
This section applies only to smelters not required to submit SIP
Compliance Schedules under Sec. 57.705. Each NSO shall require that
smelters satisfy each of the requirements of subpart E as expeditiously
as practicable, taking into account the extent to which those
requirements have already been satisfied, and in any event, within any
deadlines specified below.
(a) Plan for fugitive emission control. The NSO shall provide that
within a reasonable period after the submission of the report on the
fugitive emission control study required by Sec. 57.502, but within a
period allowing sufficient time for compliance with the requirement of
Sec. 57.503 for amendment of the NSO, the smelter owner shall submit to
the issuing agency for its approval a proposed fugitive emission control
plan, including increments of progress, for compliance with the
requirements of Secs. 57.501 and 57.503.
[[Page 153]]
(b) SCS Report. If the fugitive emission control plan submitted
under paragraph (a) of this section proposes to meet the requirements of
Secs. 57.501 and 57.503 through the additional use of a supplementary
control system, the plan shall demonstrate that the use of supplementary
controls at that smelter to prevent violations of the NAAQS resulting
from fugitive emissions is practicable, adequate, reliable, and
enforceable. The plan shall contain increments of progress providing for
completion of the implementation of each additional measure, and for
corresponding compliance with the requirements of pararaphs (b) and (c)
of Sec. 57.404, within four months of approval of the plan by the
issuing agency. The plan shall also provide that within three months
after completion of implementation of those additional measures, the
smelter shall fully comply with the requirements of Secs. 57.401 and
57.501 (including the assumption of liability for violations of NAAQS
within its designated liability area), and shall submit and additional
SCS report for the approval of the issuing agency. This additional final
report shall correspond to that submitted under Sec. 57.405(b)(2),
except that it need not contain the 3-month study described in
Sec. 57.405(b)(2)(iii).
(c) NSO amendment. The amendments of the NSO required under
Sec. 57.503 shall be affected by the issuing agency as follows:
(1) With respect to the additional use of SCS, upon approval or
promulgation of the plan submitted under paragraph (a) of this section
and upon approval or promulgation of the requirements for the system
described in the additional SCS Report under paragraph (b) of this
section;
(2) With respect to the additional use of engineering techniques,
upon approval or promulgation of the compliance schedule required by
paragraph (a) of this section.
Sec. 57.705 Contents of SIP Compliance Schedule required by Sec. 57.201(d)
(2) and (3).
This section applies to smelters which are required to submit a SIP
Compliance Schedule as discussed below.
(a) Each SIP Compliance Schedule required by Sec. 57.201(d) (2) and
(3) must contain the following elements:
(1) Description of the overall design of the SO2 control
system(s) to be installed;
(2) Descriptions of specific process hardware to be used in
achieving compliance with the SIP emission limitation including gas
capacity values;
(3) The date by which contracts will be let or purchase orders
issued to accomplish any necessary performance improvements;
(4) The date for initiating on-site construction or installation of
necessary equipment;
(5) The date by which on-site construction or installation of
equipment is to be completed;
(6) The date for achievement of final compliance with SIP emission
limitations; and
(7) Any other measures necessary to assure compliance with all SIP
requirements as expeditiously as practicable.
(b) Operations of SCS. Smelters to which Sec. 57.705 is applicable
must comply with all elements of Sec. 57.703.
Subpart H--Waiver of Interim Requirement for Use of Continuous Emission
Reduction Technology
Sec. 57.801 Purpose and scope.
(a) This subpart shall govern all proceedings for the waiver of the
interim requirement that each NSO provide for the use of constant
controls.
(b) In the absence of specific provisions in this subpart, and where
appropriate, questions arising at any stage of the proceeding shall be
resolved at the discretion of the Presiding Officer or the
Administrator, as appropriate.
Sec. 57.802 Request for waiver.
(a) General. (1) Each smelter owner requesting a waiver shall
complete, sign, and submit appendix A (Test for Eligibility for Interim
Waiver). Copies of appendix A may be obtained from any EPA Regional
Administrator, or from the Director, Stationary Source Compliance
Division (EN-341), U.S. Environmental Protection Agency, 1200
Pennsylvania Ave., NW., Washington,
[[Page 154]]
DC 20460. Claims of confidentiality shall be made as provided in
Sec. 57.203.
(2) The smelter owner shall append to the completed and signed
appendix A full copies of all documents, test results, studies, reports,
scientific literature and assessments required by appendix A. To the
extent that the material consists of generally available published
material, the smelter owner may cite to the material in lieu of
appending it to appendix A. The smelter owner shall specificially
designate those portions of any documents relied upon and the facts or
conclusions in appendix A to which they relate.
(b) Effect of submitting incomplete application. (1) The
Administrator, or a person designated by him to review applications for
waivers, may advise the smelter owner in writing whenever he determines
that additional information is needed in order to make the waiver
eligibility determinations required by section 119(d)(2) of the Act. The
smelter owner shall promptly supply such information. All additional
information requested under this paragraph and filed in the manner
required by paragraph (d) shall be deemed part of appendix A.
(2) Failure to comply with the requirements of paragraphs (a) and
(b)(1) of this section shall be grounds for denial of the requested
waiver.
(c) Time for requesting waivers. Any request for a waiver must be
submitted to the Administrator by the smelter owner at the time of the
application for an NSO from the State or the Administrator, as the case
may be. Where a smelter was issued a second period NSO by a State before
these regulations went into effect, a request for a waiver shall be made
and a completed appendix A shall be submitted, within sixty days of the
effective date of these regulations, unless an extension is granted by
the Administrator, or his designee, for good cause.
(d) Submission of request. A copy of appendix A (plus attachments)
which has been completed for the purpose of requesting a waiver of
constant control requirements shall be filed with the Administrator,
addressed as follows: Director, Stationary Source Compliance Division
(EN-341), U.S. Environmental Protection Agency, 1200 Pennsylvania Ave.,
NW., Washington, DC 20460, Attn: Confidential Information Unit.
(e) Eligibility. A smelter shall be eligible for consideration under
this subpart only if it establishes that (1) its existing strong stream
controls, if any, lack the capacity while in full operation to treat all
strong stream sulfur dioxide emissions and (2) bypass of strong stream
controls due to excess strong stream sulfur dioxide emissions cannot be
avoided with improved operation and maintenance of existing strong
stream controls and process equipment.
(f) Criteria for decision. The Administrator shall grant or approve
a waiver, whichever is appropriate, for any eligible smelter as to which
he finds, in accordance with the methods and procedures specified in
appendix A, that:
(1) The higher of the two net present values of future cash flows
completed under the two alternative sets of assumptions set forth in the
instructions to schedule D.6 in appendix A in less than liquidation
(salvage) value; or
(2) The smelter's average variable costs at all relevant levels of
production (after installation of interim constant control equipment)
would exceed the weighted average price of smelter output for one year
or more.
Sec. 57.803 Issuance of tentative determination; notice.
(a) Tentative determination. (1) The EPA staff shall formulate and
prepare:
(i) A ``Staff Computational Analysis,'' using the financial
information submitted by the smelter owner under Sec. 57.802 to evaluate
the economic circumstances of the smelter for which the waiver is
sought;
(ii) A tentative determination as to whether an interim requirement
for the use of constant controls would be so costly as to necessitate
permanent or prolonged temporary cessation of operations at the smelter
for which the waiver is requested. The tentative determination shall
contain a ``Proposed Report and Findings'' summarizing the conclusions
reached in the Staff Computational Analysis, discussing the estimated
cost of interim controls, and assessing the effect upon the smelter of
requiring those controls. The tentative
[[Page 155]]
determination shall also contain a proposed recommendation that the
waiver be granted or denied, based upon the Proposed Report and
Findings, and stating any additional considerations supporting the
proposed recommendation. This tentative determination shall be a public
document.
(2) In preparing the Proposed Report and Findings, the EPA staff
shall attempt to the maximum extent feasible to avoid revealing
confidential information which, if revealed, might damage the legitimate
business interests of the applicant. The preceding sentence
notwithstanding, the tentative determination shall be accompanied by a
listing of all materials considered by EPA staff in developing the
tentative determination. Subject to the provisions of Sec. 57.814(a),
full copies of all such materials shall be included in the
administrative record under Sec. 57.814, except that, to the extent the
material consists of published material which is generally available,
full citations to that material may be given instead.
(b) Public notice. Public notice of EPA's tentative determination to
grant or deny an application for a waiver shall be given by:
(1) Publication at least once in a daily newspaper of general
circulation in the area in which the smelter is located; and
(2) Posting in the principal office of the municipality in which the
smelter is located.
(c) Individual notice. Individual notice of EPA's tentative
determination to grant or deny an application for a waiver shall be
mailed to the smelter owner by certified mail, return receipt requested,
and to the air pollution control agency for the State in which the
smelter is located.
(d) Request for individual notice. EPA shall mail notice of its
tentative determination to grant or deny an application for waiver to
any person upon request. Each such request shall be submitted to the
Administrator in writing, shall state that the request is for individual
notice of tentative determination to grant or deny any application for a
waiver under section 119(d) of the Clean Air Act, and shall describe the
notice or types of notices desired (e.g., all notices, notices for a
particular Region, notices for a particular State, notice for a
particular city).
(e) Form of notice. The notice of tentative determination required
to be distributed under paragraphs (b), (c), and (d) of this section
shall include, in addition to any other materials, the following:
(1) A summary of the information contained in appendix A;
(2) The tentative determination prepared under paragraph (a) of this
section: Provided, that except in the case of the smelter owner, a
summary of the basis for the grant or denial of the waiver may be
provided in lieu of the formal determinations required by paragraph
(a)(1) of this section;
(3) A brief description of the procedures set forth in Sec. 57.804
for requesting a public hearing on the waiver request, including a
statement that such request must be filed within 30 days of the date of
the notice;
(4) A statement that written comments on the tentative determination
submitted to EPA within 60 days of the date of the notice will be
considered by EPA in making a final decision on the application; and
(5) The location of the administrative record and the location at
which interested persons may obtain further information on the tentative
determination, including a copy of the index to the record, the
tentative determination prepared under paragraph (a) of this section,
and any other nonconfidential record materials.
Sec. 57.804 Request for hearing; request to participate in hearing.
(a) Request for hearing. Within 30 days of the date of publication
or receipt of the notice required by Sec. 57.803, any person may request
the Administrator to hold a hearing on the tentative determination by
submitting a written request containing the following:
(1) Identification of the person requesting the hearing and his
interest in the proceeding;
(2) A statement of any objections to the tentative determination;
and
(3) A statement of the issues which such person proposes to raise
for consideration at such hearing.
(b) Grant or denial of hearing; notification. Whenever (1) the
Administrator
[[Page 156]]
has received a written request satisfying the requirements of paragraph
(a) of this section which presents genuine issues as to the effect on
the smelter of the requirement for use of constant controls, or (2) the
Administrator determines in his discretion that a hearing is necessary
or appropriate the Administrator shall give written notice of his
determination to each person requesting such hearing and the smelter
owner, and shall provide public notice of his determination in
accordance with Sec. 57.803(b). If the Administrator determines that a
request filed under paragraph (a) of this section does not comply with
the requirements of paragraph (a) or does not present genuine issues, he
shall be given written notice of his decision to deny a hearing to the
person requesting the hearing.
(c) Form of notice of hearing. Each notice of hearing disseminated
under paragraph (b) of this section shall contain:
(1) A statement of the time and place of the hearing;
(2) A statement identifying the place at which the official record
on the application for waiver is located, the hours during which it will
be open for public inspection, and the documents contained in the record
as of the date of the notice of hearing;
(3) The due date for filing a written request to participate in the
hearing under paragraph (d) of this section;
(4) The due date for making written submissions under 57.805; and
(5) The name, address, and office telephone number of the hearing
Clerk for the hearing.
(d) Request to participate in hearing. Each person desiring to
participate in any hearing granted under this section, including any
person requesting such a hearing, shall file a written request to
participate with the Hearing Clerk by the deadline set forth in the
notice of hearing. The request shall include:
(1) A brief statement of the interest of the person in the
proceeding;
(2) A brief outline of the points to be addressed;
(3) An estimate of the time required; and
(4) If the request is submitted by an organization, a nonbinding
list of the persons to take part in the presentation. As soon as
practicable, but in no event later than two weeks before the scheduled
date of the hearing, the Hearing Clerk shall make available to the
public and shall mail to each person who asked to participate in the
hearing a hearing schedule.
(e) Effect of denial of or absence of request for hearing. If no
request for a hearing is made under this section, or if all such
requests are denied under paragraph (b) of this section, the tentative
determination issued under Sec. 57.803 shall be treated procedurally as
if it were a recommended decision issued under Sec. 57.811(b)(2), except
that for purposes of Secs. 57.812 and 57.813 the term ``hearing
participant'' shall be construed to mean the smelter owner and any
person who submitted comments under Sec. 57.803(e)(4).
Sec. 57.805 Submission of written comments on tentative determination.
(a) Main comments. Each person who has filed a request to particpate
in the hearing shall file with the Hearing Clerk no later than 30 days
before the scheduled start of the hearing (or such other date as may be
set forth in the notice of hearing) any comments which he has on the
request for waiver and EPA's tentative determination, based on
information which is or reasonably could have been available to that
person at the time.
(b) Reply comments. Not later than two weeks after a full transcript
of the hearing becomes available (or such other date as may be set forth
in the notice of hearing), each person who has filed a request to
participate in the hearing shall file with the Hearing Clerk any
comments he may have on:
(1) Written comments submitted by other participants pursuant to
paragraph (a) of this section;
(2) Written comments submitted in response to the notice of hearing;
(3) Material in the hearing record; and
(4) Material which was not and could not reasonably have been
available prior to the deadline for submission of main comments under
paragraph (a) of this section.
(c) Form of comments. All comments should be submitted in
quadruplicate
[[Page 157]]
and shall include any affidavits, studies, tests or other materials
relied upon for making any factual statements in the comments.
(d) Use of comments. (1) Written comments filed under this section
shall constitute the bulk of the evidence submitted at the hearing. Oral
statements at the hearing should be brief, and restricted either to
points that could not have been made in written comments, or to
emphasizing points which are made in the comments, but which the
participant believes can be more forcefully urged in the hearing
context.
(2) Notwithstanding the foregoing, within two weeks prior to either
deadline specified by paragraph (a) of this section for the filing of
main comments, any person who has filed a request to participate in the
hearing may file a request with the Presiding Officer to submit all or
part of his main comments orally at the hearing in lieu of submitting
written comments. The Presiding Officer shall, within one week, grant
such request if he finds that such person will be prejudiced if he is
required to submit such comments in written form.
Sec. 57.806 Presiding Officer.
(a) Assignment of Presiding Officer. (1) The Administrator shall, as
soon as practicable after the granting of a request for hearing under
Sec. 57.803, request that the Chief Administrative Law Judge assign an
Administrative Law Judge as Presiding Officer. The Chief Administrative
Law Judge shall thereupon make the assignment.
(2) If the parties to the hearing waive their right to have the
Agency or an Administrative Law Judge preside at the hearing, the
Administrator shall appoint an EPA employee who is an attorney to serve
as presiding officer.
(b) Powers and duties of Presiding Officer. It shall be the duty of
the Presiding Officer to conduct a fair and impartial hearing, assure
that the facts are fully elicited, and avoid delay. The Presiding
Officer shall have authority to:
(1) Chair and conduct administrative hearings held under this
subpart;
(2) Administer oaths and affirmations;
(3) Receive relevant evidence: Provided, that the administrative
record, as defined in Sec. 57.814, shall be received in evidence;
(4) Consider and rule upon motions, dispose of procedural requests,
and issue all necessary orders;
(5) Hold conferences for the settlement or simplification of the
issues or the expediting of the proceedings; and
(6) Do all other acts and take all measures necessary for the
maintenance of order and for the efficient, fair and impartial conduct
of proceedings under this subpart.
[50 FR 6448, Feb. 15, 1985, as amended at 57 FR 5328, Feb. 13, 1992]
Sec. 57.807 Hearing.
(a) Composition of hearing panel. The Presiding Officer shall
preside at the hearing held under this subpart. An EPA panel shall also
take part in the hearing. In general, the membership of the panel shall
consist of EPA employees having special expertise in areas related to
the issues to be addressed at the hearing, including economists and
engineers. For this reason, the membership of the panel may change as
different issues are presented for discussion.
(b) Additional hearing participants. Either before or during the
hearing, the Presiding Officer, after consultation with the panel, may
request that a person not then scheduled to participate in the hearing
(including an EPA employee or a person identified by any scheduled
hearing participant as having knowledge concerning the issues raised for
discussion at the hearing) make a presentation or make himself available
for cross-examination at the hearing.
(c) Questioning of hearing participants. The panel members may
question any person participating in the hearing. Cross-examination by
persons other than panel members shall not be permitted at this stage of
the proceeding except where the Presiding Officer determines, after
consultation with the panel, that circumstances compel such cross-
examination. However, persons in the hearing audience, including other
hearing participants, may submit written questions to the Presiding
Officer
[[Page 158]]
for the Presiding Officer to ask the participants, and the Presiding
Officer may, after consultation with the panel, and in his sole
discretion, ask these questions.
(d) Submission of additional material. Participants in the hearing
shall submit for the hearing record such additional material as the
hearing panel may request within 10 days following the close of the
hearing, or such other period of time as is ordered by the Presiding
Officer. Participants may also submit additional information for the
hearing record on their own accord within 10 days after the close of the
hearing.
(e) Transcript. A verbatim transcript shall be made of the hearing.
Sec. 57.808 Opportunity for cross-examination.
(a) Request for cross-examination. After the close of the panel
hearing conducted under this part, any participant in that hearing may
submit a written request for cross-examination. The request shall be
received by EPA within one week after a full transcript of the hearing
becomes available and shall specify:
(1) The disputed issue(s) of material fact as to which cross-
examination is requested. This shall include an explanation of why the
questions at issue are factual, rather than of an analytical or policy
nature; the extent to which they are in dispute in the light of the
record made thus far, and the extent to which and why they can
reasonably be considered material to the decision on the application for
a waiver; and
(2) The person(s) the participant desires to cross-examine, and an
estimate of the time necessary. This shall include a statement as to why
the cross-examination requested can be expected to result in full and
true disclosure resolving the issue of material fact involved.
(b) Order granting or denying request for cross-examination. As
expeditiously as practicable after receipt of all requests for cross-
examination under paragraph (a) of this section, the Presiding Officer,
after consultation with the hearing panel, shall issue an order either
granting or denying each such request, which shall be disseminated to
all persons requesting cross-examination and all persons to be cross-
examined. If any request for cross-examination is granted, the order
shall specify:
(1) The issues as to which cross-examination is granted;
(2) The persons to be cross-examined on each issue;
(3) The persons allowed to conduct cross-examination;
(4) Time limits for the examination of witnesses; and
(5) The date, time and place of the supplementary hearing at which
cross-examination shall take place. In issuing this ruling, the
Presiding Officer may determine that one or more participants have the
same or similar interests and that to prevent unduly repetitious cross-
examination, they should be required to choose a single representative
for purposes of cross-examination. In such a case, the order shall
simply assign time for cross-examination by that single representative
without identifying the representative further.
(c) Supplementary hearing. The Presiding Officer and at least one
member of the original hearing panel shall preside at the supplementary
hearing. During the course of the hearing, the Presiding Officer shall
have authority to modify any order issued under paragraph (b) of this
section. A verbatim transcript shall be made of this hearing.
(d) Alternatives to cross-examination. (1) No later than the time
set for requesting cross-examination, a hearing participant may request
that alternative methods of clarifying the record (such as the submittal
of additional written information) be used in lieu of or in addition to
cross-examination. The Presiding Officer shall issue an order granting
or denying such request at the time he issues (or would have issued) an
order under paragraph (b) of this section. If the request is granted,
the order shall specify the alternative provided and any other relevant
information (e.g., the due date for submitting written information).
(2) In passing on any request for cross-examination submitted under
paragraph (a) of this section, the Presiding Officer may, as a
precondition to
[[Page 159]]
ruling on the merits of such request, require that alternative means of
clarifying the record be used whether or not a request to do so has been
made under the preceding paragraph. The person requesting cross-
examination shall have one week to comment on the results of utilizing
such alternative means, following which the Presiding Officer, as soon
as practicable, shall issue an order granting or denying such person's
request for cross-examination.
Sec. 57.809 Ex parte communications.
(a) General. (1) No interested person outside the Agency or member
of the Agency trial staff shall make or knowingly cause to be made to
any member of the decisional body an ex parte communication relevant to
the merits of the proceedings.
(2) No member of the decisional body shall make or knowingly cause
to be made to any interested person outside the Agency or member of the
Agency trial staff an ex parte communication relevant to the merits of
the proceedings.
(b) Effect of receipt of ex parte communication. (1) A member of the
decisional body who receives or who makes or knowingly causes to be made
a communication prohibited by this subsection shall place in the record
all written communications or memoranda stating the substance of all
oral communications together with all written responses and memoranda
stating the substance of all responses.
(2) Upon receipt by any member of the decisionmaking body of an ex
parte communication knowingly made or knowingly caused to be made by a
party or representative of a party in violation of this section, the
person presiding at the stage of the hearing then in progress may, to
the extent consistent with justice and the policy of the Clean Air Act,
require the party to show cause why its claim or interest in the
proceedings should not be dismissed, denied, disregarded, or otherwise
adversely affected on account of such violation.
(c) Definitions. For purposes of this section, the following
definitions shall apply:
(1) Agency trial staff means those Agency employees, whether
temporary or permanent, who have been designated by the Agency as
available to investigate, litigate, and present the evidence arguments
and position of the Agency in the evidentiary hearing or non-adversary
panel hearing. Appearance as a witness does not necessarily require a
person to be designated as a member of the Agency trial staff;
(2) Decisional body means any Agency employee who is or may be
reasonably expected to be involved in the decisional process of the
proceeding including the Administrator, Presiding Officer, the Regional
Administrator (if he does not designate himself as a member of the
Agency trial staff), and any of their staff participating in the
decisional process. In the case of a non-adversary panel hearing, the
decisional body shall also include the panel members whether or not
permanently employed by the Agency;
(3) Ex parte communication means any communication, written or oral,
relating to the merits of the proceeding between the decisional body and
an interested person outside the Agency or the Agency trial staff which
was not originally filed or stated in the administrative record or in
the hearing. Ex parte communications do not include:
(i) Communications between Agency employees other than between the
Agency trial staff and the member of the decisional body;
(ii) Discussions between the decisional body and either:
(A) Interested persons outside the Agency, or;
(B) The Agency trial staff if all parties have received prior
written notice of such proposed communications and have been given the
opportunity to be present and participate therein.
(4) Interested person outside the Agency includes the smelter owner,
any person who filed written comments in the proceeding, any person who
requested the hearing, any person who requested to participate or
intervene in the hearing, any participant or party in the hearing and
any other interested person not employed by the Agency at the time of
the communications, and the attorney of record for such persons.
[50 FR 6448, Feb. 15, 1985, as amended at 57 FR 5328, Feb. 13, 1992]
[[Page 160]]
Sec. 57.810 Filing of briefs, proposed findings, and proposed recommendations.
Unless otherwise ordered by the Presiding Officer, each hearing
participant may, within 20 days after reply comments are submitted under
Sec. 57.805(b), or if a supplementary hearing for the purpose of cross-
examination has been held under Sec. 57.808(c), within 20 days after the
transcript of such supplemental hearing becomes available or if
alternative methods of clarifying the record have been used under
Sec. 57.808(d), within 20 days after the alternative methods have been
employed, file with the Hearing Clerk and serve upon all other hearing
participants proposed findings and proposed recommendations to replace
in whole or in part the findings and recommendations contained in the
tentative determination. Any such person may also file, at the same
time, a brief in support of his proposals, together with references to
relevant pages of transcript and to relevant exhibits. Within 10 days
thereafter each participant may file a reply brief concerning
alternative proposals. Oral argument may be held at the discretion of
the Presiding Officer on motion of any hearing participant or sua
sponte.
Sec. 57.811 Recommended decision.
As soon as practicable after the conclusion of the hearing, one or
more responsible employees of the Agency shall evaluate the record for
preparation of a recommended decision and shall prepare and file a
recommended decision with the Hearing Clerk. The employee(s) preparing
the decision will generally be members of the hearing panel and may
include the Presiding Officer. Such employee(s) may consult with and
receive assistance from any member of the hearing panel in drafting a
recommended decision and may also delegate the preparation of the
recommended decision to the panel or to any member or members of it.
This decision shall contain the same elements as the tentative
determination. After the recommended decision has been filed, the
Hearing Clerk shall serve a copy of such decision on each hearing
participant and upon the Administrator.
Sec. 57.812 Appeal from or review of recommended decision.
(a) Exceptions. (1) Within 20 days after service of the recommended
decision, any hearing participant may take exception to any matter set
forth in such decision or to any adverse order or ruling of the
Presiding Officer prior to or during the hearing to which such
participant objected, and may appeal such exceptions to the
Administrator by filing them in writing with the Hearing Clerk. Such
exceptions shall contain alternative findings and recommendations,
together with references to the relevant pages of the record and
recommended decision. A copy of each document taking exception to the
recommended decision shall be served upon every other hearing
participant. Within the same period of time each party filing exceptions
shall file with the Administrator and shall serve upon all hearing
participants a brief concerning each of the exceptions being appealed.
Each brief shall include page references to the relevant portions of the
record and to the recommended decision.
(2) Within 10 days of the service of exceptions and briefs under
paragraph (a)(1) of this section, any hearing participant may file and
serve a reply brief responding to exceptions or arguments raised by any
other hearing participant together with references to the relevant
portions of the record, recommended decision, or opposing brief. Reply
briefs shall not, however, raise additional exceptions.
(b) Sua sponte review by the Administrator. Whenever the
Administrator determines sua sponte to review a recommended decision,
notice of such intention shall be served upon the parties by the Hearing
Clerk within 30 days after the date of service of the recommended
decision. Such notice shall include a statement of issues to be briefed
by the hearing participants and a time schedule for the service and
filing of briefs.
(c) Scope of appeal or review. The appeal of the recommended
decision shall be limited to the issues raised by the appellant, except
when the Administrator determines that additional issues should be
briefed or argued. If the Administrator determines that
[[Page 161]]
briefing or argument of additional issues is warranted, all hearing
participants shall be given reasonable written notice of such
determination to permit preparation of adequate argument.
(d) Argument before the Administrator. The Administrator may, upon
request by a party or sua sponte, set a matter for oral argument. The
time and place for such oral argument shall be assigned after giving
consideration to the convenience of the parties.
Sec. 57.813 Final decision.
(a) After review. As soon as practicable after all appeal or other
review proceedings have been completed, the Administrator shall issue
his final decision. Such a final decision shall include the same
elements as the recommended decision, as well as any additional reasons
supporting his decisions on exceptions filed by hearing participants.
The final decision may accept or reject all or part of the recommended
decision. The Administrator may consult with the Presiding Officer,
members of the hearing panel or any other EPA employee in preparing his
final decision. The Hearing Clerk shall file a copy of the decision on
all hearing participants.
(b) In the absence of review. If no party appeals a recommended
decision to the Administrator and if the Administrator does not review
it sua sponte, he shall be deemed to have adopted the recommended
decision as the final decision of the Agency upon the expiration of the
time for filing any exceptions under Sec. 57.812(a).
(c) Timing of judicial review. For purposes of judicial review,
final Agency action on a request for a waiver of the interim requirement
that each NSO provide for the use of constant controls shall not occur
until EPA approves or disapproves the issuance of an NSO to the source
requesting such a waiver.
Sec. 57.814 Administrative record.
(a) Establishment of record. (1) Upon receipt of request for a
waiver, an administrative record for that request shall be established,
and a Record and Hearing Clerk appointed to supervise the filing of
documents in the record and to carry out all other duties assigned to
him under this subpart.
(2) All material required to be included in the record shall be
added to the record as soon as feasible after its receipt by EPA. All
material in the record shall be appropriately indexed. The Hearing Clerk
shall make appropriate arrangements to allow members of the public to
copy all nonconfidential record materials during normal EPA business
hours.
(3) Confidential record material shall be indexed under paragraph
(a)(2). Confidential record material shall, however, be physically
maintained in a separate location from public record material.
(4) Confidential record material shall consist of the following:
(i) Any material submitted pursuant to Sec. 57.802 for which a
proper claim of confidentiality has been made under section 114(c) of
the Act and 40 CFR part 2; and
(ii) The Staff Computational Anaylsis prepared under Sec. 57.803
(b) Record for issuing tentative determination. The administrative
record for issuing the tentative determination required by Sec. 57.803
shall consist of the material submitted under Sec. 57.802 and any
additional materials supporting the tentative determination.
(c) Record for acting on requests for cross-examination. The
administrative record for acting on requests for cross-examination under
Sec. 57.808 shall consist of the record for issuing the tentative
determination, all comments timely submitted under Secs. 57.803(e)(4)
and 57.805, the transcript of the hearing, and any additional material
timely submitted under Sec. 57.807(d).
(d) Record for preparation of recommended decision. The
administrative record for preparation of the recommended decision
required by Sec. 57.811 shall consist of the record for acting on
request for cross-examination, the transcript of any supplementary
hearing held under Sec. 57.808(c), any materials timely submitted in
lieu of or in addition to cross-examination under Sec. 57.808(d), and
all briefs, proposed findings of fact and proposed recommendations
timely submitted under Sec. 57.810.
(e) Record for issuance of final decision. (1) Where no hearing has
been held, the administrative record for issuance of the Administrator's
final decision shall
[[Page 162]]
consist of the record for issuing the tentative determination, any
comments timely submitted under Sec. 57.803(e)(4), any briefs or reply
briefs timely submitted under Sec. 57.812 (a) through (c), and the
transcript of any oral argument granted under Sec. 57.812(d).
(2) Where a hearing has been held, the administrative record for
issuance of the Administrator's final decision shall consist of the
record of preparation of the recommended decision, any briefs or reply
briefs submitted under Sec. 57.812 (a) through (c), and the transcript
of any oral argument granted under Sec. 57.812(d).
Sec. 57.815 State notification.
The Administrator shall give notice of the final decision in writing
to the air pollution control agency of the State in which the smelter is
located.
Sec. 57.816 Effect of negative recommendation.
No waiver of the interim requirement for the use of constant
controls shall be granted by the Administrator or a State unless the
Administrator or a State first takes into account the Administrator's
report, findings, and recommendations as to whether the use of constant
controls would be so costly as to necessitate permanent or prolonged
temporary cessations of operation of the smelter.
Appendix A to Part 57--Primary Nonferrous Smelter Order (NSO)
Application
Instructions
1. General Instructions
1.1 Purpose of the Application
1.2 NSO Financial Tests
1.3 Confidentiality
2. NSO Financial Reporting Overview
2.1 Revenue and Cost Assignment
2.2 Transfer Prices on Affiliated Party Transactions
2.3 Forecasting Requirements
2.4 EPA Furnished Forecast Data
2.5 Applicant Generated Forecasts
2.6 Weighted Average Cost of Capital for Nonferrous Metal Producers
2.7 Horizon Value
2.8 Data Entry
2.9 Use of Schedules
2.10 Use of Exhibits
Detailed Instructions for Each Schedule
A.1 Historical Revenue Data
A.2 Historical Cost Data
A.3 Historical Profit and Loss Summary
A.4 Historical Capital Investment Summary
B.1 Pre-Control Revenue Forecast
B.2 Pre-Control Cost Forecast
B.3 Pre-Control Forecast Profit and Loss Summary
B.4 Constant Controls Revenue Forecast
B.5 Constant Controls Cost Forecast
B.6 Constant Controls Forecast Profit and Loss Summary for the Profit
Protection Test
B.7 Profit Protection Test
C.1 Constant Controls Forecast Profit and Loss Summary for the Rate of
Return Test
C.2 Constant Controls Sustaining Capital Investment Forecast
C.3 Historical Capital Investment in Constant Dollars
C.4 Rate of Return Test
C.5 Horizon Value of Cash Flows for the Rate of Return Test
D.1 Interim Controls Revenue Forecast
D.2 Interim Controls Cost Forecast
D.3 Interim Controls Forecast Profit and Loss Summary
D.4 Interim Controls Sustaining Capital Investment Forecast
D.5 Cash Proceeds from Liquidation
D.6 Permanent Waiver from Interim Controls Test
D.7 Horizon Value of Cash Flows for the Interim Controls Test
1. General Instructions
1.1 Purpose of the application. This application provides financial
reporting schedules and the accompanying instructions for EPA's
determination of eligibility for a nonferrous smelter order (NSO), and
for a waiver of the interim constant controls requirement of an NSO.
Although the determination of eligiblity for an NSO is prequisite for
the determination of a waiver, appendix A, as a matter of convenience to
applicants, includes both the NSO and waiver tests and reporting
schedules.
In order to support an NSO eligibility determination, the applicant
must submit operating and financial data as specified by the schedules
included in this application. Specific instructions for completing each
schedule are provided in subsequent sections of the instructions. In
general, applicants must provide:
(a) Annual income statements, balance sheets and supporting data
covering the five most recent fiscal years for the smelter for which the
NSO requested.
(b) Forecasts of operating revenues, operating costs, net income
from operations and capital investments for the firm's smelter
operations subject to this application, on the basis of anticipated
smelter operations without any sulfur dioxide air pollution control
[[Page 163]]
facilities that have not been installed as of the NSO application date.
(c) Forecasts of operating revenues, operating costs, net income
from operations and capital investments for the firm's smelter
operations subject to this application, on the basis of anticipated
smelter operations with expected additional sulfur dioxide control
facilities required to comply with the smelter's SIP emission
limitation.
(d) For smelters applying for a waiver of interim constant controls,
forecasts of operating revenues, operating costs, and capital
investments for the firm's smelter operations prepared on the basis of
two alternative assumptions: (1) Installation of additional pollution
control facilities required to comply with interim constant control
requirements, no installation of any additional SO2 controls
that the smelter would otherwise be required to install but for the
issuance of an NSO, and closure of the smelter after January 1, 1988;
and (2) installation of additional pollution control facilities required
to comply with interim constant control requirements, installation of
any additional SO2 controls required to comply with the
smelter's SIP emission limitation by January 2, 1988, and continued
operation of the smelter after January 1, 1988.
1.2 NSO financial tests. EPA will use separate tests to determine
eligibility for an NSO and to evaluate applications for a waiver of the
interim constant control requirement. The two tests for NSO eligibility
employ a present value approach for determining the reasonable
availability of constant control technology that will enable an
applicant to achieve full compliance with its SIP sulfur dioxide
emission limitation. The tests for the waiver of the interim constant
control requirements employ variable costing and discounted cash flow
standards for evaluating an applicant's economic capability to implement
those requirements.
1.2.1 NSO Eligibility Tests. Each applicant must establish that the
system of production and/or constant control technology that will enable
the smelter to achieve full compliance with its SIP SO2
emission limitation standard is not reasonably available. An applicant
will determine financial eligibility for an NSO by passing at least one
of the following two tests.
(a) Profit Protection Test. The smelter will experience a reduction
in pre-tax profits of 50 percent or more after undertaking the required
installation of constant controls.
(b) Rate of Return Test. The smelter will earn a rate of return on
historical net investment, expressed in constant dollars, below the
industry average cost of capital after undertaking the required
installation of constant controls.
1.2.2 Temporary Waiver from Interim Controls. Applicants that do not
have an existing constant control system or whose constant controls are
not sufficient when in operation and optimally maintained to treat all
strong streams in accordance with subpart C, may apply for a waiver of
the requirements of subpart C with respect to any interim constant
controls not already installed. Applicants will be eligible for a
temporary waiver of the requirement for interim constant controls not
already installed, if they can establish pursuant to the procedures in
this application that the imposition of such control requirements would
economically necessitate closure of the smelter facility for a period of
one year or longer. The economic justification for a non-permanent
closure under this temporary waiver test is defined as a situation in
which the smelter's projected operating revenues for one or more years
during which the NSO is in effect are inadequate to cover variable
operating costs anticipated after installing the required interim
control technology. Temporary waivers will be granted for only the
period of time over which applicants can establish an inability by the
firm to cover its variable operating costs. Interim control waiver
requests based on the smelter's projected inability to earn adequate
income after installation of interim pollution control equipment will be
subject to the permanent waiver test.
1.2.3 Permanent Waiver from Interim Controls. Applicants that do not
have an existing constant control system or whose constant controls are
not sufficient when in operation and optimally maintained to treat all
strong streams in accordance with subpart C, may apply for a waiver of
the requirements of subpart C with respect to any interim constant
controls not already installed. Applicants will be eligible for a
permanent waiver of the requirement for interim constant controls not
already installed, if they can establish pursuant to the procedures in
this application that an imposition of such control requirements would
necessitate permanent closure of the smelter. Economic justification for
a permanent closure is defined as a situation in which the present value
of future cash flows anticipated from the smelter after installing the
required interim control technology is less than the smelter's current
salvage value under an orderly plan of liquidation. Future cash flows
are determined under two alternative assumptions. The higher present
value of cash flows computed under these assumptions is then compared to
salvage value.
1.2.4 EPA Contact for NSO Inquiries. Inquiries concerning this
portion of the requirements for NSO application should be addressed to
Laxmi M. Kesari, Environmental Protection Agency, EN 341, 1200
Pennsylvania Ave., NW., Washington, DC 20460.
[[Page 164]]
1.2.5 Certification. The NSO Certification Statement must be signed
by an authorized officer of the applicant firm.
1.3 Confidentiality. Applicants may request that information
contained in this application be treated as confidential. Agency
regulations concerning claims of confidentiality of business information
are contained in 40 CFR part 2, subpart B (41 FR 36902 et seq.,
September 1, 1976, as amended by 43 FR 39997 et seq., September 8,
1978). The regulations provide that a business may, if it desires,
assert a business confidentiality claim covering part or all of the
information furnished to EPA. The claim must be made at the same time
the applicable information is submitted. The manner of asserting such
claims is specified in 40 CFR 2.203(b). Information covered by such a
claim will be handled by the Agency in accordance with procedures set
forth in the subpart B regulations. EPA will not disclose information on
a business that has made a claim of confidentiality, except to the
extent of and in accordance with 40 CFR part 2, subpart B. However, if
no claim of confidentiality is made when information is furnished to
EPA, the information may be made available to the public without notice
to the business.
2. NSO Financial Reporting Overview
2.1 Revenue and Cost Assignment. The amounts assigned to operations
of the smelter subject to this NSO application should include (1)
revenues and costs directly attributable to the smelter's operating
activities and (2) indirect operating costs shared with other segments
of the firm to the extent that a specific causal and beneficial
relationship can be identified for the allocation of such costs to the
smelter. Do not allocate revenues and costs associated with central
administrative activities for which specifc causal and beneficial
relationships to the activities of the smelter cannot be established.
Nonallocable items include, but are not restricted to, amounts such as
dividend and interest income on centrally administered portfolio
investments, central corporate administrative office expenses and,
except for schedules supporting the Profit Protection Test, interest on
long-term debt financing arrangements. Provide a detailed explanation of
amounts classified as nontraceable on a separate schedule and attach as
part of Exhibit B.
2.2 Transfer Prices on Affiliated Part Transactions. Certain
transactions by the smelter subject to an NSO application may reflect
sales to or purchases from ``affiliated'' customers or suppliers with
whom the smelter has a common bond of ownership and/or managerial
control. In preparing this application, affiliated party transactions
shall be defined as transactions with any entity that the firm, or its
owners, controls directly or indirectly either through an ownership of
10 percent or more of the entity's voting interests or through an
exercise of managerial responsibility. Applicants must attach as part of
Exhibit B supporting schedules explaining the pricing policies
established on affiliated party transactions incorporated in the
financial reporting schedules.
Prices on inter-segment material and product transfers within a
firm, or on external purchases from and sales to other affiliated
suppliers and customers, may differ from the prices on comparable
transactions with unaffiliated suppliers and customers. In this event,
applicants also must present in the Exhibit B supporting schedules and
incorporate in the NSO financial reporting schedules appropriate
adjustments for restating affiliated party transactions. Affiliated
party transactions must be restated at either (a) equivalent prices on
comparable transactions with unaffiliated parties if such price
quotations can be obtained or (b) prices that provide the selling entity
with a normal profit margin above its cost of sales if a meaningful
comparison with unaffiliated transaction prices cannot be established.
A ``normal'' profit margin is defined as the gross operating profit
per dollar of operating revenue that will provide an average after-tax
rate of return on permanent capital (total assets less current
liabilities). This average rate of return is defined differently for the
historical and forecast periods. The applicant must use a rate of return
of 8.0 percent for the historical period. This figure is based on a
historoical average earned rate of return for the nonferrous metals
industry.1 EPA may update this figure periodically. The
updates will be available in the rulemaking docket or from the
INFORMATION CONTACT noted in the Federal Register. For the forecast
period, the applicant must use a rate of return equal to the current
weighted average cost of capital for the nonferrous metals industry, as
computed in Section 2.6.
---------------------------------------------------------------------------
\1\ The derivation of this figure is explained in two memoranda to
EPA (Item Nos. II-A-1 and IV-A-6a in EPA Docket No. A-82-35).
---------------------------------------------------------------------------
Forecast smelting charges for integrated smelters can be computed
from forecast market smelting charges. Integrated copper smelters may
use as the basis of their forecast revenues the forecast copper smelting
charges provided by EPA, adjusted as described in Section 2.4.1. An
applicant may submit other forecasts, providing the forecast methodology
is in accordance with the guidelines in Section 2.5 and fully documented
as part of Exhibit B.
2.3 Forecasting Requirements. NSO applicants must provide the Agency
with financial forecasts in Schedules B.1 through B.6 and C.1 through
C.2. Applicants requesting
[[Page 165]]
either a temporary or permanent waiver from interim constant control
requirements also must provide an additional set of financial forecasts
in Schedules D.1 through D.4.
2.3.1 Forecast Period. The forecast period must include at least two
full years following completion and startup of the required pollution
control system. The forecast period shall be from 1984 through 1990 for
an NSO application filed in 1984. If an application is filed in a later
year, the 1984 through 1990 period should be adjusted accordingly. All
references in this appendix to the period 1984 through 1990 should be
interpreted accordingly.
2.3.2 Forecast Adjustment by Control Case. Some line items that have
the same title in several schedules may contain different information
because they are based on different assumptions regarding pollution
controls. Production interruptions or curtailments due to the
installation of pollution control facilities may require adjustmens to
certain revenue and cost estimates in the repective control cases. For
example, production curtailments associated with supplementary control
systems may be the basis for the pre-control case, yet are eliminated
when constant controls replace supplementary control systems in the
constant controls case. The application of pollution control techniques
that involve process changes in the smelter's operations (e.g.,
conversion to flash smelting) also may require specific forecasts by
applications of associated impacts on incremental operating revenues and
costs.
2.3.3 Nominal Dollar Basis. Applicants must make their financial
forecasts in terms of nominal dollars. Forecasts of selected parameters
provided by EPA will furnish quidelines to an applicant in preparing the
required cost and revenue estimates. In particular, copper smelting
charges provided in nominal-dollar terms must be used dierctly by the
applicant as given; i.e., the stipulated charge estimates should not be
inflated.
2.3.4 Tolling Service Equivalent Basis. Applicants must express all
revenue forecasts on a tolling service equivalent basis. Thus, forecast
revenues are computed as the product of the forecast quantity of
processed concentrate, the forecast average product grade of the
concentrate (the percent of metal in the concentrate), and the forecast
smelting charge. Smelters that are not tolling smelters and that do not
use the copper smelting charges provided by EPA (as described in Section
2.4.1) can forecast a smelting charge from forecast product grade of the
concentrate, percent recovery, and product and concentrate prices. The
forecast prices and derivation of the smelting charge must be in
accordance with the guidelines in Section 2.5, and the methodology must
be fully documented in Exhibit B.
2.4 EPA Furnished Forecast Data. In making projection for the period
1984 through 1990, applicants must, except as noted below, use the
indices provided by EPA. The table below presents yearly values for each
index (expressed as annual percentage rates of change) to be used by
smelters applying for an NSO before January 1, 1985. If forecasts are
needed for 1991 and EPA has not provided new forecasts, applicants
should use the Data Resources, Inc. forecasts for 1991 (Docket Item No.
IV-A-6c) and the average of CRU's forecasts for 1989 and 1990 (expressed
in 1991 dollars).
----------------------------------------------------------------------------------------------------------------
1984 1985 1986 1987 1988 1989 1990
----------------------------------------------------------------------------------------------------------------
Copper smelting charge \1\ (cents per pound)............ 14.5 14.6 16.0 15.3 15.3 15.5 15.4
Annual Percentage Rates of Change
Wages................................................... 5.0 5.7 5.8 6.1 6.4 6.7 7.0
Energy prices:
Electricity......................................... 7.0 8.8 8.1 8.3 7.1 4.9 5.5
Natural gas......................................... 3.6 5.7 9.3 8.7 9.2 8.0 8.4
Coal................................................ 5.1 7.0 8.9 9.0 9.7 9.7 9.7
Fuel oil............................................ 1.6 4.2 7.7 6.8 9.8 9.5 9.9
GNP price deflator...................................... 4.8 5.0 5.0 5.2 5.8 5.8 5.9
----------------------------------------------------------------------------------------------------------------
\1\ Reference charge for calculating smelter-specific copper smelting charges as described in Section 2.4.1.
2.4.1 Copper smelting charge. EPA will supply a forecast of
reference copper smelting charges. These charges, which are f.o.b. U.S.
mine, are based on an estimate of export smelting charges and on the
differential value of copper in the U.S. and the world market. They must
be used in forecasting unaffiliated party revenues for the period
following the expiration of existing contracts and in forecasting
affiliated party revenues for the entire forecast period. The applicant
may submit its own smelting charge forecast for the post-contract
period, provided that such forecast is in accordance with the guidelines
in Section 2.5 and fully documented and substantiated as part of Exhibit
B.
The EPA forecast export charge represents the world market copper
smelting charge with copper valued at the London Metal Exchange (LME)
copper price. This charge
[[Page 166]]
serves as the reference charge for the applicant copper smelter in
calculating its smelting charges. Applicant copper smelters must derive
their smelting charges from this world market charge as described in
paragraph (a) below.
The applicant may adjust the derived smelter-specific smelting
charge to account for other factors, provided the adjustments are fully
documented as part of Exhibit B. An example of such a factor is the unit
deduction for metallurgical losses in smelting. Adjustment for this
factor is discussed in paragraph (b) below.
(a) The derivation of a smelter-specific smelting charge from the
world market charge is based on assumptions regarding transportation
costs and the U.S. producer-world copper price differential. The EPA
forecast export charge is the forecast smelting charge available at a
Japanese smelter, with copper valued at the London Metal Exchange copper
price. The charge includes no freight costs, which must be paid by the
mine. A U.S. smelter determines its smelting charge to a mine by meeting
the combined world market smelting charge, adjusted to reflect copper
valued at the U.S. producer price, and the transportation charge from
the mine to the Japanese smelter. This combined price is the highest
that a mine is willing to pay for smelting.
The smelter's net smelting charge is equal to the combined world
smelting charge, adjusted to the U.S. producer price for copper (i.e.,
the export forecast charge plus the U.S. producer price premium), and
the transportation cost between the mine and a Far East smelter, minus
the cost of transporting the concentrate between the mine and the
applicant smelter.
The applicant smelter's net smelting charge for concentrate from an
individual mine is computed by first adding the U.S. producer Price-LME
world price differential to the EPA-supplied forecast. The cost of
transporting copper from the U.S. mine to the Far East is then added to
this figure. The net smelting charge is obtained by subtracting from
this total the cost of transporting copper from the mine to the
applicant smelter. In making these calculations, an applicant must
supply (and fully document in Exhibit B), the freight cost between the
mine and the Far East and between the mine and the smelter. This freight
cost must be converted to nominal dollars of the respective forecast
years by applying the GNP percentage price change forecasts supplied by
EPA or smelter-provided forecasts of transportation price changes. The
smelter-provided forecasts of transportation price changes must comply
with guidelines regarding such forecasts in Section 2.5.
An applicant must use a 3 cent per pound U.S. producer price premium
(relative to the LME price) in calculating the smelter's net smelting
charge. The applicant may substitute its own forecasts of the U.S.
producer price premium if it can substantiate such forecasts in
accordance with the guidelines in Section 2.5 regarding applicant-
provided smelting charge forecasts of principal products. All supporting
documentation for such applicant-supplied forecasts must be supplied in
Exhibit B. Any updates of the producer price premium will be available
in the rulemaking docket or from the INFORMATION CONTACT noted in the
Federal Register.
The following two representative examples illustrate this
methodology for making the transportation and U. S. producer price
premium adjustment.
(1) The applicant smelter, located in Arizona, obtains concentrate
from an adjacent mine. The freight charge from mine to smelter is zero.
The mine is willing to pay the applicant smelter an amount no higher
than the sum of the world market smelting charge (adjusted for the
copper value differential) and the transportation cost of shipping
copper from the mine to the Far East. This combined cost is the net
charge received by the applicant smelter. If the export smelting charge
is 12 cents per pound and the freight cost between the mine and the Far
East is 13 cents per pound, the applicant smelter would calculate a net
smelting charge equal to 28 cents: 12 cents plus 3 cents (for the U.S.
producer price premium) plus 13 cents (for the freight cost between the
mine and the Far East).
(2) The applicant smelter obtains concentrate from a nonadjacent
mine. The mine will pay a charge no higher than the total market
smelting charge, valued at the U.S. producer price, and the
transportation costs between the mine and a Far East smelter. The
applicant's net smelting charge is equal to this combined cost minus the
transportation costs for shipping the concentrate between mine and
applicant smelter.
Suppose that the mine to Far East freight charge is 13 cents per
pound and the mine to applicant smelter freight charge is 4 cents per
pound. If the export smelting charge is 12 cents per pound, the net
smelting charge is equal to 24 cents per pound: 12 cents plus 3 cents
(for the U.S. producer price premium) plus 13 cents (for the freight
cost to the Far East) minus 4 cents (for the freight cost to the
applicant smelter).
(b) The EPA forecast charges are based on a one unit deduction for
metallurgical losses. This means that if a concentrate grades 25 percent
copper, the mine is only credited with 24 percent for metal return. The
one unit deduction on 25 percent concentrate is equivalent to a 96
percent payment for contained copper. Should a smelter recover less than
96 percent, its revenue would be less than the EPA forecast smelting
charge. Should a smelter recover more
[[Page 167]]
than 96 percent, its revenue would be greater than the EPA forecast
smelting charge.
2.4.2 Indices (Annual Percentage Changes). These indices, which are
expressed as annual percentage rate changes in price (wages, energy
prices, and GNP price deflator) must be used only for estimating the
rate of price increases for the forecast period following the expiration
of the applicant's current contracts. The applicant may use alternative
forecasts of annual percentage changes for the forecast period following
the expiration of current contracts, if justification is provided. Any
such alternative forecasts must be prepared by a widely-recognized
forecasting authority with expertise comparable to that of the
forecaster relied upon by EPA. In addition, the documentation of these
forecasts must be comparable to that provided by EPA's forecaster.
The wage indices are to be applied to wage paid to manufacturing
labor. The energy price indices are to be applied to prices of the
respective energy products. The GNP price deflators are to be applied to
prices for non-metal, non-labor, and non-energy inputs.
2.5 Applicant Generated Forecasts. Within the specified limitations,
applicants may submit a method of forecasting smelting charges and by-
product, co-product and other prices. The method selected must be
explained and unit prices or costs provided where applicable. The
forecast elements must be compatible with an applicant's historical cost
and revenue elements to permit direct comparisons of historical and
forecast data. Applicants must attach as part of Exhibit B appropriate
schedules explaining variances between forecast and historical unit
costs for the smelter.
Forecasts of the smelting charges of the smelter's principal product
(i.e., copper, lead, zinc, etc.) may be prepared either by an
independent forecasting authority or by the smelter's in-house
personnel. If the forecasts are prepared by an independent forecasting
authority, the following conditions must be satisfied: (1) The
forecasting authority must have expertise comparable to that of the
forecaster relied upon by EPA. (2) As much documentation of the
forecasting methodology as can reasonably be obtained must be made
available to EPA. Such documentation must, at a minimum, be comparable
to the documentation supporting EPA smelting charge forecasts. \2\
---------------------------------------------------------------------------
\2\ Documentation of the EPA forecasts is provided as part of Item
NO. IV-A-2 in EPA Docket No. A-82-35.
---------------------------------------------------------------------------
If the smelting charge forecasts are prepared by in-house personnel,
the following conditions must be met: (1) The in-house forecasts must be
certified as being based on sound methodology by an independent
forecasting authority with expertise comparable to that of the
forecaster who prepared the EPA-supplied smelting charges. The
independent forecasting authority shall also provide a brief explanation
of the basis for the conclusion reached in the certification. (2) The
smelter owner shall provide EPA with the documentation of the
forecasting methodology employed, which must at a minimum be comparable
to the extent of documentation supporting EPA's smelting charge
forecasts. The smelter owner shall also make available upon request by
EPA such additional documentation of the methodology and underlying data
as EPA considers appropriate for evaluation of the forecasts.
Forecasts of freight cost changes, which are applied to the freight
costs used in calculating a smelter's net smelting charges, must be
prepared by a widely-recognized forecasting authority. The forecaster's
expertise must be comparable to that of the forecaster relied upon by
EPA in forecasting the annual percentage changes in wages, energy
prices, and GNP. The documentation of these forecasts must be comparable
to that provided by EPA's forecaster.
To the maximum extent practicable, by-product, co-product and (when
applicable) unaffiliated smelting charges must be stated at market
prices adjusted to f.o.b. smelter. Adjustments of these pricing bases
must be made to reflect differences in grades and types of production.
All adjustments must be consistent with expected sales, grades and types
of concentrate processed. Applicants must attach as part of Exhibit B
schedules describing and explaining the methods used to forecast these
revenue items and the adjustments required for these revenue forecasts.
Applicants must explain fully any changes from the historical data
that are required to forecast labor productivity, ore-concentrate grade
and composition, materials and energy consumption per unit of output,
yield rates and other physical input/output relationships.
Existing contractual terms must be used in forecasting those sales
or input costs or prices to which the applicant is committed by
contracts. The use of contract-dictated prices must be disclosed and
supported by attaching as part of Exhibit B the terms and duration of
labor and other supplier arrangements.
Cost of compliance estimates need not be to the accuracy of final
design/bid estimates; feasibility grade estimates will be acceptable.
Updated cost of compliance estimates used in internal five year plans or
specially prepared estimates of costs of compliance will generally be
satisfactory.
2.6 Weighted Average Cost of Capital for Nonferrous Metal Producers.
The industry average cost of capital is a weighted average of the rates
of return for equity and debt. Its
[[Page 168]]
components are the interest rate and the return on equity specific to
the nonferrous metals industry.
2.6.1 Computation.\3\ The applicant must compute the cost of capital
according to the following formula:
---------------------------------------------------------------------------
\3\ The derivation of the formula and the basis of the parameters
are explained in two memoranda to EPA (Item Nos. II-A-1 and IV-A-6a in
EPA Docket No. A-82-35).
---------------------------------------------------------------------------
R = (0.65xE)+(0.182xI)
where
R = weighted average cost of capital
E = return on equity
I = interest rate.
The components are calculated as follows.
(a) Return on equity for the nonferrous metals industry. The 20 year
Treasury bond yield to maturity plus a risk premium of 8.6 percent.
(b) Interest Rate. The 20 year Treasury bond yield to maturity plus
a risk premium of 3.0 percent.
(c) Source of the 20 Year Treasury bond yield. Federal Reserve
Bulletin, most recent monthly issue. Use the average yield for the most
recent full month.
2.6.2 Discount Factor. The discount factor corresponding to the
weighted average cost of capital for any forecast year is computed
according to the following equation:
[GRAPHIC] [TIFF OMITTED] TC09NO91.029
where
DF = discount factor
R = weighted average cost of capital
N = the number of years in the future (e.g., for the applicant applying
in 1984, N = for the forecast year 1985).
The horizon value, which is described in Section 2.7, is computed as
of 1990, the end of the detailed forecast period. The discount factor to
be applied to the horizon value is the same as for any other 1990
figure. For example, if the application is made in 1984, the value of N
is 7.
2.7 Horizon Value. The horizon value is the present value of a
stream of cash flows or net income for 15 years beyond the last forecast
year. Applicants must compute the horizon value by capitalizing the
average forecast value of the last two forecast years using the current
real weighted cost of capital. The line item instructions for schedules
having a horizon value entry will specify the values to be capitalized.
The applicant averages the values of the last two years after
expressing both values in terms of the last year's dollars. The two-year
average value is then multiplied by 9.6. This is the factor associated
with capitalizing a 15 year value stream at the current real weighted
cost of capital of 6.2 percent.
Applicants must use a separate schedule to calculate the horizon
value for the Rate of Return Test and the Interim Controls Test
(Schedule C.5 and D.7, respectively). These separate schedules adjust
for potential overstatements in the horizon value cash flows that may be
caused by control equipment depreciation reported for tax purposes.
2.8 Data Entry
2.8.1 Rounding. All amounts (including both dollar values and
physical units) reported in the schedules and exhibits accompanying this
application must be rounded to the nearest thousand and expressed in
thousands of dollars or units unless otherwise indicated in the
instructions.
2.8.2 Estimates. Where an applicant's records cannot produce the
specific data required by this application, the use of estimates will be
allowed if a meaningful estimate can be made without significant
distortion of the reported results. Data estimates must be supported by
attaching on a separate sheet of paper as a part of Exhibit B an
explanation identifying where such estimates are used and showing
explicitly how the estimates were made.
2.8.3 Missing Data. Applicants must provide, where applicable, all
operating and financial data requested by this application. Only
substantially complete applications can be accepted for processing by
the Agency. Questions concerning data entries for which information is
not provided by or cannot reasonably be estimated from the applicant's
existing accounting records should be addressed to the EPA Contact for
NSO Inquiries.
2.8.4 Historical Period. The annual data requested in the historical
schedules, Schedules A.1 through A.4, must be reported for each of the
five fiscal years immediately preceding the year in which this
application is filed. The historical period shall be from fiscal years
1979 through 1983 for an NSO application filed in 1984. If an
application is filed in a later year, the references in this appendix to
the period 1979 through 1983 should be interpreted accordingly.
2.9 Use of schedules. All applicants must complete Schedules A.1
through A.4, which record historical revenues, cost, and capital
investment data. These schedules will be used by EPA to assist in
evaluating forecast data. Completion of the remaining schedules depends
on the test required of the applicant.
2.9.1 NSO Eligibility. An NSO applicant must pass one of the
following two tests and complete the corresponding schedules.
(a) Profit Protection Test. The applicant must complete Schedules
B.1 through B.7 to determine eligibility under the Profit Protection
Test. Schedules B.1 and B.2 report the base case (without constant
controls) revenue and cost forecast, respectively, and
[[Page 169]]
Schedule B.3 summarizes Schedules B.1 and B.2. Base case production
forecasts should reflect any production curtailments associated with
interim controls currently (preforecast) installed on smelters.
Schedules B.4 and B.5 report the revenue and cost forecast,
respectively, for the constant controls case, and Schedule B.6
summarizes Schedules B.4 and B.5 for the Profit Protection Test.
Schedule B.7 presents the calculations for the Profit Protection
Test. The applicant enters the forecast profits from Schedules B.3 and
B.6. The present value of the forecast profits is then computed for each
case. If the present value of forecast pre-tax profits with constant
controls is less than 50 percent of the present value of forecast pre-
tax profits without controls (base case) the smelter passes the test and
is eligible for an NSO. The smelter also passes the test if the present
value of forecast pre-tax profits without controls (base case) is
negative.
(b) Rate of Return Test. The applicant must complete Schedules B.4,
B.5, and C.1 through C.5 to determine eligibility under the Rate of
Return Test. Schedules B.4 and B.5 report the revenue and cost forecast,
respectively, for the constant controls case, and Schedule C.1
summarizes Schedules B.4 and B.5 for the Rate of Return Test. Schedule
C.2 reports forecast sustaining capital investment for the constant
controls case. Schedule C.3 reports historical net investment for the
most recent fiscal year expressed in constant dollars, i.e., dollars of
the year in which the application is made.
Schedule C.4 presents the calculations for the Rate of Return Test.
The applicant reports in Schedule C.4 the forecast cash flows from
Schedules C.1 and C.2 and the horizon value from Schedule C.5, computes
their present value, and subtracts the value of invested capital in
constant dollars (taken from Schedule C.3) to yield net present value.
If the net present value is less than zero, the smelter passes the test
and is eligible to receive an NSO. This result indicates that the
smelter is expected to earn a rate of return less than the industry
average cost of capital.
2.9.2 Interim Control Waivers. An applicant for a waiver from
interim controls must complete either a portion or all of Schedules D.1
through D.7, depending on whether the application is for a temporary or
permanent waiver.
(a) Temporary Waiver from Interim Controls Test. The applicant must
complete Schedules D.1 through D.3 to establish eligibility for a
temporary waiver from interim controls. Schedules D.1 and D.2 report
forecast revenue and cost data under the assumption of installation of
interim constant control equipment and no installation of any additional
SO2 controls that the smelter would otherwise be required to
install but for the issuance of the NSO. Schedule D.3 summarizes
Schedules D.1 and D.2 and calculates gross operating profit. If gross
operating profit is negative for any year during which the NSO is in
effect, the applicant is eligible for a temporary waiver.
(b) Permanent Waiver from Interim Controls Test. The applicant must
complete Schedules D.1 through D.7. All schedules except for Schedule
D.5 must be completed twice, based on two alternative assumptions: (1)
installation of interim constant control equipment, no installation of
any additional SO2 controls that the smelter would otherwise
be required to install but for the issuance of the NSO, and closure of
the smelter after January 1, 1988; and (2) installation of interim
constant control equipment, installation of any additional
SO2 controls required to comply with the smelter's SIP
emission limitation by January 2, 1988, and continued operation of the
smelter after January 1, 1988.
Schedules D.1 and D.2 report forecast revenue and cost data under
each assumption. Schedule D.3 summarizes Schedules D.1 and D.2, and
Schedule D.4 reports forecast sustaining capital under each assumption.
Schedule D.5 reports cash proceeds from liquidation.
Schedule D.6 presents the calculations for the permanent waiver
test. In Schedule D.6, the applicant reports cash flow projections from
Schedules D.3 and D.4 and the horizon value from Schedule D.7, computes
their present value and subtracts the current salvage value (taken from
Schedule D.5) to yield net present value. The higher of the two net
present value figures computed under the two alternative assumptions
must be used in the test. If the higher net present value figure is
negative, the applicant is eligible for a permanent waiver.
2.10 Use of exhibits. In addition to data required by the schedules
included in this application, the following information must be attached
as exhibits.
2.10.1 Exhibit A. Background information on the firm's
organizational structure and its associated accounting and financial
reporting systems for primary nonferrous activities. This information
must include, where applicable, the firm's:
(a) Operating association with an ownership control in consolidated
subsidiaries, unconsolidated subsidiaries, joint ventures and other
affiliated companies.
(b) Organizational subdivision of its primary nonferrous activities
into profit centers, cost centers and/or related financial reporting
entities employed to control the operation of its mines, concentrators,
smelters, refineries and other associated facilities.
(c) Material and product flows among the smelter subject to this NSO
application, other integrated facilities and its affiliated suppliers
and/or customers. In the case of integrated facilities, applicants must
provide
[[Page 170]]
process flow diagrams depicting the operating interrelationships among
its mines, concentrators, smelters, refineries and other integrated
facilities. For both integrated and nonintegrated facilities, applicants
also must describe the proportion contributed to its primary nonferrous
activities by material purchases from and product sales to affiliated
suppliers and customers.
(d) Annual operating capacity over the five most recent fiscal years
for the smelter subject to this application. Operating capacity must be
defined in terms of the total quantity of throughput that could have
been processed with the available facilities after giving appropriate
allowance to normal downtime requirements for maintenance and repairs.
Operating capacity data also must consider both capacity balancing
requirements among processing steps and annual processing yield rates
attainable for each facility.
(e) Weighted average analysis of concentrates processed and tonnage
produced annually over each of the five most recent fiscal years by the
smelter subject to this application.
(f) Accounting system and policies for recording investment
expenditures, operating revenues, operating costs and income taxes
associated with its primary nonferrous activities. Applicants also must
provide a complete description of allocation techniques employed for
assigning investments, revenues, costs and taxes to individual profit,
cost of departmental centers for which costs are accumulated. Applicants
must further indicate the relationship of cost and/or departmental
accounting entities to the firm's established profit centers.
(g) Annual five-year operating and capital expenditure plans (or
budgets) by individual nonferrous profit center. These documents must
include previous plans prepared for the five preceding fiscal years as
well as the current one-year and five-year operating and capital
expenditure plans. At least the current one-year and five-year plans
must provide a specific breakdown of investment expenditures and
operating costs associated with the operation and maintenance of each
profit center's existing and proposed pollution control facilities.
2.10.2 Exhibit B. Supplemental description and explanation of items
appearing in the financial reporting schedules. Other parts of Section 2
and the detailed instructions for the Schedules specify the information
required in Exhibit B.
2.10.3 Exhibit C. Financial data documentation. Applicants must
document annual balance sheet, income statement and supporting data
reported for the firm's preceding five fiscal years or for that portion
of the past five years during which the firm engaged in smelter
operations. This documentation must be provided by attaching to the
application:
(a) SEC 10-K reports filed by the parent corporation for each of the
preceding five fiscal years.
(b) Certified financial statements prepared on a consolidated basis
for the parent corporation and its consolidated subsidiaries. This
requirement may be omitted for those years in which SEC 10-K reports
have been attached to this Exhibit.
(c) Business Segment Information reports filed with the Securities
and Exchange Commission by the firm for each of the preceding five years
(as available).
Schedule A.1--Historical Revenue Data
General. Use Schedule A.1 to report annual historical revenue data
for fiscal years 1979 through 1983. Revenues include product sales and
associated operating revenues, net of returns and allowances, from
smelter sales and/or transfers of copper, lead, zinc and molybdenum or
other nonferrous metal products and tolling services to both
unaffiliated and affiliated customers. The line items in Schedule A.1
are explained in the following instructions.
Lines 01, 14, 27 and 40--Primary Nonferrous Product Sales. Report
for each year the total quantity of copper, lead, zinc and molybdenum or
other nonferrous metal product sales.
Lines 02, 15, 28 and 41--Unaffiliated Customer Sales. Report for
each year the respective quantities of copper, lead, zinc and molybdenum
or other nonferrous metal product sales to unaffiliated customers.
Lines 03, 16, 29 and 42--Unaffiliated Customer Revenues. Report for
each year the total operating revenues derived from smelter sales of
copper, lead, zinc and molybdenum or other nonferrous metals to
unaffiliated customers.
Lines 04, 17, 30 and 43--Unaffiliated Customer Prices. Report for
each year the average unit price received on smelter sales of copper,
lead, zinc and molybdenum or other nonferrous metals to unaffiliated
customers. The prices are computed as operating revenues reported on
Lines 03, 16, 29 and 42 divided by the quantities reported on Lines 02,
15, 28 and 41, respectively.
Lines 05, 18, 31 and 44--Average Product Quality Grade. Report for
each year the average quality rating assigned to copper, lead, zinc and
molybdenum or other nonferrous metal products purchased by the smelter's
unaffiliated customers.
Lines 06, 19, 32 and 45--Affiliated Customers Sales. Report for each
year the respective quantities of copper, lead, zinc and molybdenum or
other nonferrous metal product sales to affiliated customers.
[[Page 171]]
Lines 07, 20, 33 and 46--Affiliated Customer Revenues. Report for
each year the total operating revenues derived from smelter sales of
copper, lead, zinc and molybdenum or other nonferrous metals to
affiliated customers. These revenues should be stated at prices
equivalent to those received on comparable sales to unaffiliated
customers as described in Section 2.2. Attach as part of Exhibit B an
explanation of the methodology used to state affiliated customer
revenues.
Lines 08, 21, 34 and 47--Affiliated Customer Prices. Report for each
year the average unit price received on smelter sales of copper, lead,
zinc and molybdenum or other nonferrous metals to affiliated customers.
The prices are computed as operating revenues reported on Lines 07, 20,
33 and 46 divided by the quantities reported on Lines 06, 19, 32 and 45,
respectively.
Lines 09, 22, 35 and 48--Average Product Quality Grade. Report for
each year the average quality rating assigned to copper, lead, zinc and
molybdenum or other nonferrous metal products purchased by the smelter's
affiliated customers.
Lines 10, 23, 36 and 49--Total Primary Product Revenues. Report for
each year total operating revenues derived from the smelter's sales to
unaffiliated and affiliated customers of copper (Lines 03+07), lead
(Lines 16+20), zinc (Lines 29+33) and molybdenum or other nonferrous
metals (Lines 42+46).
Lines 11, 24, 37 and 50--Transfer Price Adjustments. Report for each
year operating revenue adjustments required to equate affiliated
customer transfer prices with unaffiliated customer market prices on
smelter sales of copper, lead, zinc and molybdenum or other nonferrous
metals. Attach as part of Exhibit B an explanation of the method used
for restating transfer prices where such adjustments are necessary.
Lines 12, 25, 38 and 51--Other Revenue Adjustments. Report for each
year sales returns and allowances and other adjustments applicable to
the smelter's revenues derived from copper, lead, zinc and molybdenum or
other nonferrous metal product sales. Attach as part of Exhibit B a
schedule reporting the types and amounts of such adjustments.
Lines 13, 26, 39 and 52--Adjusted Product Revenues. Enter for each
year the sums of Lines 10 through 12 for adjusted copper sales (Line
13), Lines 23 through 25 for adjusted lead sales (Line 26), Lines 36
through 38 for adjusted zinc sales (Line 39) and Lines 49 through 51 for
adjusted molybdenum or other nonferrous metal sales (Line 52).
Line 53--Primary Metal Revenues. Enter for each year the sum of
Lines 13, 26, 39 and 52.
Line 54--Toll Concentrates Processed. Report for each year the total
quantity of toll concentrates processed.
Lines 55 to 58--Customer Toll Revenues. Report for each year the
quantity of toll concentrates processed for unaffiliated customers (Line
55), total operating revenues derived from this processing (Line 56),
average price charged per ton of concentrate processed (Line 57=Line 56/
55) and the average quality rating assigned to toll concentrates
processed for unaffiliated customers (Line 58).
Lines 59 to 62--Affiliated Customer Toll Revenues. Report for each
year the quantity of toll concentrates processed for affiliated
customers (Line 59), total operating revenues derived from such
processing (Line 60), average price charged per ton of concentrate
processed (Line 61=Line 60/59) and the average quality rating (Line 62)
assigned to toll concentrates processed for affiliated customers.
Line 63--Tolling Service Revenues. Enter for each year the total of
amounts reported on Lines 56 and 60.
Line 64--Transfer Price Adjustments. Report for each year operating
revenue adjustments required to equate affiliated customer transfer
prices with market prices charged to unaffiliated customers on the
smelter's tolling services. Attach as part of Exhibit B an explanation
of the method used for restating transfer prices where such adjustments
are necessary.
Line 65--Other Revenue Adjustments. Report for each year other
adjustments applicable to the smelter's tolling service revenues. Attach
as part of Exhibit B a schedule reporting the types and amounts of such
adjustments.
Line 66--Adjusted Tolling Service Revenues. Enter for each year the
total of Lines 63 through 65.
Line 67--Co-Product Revenues. Report for each year the net revenues
from sales of co-products derived from the smelter's operations. Attach
as part of Exhibit B a schedule showing by individual type of co-
product, the quantity produced and sold, market price per unit of sales
and total revenues derived from the co-product sales.
Line 68--Pollution Control By-product Revenues. Report for each year
revenues from the sale of by-products derived from operation of the
smelter's pollution control facilities. Attach as part of Exhibit B a
schedule showing by type of by-product produced, the quantity of output,
market price received per unit of output sold and total revenue derived
from the by-product sales.
Line 69--Other By-product Revenues. Report for each year revenues
from the sales of gold, silver and other by-products derived from the
smelter's operations. Attach as part of Exhibit B a schedule providing
additional documentation as specified in the instruction for Line 68.
Line 70--Total Co-product and By-product Revenues. Enter for each
year the total of Lines 67 through 69.
[[Page 172]]
Schedule A.2--Historical Cost Data
General. Use Schedule A.2 to report annual historical cost and input
quantities for smelter operations for fiscal years 1979 through 1983.
The line items in Schedule A.2 are explained in the following
instructions.
Line 01--Total Quantity Purchased. Report for each year the total
quantity of concentrates purchased by the smelter. This will be sum of
Lines 02 and 06. Do not include the quantity of toll concentrates.
Line 02--Quantity Purchased. Report for each year the total quantity
of concentrates purchased from unaffiliated suppliers by the smelter.
Attach as a part of Exhibit B a description of the types and grades of
these concentrates. Do not include the quantity of toll concentrates.
Line 03--Concentrate Cost. Report for each year the outlays paid to
unaffiliated suppliers for concentrates. Attach as part of Exhibit B an
explanation of the method(s) used in determining these outlays and
relationship between concentrate prices and the types and grades of
concentrates purchased from unaffiliated suppliers.
Line 04--Average Unit Price. Report for each year the average unit
price paid for purchases of concentrates from unaffiliated suppliers.
Generally, this value will be equivalent to Line 03 divided by Line 02.
If this equivalency does not hold, attach as a part of Exhibit B an
explanation of the variance.
Line 05--Average Concentrate Grade. Report for each year the average
concentrate grade of concentrates purchased from unaffiliated suppliers.
Attach as part of Exhibit B an explanation of this average. The average
should correspond to the average price reported in Line 04.
Line 06--Quantity Purchased. Report for each year the total quantity
of concentrates purchased from affiliated suppliers by the smelter.
Attach as part of Exhibit B a description of the types and grades of
these concentrates. Do not include the quantity of toll concentrates.
Line 07--Concentrate Cost. Report for each year the actual outlays
paid to affiliated suppliers for concentrates. Attach as part of Exhibit
B an explanation of the method(s) used in determining these outlays and
relationship between concentrate prices and the types and grades of
concentrates purchased from affiliated suppliers. Do not reflect any
adjustments to market prices here.
Line 08--Average Unit Price. Report for each year the average unit
price paid for purchases of concentrates from affiliated suppliers.
Generally, this value will be equivalent to Line 07 divided by Line 06.
If this equivalency does not hold, attach as part of Exhibit B an
explanation of the variance.
Line 09--Average Concentrate Grade. Report for each year the average
concentrate grade of concentrates purchased from affiliated suppliers.
Attach as part of Exhibit B an explanation of this average. The average
should correspond to the average price reported in Line 08.
Line 10--Total Concentrate Cost. Enter for each year the sum of
Lines 03 and 07.
Line 11--Transfer Price Adjustments. Enter for each year the amounts
required to adjust outlays paid to affiliated suppliers to market value.
Refer to Section 2.2 for instructions on the restatement of affiliated
party transactions. Attach as part of Exhibit B a description and the
computations of any required cost adjustments.
Line 12--Other Cost Adjustments. Enter for each year the amounts of
any other cost adjustments required such as freight or allowances.
Attach as part of Exhibit B the identification and the derivation of
these adjustments.
Line 13--Adjusted Concentrate Cost. Enter for each year the adjusted
concentrate cost reflecting the adjustments reported in Lines 11 and 12.
Line 14--Direct Labor Hours. Report for each year the quantity of
direct labor hours required to support the processing levels previously
reported. Attach as part of Exhibit B an explanation of the labor
productivity factor involved.
Line 15--Average Hourly Wage Rate. Report for each year the average
wage rate paid per unit of direct labor input. Attach as part of Exhibit
B a description of direct labor costs factors under existing labor
contracts and an explanation of the method(s) used to determine wage
rates.
Line 16--Total Wage Payments. Enter for each year the product of
Lines 14 and 15.
Line 17--Supplemental Employee Benefits. Report adjustments required
to direct labor costs for other employee compensation under supplemental
benefit plans. Attach as part of Exhibit B a description of such plans
and their costs and an explanation of the method(s) used to determine
such costs.
Line 18--Total Production Labor Cost. Enter for each year the total
of Lines 16 and 17.
Lines 19, 22, 25, 28 and 31--Energy Quantities. Report for each year
the quantity of energy by type required to support the processing levels
reported in the smelter's revenue. Attach as part of Exhibit B, an
explanation of energy use factors and qualities considered in
determining the smelter's energy requirements.
Lines 20, 23, 26, 29 and 32--Unit Prices. Report for each year a
price paid per unit of energy input by type of energy. Attach as part of
Exhibit B, a description of the energy price factors under existing
energy contracts and an explanation of the method(s) used to determine
unit energy prices.
Lines 21, 24, 27, 30 and 33--Total Payments. Enter for each year the
products of quantity and prices paid for electricity (Lines 19x20),
[[Page 173]]
natural gas (Lines 22x23), coal (Lines 25x26), fuel oil (Lines 28x29),
and other (Lines 31x32).
Line 34--Total Energy Costs. Enter for each year the total of Lines
21, 24, 27, 30 and 33.
Schedule A.3--Historical Profit and Loss Summary
General. Use Schedule A.3 to report annual revenues, cost and income
taxes assignable to operation of the smelter subject to this NSO
application for fiscal years 1979 through 1983. Assignable revenues and
costs should include only the results of transactions either (1)
directly associated with smelter operations or (2) for which the
applicant can establish a causal and beneficial relationship with
smelter operations pursuant to instructions in Section 2.1. The line
items in Schedule A.3 are explained in the following instructions.
Line 01--Primary Metal Sales. Enter the totals reported in Schedule
A.1, Line 40.
Line 02--Co-Product and By-Product Sales. Report for each year
annual revenues, net or returns and allowances, derived from smelter
sales and/or transfers of co-products and by-products to both
unaffiliated and affiliated customers. Attach as part of Exhibit B a
supporting schedule for each major co-product and by-product component
of smelter revenues. Segregate the revenues reported by major co-product
and by-product components into their unaffiliated customer and
affiliated customer elements. Report for each component's unaffiliated
and affiliated customer revenue elements the (1) average grade of
product sold, (2) actual quantity sold, (3) average price per unit, and
(4) total smelter revenues. Also show for each product line any
adjustments required to restate transfer prices and explain the basis
for such adjustments. Refer to Section 2.2 for instructions on the
restatement of affiliated customer revenues.
Line 03--Tolling Service Revenues. Enter the totals reported in
Schedule A.1, Line 53.
Line 04--Other Operating Revenues. Report for each year annual
revenues directly associated with smelter operations that have not
previously been reported on Lines 01 through 03. Attach as part of
Exhibit B a schedule showing the types and amounts of sales reported as
other operating revenue. The following non-operating revenue and income
items should not be included as other operating revenue or as a part of
revenues reported on Lines 01 through 03.
Royalties, licensing fees and other income from intangibles.
Interest and dividend income on portfolio investments.
Equity in income (loss) of unconsolidated subsidiaries and affiliates.
Gain (loss) from discontinued operations and disposal of property.
Minority interest adjustment to consolidated subsidiary income.
Extraordinary items.
Line 05--Total Operating Revenue. Enter for each year the total of
Lines 01 through 04.
Line 06--Concentrates Processed. Report the cost of concentrates
processed and sold or transferred to unaffiliated and affiliated
customers from Schedule A.2, Line 13. Concentrates purchased from
unaffiliated suppliers should be valued at the actual prices paid.
Concentrates purchased from affiliated suppliers should be valued at or,
if necessary, restated to equivalent prices quoted by unaffiliated
suppliers. If prices used to report revenues are c.i.f. and concentrate
costs are f.o.b. smelter, all transportation charges paid on the
smelter's or buyer's account should be excluded from smelter expense.
Attach as part of Exhibit B supporting schedules showing the:
Annual value of concentrate purchases classified according to purchases
from unaffiliated and affiliated suppliers.
Cost of sales adjustments to concentrate purchases for net annual
additions to or withdrawals from concentrate inventories, freight-in on
concentrate purchases and inventory spoilage.
Impact on cost of sales for restating, where applicable, the cost of
concentrate purchases from affiliated suppliers to the equivalent prices
paid to unaffiliated suppliers.
Volumes, grades and net prices of concentrate purchases from
unaffiliated and affiliated suppliers by type of concentrate purchased.
Volumes, grades and net prices associated with toll concentrates
processed by type of concentrate.
Line 07--Other Materials Costs. Report for each year annual costs
incurred for flux, refractories, coke and other materials used by the
smelter in its processing of concentrates. Materials purchased from
unaffiliated suppliers should be valued at the actual prices paid after
adjustment for transportation costs incurred. Materials purchased from
affiliated suppliers should be valued at or, if necessary, restated to
equivalent prices quoted by unaffiliated suppliers. Include in Exhibit B
supporting schedules showing the:
Annual value of material purchases classified according to purchases
from unaffiliated and affiliated suppliers.
Cost of sales adjustments to material purchases for net annual additions
to or withdrawals from material inventories, freight costs on material
purchases and inventory loss.
Impact on cost of sales for restating, where applicable, the costs of
material purchases from affiliated suppliers to equivalent prices paid
to unaffiliated suppliers.
[[Page 174]]
Classification of other material costs by major cost factors for each
cost component that exceeds 20 percent of any line item in the cost of
sales schedule.
Line 08--Production Labor Costs. Report for each year total direct
labor costs incurred by the smelter for processing purchased and toll
concentrates, Schedule A.2, Line 18. Include in Exhibit B supporting
schedules showing the:
Manhours and wage rates for major labor classifications.
Potential impact on wage rates of provision in the smelter's current
labor contracts.
Explanation of major variances observed in direct labor costs over the
five-year period as a result of factors such as strikes or new labor
contracts.
Line 09--Energy Costs. Enter the totals reported in Schedule A.2,
Line 34.
Line 10--Pollution Control Costs. Report for each year expenses
incurred for operating and maintaining pollution control facilities. All
by-product credits associated with pollution control facility operations
should be eliminated and reported on Line 02. Depreciation and
amortization charges against the smelter's pollution control facilities
should be reported separately on Line 18. Attach as part of Exhibit B
supporting schedules showing the:
Major pollution control cost elements with their values classified
according to direct and indirect cost factors.
Techniques used to allocate indirect pollution control costs to major
cost pools.
Line 11--Production Overhead. Report for each year the total costs
for indirect labor, indirect materials and other production overhead
costs associated with the smelter. Attach as part of Exhibit B a
schedule showing annual overhead costs by major cost components
associated with the smelter's operations. For each cost component, where
appropriate, identify the quantity and unit price element of overhead
costs.
Line 12--Other Production Costs. Report for each year annual smelter
overhead and other production costs not previously reported on Lines 06
through 11. By-product credits, if any, should be eliminated and
reported on Line 02 as operating revenues. Attach as part of Exhibit B
supporting schedules showing the:
Major cost elements classified according to direct and indirect
production costs.
Disaggregation of major overhead cost components into their fixed and
variable cost elements.
Allocation techniques used in assigning indirect overload costs to the
major cost components.
Elements of overhead costs represented by purchases from affiliated
suppliers and adjustments, if any, required to restate these costs on
the basis of equivalent prices paid to unaffiliated supplier.
Line 13--Total Cost of Sales. Enter for each year the total of Lines
06 through 12.
Line 14--Gross Operating Profit. Enter for each year the difference
between Lines 05 and 13.
Line 15--Selling, General & Administrative (SG&A) Expenses. Report
for each year SG&A expenses attributable to the smelter's annual
operating activities. Exclude those operating costs to be reported
separately on Lines 16 through 21 and those costs for which causal and
beneficial relationships to the smelter cannot be established. Attach as
part of Exhibit B supporting schedules (1) segregating SG&A expenses by
major expense components, (2) classifying the major expense components
according to those costs incurred directly by smelter operations and
costs allocated to the smelter from indirect cost pools, and (3)
explaining the basis used for indirect cost allocations.
Line 16--Taxes, Other Than Income Tax. Report for each year all
taxes (exclusive of Federal, State, local and foreign income taxes)
assignable to the smelter's operations. Attach as part of Exhibit B, a
schedule that (1) segregates these operating taxes by major component,
(2) classifies each component according to direct and indirect cost
elements, and (3) explains the basis used for indirect cost allocations.
Line 17--Research Costs. Report for each year research costs
(exclusive of capitalized costs reported in Schedule A.4) that are
assignable to the smelter's annual operations. Attach as part of Exhibit
B a schedule (1) segregating exploration and research costs by major
expense components, (2) classifying each expense component according to
direct and indirect cost elements, and (3) explaining the basis used for
indirect cost allocations.
Line 18--Pollution Control Depreciation and Amortization. Report for
each year annual depreciation and amortization charges attributable to
the smelter's investment in pollution control facilities and equipment.
Reported charges should be computed in accordance with depreciation and
amortization methods adopted for tax reporting purposes by the firm.
Attach explanatory supporting schedules as part of Exhibit B.
Line 19--Other Facility Depreciation and Amortization. Report for
each year annual depreciation and amortization charges (exclusive of
charges reported on Line 18) assignable to the smelter's operations.
Attach explanatory supporting schedules as part of Exhibit B.
Line 20--Interest on Short-Term Debt. Report for each year interest
expense and associated financial charges on current liabilities in
accordance with the assignment instructions in Section 2.1. Do not
include interest on the portion of long-term debt due within the current
year for each reporting period.
[[Page 175]]
Line 21--Miscellaneous Operating Expenses. Report for each year any
additional expenses assignable to the smelter's annual operations.
Attach as part of Exhibit B a schedule (1) segregating these additional
expenses into major expense components, (2) classifying each expense
component according to costs incurred directly by the smelter and costs
allocated to the smelter from indirect cost pools, and (3) explaining
the basis used for indirect cost allocations.
Line 22--Total Other Operating Expenses. Enter for each year the
total of Lines 15 through 21.
Line 23--Income from Operations. Enter for each year the difference
between Lines 14 and 22.
Line 24--Gain/(Loss) from Disposition of Property. Report net gains
or losses recognized during each year from disposition of property,
plant and equipment. Report such gains or losses in accordance with the
firm's normal practice for certified financial statement reporting. If
such gains or losses are not significant and are classified otherwise,
no reclassification need be made. A note to this effect must be included
in Exhibit B.
Line 25--Miscellaneous Income and Expenses. Report minority interest
in income, foreign currency translation effects, and other non-operating
income and expenses directly assignable to the smelter and not
recognized elsewhere on this schedule. Report such items in accordance
with the accounting methods used for certified financial reporting
purposes.
Line 26--Total Other Income and Expenses. Enter for each year the
sum of Lines 24 and 25.
Line 27--Net Taxable Income. Enter for each year the difference
between Lines 23 and 26.
Schedule A.4--Historical Capital Investment Summary
General. Use Schedule A.4 to report annual end-of-period asset
investments and current liabilities for fiscal years 1979 through 1983.
These figures must correspond with the revenues and costs associated
with operation of the smelter subject to this NSO application as
reported in Schedule A.3.
The amounts assigned to the subject smelter should include both (1)
investments and liabilities directly identifiable with the smelter's
operating activities and (2) asset investments shared with other
segments to the extent that a specific causal and beneficial
relationship can be established for the intersegment allocation of such
investments. Do not allocate to the smelter the costs of assets
maintained for general corporate purposes. Provide a detailed
explanation of amounts classified as nontraceable on a separate schedule
and attach as part of Exhibit B.
Applicants shall also restate trade receivables and payables for
transfer price adjustments on the smelter's transactions with affiliated
customers. The line items in Schedule A.4 are explained in the following
instructions.
Line 01--Cash on Hand and Deposit. Report for each year total cash
balances assignable to the smelter's operations at the end of each year
on the basis of causal and beneficial relationships with total corporate
activities. Attach as part of Exhibit B in explanation of the basis used
for allocation.
Line 02--Temporary Cash Investments. Report for each year temporary
cash investments in time deposits or other short-term securities.
Include only those investments either held by the smelter to meet
current-period tax payments or other budgeted expenditures specifically
identifiable with the smelter's continued operation. Exclude any
temporary cash investments for which no specific future outlay
requirement can be identified.
Attach as part of Exhibit B a schedule classifying temporary cash
investments according to identifiable budgeted expenditure requirements.
Lines 03 and 04--Net Trade Receivables. Report for each year trade
accounts and notes, net of reserves for uncollectible items, assignable
to the smelter in relation to its unaffiliated (Line 03) and affiliated
(Line 04) customer sales and transfers. Trade receivables reported by
the smelter as due from affiliated customers should be stated or, if
necessary, restated on credit terms equivalent to those received by
unaffiliated customers on a sale of comparable products. Attach as part
of Exhibit B a schedule showing adjustments in the smelter's receivables
investments required to equate trade credit terms extended to affiliated
and unaffiliated customers.
Lines 05 and 06--Inventory Investments. Report for each year
respective end-of-period investments in raw material, work-in-process
and finished good inventories held to support the smelter's production
and sale of products (Line 05) and associated inventories of other
materials and supplies (Line 06). These inventories must be valued at
current market prices. Inventory purchases from affiliated suppliers
should also be stated at current market prices or, if necessary,
restated at current market prices prevailing on purchases from
unaffiliated suppliers. Attach explanatory supporting schedules as part
of Exhibit B.
Line 07--Other Current Assets. Report for each year prepaid
expenses, deferred charges, non-trade notes and accounts receivable, and
other assets classified as current for certified financial statement
reporting purposes that are assignable to the smelter's operations.
Attach as part of Exhibit B a schedule classifying these other current
assets according to their types and amounts.
[[Page 176]]
Line 08--Total Current Assets. Enter for each year the total of
Lines 01 through 07.
Lines 09 to 14--Property, Plant and Equipment. Report for each year
by individual line item property, plant and equipment investments
assignable to smelter operations. Include in gross facility investments
at the end of each period both (1) property, plant and equipment
directly associated with the smelter's operations and (2) facilities
shared with other operating segments to the extent that a causal and
beneficial relationship can be established for the inter-segment
allocation of such facility investments.
Attach as part of Exhibit B a schedule reporting by individual line
item the annual capital expenditures on additional property, plant and
equipment investments in the smelter's operations. Further classify
these annual capital expenditures into both (1) investments required to
maintain the smelter versus investments in smelter expansion and
improvement and (2) direct facility versus joint-use facility
investments. Explain the method used for allocating capital expenditures
on joint-use facilities to the smelter's operations. Refer to Line 17
instructions for additional reporting requirements on the smelter's
facility investments.
Line 15--Total Smelter Investment. Enter for each year the total of
Lines 09 through 14.
Line 16--Accumulated Depreciation and Amortization. Report for each
year accumulated depreciation, amortization and other valuation charges
recorded for certified financial statement reporting purposes in
relation to smelter investment as reported on Line 15. Other valuation
charges are defined in Financial Accounting Standards Board (FASB)
Statement No. 19 as losses recognized in connection with an impairment
in the value of an unimproved property below its acquisition cost. Refer
to Line 17 instructions for additional reporting requirements on smelter
facility investments.
Line 17--Net Smelter Investment. Enter for each year the difference
between Lines 15 and 16. Attach as part of Exhibit B a schedule
classifying gross facility investments, accumulated depreciation,
amortization charges, and net facility investments by major pollution
control and non-pollution control components. Identify for each asset
component the direct versus joint-use investments assigned to the
smelter and explain the basis used to allocate amounts associated with
joint-use facilities to the smelter.
Line 18--Other Non-Current Assets. Report for each year other assets
assignable to the smelter's operations. Attach as part of Exhibit B a
schedule reporting by type and amount the major components of such
investments.
Line 19--Total Smelter Capital Investment. Enter for each year the
total of Lines 08, 17 and 18.
Line 20 and 21--Trade Accounts and Notes Payable. Report for each
year trade accounts and notes due on the smelter's purchases from
unaffiliated suppliers (Line 20) and on its intersegment transfers or
purchases from affiliated suppliers (Line 21). Trade payables reported
by the smelter as due to affiliated suppliers should be stated or, if
necessary, restated on terms equivalent to those received from
unaffiliated suppliers on a purchase of comparable materials. Attach as
part of Exhibit B a schedule showing adjustments required on the
smelter's trade payables to equate trade credit terms received from
affiliated and unaffiliated suppliers.
Line 22--Other Expense Accruals. Report for each year payments
classified as current for salaries and wages, other employee benefits,
operating taxes and related operating expenses assignable to the
smelter's operations. Attach as part of Exhibit B a schedule classifying
by type and amount the major components of such accruals.
Line 23--Current Notes Payable. Report for each year payments due to
nontrade creditors on short-term financing arrangements directly
associated with the smelter's operations. Exclude current installments
due on long-term debt financing arrangements, notes due to offices and
directors, intersegment loans or advances and loans or advances from
affiliated operating segments.
Line 24--Other Current Liabilities. Report for each year other
nontrade payables classified as current obligations assignable to the
smelter's operations.
Line 25--Total Current Liabilities. Enter for each year the total of
Lines 20 through 24.
Line 26--Net Smelter Capital Investment. Enter for each year the
difference between Lines 19 and 25.
Schedule B.1--Pre-Control Revenue Forecast
General. Use Schedule B.1 to report annual forecasts of operating
revenues anticipated during the years 1984 through 1990 from operation
of the smelter subject to this NSO application. These pre-control
revenue projections should be based on revenues and production
associated with operating the smelter without any SO2 air
pollution controls that have not been installed as of the NSO
application date. Forecast smelter revenues should be expressed on a
tolling service equivalent basis as described in Section 2.3.4.
Copper smelters that will process concentrates containing an average
of 1,000 pounds per hour or more of arsenic during the forecast period
should assume that they will use best engineering techniques to control
fugitive emissions of arsenic. All smelters should also assume that they
will be required to meet all other regulatory requirements in effect at
the time the application is made.
[[Page 177]]
The line items in Schedule B.1 are explained in the following
instructions. Attach as part of Exhibit B schedules to (1) explain the
methods used to make the required forecasts, (2) explain differences, if
any, between historical trends and the forecasts and (3) provide data
and information to support the forecasts.
Lines 01 and 05--Concentrates Processed. Report for each year the
forecast quantity of concentrates processed for unaffiliated parties
(Line 01) and affiliated parties (Line 05).
Lines 02 and 06--Smelting Charge. Report for each year the forecast
smelting charge for unaffiliated parties (Line 02) and affiliated
parties (Line 06). See Section 2.4 for forecast copper smelting charges
furnished by EPA.
Lines 03 and 07--Total Smelter Revenues. Report for each year the
forecast total operating revenues derived from processing concentrates.
The total for unaffiliated parties (Line 03) is equal to the product of
Lines 01, 02, and 04, and for affiliated parties (Line 07), the product
of Lines 05, 06, and 08.
Lines 04 and 08--Average Product Grade. Report for each year the
forecast average quality rating assigned to concentrates processed for
unaffiliated parties (Line 04) and affiliated parties (Line 08).
Line 09--Total Co-Product Revenues. Report for each year the
forecast net revenues from sales of co-products derived from the
smelter's operations. Attach as part of Exhibit B a schedule showing by
individual type of co-product, the forecast quantity produced and sold,
forecast market price per unit of sales, and forecast total revenues
derived from the co-product sales.
Line 10--Total By-product Revenues From Pollution Control
Facilities. Report for each year forecast revenues from the sale of by-
products derived from operation of the smelter's pollution control
facilities, excluding any SO2 air pollution controls that
have not been installed as of the NSO application date. Attach as part
of Exhibit B a schedule showing by type of by-product produced (e.g.,
sulfuric acid) the forecast quantity of output, forecast market price
per unit of output sold, and forecast total revenue derived from the by-
product sales.
Line 11--Total By-product Revenues From Other Smelter Processing.
Report forecast revenues from the sales of gold, silver, and other by-
products derived from the smelter's operations. Attach as part of
Exhibit B a schedule providing additional documentation as specified in
the instructions for Line 10.
Line 12--Total Co-product and By-product Revenues. Enter for each
year the total of Lines 09 through 11.
Schedule B.2--Pre-Control Cost Forecast
General. Use Schedule B.2 to report annual forecasts of operating
costs anticipated during the years 1984 through 1990 from operation of
the smelter subject to this NSO application. These pre-control cost
projections should be based on costs and production associated with
operating the smelter without any SO2 air pollution controls
that have not been installed as of the NSO application date.
Copper smelters that will process concentrates containing an average
of 1,000 pounds per hour or more of arsenic during the forecast period
should assume that they will use best engineering techniques to control
fugitive emissions of arsenic. All smelters should also assume that they
will be required to meet all other regulatory requirements in effect at
the time the application is made.
The line items in Schedule B.2 are explained in the following
instructions. Attach as part of Exhibit B schedules to (1) explain the
methods used to make the required forecasts, (2) explain differences, if
any, between historical trends and the forecasts, and (3) provide data
and information to support the forecasts.
Line 01--Direct Labor Hours. Report for each year the quantity of
direct labor hours required to support the processing levels previously
reported. Attach as part of Exhibit B an explanation of the labor
productivity factors involved.
Line 02--Average Hourly Wage Rate. Report for each year the forecast
average wage rate per unit of direct labor input. Attach as part of
Exhibit B a description of direct labor cost factors under any existing
labor contracts that extend to the forecast period and an explanation of
the methodology used to forecast wage rates. EPA-provided forecast wage
indices are reported in Section 2.4.
Line 03--Total Wage Payments. Enter for each year the product of
Lines 01 and 02.
Line 04--Supplemental Employee Benefits. Report for each year
adjustments required to direct labor costs for other employee
compensation under supplemental benefit plans. Attach as part of Exhibit
B a description of such plans and their costs and an explanation of the
methodology used to forecast such costs. EPA-provided forecast wage
indices are reported in Section 2.4.
Line 05--Total Production Labor Cost. Enter for each year the total
of Lines 03 and 04.
Lines 06, 09, 12, 15 and 18--Energy Quantities. Report for each year
the quantity of energy by type required to support the processing levels
reported in the smelter's revenue. Attach as part of Exhibit B an
explanation of energy characteristics and use factors considered in
forecasting the smelter's future energy requirements.
Lines 07, 10, 13, 16, and 19--Unit Prices. Report for each year the
forecast price per unit of energy input by type of energy. Attach as
part of Exhibit B a description of the energy price factors under any
existing energy contracts that extend to the forecast period and an
explanation of the methodology used to
[[Page 178]]
forecast unit energy prices. EPA-provided forecast energy indices are
reported in Section 2.4.
Lines 08, 11, 14, 17, and 20--Total Payments. Enter for each year
the products of quantity and prices paid for electricity (Lines 06x07),
natural gas (Lines 09x10), coal (Lines 12x13), fuel oil (Lines 15x16),
and other (Lines 18x19).
Line 21--Total Energy Costs. Enter for each year the total of Lines
08, 11, 14, 17, and 20.
Schedule B.3--Pre-Control Forecast Profit and Loss Summary
General. Use Schedule B.3 to report annual forecasts of operating
revenues and operating costs derived in Schedules B.1 and B.2 for the
years 1984 through 1990. The transfer of line items from Schedules B.1
and B.2 to this Schedule is explained in the following instructions.
Line 01--Smelter Revenues-Unaffiliated Parties. Enter the totals
reported in Schedule B.1, Line 03.
Line 02--Smelter Revenues-Affiliated Parties. Enter the totals
reported in Schedule B.1, Line 07.
Line 03--Co-product and By-product Sales Revenues. Enter the totals
reported in Schedule B.1, Line 12.
Line 04--Other Operating Revenues. Report operating revenues
anticipated from sources not accounted for under Lines 01 through 03.
Refer to instructions for Line 04 of Schedule A.3 for items that should
not be included in ``Other Operating Revenues.'' Attach as part of
Exhibit B a schedule showing annual amounts forecast by individual
revenue component for ``other'' operating revenues associated with the
smelter's forecast pre-control operations. Identify in the supporting
schedule any differences in the ``other'' revenue components reported in
this Schedule and Schedule A.3 and explain the reasons for such
differences.
Line 05--Total Operating Revenues. Enter for each year the total of
Lines 01 through 04.
Line 06--Material Costs. Report total costs forecast for flux,
refractories, coke and other materials directly associated with the
smelter's processing of concentrates. Attach as part of Exhibit B a
schedule showing the annual amounts forecast by major material cost
components. For each cost component, identify the forecast quantity and
unit price elements of material cost and explain the basis for
forecasting these quantity and price elements. Identify in the
supporting schedule any differences in the ``other'' material cost
components shown in this Schedule and Schedule A.3 and explain the
reasons for such differences.
Line 07--Production Labor Costs. Enter the totals reported in
Schedule B.2, Line 05.
Line 08--Energy Costs. Enter the totals reported in Schedule B.2,
Line 21.
Line 09--Pollution Control Costs. Report the total costs forecast
for expenses identifiable with operation and maintenance of all
pollution control equipment and facilities except any SO2 air pollution
controls that have not been installed as of the NSO application date.
By-product credits associated with operation of the pollution control
facilities should be eliminated from the cost accounts, reclassified to
Schedule B.1, Line 10 and included in Line 03 of this Schedule. Attach a
schedule as part of Exhibit B classifying pollution control costs by
major cost components. Explain the basis used for estimating each of the
cost components.
Line 10--Production Overhead Costs. Report the total costs forecast
for indirect labor, indirect materials and other production overhead
costs associated with the smelter's operations. Attach as part of
Exhibit B a schedule showing annual overhead costs projected by major
cost components associated with the smelter's operations. For each cost
component, where appropriate, identify the forecast quantity and unit
price elements of overhead costs and explain the basis for estimating
these quantity and price elements. Also identify in the supporting
schedule any differences in production overhead cost classifications
used in this Schedule and Schedule A.3 and explain the reasons for such
differences.
Line 11--Other Production Costs. Report other forecast production
costs not previously reported on Lines 06 through 10. Attach as part of
Exhibit B supporting schedules showing the basis of the forecasts.
Line 12--Total Cost of Sales. Enter for each year the sum of
operating costs reported on Lines 06 through 11.
Line 13--Gross Operating Profit. Enter for each year the difference
between Lines 05 and 12.
Line 14--Selling, General and Administrative Expenses. Report the
total costs forecast for administrative, marketing and general corporate
overhead functions that directly or indirectly support the smelter's
operations. Refer to the NSO Financial Reporting Overview for a general
discussion of indirect cost allocations from overhead cost pools. Attach
as part of Exhibit B a schedule classifying selling, general and
administrative expenses into major cost components. Indicate whether
each component represents costs directly assignable to the smelter or
indirect costs allocated from other business segments to the smelter.
Explain the basis used for estimating the amount of expected costs
included in each component and the basis used for allocating indirect
cost elements to the smelter. Identify and explain any differences
between the selling, general and administrative cost classification used
in this Schedule and that used in Line 15 of Schedule A.3.
Line 15--Taxes, Other than Income Taxes. Report the total costs
forecast for property taxes and associated levies paid to governmental
units by or for the benefits of the
[[Page 179]]
smelter operation. Attach as part of Exhibit B a schedule classifying
operating taxes by major component. Indicate whether each component
represents taxes directly assignable to the smelter or taxes that have
been allocated among more than one facility. Explain the basis used for
estimating taxes and the basis for any allocation of taxes to the
smelter. Identify and explain any differences between the component
classifications used in this Schedule and those used in Line 16 of
Schedule A.3.
Line 16--Research Costs. Report the estimates of research costs
incurred directly by or for the benefit of the smelter operations.
Attach as part of Exhibit B a schedule classifying the costs by major
direct and indirect assigned components. Explain the basis for
estimating the costs assigned to each component. Identify and explain
any differences between classifications used in this Schedule and those
used in Line 17 of Schedule A.3.
Line 17--Pollution Control Facility Depreciation and Amortization.
Report the estimates of depreciation and amortization charges associated
with the smelter's actual and forecast investment in all pollution
control equipment and facilities except any SO2 air pollution
controls that have not been installed as of the NSO application date.
Reported charges should be computed in accordance with depreciation and
amortization methods adopted for certified financial statement reporting
purposes by the firm. Attach explanatory supporting schedules as part of
Exhibit B.
Line 18--Other Smelter Facility Depreciation and Amortization.
Report the pro forma estimates of depreciation and amortization charges
associated with the smelter's investment in equipment and facilities
other than those classified as pollution control facilities. Attach
explanatory supporting schedules as part of Exhibit B.
Line 19--Interests. Report the estimates of interest and other
financing charges on the smelter's current and long-term liabilities.
Attach as part of Exhibit B a schedule showing the interest-bearing debt
contracts identifiable with the smelter's operations, the interest rate
projected for these contracts, and the estimated annual interest
charges.
Line 20--Miscellaneous Operating Expenses. Report only the total
operating expenses associated with or allocated to the smelter that
cannot be appropriately classsified in one of the preceding line items.
Attach as part of Exhibit B a schedule showing the classification of
these residual operating expenses into major cost components. Explain
the basis used for forecasting the cost under each component. Identify
each cost component in terms of direct or indirect cost and explain the
basis used for allocating the indirect costs to smelter operations.
Identify and explain any differences between cost classifications
included in this Schedule and those used in Line 21 of Schedule A.3.
Line 21--Total Other Operating Expenses. Enter for each year the sum
of operating costs reported on Lines 14 through 20.
Line 22--Income From Operations. Enter for each year the difference
between Lines 21 and 13.
Schedule B.4--Constant Controls Revenue Forecast
General. Use Schedule B.4 to report annual forecasts of operating
revenues anticipated during the years 1984 through 1990 from operation
of the smelter subject to this NSO application. These constant controls
revenue forecasts should be based on an assumption that the applicant
immediately implements a program of additional pollution control
facility investments sufficient to achieve full compliance with the
smelter's SIP stack emission limitations for sulfur dioxide. Forecast
smelter revenues should be expressed on a tolling service equivalent
basis as described in Section 2.3.4.
The assumed investment program should be based on whichever
adequately demonstrated system, applicable to the smelter, that would be
most economically beneficial subsequent to installation of the system.
For this purpose, adequately demonstrated systems include those
specified in Section 57.102(b)(1).
Copper smelters that will process concentrates containing an average
of 1,000 pounds per hour or more of arsenic during the forecast period
should assume that they will use best engineering techniques to control
fugitive emissions of arsenic. All smelters should also assume that they
will be required to meet all other regulatory requirements in effect at
the time the application is made.
The line items in Schedule B.4 are explained in the following
instructions. Attach as part of Exhibit B schedules to (1) explain the
methods used to make the required forecasts, (2) explain differences, if
any, between historical trends and the forecasts, and (3) provide data
and information to support the forecasts.
Lines 01 and 05--Concentrates Processed. Report for each year the
forecast quantity of concentrates processed for unaffiliated parties
(Line 01) and affiliated parties (Line 05).
Lines 02 and 06--Smelting Charge. Report for each year the forecast
smelting charge for unaffiliated parties (Line 02) and affiliated
parties (Line 06). See Section 2.4 for forecast copper smelting charges
furnished by EPA.
Lines 03 and 07--Total Smelter Revenues. Report for each year the
forecast total operating revenues derived from processing concentrates.
The total for unaffiliated parties (Line 03) is equal to the product of
Lines 01, 02, and 04, and for affiliated parties (Line 07), the product
of Lines 05, 06, and 08.
[[Page 180]]
Lines 04 and 08--Average Product Grade. Report for each year the
forecast average quality rating assigned to concentrates processed for
unaffiliated parties (Line 04) and affiliated parties (Line 08).
Line 09--Total Co-Product Revenues. Report for each year the
forecast net revenues from sales of co-products derived from the
smelter's operations. Attach as part of Exhibit B a schedule showing by
individual type of co-product, the forecast quantity produced and sold,
forecast market price per unit of sales, and forecast total revenues
derived from the co-product sales.
Line 10--Total By-product Revenues From Pollution Control
Facilities. Report for each year forecast revenues from the sale of by-
products derived from operation of the smelter's pollution control
facilities. Attach as part of Exhibit B a schedule showing by type of
by-product produced (e.g., sulfuric acid) the forecast quantity of
output, forecast market price per unit of output sold, and forecast
total revenue derived from the by-product sales.
Line 11--Total By-product Revenues From Other Smelter Processing.
Report forecast revenues from the sales of gold, silver, and other by-
products derived from the smelter's operations. Attach as part of
Exhibit B a schedule providing additional documentation as specified in
the instructions for Line 10.
Line 12--Total Co-product and By-product Revenues. Enter for each
year the total of Lines 09 through 11.
Schedule B.5--Constant Controls Cost Forecast
General. Use Schedule B.5 to report annual forecasts of operating
costs anticipated during the years 1984 through 1990 from operation of
the smelter subject to this NSO application. These constant controls
cost forecasts should be based on an assumption that the applicant
immediately implements a program of additional pollution control
facility investments sufficient to achieve full compliance with the
smelter's SIP stack emission limitations for sulfur dioxide.
The assumed investment program should be based on whichever
adequately demonstrated system, applicable to the smelter, would be most
economically beneficial subsequent to installation of the system. For
this purpose, adequately demonstrated systems include those specified in
Sec. 57.102(b)(1).
Copper smelters that will process concentrates containing an average
of 1,000 pounds per hour or more of arsenic during the forecast period
should assume that they will use best engineering techniques to control
fugitive emissions of arsenic. All smelters should also assume that they
will be required to meet all other regulatory requirements in effect at
the time the application is made.
The line items in Schedule B.5 are explained in the following
instructions. Attach as part of Exhibit B schedules to (1) explain the
methods used to make the required forecasts, (2) explain differences, if
any, between historical trends and the forecasts, and (3) provide data
and information to support the forecasts.
Line 01--Direct Labor Hours. Report for each year the quantity of
direct labor hours required to support the processing levels previously
reported. Attach as part of Exhibit B an explanation of the labor
productivity factors involved.
Line 02--Average Hourly Wage Rate. Report for each year the forecast
average wage rate per unit of direct labor input. Attach as part of
Exhibit B a description of direct labor cost factors under any existing
labor contracts that extend to the forecast period and an explanation of
the methodology used to forecast wage rates. EPA-provided forecast wage
indices are reported in Section 2.4.
Line 03--Total Wage Payments. Enter for each year the product of
Lines 01 and 02.
Line 04--Supplemental Employee Benefits. Report for each year
adjustments required to direct labor costs for other employee
compensation under supplemental benefit plans. Attach as part of
Exhibits B a description of such plans and their costs and an
explanation of the methodology used to forecast such costs. EPA-provided
forecast wage indices are reported in Section 2.4.
Lines 05--Total Production Labor Cost. Enter for each year the total
of Lines 03 and 04.
Lines 06, 09, 12, 15 and 18--Energy Quantities. Report for each year
the quantity of energy by type required to support the processing levels
reported in the smelter's revenue. Attach as part of Exhibit B an
explanation of energy characteristics and use factors considered in
forecasting the smelter's future energy requirements.
Lines 07, 10, 13, 16, and 19--Unit Prices. Report for each year the
forecast price per unit of energy input by type of energy. Attach as
part of Exhibit B a description of the energy price factors under any
existing energy contracts that extend to the forecast period and an
explanation of the methodology used to forecast unit energy prices. EPA-
provided forecast energy indices are reported in Section 2.4.
Lines 08, 11, 14, 17, and 20--Total Payments. Enter for each year
the products of quantity and prices paid for electricity (Lines 06x07),
natural gas (Lines 09x10), coal (Lines 12x13), fuel oil (Lines 15x16),
and other (Lines 18x19).
Lines 21--Total Energy Costs. Enter for each year the total of Lines
08, 11, 14, 17, and 20.
[[Page 181]]
Schedule B.6--Constant Controls Forecast Profit and Loss Summary for the
Profit Protection Test
General. Use Schedule B.6 to report annual forecasts of operating
revenues and operating costs derived in Schedules B.4 and B.5 for the
years 1984 through 1990. These constant controls forecasts should be
based on an assumption that the applicant immediately implements a
program of additional pollution control facility investments sufficient
to achieve full compliance with the smelter's SIP stack emission
limitations for sulfur dioxide. The transfer of line items from
Schedules B.4 and B.5 to this Schedule is explained in the following
instructions.
Line 01--Smelter Revenues-Unaffiliated Parties. Enter the totals
reported in Schedule B.4, Line 03.
Line 02--Smelter Revenues-Affiliated Parties. Enter the totals
reported in Schedule B.4, Line 07.
Line 03--Co-product and By-product Sales Revenues. Enter the totals
reported in Schedule B.4, Line 12.
Line 04--Other Operating Revenues. Report operating revenues
anticipated from sources not accounted for under Lines 01 through 03.
Refer to instructions for Line 04 of Schedule A.3 for items that should
not be included in ``Other Operating Revenues.'' Attach as part of
Exhibit B a schedule showing annual amounts forecast by individual
revenue component for ``other'' operating revenues associated with the
smelter's forecast constant controls operations. Identify in the
supporting schedule any differences in the ``other'' revenue components
reported in this Schedule and Schedule A.3 and explain the reasons for
such differences.
Line 05--Total Operating Revenues. Enter for each year the total of
Lines 01 through 04.
Line 06--Material Costs. Report total costs forecast for flux,
refractories, coke and other materials directly associated with the
smelter's processing of concentrates. Attach as part of Exhibit B a
schedule showing the annual amounts forecast by major material cost
components. For each cost component, identify the forecast quantity and
unit price elements of material cost and explain the basis for
forecasting these quantity and price elements. Identify in the
supporting schedule any differences in the ``other'' material cost
components shown in this Schedule and Schedule A.3 and explain the
reasons for such differences.
Line 07--Production Labor Costs. Enter the totals reported in
Schedule B.5, Line 05.
Line 08--Energy Costs. Enter the totals reported in Schedule B.5,
Line 21.
Line 09--Pollution Control Costs. Report the total costs forecast
for expenses identifiable with operation and maintenance of all
pollution control equipment and facilities. By-product credits
associated with operation of the pollution control facilities should be
eliminated from the cost accounts, reclassified to Schedule B.4, Line 10
and included in Line 03 of this Schedule. Attach a schedule as part of
Exhibit B classifying pollution control costs by major cost components.
Explain the basis used for estimating each of the cost components.
Line 10--Production Overhead Costs. Report the total costs forecast
for indirect labor, indirect materials and other production overhead
costs associated with the smelter's constant controls forecasts. Attach
as part of Exhibit B a schedule showing annual overhead costs projected
by major cost components associated with the smelter's operations. For
each cost component, where appropriate, identify the forecast quantity
and unit price elements of overhead costs and explain the basis for
estimating these quantity and price elements. Also identify in the
supporting schedule any differences in production overhead cost
classifications used in this Schedule and Schedule A.3 and explain the
reasons for such differences.
Line 11--Other Production Costs. Report other forecast production
costs not previously reported on Lines 06 through 10. Attach as part of
Exhibit B supporting schedules showing the basis of the forecasts.
Line 12--Total Cost of Sales. Enter for each year the sum of
operating costs reported on Lines 06 through 11.
Line 13--Gross Operating Profit. Enter for each year the difference
between Lines 05 and 12.
Line 14--Selling, General and Administrative Expenses. Report the
total costs forecast for administrative, marketing and general corporate
overhead functions that directly or indirectly support the smelter's
operations. Refer to the NSO financial Reporting Overview for a general
discussion of indirect cost allocations from overhead cost pools. Attach
as part of Exhibit B a schedule classifying selling, general and
administrative expenses into major cost components. Indicate whether
each component represents costs directly assignable to the smelter or
indirect costs allocated from other business segments to the smelter.
Explain the basis used for estimating the amount of expected costs
included in each component and the basis used for allocating indirect
cost elements to the smelter. Identify and explain any differences
between the selling, general and administrative cost classification used
in this Schedule and that used in Line 15 of Schedule A.3.
Line 15--Taxes, Other than Income Taxes. Report the total costs
forecast for property taxes and associated levies paid to governmental
units by or for the benefit of the smelter operation. Attach as part of
Exhibit B a schedule classifying operating taxes by major component.
Indicate whether each component represents taxes directly assignable to
the smelter or taxes that have been
[[Page 182]]
allocated among more than one facility. Explain the basis used for
estimating taxes and the basis for any allocation of taxes to the
smelter. Identify and explain any differences between the component
classifications used in this Schedule and those used in Line 16 of
Schedule A.3.
Line 16--Research Costs. Report the estimates of research costs
incurred directly by or for the benefit of the smelter operations.
Attach as part of Exhibit B a schedule classifying the costs by major
direct and indirect cost components. Explain the basis for estimating
the costs assigned to each component. Identify and explain any
differences between classifications used in this Schedule and those used
in Line 17 of Schedule A.3.
Line 17--Pollution Control Facility Depreciation and Amortization.
Report the estimates of depreciation and amortization charges associated
with the smelter's actual and forecast investment in all pollution
control equipment and facilities. Reported charges should be completed
in accordance with depreciation and amortization methods adopted for
certified financial statement reporting purposes by the firm. Attach
explanatory supporting schedules as part of Exhibit B.
Line 18--Other Smelter Facility Depreciation and Amortization.
Report the pro forma estimates of depreciation and amortization charges
associated with the smelter's investment in equipment and facilities
other than those classified as pollution control facilities. Attach
explanatory supporting schedules as part of Exhibit B.
Line 19--Interest. Report the estimates of interest and other
financing charges on the smelter's current and long-term liabilities.
Attach as part of Exhibit B a schedule showing the interest-bearing debt
contracts identifiable with the smelter's operations, the interest rate
projected for these contracts, and the estimated annual interest
charges.
Line 20--Miscellaneous Operating Expenses. Report only the total
operating expenses associated with or allocated to the smelter that
cannot be appropriately classified in one of the preceding line items.
Attach as part of Exhibit B a schedule showing the classification of
these residual operating expenses into major cost components. Explain
the basis used for forecasting the cost under each component. Identify
each cost component in terms of direct or indirect cost and explain the
basis used for allocating the indirect costs to smelter operations.
Identify and explain any differences between cost classifications
included in this Schedule and those used in Line 21 of Schedule A.3.
Line 21--Total Other Operating Expenses. Enter for each year the sum
of operating costs reported on Lines 14 through 20.
Line 22--Income From Operations. Enter for each year the difference
between Lines 21 and 13.
Schedule B.7--Profit Protection Test
General. Applicants must complete this Schedule and/or Schedule C.4
and the accompanying schedules if they seek eligibility for an NSO. The
line items in Schedule B.7 are explained in the following instructions.
Line 01--Net Income from Operations. Enter for each year the amounts
reported in Schedule B.3, Line 22.
Line 02--Discount Factors. Enter the discount factor for each year,
computed as described in the instructions under Section 2.6.
Line 03--Present Value of Future Net Income. Enter for each year the
product of Lines 01 and 02.
Line 04--Horizon Value. Enter under the Total column, the estimated
horizon value of the smelter. This shall be computed by capitalizing the
forecast net income from operations in Line 01 as described in the
instructions under Section 2.7.
Line 05--Discount Factor. Enter under the Total column the
appropriate discount factor corresponding to the weighted cost of
capital, computed as described in the instructions under Section 2.6.
Line 06--Present Value of Horizon Value. Enter under the Total
column the product of Lines 04 and 05.
Line 07--Present Value of Future Net Income. Enter under the Total
Column the sum of amounts previously reported on Line 03 for 1984
through 1990.
Line 08--Total Present Value. Enter for each year the sum of Lines
06 and 07.
Line 09--Net Income from Operations. Enter for each year the amount
reported in Schedule B.6, Line 22.
Line 10--Discount Factors. Follow the instructions for Line 02.
Line 11--Present Value of Future Net Income. Enter for each year the
product of Lines 09 and 10.
Line 12--Horizon Value. Enter under the Total column, the estimated
horizon value of the smelter. This shall be computed by capitalizing the
forecast net income from operations in Line 09 as described in the
instructions under Section 2.7.
Line 13--Discount Factor. Follow the instructions for Line 05.
Line 14--Present Value of Horizon Value. Enter under the Total
column the product of Lines 12 and 13.
Line 15--Present Value of Future Net Income. Enter under the Total
column the sum of amounts previously reported on Line 11 for 1984
through 1990.
Line 16--Total Present Value. Enter the sum of Lines 14 and 15.
Line 17--Ratio for Total Present Value of Constant Controls Case to
Total Present Value of Pre-Control Case. Enter the ratio of Lines 16 to
08. If this ratio is less than .50, the smelter passes the Profit
Protection Test.
[[Page 183]]
An applicant also passes the Profit Protection Test if the reported
total present value of pre-tax profits for the pre-control case on Line
08 is a negative value.
Schedule C.1--Constant Controls Forecast Profit and Loss Summary for the
Rate of Return Test
General. Use Schedule C.1 to report forecast revenue and cost
information derived in Schedules B.4 and B.5 for the years 1984 through
1990. These constant controls forecasts should be based on an assumption
that the applicant immediately implements a program of additional
pollution control facility investments sufficient to achieve full
compliance with the smelter's SIP stack emission limitations for sulfur
dioxide. The transfer of line items from Schedules B.4 and B.5 to this
Schedule is explained in the following instructions.
Line 01--Smelter Revenues-Unaffiliated Parties. Enter the totals
reported in Schedule B.4, Line 03.
Line 02--Smelter Revenues-Affiliated Parties. Enter the totals
reported in Schedule B.4, Line 07.
Line 03--Co-product and By-product Sales Revenues. Enter the totals
reported in Schedule B.4, Line 12.
Line 04--Other Operating Revenues. Report operating revenues
anticipated from sources not accounted for under Lines 01 through 03.
Refer to instructions for Line 04 of Schedule A.3 for items that should
not be included in ``Other Operating Revenues.'' Attach as part of
Exhibit B a schedule showing annual amounts forecast by individual
revenue component for ``other'' operating revenues associated with the
smelter's forecast constant controls operations. Identify in the
supporting schedule any differences in the ``other'' revenue components
reported in this Schedule and Schedule A.3 and explain the reasons for
such differences.
Line 05--Total Operating Revenues. Enter for each year the total of
Lines 01 through 04.
Line 06--Material Costs. Report total costs forecast for flux,
refractories, coke and other materials directly associated with the
smelter's processing of concentrates. Attach as part of Exhibit B a
schedule showing the annual amounts forecast by major material cost
components. For each cost component, identify the forecast quantity and
unit price elements of material cost and explain the basis for
forecasting these quantity and price elements. Identify in the
supporting schedule any differences in the ``other'' material cost
components shown in this Schedule and Schedule A.3 and explain the
reasons for such differences.
Line 07--Production Labor Costs. Enter the totals reported in
Schedule B.5, Line 05.
Line 08--Energy Costs. Enter the totals reported in Schedule B.5,
Line 21.
Line 09--Pollution Control Costs. Report the total costs forecast
for expenses identifiable with operation and maintenance of all
pollution control equipment and facilities. By-product credits
associated with operation of the pollution control facilities should be
eliminated from the cost accounts, reclassified to Schedule B.4, Line 10
and included in Line 03 of this Schedule. Attach a schedule as part of
Exhibit B classifying pollution control costs by major cost components.
Explain the basis used for estimating each of the cost components.
Line 10--Production Overhead Costs. Report the total costs forecast
for indirect labor, indirect materials and other production overhead
costs associated with the smelter's constant controls forecasts. Attach
as part of Exhibit B a schedule showing annual overhead costs projected
by major cost components associated with the smelter's operations. For
each cost component, where appropriate, identify the forecast quantity
and unit price elements of overhead costs and explain the basis for
estimating these quantity and price elements. Also identify in the
supporting schedule any differences in production overhead cost
classifications used in this Schedule and Schedule A.3 and explain the
reasons for such differences.
Line 11--Other Production Costs. Report other forecast production
costs not previously reported on Lines 06 through 10. Attach as part of
Exhibit B supporting schedules showing the basis of the forecasts.
Line 12--Total Cost of Sales. Enter for each year the sum of
operating costs reported on Lines 06 through 10.
Line 13--Gross Operating Profit. Enter for each year the difference
between Lines 05 and 12.
Line 14--Selling, General and Administrative Expenses. Report the
total costs forecast for administrative, marketing and general corporate
overhead functions that directly or indirectly support the smelter's
operations. Refer to the NSO Financial Reporting Overview for a general
discussion of indirect cost allocations from overhead cost pools. Attach
as part of Exhibit B a schedule classifying selling, general and
administrative expenses into major cost components. Indicate whether
each component represents costs directly assignable to the smelter or
indirect costs allocated from other business segments to the smelter.
Explain the basis used for estimating the amount of expected costs
included in each component and the basis used for allocating indirect
cost elements to the smelter. Identify and explain any differences
between the selling, general and administrative cost classification used
in this Schedule and that used in Line 15 of Schedule A.3.
Line 15--Taxes, Other than Income Taxes. Report the total costs
forecast for property taxes and associated levies paid to governmental
units by or for the benefit of the
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smelter operation. Attach as part of Exhibit B a schedule classifying
operating taxes by major component. Indicate whether each component
represents taxes directly assignable to the smelter or taxes that have
been allocated among more than one facility. Explain the basis used for
estimating taxes and the basis for any allocation of taxes to the
smelter. Identify and explain any differences between the component
classifications used in this Schedule and those used in Line 16 of
Schedule A.3.
Line 16--Research Costs. Report the estimates of research costs
incurred directly by or for the benefit of the smelter operations.
Attach as part of Exhibit B a schedule classifying the costs by major
direct and indirect costs components. Explain the basis for estimating
the costs assigned to each component. Identify and explain any
differences between classifications used in this Schedule and those used
in Line 17 of Schedule A.3.
Line 17--Pollution Control Facility Depreciation and Amortization.
Report the estimates of depreciation and amortization charges associated
with the smelter's actual and forecast investment in all pollution
control equipment and facilities. Reported charges should be computed in
accordance with depreciation and amortization methods adopted for tax
reporting purposes by the firm. Attach explanatory supporting schedules
as part of Exhibit B.
Line 18--Other Smelter Facility Depreciation and Amortization.
Report the pro forma estimates of depreciation and amortization charge
associated with the smelter's investment in equipment and facilities
other than those classified as pollution control facilities. Attach
explanatory supporting schedules as part of Exhibit B.
Line 19--Interest on Short-Term Debt. Report the estimates of
interest and other financing charges on forecast short-term obligations
as classified in the smelter's current liabilities on Schedule A.4.
Interest and associated financing charges on long-term debt should not
be included as an expense identifiable with the smelter's operations.
Attach as part of Exhibit B a schedule showing the interest-bearing,
short-term debt contracts identifiable with the smelter's operations,
the interest rate projected for these contracts, and the estimated
annual interest charges. Identify and explain any differences between
the classifications used in this Schedule and those used in Line 20 of
Schedule A.3.
Line 20--Miscellaneous Operating Expenses. Report only the total
operating expenses associated with or allocated to the smelter that
cannot be appropriately classified in one of the preceding line items.
Attach as part of Exhibit B a schedule showing the classification of
these residual operating expenses into major cost components. Explain
the basis used for forecasting the cost under each component. Identify
each cost component in terms of direct or indirect cost and explain the
basis used for allocating the indirect costs to smelter operations.
Identify and explain any differences between cost classification
included in this Schedule and those used in Line 21 of Schedule A.3.
Line 21--Total Other Operating Expenses. Enter for each year the sum
of operating costs reported on Lines 14 through 20.
Line 22--Income From Operations. Enter for each year the difference
between Lines 21 and 13.
Line 23--Income Taxes. Enter the product of income from operations
(Line 22) and the sum of the Federal, State and local marginal tax
rates. Attach as part of Exhibit B a schedule detailing the estimated
marginal tax rate by taxing entity.
Line 24--Net Income From Operations. Enter for each year the
difference between Lines 23 and 22.
Schedule C.2--Constant Controls Sustaining Capital Investment Forecast
General. The applicant should estimate and report, in Schedule C.2,
yearly sustaining capital outlays for maintenance of the smelter's
existing productive capability. These estimates should be forecast under
the assumption that full compliance with SIP emission limitations for
SO2 will be achieved. Major elements of these outlays should
be disclosed, as well as the total of such outlays. Estimates shall be
restricted to those items that will be capitalized for tax purposes.
These outlays shall primarily be for plant replacement, although outlays
for improvements and expansion may be included to the extent that
improvements and/or expansion, exclusive of required pollution control
outlays, can be justified as economically feasible. Estimates of
sustaining capital shall exclude any incremental investment for constant
control requirements. Sustaining capital investments in facilities
shared with other operating segments shall be allocated in accordance
with the instructions given below.
Estimates of sustaining capital shall be compatible with productive
capacity and pollution control requirements underlying the operating
revenue and cost forecasts incorporated in Schedule C.1.
Lines 01 to 06--Sustaining Capital. Report for each year by
individual line item property, plant and equipment sustaining capital
investments assignable to smelter operations. Include both (1) property,
plant and equipment directly associated with the smelter's operations
and (2) facilities shared with other operating segments to the extent
that a causal and beneficial relationship can be established for the
intersegment allocations of such facility investments.
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Attach as part of Exhibit B an explanatory schedule disclosing and
supporting by individual line item the major elements of annual capital
expenditures for sustaining capital. Further classify these annual
capital expenditures into both (1) investments required to maintain the
smelter versus investments in smelter expansion and improvements and (2)
direct facility versus joint-use facility investments. Explain the
method used for allocating capital expenditures on joint-use facilities
to the smelter's operations.
Line 07--Total Smelter Sustaining Capital. Enter for each year the
total of Lines 01 through 06. Transfer the reported total for each year
to Schedule C.4, Line 06.
Schedule C.3--Historical Capital Investment In Constant Dollars
General. Use Schedule C.3 to report the end-of-period asset
investments and current liabilities for the most recent fiscal year: (a)
expressed in nominal dollars as of the date of the original transaction,
and (b) expressed in the current year's dollars, i.e. 1984 dollars. The
value of net investment in constant dollars (1984 dollars for smelters
applying for an NSO in 1984) is used in Schedule C.4 as the benchmark of
the Rate of Return Test.
Applicants should complete Schedule C.3 according to the following
instructions. Transfer into the first column of Schedule C.3 the
historical cost figures that are reported in the last (1983) column of
Table A.4. In the second column of Schedule C.3, report the figures from
the first column of Schedule C.3, expressed in constant (1984) dollars.
Convert each nominal dollar figure of the first column into constant
(1984) dollars in accordance with the historical cost/constant dollar
accounting method defined in Financial Accounting Standards Board (FASB)
Statement No. 33 (Docket Item No. IV-A-6d), with the following
exception: the applicant must not report the lower recoverable amount as
required by FASB No. 33. Attach explanatory supporting schedules as part
of Exhibit B.
Schedule C.4--Rate of Return Test
General. Applicants must complete this Schedule and/or Schedule B.7
and the accompanying schedules if they seek eligibility for an NSO. The
line items in Schedule C.4 are explained in the following instructions.
Line 01--Net Income from Operations. Enter for each year the amounts
reported in Schedule C.1, Line 24.
Lines 02 and 03--Depreciation and Amortization. Enter for each year
the amounts reported in Schedule C.1, Lines 17 and 18, respectively.
Line 04--Operating Cash Flow. Enter for each year the total of
amounts reported on Lines 01 through 03.
Line 05--Constant Controls Capital Investment. Enter the estimated
capital outlays for constant controls for the years during which outlays
would be made. These values shall correspond to the constant control
investment estimates shown in the supporting schedules for Line 17 of
Schedule C.1. Changes in working capital investment due to investment in
constant controls facilities may be added to the capital investment
estimates shown in the supporting schedules for Schedule C.1.
Line 06--Sustaining Capital. Enter for each year the amounts
reported in Schedule C.2, Line 07.
Line 07--Total. Enter for each year the sum of Lines 05 and 06.
Line 08--Net Cash Flow Projections. Enter for each year the
difference between Lines 04 and 07.
Line 09--Discount Factors. Enter the discount factor for each year,
computed as described in the instructions under Section 2.6.
Line 10--Present Value of Future Cash Flows. Enter for each year the
product of Lines 08 and 09.
Line 11--Horizon Value. Enter under the Total column the estimated
horizon value of the smelter reported in Schedule C.5, Line 16.
Line 12--Discount Factor. Enter under the Total column the
appropriate discount factor, computed as described in the instructions
under Section 2.6.
Line 13--Present Value of Horizon Value. Enter under the Total
column the product of Lines 11 and 12.
Line 14--Present Value of Future Cash Flows. Enter under the Total
column the sum of amounts previously reported on Line 10 for 1984
through 1990.
Line 15--Total Present Value. Enter the sum of Lines 13 and 14.
Line 16--Net Smelter Capital Investment in Constant Dollars. Enter
under the Total column the amount reported in the second (Constant
Dollar) column of Schedule C.3, Line 26 if the value is greater than
zero. If the value is zero or less, enter zero.
Line 17--Net Present Value. Enter the difference between Lines 15
and 16. Applicants reporting a negative net present value will pass the
Rate of Return Test.
Schedule C.5--Horizon Value of Cash Flows for the Rate of Return Test
General. The applicant should use Schedule C.5 to calculate the
horizon value of net cash flow projections for the Rate of Return Test.
This horizon value is used in Schedule C.4. The computation of the
horizon value is different for this test than for the Profit Protection
Test because this test requires the reporting of depreciation for tax
purposes.
In Schedule C.5, the applicant removes the tax savings of constant
controls depreciation from the cash flows for the last two forecast
years. A depreciation-free horizon value is
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then calculated from these depreciation-free cash flows. The tax savings
of constant controls depreciation during the horizon years are then
calculated separately. The final horizon value is equal to the sum of
the depreciation-free horizon value and the tax savings from
depreciation of constant controls accruing over the horizon years. The
line items in Schedule C.5 are explained in the following instructions.
Line 01--Net Cash Flow Projections. Enter for each of the final two
forecast years the values in Schedule C.4, Line 08, for the
corresponding years.
Line 02--Depreciation and Amortization. Enter for each of the final
two forecast years the value in Schedule C.4, Line 02, for the
corresponding years.
Line 03--Marginal Tax Rate. Enter for each of the final two forecast
years the marginal income tax rate applicable to the smelter. This rate
should incorporate both Federal and State tax liability.
Line 04--Tax Savings. Enter for each of the final two forecast years
the product of Lines 02 and 03.
Line 05--Nominal Dollar Values. Enter for each of the final two
forecast years the difference between Lines 01 and 04.
Line 06--1990 Dollar Values. For each of the final two forecast
years the nominal dollar values must be expressed in the last forecast
year's dollars (1990 dollars). Transfer the 1990 amount in Line 05
directly to Line 06. Inflate the 1989 amount to 1990 dollars using the
forecast GNP price deflator.
Line 07--Average. Enter under the Total column the average of the
two values in Line 06.
Line 08--Horizon Factor. Enter under the Total column the horizon
factor provided in Section 2.7.
Line 09--Depreciation-free Horizon Value. Enter under the Total
column the product of Lines 07 and 08.
Line 10--Depreciation and Amortization. Enter for each year of the
horizon period depreciation charges associated with the smelter's
investment in equipment and facilities related to pollution controls.
These investments should include those actually made and those required
to be made by the end of the forecast period. Reported charges should be
computed in accordance with depreciation and amortization methods
adopted for tax reporting purposes by the firm. Attach as part of
Exhibit B supporting schedules consistent with those supporting Line 17
in Schedule C.1.
Line 11--Marginal Tax Rate. Enter for each year of the horizon
period the marginal income tax rate applicable to the smelter. This rate
should incorporate both Federal and State tax liability.
Line 12--Tax Savings. Enter for each year of the horizon period the
product of Lines 10 and 11.
Line 13--Discount Factors. Enter the discount factor for each year
of the horizon period. This shall be computed according to the
instructions under Section 2.6, except that the variable N found in the
discount factor formula represents the number of years in the future,
counting from the last forecast year. For example, N=1 for the first
year of the horizon period.
Line 14--Present Value of Tax Savings. Enter for each year of the
horizon period the product of Lines 12 and 13.
Line 15--Total Present Value of Tax Savings. Enter under the Total
column the sum of values on Line 14 for the horizon years.
Line 16--Horizon Value. Enter under the Total column the sum of
Lines 09 and 15.
Schedule D.1--Interim Controls Revenue Forecast
General. Use Schedule D.1 to report annual forecasts of operating
revenues anticipated during the years 1984 through 1990 from operation
of the smelter applying for an interim controls waiver. The applicant
applying for a permanent waiver should complete Schedule D.1 twice, with
revenue and production projections based on two alternative assumptions:
(1) Installation of interim constant control equipment, no installation
of any additional SO2 controls that the smelter would
otherwise be required to install but for the issuance of an NSO, and
closure after January 1, 1988, and (2) installation of interim constant
control equipment and any additional SO2 controls required to
comply with the smelter's SIP emission limitation by January 2, 1988, so
that the smelter will remain open through the horizon period. The
applicant applying for a temporary waiver should use only the first
assumption. For a smelter that has no continuous emission controls, the
assumed interim control investment program should be based on the
installation and operation of a well-designed sulfuric acid plant to
treat all strong gas streams. For a smelter that already has some
continuous emission controls, the assumed interim constant control
investment should be based on the installation and operation of any
additional acid plant capacity that would be necessary for treatment of
all strong streams with interim constant controls. The interim controls
projections should account for other regulatory requirements on the same
basis as provided for in the NSO eligibility tests.
Forecast smelter revenues should be expressed on a tolling service
equivalent basis as described in Section 2.3.4. The line items in
Schedule D.1 are explained in the following instructions. Attach as part
of Exhibit B schedules to (1) explain the methods used to make the
required forecasts, (2) explain differences, if any, between historical
trends and the forecasts, and (3) provide data and information to
support the forecasts.
[[Page 187]]
Lines 01 and 05--Concentrates Processed. Report for each year the
forecast quantity of concentrates processed for unaffiliated parties
(Line 01) and affiliated parties (Line 05).
Lines 02 and 06--Smelting Charge. Report for each year the forecast
smelting charge for unaffiliated parties (Line 02) and affiliated
parties (Line 06). See Section 2.4 for forecast copper smelting charges
furnished by EPA.
Lines 03 and 07--Total Smelter Revenues. Report for each year the
forecast total operating revenues derived from processing concentrates.
The total for unaffiliated parties (Line 03) is equal to the product of
Lines 01, 02, and 04, and for affiliated parties (Line 07), the product
of Lines 05, 06, and 08.
Lines 04 and 08--Average Product Grade. Report for each year the
forecast average quality rating assigned to concentrates processed for
unaffiliated parties (Line 04) and affiliated parties (Line 08).
Line 09--Total Co-Product Revenues. Report for each year the
forecast net revenues from sales of co-products derived from the
smelter's operations. Attach as part of Exhibit B a schedule showing by
individual type of co-product the forecast quantity produced and sold,
forecast market price per unit of sales, and forecast total revenues
derived from the co-product sales.
Line 10--Total By-product Revenues From Pollution Control
Facilities. Report for each year forecast revenues from the sale of by-
products derived from operation of the smelter's pollution control
facilities. Attach as part of Exhibit B a schedule showing by type of
by-product produced (e.g., sulfuric acid) the forecast quantity of
output, forecast market price per unit of output sold, and forecast
total revenue derived from the by-product sales.
Line 11--Total By-product Revenues From Other Smelter Processing.
Report forecast revenues from the sales of gold, silver, and other by-
products derived from the smelter's operations. Attach as part of
Exhibit B a schedule providing additional documentation as specified in
the instructions for Line 10.
Line 12--Total Co-product and By-product Revenues. Enter for each
year the total of Lines 09 through 11.
Schedule D.2--Interim Controls Cost Forecast
General. Use Schedule D.2 to report annual forecasts of operating
costs anticipated during the years 1984 through 1990 from operation of
the smelter applying for an interim controls waiver. The applicant
applying for a permanent waiver should complete Schedule D.2 twice, with
cost and production projections based on two alternative assumptions:
(1) Installation of interim constant control equipment, no installation
of any additional SO2 controls that the smelter would
otherwise be required to install but for the issuance of an NSO, and
closure after January 1, 1988, and (2) installation of interim constant
control equipment and any additional SO2 controls required to
comply with the smelter's SIP emission limitation by January 2, 1988, so
that the smelter will remain open through the horizon period. For a
smelter that has no continuous emission controls, the assumed interim
control investment program should be based on the installation and
operation of a well-designed sulfuric acid plant to treat all strong gas
streams. For a smelter that already has some continuous emission
controls, the assumed interim constant control investment should be
based on the installation and operation of any additional acid plant
capacity that would be necessary for treatment of all strong streams
with interim constant controls. The interim controls projections should
account for other regulatory requirements on the same basis as provided
for in the NSO eligibility tests.
The line items in Schedule D.2 are explained in the following
instructions. Attach as part of Exhibit B schedules to (1) explain the
methods used to make the required forecasts, (2) explain differences, if
any, between historical trends and the forecasts, and (3) provide data
and information to support the forecasts.
Line 01--Direct Labor Hours. Report for each year the quantity of
direct labor hours required to support the processing levels previously
reported. Attach as part of Exhibit B an explanation of the labor
productivity factors involved.
Line 02--Average Hourly Wage Rate. Report for each year the forecast
average wage rate per unit of direct labor input. Attach as part of
Exhibit B a description of direct labor cost factors under any existing
labor contracts that extend to the forecast period and an explanation of
the methodology used to forecast wage rates. EPA-provided forecast wage
indices are reported in Section 2.4.
Line 03--Total Wage Payments. Enter for each year the product of
Lines 01 and 02.
Line 04--Supplemental Employee Benefits. Report for each year
adjustments required to direct labor costs for other employee
compensation under supplemental benefit plans. Attach as part of Exhibit
B a description of such plans and their costs and an explanation of the
methodology used to forecast such costs. EPA-provided forecast wage
indices are reported in Section 2.4.
Line 05--Total Production Labor Costs. Enter for each year the total
of Lines 03 and 04.
Lines 06, 09, 12, 15, and 18--Energy Quantities. Report for each
year the quantity of energy by type required to support the processing
levels reported in the smelter's revenue. Attach as part of Exhibit B an
explanation of energy characteristics and use factors considered in
forecasting the smelter's future energy requirements.
[[Page 188]]
Lines 07, 10, 13, 16, and 19--Unit Prices. Report for each year the
forecast price per unit of energy input by type of energy. Attach as
part of Exhibit B a description of the energy price factors under any
existing energy contracts that extend to the forecast period and an
explanation of the methodology used to forecast unit energy prices. EPA-
provided forecast energy indices are reported in Section 2.4.
Lines 08, 11, 14, 17, and 20--Total Payments. Enter for each year
the products of quantity and prices paid for electricity (Lines 06x07),
natural gas (Lines 09x10), coal (Lines 12x13), fuel oil (Lines 15x16),
and other (Lines 18x19).
Line 21--Total Energy Costs. Enter for each year the total of Lines
08, 11, 14, 17, and 20.
Schedule D.3--Interim Controls Forecast Profit and Loss Summary
General. Use Schedule D.3 to report forecast revenue and cost
information summed in Schedules D.1 and D.2 for the years 1984 through
1990. Applicants applying for a permanent waiver must complete Schedule
D.3 twice. Forecast revenues and costs in Schedule D.3 shall be
compatible with productive capacity and pollution control assumptions
underlying the operating revenue and cost forecasts incorporated into
each set of Schedules D.1 and D.2. Applicants applying for a temporary
waiver should use only the first assumption: installation of interim
constant control equipment and no installation of any additional SO2
controls that the smelter would otherwise be required to install but for
the issuance of an NSO. The transfer of line items from Schedules D.1
and D.2 to this Schedule is explained in the following instructions.
Line 01--Smelter Revenues--Unaffiliated Parties. Enter the totals
reported in Schedule D.1, Line 03.
Line 02--Smelter Revenues-Affiliated Parties. Enter the totals
reported in Schedule D.1, Line 07.
Line 03--Co-product and By-product Sales Revenues. Enter the totals
reported in Schedule D.1, Line 12.
Line 04--Other Operating Revenues. Report operating revenues
anticipated from sources not accounted for under Lines 01 through 03.
Refer to instructions for Line 04 of Schedule A.3 for items that should
not be included in ``Other Operating Revenues.'' Attach as part of
Exhibit B a schedule showing annual amounts forecast by individual
revenue component for ``other'' operating revenues associated with the
smelter's forecast interim controls operations. Identify in the
supporting schedule any differences in the ``other'' revenue components
reported in this Schedule and Schedule A.3 and explain the reasons for
such differences.
Line 05--Total Operating Revenues. Enter for each year the total of
Lines 01 through 04.
Line 06--Material Costs. Report total costs forecast for flux,
refractories, coke and other materials directly associated with the
smelter's processing of concentrates. Attach as part of Exhibit B a
schedule showing the annual amounts forecast by major material cost
components. For each cost component, identify the forecast quantity and
unit price elements of material cost and explain the basis for
forecasting these quantity and price elements. Identify in the
supporting schedule any differences in the ``other'' material cost
components shown in this Schedule and Schedule A.3 and explain the
reasons for such differences.
Line 07--Production Labor Costs. Enter the totals reported in
Schedule D.2, Line 05.
Line 08--Energy Costs. Enter the totals reported in Schedule D.2,
Line 21.
Line 09--Pollution Control Costs. Report the total costs forecast
for operation and maintenance of all pollution control equipment and
facilities under the two alternative sets of assumptions made in
corresponding Schedules D.1 and D.2. Byproduct credits associated with
operation of the pollution control facilities should be eliminated from
the cost accounts, reclassified to Schedule D.1, Line 10 and included in
Line 03 of this Schedule. Attach a schedule as part of Exhibit B
classifying pollution control costs by major cost components. Explain
the basis used for estimating each of the cost components.
Line 10--Production Overhead Costs. Report the total costs forecast
for indirect labor, indirect materials and other production overhead
costs associated with the smelter's constant controls forecasts. Attach
as part of Exhibit B a schedule showing annual overhead costs projected
by major cost components associated with the smelter's operations. For
each cost component, where appropriate, identify the forecast quantity
and unit price elements of overhead costs and explain the basis for
estimating these quantity and price elements. Also identify in the
supporting schedule any differences in production overhead cost
classifications used in this Schedule and Schedule A.3 and explain the
reasons for such differences.
Line 11--Other Production Costs. Report other forecast production
costs not previously reported on lines 06 through 10. Attach as part of
Exhibit B supporting schedules showing the basis of the forecasts.
Line 12--Total Cost of Sales. Enter for each year the sum of
operating costs reported on Lines 06 through 11.
Line 13--Gross Operating Profit. Enter for each year the difference
between Lines 05 and 12.
Line 14--Selling, General and Administrative Expenses. Report the
total costs forecast for administrative, marketing and general corporate
overhead functions that directly or indirectly support the smelter's
operations.
[[Page 189]]
Refer to the NSO Financial Reporting Overview for general discussion of
indirect cost allocations from overhead cost pools. Attach as part of
Exhibit B a schedule classifying selling, general and administrative
expenses into major cost components. Indicate whether each component
represents costs directly assignable to the smelter or indirect costs
allocated from other business segments to the smelter. Explain the basis
used for estimating the amount of expected costs included in each
component and the basis used for allocating indirect cost elements to
the smelter. Identify and explain any differences between the selling,
general and administrative cost classification used in this Schedule and
that used in Line 15 of Schedule A.3.
Line 15--Taxes, Other than Income Taxes. Report the total costs
forecast for property taxes and associated levies paid to governmental
units by or for the benefit of the smelter operation. Attach as part of
Exhibit B a schedule classifying operating taxes by major component.
Indicate whether each component represents taxes directly assignable to
the smelter or taxes that have been allocated among more than one
facility. Explain the basis used for estimating taxes and the basis for
any allocation of taxes to the smelter. Identify and explain any
differences between the component classifications used in this Schedule
and those used in Line 16 of Schedule A.3.
Line 16--Research Costs. Report the estimates of research costs
incurred directly by or for the benefit of the smelter operations.
Attach as part of Exhibit B a schedule classifying the costs by major
direct and indirect cost components. Explain the basis for estimating
the costs assigned to each component. Identify and explain any
differences between classifications used in this Schedule and those used
in Line 17 of Schedule A.3.
Line 17--Pollution Control Facility Depreciation and Amortization.
Report the estimates of depreciation and amortization charges associated
with the smelter's actual and forecast investment in all pollution
control equipment and facilities under the two alternative sets of
assumptions made in corresponding Schedules D.1 and D.2. Reported
charges should be computed in accordance with depreciation and
amortization methods adopted for tax reporting purposes by the firm.
Attach explanatory supporting schedules as part of Exhibit B.
Line 18--Other Smelter Facility Depreciation and Amortization.
Report the pro forma estimates of depreciation and amortization charges
associated with the smelter's investment in equipment and facilities
other than those classified as pollution control facilities. Attach
explanatory supporting schedules as part of Exhibit B.
Line 19--Interest on Short-Term Debt. Report the estimates of
interest and other financing charges on forecast short-term obligations
as classified in the smelter's current liabilities on Schedule A.4.
Interest and associated financing charges on long-term debt should not
be included as an expense identifiable with the smelter's operations.
Attach as part of Exhibit B a schedule showing the interest-bearing,
short-term debt contracts identifiable with the smelter's operations,
the interest rate projected for these contracts, and the estimated
annual interest charges. Identify and explain any differences between
the classifications used in this Schedule and those used in Line 20 of
Schedule A.3.
Line 20--Miscellaneous Operating Expenses. Report only the total
operating expenses associated with or allocated to the smelter that
cannot be appropriately classified in one of the preceding line items.
Attach as part of Exhibit B a schedule showing the classification of
these residual operating expenses into major cost components. Explain
the basis used for forecasting the cost under each component. Identify
each cost component in terms of direct or indirect cost and explain the
basis used for allocating the indirect costs to smelter operations.
Identify and explain any differences between cost classifications
included in this Schedule and those used in Line 21 of Schedule A.3.
Line 21--Total Other Operating Expenses. Enter for each year the sum
of operating costs reported on Lines 14 through 20.
Line 22--Income From Operations. Enter for each year the difference
between Lines 21 and 13.
Line 23--Income Taxes. Enter the product of income from operations
(Line 22) and the sum of the Federal, State and local marginal tax
rates. Attach as part of Exhibit B a schedule detailing the estimated
marginal tax rate by taxing entity.
Line 24--Net Income From Operations. Enter for each year the
difference between Lines 23 and 22.
The temporary waiver from interim controls test is on Line 13 of
Schedule D.3 that was completed under the assumption of installation of
interim constant control equipment and no installation of any additional
SO2 controls that the smelter would otherwise be required to
install but for the issuance of an NSO. Applicants will be eligible for
a temporary waiver from the interim development of constant control
technology for sulfur dioxide emissions if the reported gross operating
profit on Line 13 is a negative value for one or more years during which
the NSO is in effect.
Schedule D.4--Interim Controls Sustaining Capital Investment Forecast
General. Use Schedule D.4 to report yearly sustaining capital
outlays for maintenance of the smelter's existing productive capability.
The applicant should complete Schedule D.4 twice, under two alternative
assumptions: (1) Installation of interim constant
[[Page 190]]
control equipment, no installation of any additional SO2
controls that the smelter would otherwise be required to install but for
the issuance of an NSO, and closure after January 1, 1988, and (2)
installation of interim constant equipment and any additional
SO2 controls required to comply with the smelter's SIP
emission limitation by January 2, 1988, so that the smelter will remain
open through the horizon period.
Major elements of these outlays should be disclosed, as well as the
total of such outlays. Estimates shall be restricted to those items that
will be capitalized for tax purposes. These outlays shall primarily be
for plant replacement, although outlays for improvements and expansion
may be included to the extent that improvements and/or expansion,
exclusive of required pollution control outlays, can be justified as
economically feasible. Estimates of sustaining capital investments shall
exclude any incremental investment for sulfur dioxide emission controls
reported in Line 06 of Schedule D.6. Sustaining capital investments in
facilities shared with other operating segments shall be allocated in
accordance with the instructions given below.
Estimates of sustaining capital shall be compatible with productive
capacity and pollution control requirements underlying the operating
revenue and cost forecasts incorporated in Schedule D.3.
Line 01 to 06--Sustaining Capital. Report for each year by
individual line item property, plant and equipment sustaining capital
investments assignable to smelter operations. Include both (1) property,
plant and equipment directly associated with the smelter's operations
and (2) facilities shared with other operating segments to the extent
that a causal and beneficial relationship can be established for the
intersegment allocations of such facility investments.
Attach as part of Exhibit B an explanatory schedule disclosing and
supporting by individual line item the major elements of annual capital
expenditures for sustaining capital. Further classify these annual
capital expenditures into both (1) investments required to maintain the
smelter versus investments in smelter expansion and improvements and (2)
direct facility versus joint-use facility investments. Explain the
method used for allocating capital expenditures on joint-use facilities
to the smelter's operations.
Line 07--Total Smelter Sustaining Capital. Enter for each year the
total of Lines 01 through 06. Transfer the reported total for each year
to Schedule D.6, Line 06.
Schedule D.5--Cash Proceeds From Liquidation
General. Use Schedule D.5 to calculate cash proceeds from
liquidation. Applicants should determine the current salvage value of
their existing investment in the smelter as the net proceeds that could
be derived through an orderly liquidation of the smelter's assets. The
net cash proceeds should be reported after an appropriate allowance for
disposal costs, contractual claims against the smelter (e.g., labor
termination penalties), and income tax effects on the corporation of
such liquidation costs.
The applicant must stipulate the most advantageous alternative
market (use) for the smelter's facilities. Generally, this market will
be:
Secondary market for used plant and equipment.
Sale for scrap.
Abandonment where the disposal cost exceeds scrap value.
The current net salvage value should be disaggregated into the same
property, plant and equipment asset groups reported under the historical
capital investment summary, Schedule A.4. The line items in Schedule D.5
are explained in the following instructions.
Line 01--Current Assets. Enter in Columns 1 and 2, the value of
total current assets shown in Line 08 of Schedule A.4 (Historical
Capital Investment Summary) for 1983. No gain or loss should be reported
in Columns 3 through 5 for the liquidation of current asset investments.
Lines 02-07--Property Plant and Equipment. Enter in Column 1 the
appraised liquidation value (in terms of pretax cash proceeds) of the
smelter by asset group. This estimate should be certified by a qualified
third party professional appraiser and shall represent the best use and
highest alternative value of these assets. The liquidation value of any
assets which are jointly used by the smelter and other operating
segments shall be excluded if, upon closure of the smelter, such assets
would continue in service for the non-smelter activity.
In Column 2, report the net book value of these assets for which
liquidation values have been reported in Column 1. The reported values
should correspond with amounts reported for 1982 in lines 09 through 15
in Schedule A.4 as adjusted for appropriate eliminations of joint-use
facilities and reconciliation to a net book value as reported for income
taxes. Attach as part of Exhibit B supporting schedules showing all
adjustments and conversion of the net book value as reported on the
financial statements, to net book value that would be used for income
tax purposes.
Compute Column 3 as Column 1 less Column 2. The gain (or loss) shown
in Column 3 shall be segregated into ordinary income and capital gains
components subject to taxation pursuant to applicable income tax rules.
Enter ordinary income in Column 4 and capital gains in Column 5.
[[Page 191]]
Line 08--Total Smelter Investment. Enter the sum of Lines 02 through
07 for each of the columns.
Line 09--Other Non-current Assets. In Column 1, report the appraised
value of other non-current assets in accordance with the instructions
for Line 18, Schedule A.4, except that any joint asset(s) that would
continue in the event of smelter liquidation shall be excluded. This
estimate shall be certified by a qualified third-party professional
appraiser.
In Column 2, report the net book value of the non-current assets
directly corresponding to those assets included in the liquidation value
estimated under Column 1.
The remaining columns shall be completed in accordance with the
instructions given above for Lines 02 and 06.
Line 10--Total Smelter Value. Enter the sum of Lines 01, 08 and 09.
Line 11--Total Current Liabilities. Report in both Columns 1 and 2,
the value of total current liabilities shown in Line 25 of Schedule A.4
for 1983.
Line 12--Gross Liquidation Value. Enter the difference between Lines
10 and 11.
Line 13--Liquidation Costs. In Columns 1, 3 and 4, report the value
of any liquidation costs such as labor contract termination penalties,
severance pay and related costs, associated with closure of the smelter.
Line 14--Taxable Gain (or Loss). Enter in Columns 4 and 5, the
differences between Lines 12 and 13.
Line 15--Income Tax Rate. Enter the sum of the Federal, State and
local marginal tax rates of the firm for ordinary income and capital
gains in Columns 4 and 5, respectively. Attach as part of Exhibit B a
schedule detailing the estimated marginal tax rate by taxing entity.
Line 16--Income Tax on Gain (or Loss). In Columns 4 and 5, enter the
product of Line 14 and the marginal income tax rates reported in Line
15. In Column 1, enter the sum of Columns 4 and 5.
Line 17--After Tax Cash Proceeds. Enter in Column 1 the difference
between Line 12 and the sum of Lines 13 and 16.
Schedule D.6--Permanent Waiver from Interim Controls Test
General. Applicants must complete this Schedule and its supporting
schedules if they seek a permanent waiver from interim control
requirements. The applicant should complete Schedule D.6 twice, with
revenue and production projections based on two alternative assumptions:
(1) Installation of interim constant control equipment, no installation
of any additional SO2 controls that the smelter would
otherwise be required to install but for the issuance of an NSO, and
closure after January 1, 1988, and (2) installation of interim constant
control equipment and any additional SO2 controls required to
comply with the smelter's SIP emission limitation by January 2, 1988, so
that the smelter will remain open through the horizon period. Forecasts
in Schedule D.6 shall be compatible with assumptions and forecasts in
each set of Schedules D.1 through D.4. The line items in Schedule D.6
are explained in the following instructions.
Line 01--Net Income from Operations. Enter for each year the amounts
reported in Schedule D.3, Line 24.
Line 02--Net Income Adjustments. Enter any adjustments to net income
not included in Schedule D.3. When assuming closure after January 1,
1988, the applicant must include the proceeds from liquidation in 1988.
The applicant must estimate liquidation value as of 1988 using one of
two methods: (1) the applicant may complete Schedule D.5 assuming
liquidation in 1988 and report the value of after-tax cash proceeds in
Line 17; or (2) the applicant may use the value of after-tax cash
proceeds in Line 17 of Schedule D.5, as already completed, assuming
liquidation in the current (application) year, and expressing values in
1988 dollars. The current liquidation value must be inflated to 1988
dollars by applying the appropriate forecast percentage rate changes in
the GNP price deflator. Attach explanatory supporting schedules in
Exhibit B.
Lines 03 and 04--Depreciation and Amortization. Enter for each year
the amounts reported in Schedule D.3, Lines 17 and 18, respectively.
Line 05--Operating Cash Flow. Enter for each year the total of
amounts reported on Lines 01 through 04.
Line 06--Pollution Controls Capital Investment. Enter the estimated
pollution control capital outlays projected to be made under the two
alternative sets of assumptions described in the General section of this
schedule. These controls shall include only interim control equipment
for the first set of assumptions and both interim control equipment and
any additional SO2 controls required to comply with the
smelter's SIP emission limitation by January 2, 1988, for the second set
of assumptions. The values assumed in this schedule shall correspond to
the investment estimates shown in each set of supporting schedules for
Line 17 of Schedule D.3. For purposes of allocating costs of the
additional SO2 controls under the second set of assumptions,
applicants must provide information establishing the period over which
capital outlays for such controls would be made if installation of the
controls begins the latest date that would still allow compliance to be
achieved by January 2, 1988. Changes in working capital investment due
to investment in control facilities may be added to the capital
investment estimates shown in the corresponding supporting schedules for
Schedule D.3.
[[Page 192]]
Line 07--Sustaining Capital. Enter for each year the amounts
reported in Schedule D.4, Line 07.
Line 08--Total. Enter for each year the sum of Lines 05 and 06.
Line 09--Net Cash Flow Projections. Enter for each year the
difference between Lines 04 and 07.
Line 10--Discount Factors. Enter the discount factor for each year,
computed as described in the instructions under Section 2.6.
Line 11--Present Value of Future Cash Flows. Enter for each year the
product of Lines 08 and 09.
Line 12--Horizon Value. Enter under the Total column the estimated
horizon value of the smelter reported in Schedule D.7, Line 16.
Line 13--Discount Factor. Enter under the Total column the
appropriate discount factor, computed as described in the instructions
under Section 2.6.
Line 14--Present Value of Horizon Value. Enter under the Total
column the product of Lines 11 and 12.
Line 15--Present Value of Future Cash Flows. Enter under the Total
column the sum of amounts previously reported on Line 10 for 1984
through 1990.
Line 16--Total Present Value. Enter the sum of Lines 13 and 14.
Line 17--Current Salvage Value. Enter the amount reported in
Schedule D.5, Line 17, if the value is greater than zero. If the value
is zero or less, enter zero.
Line 18--Net Present Value. Enter the difference between Lines 16
and 17. In determining eligibility for a permanent waiver from interim
control requirements, an applicant must use the higher of the two net
present value figures computed under the two alternative assumptions.
Applicants reporting a negative value for the higher net present value
figure will be eligible for a permanent waiver from interim use of a
constant control system for sulfur dioxide emissions.
Schedule D.7--Horizon Value of Cash Flows for the Interim Controls Test
General. Use Schedule D.7 to calculate the horizon value of net cash
flow projections for the Interim Controls Test. This horizon value is
used in Schedule D.6. The computation of the horizon value is different
for this test than for the Profit Protection Test because this test
requires the reporting of depreciation for tax purposes.
In Schedule D.7, the applicant removes the tax savings of control
equipment depreciation from the cash flows for the last two forecast
years. A depreciation-free horizon value is then calculated from these
depreciation-free cash flows. The tax savings of constant controls
depreciation during the horizon years are then calculated separately.
The final horizon value is equal to the sum of the depreciation-free
horizon value and the tax savings from depreciation of constant controls
accruing over the horizon years. The line items in Schedule D.7 are
explained in the following instruction.
Line 01--Net Cash Flow Projections. Enter for each of the final two
forecast years the values in Schedule D.6, Line 09, for the
corresponding years.
Line 02--Depreciation and Amortization. Enter for each of the final
two forecast years the value in Schedule D.6, Line 03, for the
corresponding years.
Line 03--Marginal Tax Rate. Enter for each of the final two forecast
years the marginal income tax rate applicable to the smelter. This rate
should incorporate both Federal and State tax liability.
Line 04--Tax Savings. Enter for each of the final two forecast years
the product of Lines 02 and 03.
Line 05--Nominal Dollar Values. Enter for each of the final two
forecast years the difference between Lines 01 and 04.
Line 06--1990 Dollar Values. For each of the final two forecast
years the nominal dollar values must be expressed in the last forecast
year's dollars (1990 dollars). Transfer the 1990 amount in Line 05
directly to Line 06. Inflate the 1989 amount to 1990 dollars using the
forecast GNP price deflator.
Line 07--Average. Enter under the Total column the average of the
two values in Line 06.
Line 08--Horizon Factor. Enter under the Total column the horizon
factor provided in Section 2.7.
Line 09--Depreciation-free Horizon Value. Enter under the Total
column the product of Lines 07 and 08.
Line 10--Depreciation and Amortization. Enter for each year of the
horizon period depreciation charges associated with the smelter's
investment in equipment and facilities related to pollution controls.
These investments should include those actually made and those forecast
to be made by the end of the forecast period. Reported charges should be
computed in accordance with depreciation and amortization methods
adopted for tax reporting purposes by the firm. Attach as part of
exhibit B supporting schedules consistent with those supporting Line 17
in Schedule D.3.
Line 11--Marginal Tax Rate. Enter for each year of the horizon
period the marginal income tax rate applicable to the smelter. This rate
should incorporate both Federal and State tax liability.
Line 12--Tax Savings. Enter for each year of the horizon period the
product of Lines 10 and 11.
Line 13--Discount Factors. Enter the discount factor for each year
of the horizon period. This shall be computed according to the
instructions under Section 2.6, except that the variable N found in the
discount factor
[[Page 193]]
formula represents the number of years in the future, counting from the
last forecast year. For example, N=1 for the first year of the horizon
period.
Line 14--Present Value of Tax Savings. Enter for each year of the
horizon period the product of Lines 12 and 13.
Line 15--Total Present Value of Tax Savings. Enter under the Total
column the sum of values on Line 14 for the horizon years.
Line 16--Horizon Value. Enter under the Total column the sum of
Lines 09 and 15.
Environmental Protection Agency
Primary Nonferrous Smelter Order Application
Part I--Identification Information
1. Firm name____________________________________________________________
2. Street/Box/RFD_______________________________________________________
3. City_________________________________________________________________
4. State________________________________________________________________
5. Zip Code_____________________________________________________________
6. IRS Employer Identification No.______________________________________
7. SEC 1934 Act Registration No.________________________________________
8. Smelter Name_________________________________________________________
9. Street/Box/RFD_______________________________________________________
10. City________________________________________________________________
11. State_______________________________________________________________
12. Zip Code____________________________________________________________
13. Contact Person______________________________________________________
14. Title_______________________________________________________________
15. Street/Box/RFD______________________________________________________
16. City________________________________________________________________
17. State_______________________________________________________________
18. Zip Code____________________________________________________________
19. Telephone___________________________________________________________
Part II--Certification
I certify that the information provided herein and appended hereto
is true and accurate to the best of my knowledge. I understand that this
information is being required, in part, under the authority of Section
114 of the Clean Air Act, 42 U.S.C. 7414.
Name____________________________________________________________________
Title___________________________________________________________________
Signature_______________________________________________________________
Date____________________________________________________________________
Schedule A.1--Historical Revenue Data
[Smelter identification]
----------------------------------------------------------------------------------------------------------------
Line 1979 1980 1981 1982 1983
----------------------------------------------------------------------------------------------------------------
A. Copper product sales:
1. Total quantity sold................................ 01 ....... ....... ....... ....... .......
2. Unaffiliated customer sales:
a. Quantity sold.................................. 2 ....... ....... ....... ....... .......
b. Operating revenue.............................. 03 ....... ....... ....... ....... .......
c. Average unit price............................. 04 ....... ....... ....... ....... .......
d. Average product grade.......................... 05 ....... ....... ....... ....... .......
3. Affiliated customers sales:
a. Quantity sold.................................. 06 ....... ....... ....... ....... .......
b. Operating revenue.............................. 07 ....... ....... ....... ....... .......
c. Average unit price............................. 08 ....... ....... ....... ....... .......
d. Average product grade.......................... 09 ....... ....... ....... ....... .......
4. Adjusted copper revenues:
a. Total copper revenues.......................... 10 ....... ....... ....... ....... .......
b. Transfer price adjustment...................... 11 ....... ....... ....... ....... .......
c. Other revenue adjustments...................... 12 ....... ....... ....... ....... .......
d. Adjusted copper revenues....................... 13 ....... ....... ....... ....... .......
B. Lead product sales:
1. Total quantity sold................................ 14 ....... ....... ....... ....... .......
2. Unaffiliated customer sales:
a. Quantity sold.................................. 15 ....... ....... ....... ....... .......
b. Operating revenue.............................. 16 ....... ....... ....... ....... .......
c. Average unit price............................. 17 ....... ....... ....... ....... .......
d. Average product grade.......................... 18 ....... ....... ....... ....... .......
3. Affiliated customer sales:
a. Quantity sold.................................. 19 ....... ....... ....... ....... .......
b. Operating revenue.............................. 20 ....... ....... ....... ....... .......
c. Average unit price............................. 21 ....... ....... ....... ....... .......
d. Average product grade.......................... 22 ....... ....... ....... ....... .......
4. Adjusted lead revenues:
a. Total lead revenues............................ 23 ....... ....... ....... ....... .......
b. Transfer price adjustment...................... 24 ....... ....... ....... ....... .......
c. Other revenue adjustments...................... 25 ....... ....... ....... ....... .......
d. Adjusted lead revenues......................... 26 ....... ....... ....... ....... .......
C. Zinc product sales:
1. Total quantity sold................................ 27 ....... ....... ....... ....... .......
2. Unaffiliated customer sales:
a. Quantity sold.................................. 28 ....... ....... ....... ....... .......
b. Operating revenue.............................. 29 ....... ....... ....... ....... .......
c. Average unit price............................. 30 ....... ....... ....... ....... .......
d. Average product grade.......................... 31 ....... ....... ....... ....... .......
[[Page 194]]
3. Affiliated customer sales:
a. Quantity sold.................................. 32 ....... ....... ....... ....... .......
b. Operating revenue.............................. 33 ....... ....... ....... ....... .......
c. Average unit price............................. 34 ....... ....... ....... ....... .......
d. Average product grade.......................... 35 ....... ....... ....... ....... .......
4. Adjusted zinc revenues:
a. Total zinc revenues............................ 36 ....... ....... ....... ....... .......
b. Transfer price adjustment...................... 37 ....... ....... ....... ....... .......
c. Other revenue adjustments...................... 38 ....... ....... ....... ....... .......
d. Adjusted zinc revenues......................... 39 ....... ....... ....... ....... .......
D. Molybdenum or other nonferrous metal sales:
1. Total quantity sold................................ 40 ....... ....... ....... ....... .......
2. Unaffiliated customer sales:
a. Quantity sold.................................. 41 ....... ....... ....... ....... .......
b. Operating revenue.............................. 42 ....... ....... ....... ....... .......
c. Average unit price............................. 43 ....... ....... ....... ....... .......
d. Average product grade.......................... 44 ....... ....... ....... ....... .......
3. Affiliated customer sales:
a. Quantity sold.................................. 45 ....... ....... ....... ....... .......
b. Operating revenue.............................. 46 ....... ....... ....... ....... .......
c. Average unit price............................. 47 ....... ....... ....... ....... .......
d. Average product grade.......................... 48 ....... ....... ....... ....... .......
4. Adjusted molybdenum or other nonferrous metal
revenues:
a. Total molybdenum or other nonferrous metal 49 ....... ....... ....... ....... .......
revenues.........................................
b. Transfer price adjustment...................... 50 ....... ....... ....... ....... .......
c. Other revenue adjustments...................... 51 ....... ....... ....... ....... .......
d. Adjusted molybdenum or other nonferrous metal 52 ....... ....... ....... ....... .......
revenues.........................................
E. Primary metal revenues................................. 53 ....... ....... ....... ....... .......
F. Tolling service revenues:
1. Total toll concentrates processed.................. 54 ....... ....... ....... ....... .......
2. Unaffiliated customer revenues:
a. Concentrates processed......................... 55 ....... ....... ....... ....... .......
b. Operating revenue.............................. 56 ....... ....... ....... ....... .......
c. Average unit price............................. 57 ....... ....... ....... ....... .......
d. Average product grade.......................... 58 ....... ....... ....... ....... .......
3. Affiliated customer revenues:
a. Concentrates processed......................... 59 ....... ....... ....... ....... .......
b. Operating revenue.............................. 60 ....... ....... ....... ....... .......
c. Average unit price............................. 61 ....... ....... ....... ....... .......
d. Average product grade.......................... 62 ....... ....... ....... ....... .......
4. Adjusted tolling service revenues:
a. Total tolling service revenue.................. 63 ....... ....... ....... ....... .......
b. Transfer price adjustment...................... 64 ....... ....... ....... ....... .......
c. Other revenue adjustments...................... 65 ....... ....... ....... ....... .......
d. Adjusted tolling service revenues.............. 66 ....... ....... ....... ....... .......
G. Coproduct and byproduct sales:
1. Total coproduct revenues........................... 67 ....... ....... ....... ....... .......
2. Total byproduct revenues:
a. Pollution control facilities................... 68 ....... ....... ....... ....... .......
b. Other smelter processing....................... 69 ....... ....... ....... ....... .......
3. Total coproduct and byproduct revenues............. 70 ....... ....... ....... ....... .......
----------------------------------------------------------------------------------------------------------------
Schedule A.2--Historical Cost Data
[Smelter identification]
----------------------------------------------------------------------------------------------------------------
Line 1979 1980 1981 1982 1983
----------------------------------------------------------------------------------------------------------------
A. Concentrate costs:
1. Total quantity purchased........................... 01 ....... ....... ....... ....... .......
2. Unaffiliated purchases:
a. Quantity purchased............................. 02 ....... ....... ....... ....... .......
b. Concentrate cost............................... 03 ....... ....... ....... ....... .......
c. Average unit price............................. 04 ....... ....... ....... ....... .......
d. Average concentrate grade...................... 05 ....... ....... ....... ....... .......
3. Affiliated purchases:
a. Quantity purchased............................. 06 ....... ....... ....... ....... .......
b. Concentrate cost............................... 07 ....... ....... ....... ....... .......
c. Average unit price............................. 08 ....... ....... ....... ....... .......
d. Average concentrate grade...................... 09 ....... ....... ....... ....... .......
[[Page 195]]
4. Adjusted concentrate costs:
a. Total concentrate costs........................ 10 ....... ....... ....... ....... .......
b. Transfer price adjustment...................... 11 ....... ....... ....... ....... .......
c. Other cost adjustments......................... 12 ....... ....... ....... ....... .......
d. Adjusted concentrate cost...................... 13 ....... ....... ....... ....... .......
B. Production labor cost:
1. Direct labor hours................................. 14 ....... ....... ....... ....... .......
2. Average hourly wage rate........................... 15 ....... ....... ....... ....... .......
3. Total wage payments................................ 16 ....... ....... ....... ....... .......
4. Supplemental employee benefits..................... 17 ....... ....... ....... ....... .......
5. Total production labor cost........................ 18 ....... ....... ....... ....... .......
C. Energy costs:
1. Electricity:
a. Quantity in kilowatt hours..................... 19 ....... ....... ....... ....... .......
b. Price per kwh.................................. 20 ....... ....... ....... ....... .......
c. Total electricity payments..................... 21 ....... ....... ....... ....... .......
2. Natural gas:
a. Quantity in mcf................................ 22 ....... ....... ....... ....... .......
b. Price per mcf.................................. 23 ....... ....... ....... ....... .......
c. Total natural gas payments..................... 24 ....... ....... ....... ....... .......
3. Coal:
a. Quantity in tons............................... 25 ....... ....... ....... ....... .......
b. Price per ton.................................. 26 ....... ....... ....... ....... .......
c. Total coal payments............................ 27 ....... ....... ....... ....... .......
4. Fuel oil:
a. Quantity in gallons............................ 28 ....... ....... ....... ....... .......
b. Price per gallon............................... 29 ....... ....... ....... ....... .......
c. Total fuel oil payments........................ 30 ....... ....... ....... ....... .......
5. Other (specify):
a. Quantity (specific units)...................... 31 ....... ....... ....... ....... .......
b. Price per unit................................. 32 ....... ....... ....... ....... .......
c. Total payments................................. 33 ....... ....... ....... ....... .......
6. Total energy costs................................. 34 ....... ....... ....... ....... .......
----------------------------------------------------------------------------------------------------------------
Schedule A.3--Historical Profit and Loss Summary
[Smelter identification]
----------------------------------------------------------------------------------------------------------------
Line 1979 1980 1981 1982 1983
----------------------------------------------------------------------------------------------------------------
A. Operating revenues:
1. Primary metal sales................................ 01 ....... ....... ....... ....... .......
2. Coproduct and byproduct sales...................... 02 ....... ....... ....... ....... .......
3. Tolling service revenues........................... 03 ....... ....... ....... ....... .......
4. Other operating revenues........................... 04 ....... ....... ....... ....... .......
5. Total operating revenues........................... 05 ....... ....... ....... ....... .......
B. Cost of sales:
1. Concentrates processed............................. 06 ....... ....... ....... ....... .......
2. Other materials.................................... 07 ....... ....... ....... ....... .......
3. Production labor................................... 08 ....... ....... ....... ....... .......
4. Energy costs....................................... 09 ....... ....... ....... ....... .......
5. Pollution control cost............................. 10 ....... ....... ....... ....... .......
6. Production overhead................................ 11 ....... ....... ....... ....... .......
7. Other production costs............................. 12 ....... ....... ....... ....... .......
8. Total cost of sales................................ 13 ....... ....... ....... ....... .......
C. Gross operating profit................................. 14 ....... ....... ....... ....... .......
D. Other operating expenses:
1. Selling general and administrative................. 15 ....... ....... ....... ....... .......
2. Taxes, other than income tax....................... 16 ....... ....... ....... ....... .......
3. Research costs..................................... 17 ....... ....... ....... ....... .......
4. Depreciation and amortization:
a. Pollution control facilities................... 18 ....... ....... ....... ....... .......
b. Other smelter facilities....................... 19 ....... ....... ....... ....... .......
5. Interest on short term debt........................ 20 ....... ....... ....... ....... .......
6. Miscellaneous operating expenses................... 21 ....... ....... ....... ....... .......
7. Total other operating expenses..................... 22 ....... ....... ....... ....... .......
E. Income from operations................................. 23 ....... ....... ....... ....... .......
F. Other income and (expense):
1. Gain/(loss) on disposition of property............. 24 ....... ....... ....... ....... .......
2. Miscellaneous other income and (expense)........... 25 ....... ....... ....... ....... .......
3. Total other income and (expense)................... 26 ....... ....... ....... ....... .......
[[Page 196]]
G. Net taxable income..................................... 27 ....... ....... ....... ....... .......
----------------------------------------------------------------------------------------------------------------
Schedule A.4--Historical Capital Investment Summary
[Smelter identification]
----------------------------------------------------------------------------------------------------------------
Line 1979 1980 1981 1982 1983
----------------------------------------------------------------------------------------------------------------
A. Current assets:
1. Cash on hand and deposit........................... 01 ....... ....... ....... ....... .......
2. Temporary cash investments......................... 02 ....... ....... ....... ....... .......
3. Trade receivables, net:
a. Unaffiliated customers......................... 03 ....... ....... ....... ....... .......
b. Affiliated customers........................... 04 ....... ....... ....... ....... .......
4. Inventories:
a. Raw materials and products..................... 05 ....... ....... ....... ....... .......
b. Other materials and supplies................... 06 ....... ....... ....... ....... .......
5. Other current assets............................... 07 ....... ....... ....... ....... .......
6. Total current assets............................... 08 ....... ....... ....... ....... .......
B. Property, plant and equipment:
1. Land............................................... 09 ....... ....... ....... ....... .......
2. Buildings and improvements......................... 10 ....... ....... ....... ....... .......
3. Machinery and equipment............................ 11 ....... ....... ....... ....... .......
4. Transportation equipment........................... 12 ....... ....... ....... ....... .......
5. Pollution control facilities....................... 13 ....... ....... ....... ....... .......
6. Other fixed assets................................. 14 ....... ....... ....... ....... .......
7. Total smelter investment........................... 15 ....... ....... ....... ....... .......
8. Less: Accumulated depreciation and amortization.... 16 ....... ....... ....... ....... .......
9. Net smelter investment............................. 17 ....... ....... ....... ....... .......
C. Other noncurrent assets................................ 18 ....... ....... ....... ....... .......
D. Total smelter capital investment....................... 19 ....... ....... ....... ....... .......
E. Current liabilities:
1. Trade accounts and notes payable:
a. Unaffiliated suppliers......................... 20 ....... ....... ....... ....... .......
b. Affiliated suppliers........................... 21 ....... ....... ....... ....... .......
2. Other expense accruals............................. 22 ....... ....... ....... ....... .......
3. Notes payable, current............................. 23 ....... ....... ....... ....... .......
4. Other current liabilities.......................... 24 ....... ....... ....... ....... .......
5. Total current liabilities.......................... 25 ....... ....... ....... ....... .......
F. Net smelter capital investment......................... 26 ....... ....... ....... ....... .......
----------------------------------------------------------------------------------------------------------------
Schedule B--Pre-Control Revenue Forecast
[Smelter identification]
----------------------------------------------------------------------------------------------------------------
Line 1984 1985 1986 1987 1988 1989 1990
----------------------------------------------------------------------------------------------------------------
A. Forecast smelter revenues--
unaffiliated parties:
1. Concentrates processed........... 01 ....... ....... ....... ....... ....... ....... .......
2. Smelting charge.................. 02 ....... ....... ....... ....... ....... ....... .......
3. Total smelter revenues........... 03 ....... ....... ....... ....... ....... ....... .......
4. Average product grade............ 04 ....... ....... ....... ....... ....... ....... .......
B. Forecast smelter revenues--affiliated
parties:
1. Concentrates processed........... 05 ....... ....... ....... ....... ....... ....... .......
2. Smelting charge.................. 06 ....... ....... ....... ....... ....... ....... .......
3. Total smelter revenues........... 07 ....... ....... ....... ....... ....... ....... .......
4. Average product grade............ 08 ....... ....... ....... ....... ....... ....... .......
C. Forecast co-product and by-product
sales:
1. Total co-product revenues........ 09 ....... ....... ....... ....... ....... ....... .......
2. Total by-product revenues from:
a. Pollution control facilities. 10 ....... ....... ....... ....... ....... ....... .......
b. Other smelter processing..... 11 ....... ....... ....... ....... ....... ....... .......
3. Total co-product and by-product 12 ....... ....... ....... ....... ....... ....... .......
revenues...........................
----------------------------------------------------------------------------------------------------------------
[[Page 197]]
Schedule B.2--Pre-Control Cost Forecast
[Smelter identification]
----------------------------------------------------------------------------------------------------------------
Line 1984 1985 1986 1987 1988 1989 1990
----------------------------------------------------------------------------------------------------------------
A. Forecast production labor cost:
1. Direct labor hours............... 01 ....... ....... ....... ....... ....... ....... .......
2. Average hourly wage rate......... 02 ....... ....... ....... ....... ....... ....... .......
3. Total wage payments.............. 03 ....... ....... ....... ....... ....... ....... .......
4. Supplemental employee benefits... 04 ....... ....... ....... ....... ....... ....... .......
5. Total production labor cost...... 05 ....... ....... ....... ....... ....... ....... .......
B. Forecast energy costs:
1. Electricity:
a. Quantity in kilowatt hours... 06 ....... ....... ....... ....... ....... ....... .......
b. Price per kwh................ 07 ....... ....... ....... ....... ....... ....... .......
c. Total electricity payments... 08 ....... ....... ....... ....... ....... ....... .......
2. Natural gas:
a. Quantity in mcf.............. 09 ....... ....... ....... ....... ....... ....... .......
b. Price per mcf................ 10 ....... ....... ....... ....... ....... ....... .......
c. Total natural gas payments... 11 ....... ....... ....... ....... ....... ....... .......
3. Coal:
a. Quantity in tons............. 12 ....... ....... ....... ....... ....... ....... .......
b. Price per ton................ 13 ....... ....... ....... ....... ....... ....... .......
c. Total coal payments.......... 14 ....... ....... ....... ....... ....... ....... .......
4. Fuel oil:
a. Quantity in gallons.......... 15 ....... ....... ....... ....... ....... ....... .......
b. Price per gallon............. 16 ....... ....... ....... ....... ....... ....... .......
c. Total fuel oil payments...... 17 ....... ....... ....... ....... ....... ....... .......
5. Other (specify):
a. Quantity (specific units).... 18 ....... ....... ....... ....... ....... ....... .......
b. Price per unit............... 19 ....... ....... ....... ....... ....... ....... .......
c. Total payments............... 20 ....... ....... ....... ....... ....... ....... .......
6. Total energy costs............... 21 ....... ....... ....... ....... ....... ....... .......
----------------------------------------------------------------------------------------------------------------
Schedule B.3--Pre-Control Forecast Profit and Loss Summary
[Smelter identification]
----------------------------------------------------------------------------------------------------------------
Line 1984 1985 1986 1987 1988 1989 1990
----------------------------------------------------------------------------------------------------------------
A. Forecast operating revenues:
1. Smelter revenues--unaffiliated 01 ....... ....... ....... ....... ....... ....... .......
parties............................
2. Smelter revenues--affiliated 02 ....... ....... ....... ....... ....... ....... .......
parties............................
3. Co-product and by-product sales.. 03 ....... ....... ....... ....... ....... ....... .......
4. Other operating revenues......... 04 ....... ....... ....... ....... ....... ....... .......
5. Total operating revenues......... 05 ....... ....... ....... ....... ....... .......
B. Forecast cost of sales:
1. Material costs................... 06 ....... ....... ....... ....... ....... ....... .......
2. Production labor costs........... 07 ....... ....... ....... ....... ....... .......
3. Energy costs..................... 08 ....... ....... ....... ....... ....... ....... .......
4. Pollution control costs.......... 09 ....... ....... ....... ....... ....... ....... .......
5. Production overhead.............. 10 ....... ....... ....... ....... ....... ....... .......
6. Other production costs........... 11 ....... ....... ....... ....... ....... ....... .......
7. Total cost of sales.............. 12 ....... ....... ....... ....... ....... ....... .......
C. Forecast gross operating profit...... 13 ....... ....... ....... ....... ....... ....... .......
D. Forecast other operating expenses:
1. Selling, general and 14 ....... ....... ....... ....... ....... ....... .......
administrative expenses............
2. Taxes, other than income tax..... 15 ....... ....... ....... ....... ....... ....... .......
3. Research costs................... 16 ....... ....... ....... ....... ....... ....... .......
4. Depreciation and amortization:
a. Pollution control facilities. 17 ....... ....... ....... ....... ....... ....... .......
b. Other smelter facilities..... 18 ....... ....... ....... ....... ....... ....... .......
5. Interest......................... 19 ....... ....... ....... ....... ....... ....... .......
6. Miscellaneous operating expenses. 20 ....... ....... ....... ....... ....... ....... .......
7. Total other operating expenses... 21 ....... ....... ....... ....... ....... ....... .......
E. Forecast income from operations...... 22 ....... ....... ....... ....... ....... ....... .......
----------------------------------------------------------------------------------------------------------------
[[Page 198]]
Schedule B.4--Constant Controls Revenue Forecast
[Smelter identification]
----------------------------------------------------------------------------------------------------------------
Line 1984 1985 1986 1987 1988 1989 1990
----------------------------------------------------------------------------------------------------------------
A. Forecast smelter revenues--
unaffiliated parties:
1. Concentrates processed........... 01 ....... ....... ....... ....... ....... ....... .......
2. Smelting charge.................. 02 ....... ....... ....... ....... ....... ....... .......
3. Total smelter revenues........... 03 ....... ....... ....... ....... ....... ....... .......
4. Average product grade............ 04 ....... ....... ....... ....... ....... ....... .......
B. Forecast smelter revenues--affiliated
parties:
1. Concentrates processed........... 05 ....... ....... ....... ....... ....... ....... .......
2. Smelting charge.................. 06 ....... ....... ....... ....... ....... ....... .......
3. Total smelter revenues........... 07 ....... ....... ....... ....... ....... ....... .......
4. Average product grade............ 08
C. Forecast co-product and by-product
sales:
1. Total co-product revenues........ 09 ....... ....... ....... ....... ....... ....... .......
2. Total by-product revenues from:
a. Pollution control faciltites. 10 ....... ....... ....... ....... ....... ....... .......
b. Other smelter processing..... 11 ....... ....... ....... ....... ....... ....... .......
3. Total co-product and by-product 12 ....... ....... ....... ....... ....... ....... .......
revenues...........................
----------------------------------------------------------------------------------------------------------------
Schedule B.5--Constant Controls Cost Forecast
[Smelter identification]
----------------------------------------------------------------------------------------------------------------
Line 1984 1985 1986 1987 1988 1989 1990
----------------------------------------------------------------------------------------------------------------
A. Forecast production labor cost:
1. Direct labor hours............... 01 ....... ....... ....... ....... ....... ....... .......
2. Average hourly wage rate......... 02 ....... ....... ....... ....... ....... ....... .......
3. Total wage payments.............. 03 ....... ....... ....... ....... ....... ....... .......
4. Supplemental employee benefits... 04 ....... ....... ....... ....... ....... ....... .......
5. Total production labor cost...... 05 ....... ....... ....... ....... ....... ....... .......
B. Forecast energy costs:
1. Electricity:
a. Quantity in kilowatt hours... 06 ....... ....... ....... ....... ....... ....... .......
b. Price per kwh................ 07 ....... ....... ....... ....... ....... ....... .......
c. Total electricity payments... 08 ....... ....... ....... ....... ....... ....... .......
2. Natural gas:
a. Quantity in mcf.............. 09 ....... ....... ....... ....... ....... ....... .......
b. Price per mcf................ 10 ....... ....... ....... ....... ....... ....... .......
c. Total natural gas payments... 11 ....... ....... ....... ....... ....... ....... .......
3. Coal:
a. Quantity in tons............. 12 ....... ....... ....... ....... ....... ....... .......
b. Price per ton................ 13 ....... ....... ....... ....... ....... ....... .......
c. Total coal payments.......... 14 ....... ....... ....... ....... ....... ....... .......
4. Fuel oil:
a. Quantity in gallons.......... 15 ....... ....... ....... ....... ....... ....... .......
b. Price per gallon............. 16 ....... ....... ....... ....... ....... ....... .......
c. Total fuel oil payments...... 17 ....... ....... ....... ....... ....... ....... .......
5. Other (specify):
a. Quantity (specific units).... 18 ....... ....... ....... ....... ....... ....... .......
b. Price per unit............... 19 ....... ....... ....... ....... ....... ....... .......
c. Total payments............... 20 ....... ....... ....... ....... ....... ....... .......
6. Total energy costs............... 21 ....... ....... ....... ....... ....... ....... .......
----------------------------------------------------------------------------------------------------------------
Schedule B.6--Constant Controls Profit and Loss Summary for the Profit Protection Test
[Smelter identification]
----------------------------------------------------------------------------------------------------------------
Line 1984 1985 1986 1987 1988 1989 1990
----------------------------------------------------------------------------------------------------------------
A. Forecast operating revenues:
1. Smelter revenues--unaffiliated 01 ....... ....... ....... ....... ....... ....... .......
parties............................
2. Smelter revenues--affiliated 02 ....... ....... ....... ....... ....... ....... .......
parties............................
3. Co-product and by-product sales.. 03 ....... ....... ....... ....... ....... ....... .......
4. Other operating revenues......... 04 ....... ....... ....... ....... ....... ....... .......
5. Total operating revenues......... 05 ....... ....... ....... ....... ....... ....... .......
B. Forecast cost of sales:
1. Material costs................... 06 ....... ....... ....... ....... ....... ....... .......
2. Production labor costs........... 07 ....... ....... ....... ....... ....... ....... .......
3. Energy costs..................... 08 ....... ....... ....... ....... ....... ....... .......
[[Page 199]]
4. Pollution control costs.......... 09 ....... ....... ....... ....... ....... ....... .......
5. Production overhead.............. 10 ....... ....... ....... ....... ....... ....... .......
6. Other production costs........... 11 ....... ....... ....... ....... ....... ....... .......
7. Total cost of sales.............. 12 ....... ....... ....... ....... ....... ....... .......
C. Forecast gross operating profit...... 13 ....... ....... ....... ....... ....... ....... .......
D. Forecast other operating expenses:
1. Selling, general and 14 ....... ....... ....... ....... ....... ....... .......
administrative expenses............
2. Taxes, other than income tax..... 15 ....... ....... ....... ....... ....... ....... .......
3. Research costs................... 16 ....... ....... ....... ....... ....... ....... .......
4. Depreciation and amortization:
a. Pollution control facilities. 17 ....... ....... ....... ....... ....... ....... .......
b. Other smelter facilities..... 18 ....... ....... ....... ....... ....... ....... .......
5. Interest......................... 19 ....... ....... ....... ....... ....... ....... .......
6. Miscellaneous operating expenses. 20 ....... ....... ....... ....... ....... ....... .......
7. Total other operating expenses... 21 ....... ....... ....... ....... ....... ....... .......
E. Forecast income from operations...... 22 ....... ....... ....... ....... ....... ....... .......
----------------------------------------------------------------------------------------------------------------
Schedule B.7--Profit Protection Test
[Smelter identification]
----------------------------------------------------------------------------------------------------------------
Line 1984 1985 1986 1987 1988 1989 1990 Total
----------------------------------------------------------------------------------------------------------------
A. Pre-control case:
1. Net income from 01 ....... ....... ....... ....... ....... ....... ....... XXXX
operations................
2. Discount factors........ 02 ....... ....... ....... ....... ....... ....... ....... XXXX
3. Present value of future 03 ....... ....... ....... ....... ....... ....... ....... XXXX
net income................
4. Horizon value........... 04 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
5. Discount factor......... 05 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
6. Present value of horizon 06 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
value.....................
7. Present value of future 07 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
net income................
8. Total present value..... 08 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
B. Constant controls case:
1. Net income from 09 ....... ....... ....... ....... ....... ....... ....... XXXX
operations................
2. Discount factors........ 10 ....... ....... ....... ....... ....... ....... ....... XXXX
3. Present value of future 11 ....... ....... ....... ....... ....... ....... ....... XXXX
net income................
4. Horizon value........... 12 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
5. Discount factor......... 13 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
6. Present value of horizon 14 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
value.....................
7. Present value of future 15 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
net income................
8. Total present value..... 16 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
C. Ratio of total present value 17 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
of constant controls case to
total, present value of base
case..........................
----------------------------------------------------------------------------------------------------------------
Schedule C.1--Constant Controls Profit and Loss Summary for the Rate of Return Test
[Smelter identification]
----------------------------------------------------------------------------------------------------------------
Line 1984 1985 1986 1987 1988 1989 1990
----------------------------------------------------------------------------------------------------------------
A. Forecast operating revenues:
1. Smelter revenues--unaffilated 01 ....... ....... ....... ....... ....... ....... .......
parties............................
2. Smelter revenues--affiliated 02 ....... ....... ....... ....... ....... ....... .......
parties............................
3. Co-product and by-product sales.. 03 ....... ....... ....... ....... ....... ....... .......
4. Other operating revenues......... 04 ....... ....... ....... ....... ....... ....... .......
5. Total operating revenues......... 05 ....... ....... ....... ....... ....... ....... .......
B. Forecast cost of sales:
1. Material costs................... 06 ....... ....... ....... ....... ....... ....... .......
2. Production labor costs........... 07 ....... ....... ....... ....... ....... ....... .......
3. Energy costs..................... 08 ....... ....... ....... ....... ....... ....... .......
4. Pollution control costs.......... 09 ....... ....... ....... ....... ....... ....... .......
5. Production overhead.............. 10 ....... ....... ....... ....... ....... ....... .......
[[Page 200]]
6. Other production costs........... 11 ....... ....... ....... ....... ....... ....... .......
7. Total cost of sales.............. 12 ....... ....... ....... ....... ....... ....... .......
C. Forecast gross operating profit...... 13 ....... ....... ....... ....... ....... ....... .......
D. Forecast other operating expenses:
1. Selling, general and 14 ....... ....... ....... ....... ....... ....... .......
administrative expenses............
2. Taxes, other than income tax..... 15 ....... ....... ....... ....... ....... ....... .......
3. Research costs................... 16 ....... ....... ....... ....... ....... ....... .......
4. Depreciation and amortization
a. Pollution control facilities. 17 ....... ....... ....... ....... ....... ....... .......
b. Other smelter facilities..... 18 ....... ....... ....... ....... ....... ....... .......
5. Interest on short-term debt...... 19 ....... ....... ....... ....... ....... ....... .......
6. Miscellaneous operating expenses. 20 ....... ....... ....... ....... ....... ....... .......
7. Total other operating expenses... 21 ....... ....... ....... ....... ....... ....... .......
E. Forecast income from operations...... 22 ....... ....... ....... ....... ....... ....... .......
F. Forecast income taxes................ 23 ....... ....... ....... ....... ....... ....... .......
G. Forecast net income from operations.. 24 ....... ....... ....... ....... ....... ....... .......
----------------------------------------------------------------------------------------------------------------
Schedule C.2--Constant Controls Sustaining Capital Investment Forecast
[Smelter identification]
----------------------------------------------------------------------------------------------------------------
Sustaining capital Line 1984 1985 1986 1987 1988 1989 1990
----------------------------------------------------------------------------------------------------------------
1. Land................................. 01 ....... ....... ....... ....... ....... ....... .......
2. Buildings and improvements........... 02 ....... ....... ....... ....... ....... ....... .......
2. Machinery and equipment.............. 03 ....... ....... ....... ....... ....... ....... .......
4. Transportation equipment............. 04 ....... ....... ....... ....... ....... ....... .......
5. Pollution control facilities......... 05 ....... ....... ....... ....... ....... ....... .......
6. Other fixed assets................... 06 ....... ....... ....... ....... ....... ....... .......
7. Total smelter sustaining capital..... 07 ....... ....... ....... ....... ....... ....... .......
----------------------------------------------------------------------------------------------------------------
Schedule C.3--Historical Capital Investment in Constant Dollars
[Smelter identification]
----------------------------------------------------------------------------------------------------------------
Nominal Constant
Items from 1983 balance sheet Line dollars dollars
----------------------------------------------------------------------------------------------------------------
A. Current assets:
1. Cash on hand and deposit................................................ 01 ......... .........
2. Temporary cash investments.............................................. 02 ......... .........
3. Trade receivables, net:
a. Unaffiliated customers.............................................. 03 ......... .........
b. Affiliated customers................................................ 04 ......... .........
4. Inventories:
a. Raw materials and products.......................................... 05 ......... .........
b. Other materials and supplies........................................ 06 ......... .........
5. Other current assets.................................................... 07 ......... .........
6. Total current assets.................................................... 08 ......... .........
B. Property, plant and equipment:
1. Land.................................................................... 09 ......... .........
2. Buildings and improvements.............................................. 10 ......... .........
3. Machinery and equipment................................................. 11 ......... .........
4. Transportation equipment................................................ 12 ......... .........
5. Pollution control facilities............................................ 13 ......... .........
6. Other fixed assets...................................................... 14 ......... .........
7. Total smelter investments............................................... 15 ......... .........
8. Less: Accumulated depreciation and amortization......................... 16 ......... .........
9. Net smelter investment.................................................. 17 ......... .........
C. Other noncurrent assets..................................................... 18 ......... .........
D. Total smelter capital investment............................................ 19 ......... .........
E. Current liabilities:
1. Trade accounts and notes payable:
a. Unaffiliated suppliers.............................................. 20 ......... .........
b. Affiliated suppliers................................................ 21 ......... .........
2. Other expense accruals.................................................. 22 ......... .........
3. Notes payable, current.................................................. 23 ......... .........
4. Other current liabilities............................................... 24 ......... .........
[[Page 201]]
5. Total current liabilities............................................... 25 ......... .........
F. Net smelter capital investment.............................................. 26 ......... .........
----------------------------------------------------------------------------------------------------------------
Schedule C.4--Rate of Return Test
[Smelter identification]
----------------------------------------------------------------------------------------------------------------
Line 1984 1985 1986 1987 1988 1989 1990 Total
----------------------------------------------------------------------------------------------------------------
A. Operating cash flow
projection:
1. Net income from 01 ....... ....... ....... ....... ....... ....... ....... XXXX
operations................
2. Depreciation and
amortization:
a. Pollution control 02 ....... ....... ....... ....... ....... ....... ....... XXXX
facilities............
b. Other smelter 03 ....... ....... ....... ....... ....... ....... ....... XXXX
facilities............
3. Operating cash flow..... 04 ....... ....... ....... ....... ....... ....... ....... XXXX
4. Capital expenditure
projections:
a. Constant controls... 05 ....... ....... ....... ....... ....... ....... ....... XXXX
b. Sustaining capital.. 06 ....... ....... ....... ....... ....... ....... ....... XXXX
c. Total............... 07 ....... ....... ....... ....... ....... ....... ....... XXXX
5. Net cash flow 08 ....... ....... ....... ....... ....... ....... ....... XXXX
projections...............
6. Discount factors........ 09 ....... ....... ....... ....... ....... ....... ....... XXXX
7. Present value of future 10 ....... ....... ....... ....... ....... ....... ....... XXXX
cash flows................
B. Net present value:
1. Horizon value........... 11 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
2. Discount factor......... 12 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
3. Present value of horizon 13 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
value.....................
4. Present value of future 14 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
cash flows................
5. Total present value..... 15 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
6. Net smelter capital 16 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
investment in constant
dollars...................
7. Net present value....... 17 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
----------------------------------------------------------------------------------------------------------------
Schedule C.5--Horizon Value of Cash Flows
[Smelter identification]
----------------------------------------------------------------------------------------------------------------
Final forecast Horizon years
years -----------------------------------------------------
Line ------------------
1989 1990 1991 1992 1993 1994 1995 Total
----------------------------------------------------------------------------------------------------------------
A. Depreciation-free horizon
value:
1. Net cash flow 01 ....... ....... XXXX XXXX XXXX XXXX XXXX XXXX
projections...............
2. Depreciation tax
savings:
a. Depreciation and 02 ....... ....... XXXX XXXX XXXX XXXX XXXX XXXX
amortization..........
b. Marginal tax rate... 03 ....... ....... XXXX XXXX XXXX XXXX XXXX XXXX
c. Tax savings......... 04 ....... ....... XXXX XXXX XXXX XXXX XXXX XXXX
3. Depreciation-free net
cash flows:
a. Nominal dollar 05 ....... ....... XXXX XXXX XXXX XXXX XXXX XXXX
values................
b. 1990 dollar values.. 06 ....... ....... XXXX XXXX XXXX XXXX XXXX XXXX
c. Average............. 07 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
4. Horizon factor.......... 08 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
5. Depreciation-free 09 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
horizon value.............
B. Depreciation tax savings
over the horizon period:
1. Depreciation and 10 XXXX XXXX ....... ....... ....... ....... ....... XXXX
amortization..............
2. Marginal tax rate....... 11 XXXX XXXX ....... ....... ....... ....... ....... XXXX
3. Tax savings............. 12 XXXX XXXX ....... ....... ....... ....... ....... XXXX
4. Discount factors........ 13 XXXX XXXX ....... ....... ....... ....... ....... XXXX
5. Present value of tax 14 XXXX XXXX ....... ....... ....... ....... ....... XXXX
savings...................
6. Total present value of 15 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
tax savings...............
C. Horizon Value............... 16 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
----------------------------------------------------------------------------------------------------------------
[[Page 202]]
Schedule D.1--Interim Controls Revenue Forecast
[Smelter Identification]
----------------------------------------------------------------------------------------------------------------
Line 1984 1985 1986 1987 1988 1989 1990
----------------------------------------------------------------------------------------------------------------
A. Forecast smelter revenues--
unaffiliated parties:
1. Concentrates processed........... 01 ....... ....... ....... ....... ....... ....... .......
2. Smelting charge.................. 02 ....... ....... ....... ....... ....... ....... .......
3. Total smelter revenues........... 03 ....... ....... ....... ....... ....... ....... .......
4. Average product grade............ 04 ....... ....... ....... ....... ....... ....... .......
B. Forecast smelter revenues--affiliated
parties:
1. Concentrates processed........... 05 ....... ....... ....... ....... ....... ....... .......
2. Smelting charge.................. 06 ....... ....... ....... ....... ....... ....... .......
3. Total smelter revenues........... 07 ....... ....... ....... ....... ....... ....... .......
4. Average product grade............ 08 ....... ....... ....... ....... ....... ....... .......
C. Forecast co-product and by-product
sales:
1. Total co-product revenues........ 09 ....... ....... ....... ....... ....... ....... .......
2. Total by-product revenues from:
a. Pollution control facilities. 10 ....... ....... ....... ....... ....... ....... .......
b. Other smelter processing..... 11 ....... ....... ....... ....... ....... ....... .......
3. Total co-product and by-product 12 ....... ....... ....... ....... ....... ....... .......
revenues:..........................
----------------------------------------------------------------------------------------------------------------
Schedule D.2--Interim Controls Cost Forecast
[Smelter Identification]
----------------------------------------------------------------------------------------------------------------
Line 1984 1985 1986 1987 1988 1989 1990
----------------------------------------------------------------------------------------------------------------
A. Forecast production labor cost:
1. Direct labor hours............... 01 ....... ....... ....... ....... ....... ....... .......
2. Average hourly wage rate......... 02 ....... ....... ....... ....... ....... ....... .......
3. Total wage payments.............. 03 ....... ....... ....... ....... ....... ....... .......
4. Supplemental employee benefits... 04 ....... ....... ....... ....... ....... ....... .......
5. Total production labor cost...... 05 ....... ....... ....... ....... ....... ....... .......
B. Forecast energy costs:
1. Electricity:
a. Quantity in kilowatt hours... 06 ....... ....... ....... ....... ....... ....... .......
b. Price per kwh................ 07 ....... ....... ....... ....... ....... ....... .......
c. Total electricity payments... 08 ....... ....... ....... ....... ....... ....... .......
2. Natural gas:
a. Quantity in mcf.............. 09 ....... ....... ....... ....... ....... ....... .......
b. Price per mcf................ 10 ....... ....... ....... ....... ....... ....... .......
c. Total natural gas payments... 11 ....... ....... ....... ....... ....... ....... .......
3. Coal:
a. Quantity in tons............. 12 ....... ....... ....... ....... ....... ....... .......
b. Price per ton................ 13 ....... ....... ....... ....... ....... ....... .......
c. Total coal payments.......... 14 ....... ....... ....... ....... ....... ....... .......
4. Fuel oil:
a. Quantity in gallons.......... 15 ....... ....... ....... ....... ....... ....... .......
b. Price per gallon............. 16 ....... ....... ....... ....... ....... ....... .......
c. Total fuel oil payments...... 17 ....... ....... ....... ....... ....... ....... .......
5. Other (specify):
a. Quantity (specific units).... 18 ....... ....... ....... ....... ....... ....... .......
b. Price per unit............... 18 ....... ....... ....... ....... ....... ....... .......
c. Total payments............... 20 ....... ....... ....... ....... ....... ....... .......
6. Total energy costs............... 21 ....... ....... ....... ....... ....... ....... .......
----------------------------------------------------------------------------------------------------------------
Schedule D.3--Interim Controls Forecast Profit and Loss Summary
[Smelter identification]
----------------------------------------------------------------------------------------------------------------
Line 1984 1985 1986 1987 1988 1989 1990
----------------------------------------------------------------------------------------------------------------
A. Forecast operating revenues:
1. Smelter revenues--unaffiliated 01 ....... ....... ....... ....... ....... ....... .......
parties............................
2. Smelter revenues--affiliated 02 ....... ....... ....... ....... ....... ....... .......
parties............................
3. Co-product and by-product sales.. 03 ....... ....... ....... ....... ....... ....... .......
4. Other operating revenues......... 04 ....... ....... ....... ....... ....... ....... .......
5. Total operating revenues......... 05 ....... ....... ....... ....... ....... ....... .......
B. Forecast cost of sales:
1. Material costs................... 06 ....... ....... ....... ....... ....... ....... .......
2. Production labor costs........... 07 ....... ....... ....... ....... ....... ....... .......
3. Energy costs..................... 08 ....... ....... ....... ....... ....... ....... .......
4. Pollution control costs.......... 09 ....... ....... ....... ....... ....... ....... .......
5. Production overhead.............. 10 ....... ....... ....... ....... ....... ....... .......
[[Page 203]]
6. Other production costs........... 11 ....... ....... ....... ....... ....... ....... .......
7. Total cost of sales.............. 12 ....... ....... ....... ....... ....... ....... .......
C. Forecast gross operating profit...... 13 ....... ....... ....... ....... ....... ....... .......
D. Forecast other operating expenses:
1. Selling, general and 14 ....... ....... ....... ....... ....... ....... .......
administrative expenses............
2. Taxes, other than income tax..... 15 ....... ....... ....... ....... ....... ....... .......
3. Research costs................... 16 ....... ....... ....... ....... ....... ....... .......
4. Depreciation and amortization:
a. Pollution control facilities. 17 ....... ....... ....... ....... ....... ....... .......
b. Other smelter facilities..... 18 ....... ....... ....... ....... ....... ....... .......
5. Interest on short-term debt...... 19 ....... ....... ....... ....... ....... ....... .......
6. Miscellaneous operating expenses. 20 ....... ....... ....... ....... ....... ....... .......
7. Total other operating expenses... 21 ....... ....... ....... ....... ....... ....... .......
E. Forecast income from operations...... 22 ....... ....... ....... ....... ....... ....... .......
F. Forecast income taxes................ 23 ....... ....... ....... ....... ....... ....... .......
G. Forecast net income from operations.. 24 ....... ....... ....... ....... ....... ....... .......
----------------------------------------------------------------------------------------------------------------
Schedule D.4--Interim Control Sustaining Capital Investment Forecast
[Smelter identification]
----------------------------------------------------------------------------------------------------------------
Sustaining capital Line 1984 1985 1986 1987 1988 1989 1990
----------------------------------------------------------------------------------------------------------------
1. Land................................. 01 ....... ....... ....... ....... ....... ....... .......
2. Buildings and improvements........... 02 ....... ....... ....... ....... ....... ....... .......
3. Machinery and equipment.............. 03 ....... ....... ....... ....... ....... ....... .......
4. Transportation equipment............. 04 ....... ....... ....... ....... ....... ....... .......
5. Pollution control facilities......... 05 ....... ....... ....... ....... ....... ....... .......
6. Other fixed assets................... 06 ....... ....... ....... ....... ....... ....... .......
7. Total smelter sustaining capital..... 07 ....... ....... ....... ....... ....... ....... .......
----------------------------------------------------------------------------------------------------------------
Schedule D.5--Cash Proceeds From Liquidation
[Smelter identification]
----------------------------------------------------------------------------------------------------------------
Gain (loss) subject
(1) (2) (3) to taxation as--
Estimated Reported Total --------------------
Line Liquidation net book gain (4) (5)
value value (loss) Ordinary Capital
income gain
----------------------------------------------------------------------------------------------------------------
A. Total current assets......................... 01 ........... .......... XXXXX XXXXX XXXXX
B. Property, plant and equipment:
1. Land..................................... 02 ........... .......... ....... .......... .......
2. Buildings and improvements............... 03 ........... .......... ....... .......... .......
3. Machinery and equipment.................. 04 ........... .......... ....... .......... .......
4. Transportation equipment................. 05 ........... .......... ....... .......... .......
5. Pollution control facilities............. 06 ........... .......... ....... .......... .......
6. Other fixed assets....................... 07 ........... .......... ....... .......... .......
7. Total.................................... 08 ........... .......... ....... .......... .......
C. Other noncurrent assets...................... 09 ........... .......... ....... .......... .......
D. Total smelter value.......................... 10 ........... .......... ....... .......... .......
E. Total current liabilities.................... 11 ........... .......... XXXXX XXXXX XXXXX
F. Gross liquidation value...................... 12 ........... .......... ....... .......... .......
G. Liquidation costs............................ 13 ........... XXXXX ....... .......... XXXXX
H. Net Taxable Gain (or loss)................... 14 XXXXX XXXXX XXXXX .......... .......
I. Income tax rate.............................. 15 XXXXX XXXXX XXXXX .......... .......
J. Income tax on gain (loss).................... 16 XXXXX XXXXX XXXXX .......... .......
K. After tax cash proceeds from liquidation..... 17 ........... XXXXX XXXXX XXXXX XXXXX
----------------------------------------------------------------------------------------------------------------
Schedule D.6--Permanent Waiver From Interim Controls Test
[Smelter identification]
----------------------------------------------------------------------------------------------------------------
Line 1984 1985 1986 1987 1988 1989 1990 Total
----------------------------------------------------------------------------------------------------------------
A. Operating Cash flow
projection:
1. Net income from 01 ....... ....... ....... ....... ....... ....... ....... XXXX
operations................
2. Net income adjustments.. 02 ....... ....... ....... ....... ....... ....... ....... XXXX
[[Page 204]]
3. Depreciation and
amortization:
a. Pollution control 03 ....... ....... ....... ....... ....... ....... ....... XXXX
facilities............
b. Other smelter 04 ....... ....... ....... ....... ....... ....... ....... XXXX
facilities............
4. Operating cash flow..... 05 ....... ....... ....... ....... ....... ....... ....... XXXX
5. Capital expenditure
projections:
a. Interim controls.... 06 ....... ....... ....... ....... ....... ....... ....... XXXX
b. Sustaining capital.. 07 ....... ....... ....... ....... ....... ....... ....... XXXX
c. Total............... 08 ....... ....... ....... ....... ....... ....... ....... XXXX
6. Net cash flow 09 ....... ....... ....... ....... ....... ....... ....... XXXX
projections...............
7. Discount factors........ 10 ....... ....... ....... ....... ....... ....... ....... XXXX
8. Present value of future 11 ....... ....... ....... ....... ....... ....... ....... XXXX
cash flows................
B. Net present value:
1. Horizon value........... 12 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
2. Discount factor......... 13 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
3. Present value of horizon 14 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
value.....................
4. Present value of future 15 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
cash flows................
5. Total present value..... 16 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
6. Current salvage value... 17 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
7. Net present value....... 18 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
----------------------------------------------------------------------------------------------------------------
Schedule D.7--Horizon Value of Cash Flows
[Smelter identification]
----------------------------------------------------------------------------------------------------------------
Final forecast Horizon years
years ---------------------------------------------
Line ------------------ Total
1989 1990 1991 1992 1993 1994 1995
----------------------------------------------------------------------------------------------------------------
A. Depreciation-free horizon
value:
1. Net cash flow 01 ....... ....... XXXX XXXX XXXX XXXX XXXX XXXX
projections...............
2. Depreciation tax
savings:
a. Depreciation and 02 ....... ....... XXXX XXXX XXXX XXXX XXXX XXXX
amortization..........
b. Marginal tax rate... 03 ....... ....... XXXX XXXX XXXX XXXX XXXX XXXX
c. Tax savings......... 04 ....... ....... XXXX XXXX XXXX XXXX XXXX XXXX
3. Depreciation-free net
cash flows:
a. Nominal dollar 05 ....... ....... XXXX XXXX XXXX XXXX XXXX XXXX
values................
b. 1990 dollar values.. 06 ....... ....... XXXX XXXX XXXX XXXX XXXX XXXX
c. Average............. 07 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
4. Horizon factor.......... 08 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
5. Depreciation-free 09 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
horizon value.............
B. Depreciation tax savings
over the horizon period:
1. Depreciation and 10 XXXX XXXX ....... ....... ....... ....... ....... XXXX
amortization..............
2. Marginal tax rate....... 11 XXXX XXXX ....... ....... ....... ....... ....... XXXX
3. Tax savings............. 12 XXXX XXXX ....... ....... ....... ....... ....... XXXX
4. Discount factors........ 13 XXXX XXXX ....... ....... ....... ....... ....... XXXX
5. Present value of tax 14 XXXX XXXX ....... ....... ....... ....... ....... XXXX
savings...................
6. Total present value of 15 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
tax savings...............
C. Horizon Value............... 16 XXXX XXXX XXXX XXXX XXXX XXXX XXXX .......
----------------------------------------------------------------------------------------------------------------
PART 58--AMBIENT AIR QUALITY SURVEILLANCE--Table of Contents
Subpart A--General Provisions
Sec.
58.1 Definitions.
58.2 Purpose.
58.3 Applicability.
Subpart B--Monitoring Criteria
58.10 Quality assurance.
58.11 Monitoring methods.
58.12 Siting of instruments or instrument probes.
58.13 Operating schedule.
58.14 Special purpose monitors.
[[Page 205]]
Subpart C--State and Local Air Monitoring Stations (SLAMS)
58.20 Air quality surveillance: plan content.
58.21 SLAMS network design.
58.22 SLAMS methodology.
58.23 Monitoring network completion.
58.24 [Reserved]
58.25 System modification.
58.26 Annual State air monitoring report.
58.27 Compliance date for air quality data reporting.
58.28 SLAMS data submittal.
Subpart D--National Air Monitoring Stations (NAMS)
58.30 NAMS network establishment.
58.31 NAMS network description.
58.32 NAMS approval.
58.33 NAMS methodology.
58.34 NAMS network completion.
58.35 NAMS data submittal.
58.36 System modification.
Subpart E--Photochemical Assessment Monitoring Stations (PAMS)
58.40 PAMS network establishment.
58.41 PAMS network description.
58.42 PAMS approval.
58.43 PAMS methodology.
58.44 PAMS network completion.
58.45 PAMS data submittal.
58.46 System modification.
Subpart F--Air Quality Index Reporting
58.50 Index reporting.
Subpart G--Federal Monitoring
58.60 Federal monitoring.
58.61 Monitoring other pollutants.
Appendix A to Part 58--Quality Assurance Requirements for State and
Local Air Monitoring Stations (SLAMS)
Appendix B to Part 58--Quality Assurance Requirements for Prevention of
Significant Deterioration (PSD) Air Monitoring
Appendix C to Part 58--Ambient Air Quality Monitoring Methodology
Appendix D to Part 58--Network Design for State and Local Air Monitoring
Stations (SLAMS), National Air Monitoring Stations (NAMS), and
Photochemical Assessment Monitoring Stations (PAMS)
Appendix E to Part 58--Probe and Monitoring Path Siting Criteria for
Ambient Air Quality Monitoring
Appendix F to Part 58--Annual SLAMS Air Quality Information
Appendix G to Part 58--Uniform Air Quality Index (AQI) and Daily
Reporting
Authority: 42 U.S.C. 7410, 7601(a), 7613, and 7619.
Source: 44 FR 27571, May 10, 1979, as amended at 59 FR 41628, Aug.
12, 1994.
Subpart A--General Provisions
Sec. 58.1 Definitions.
As used in this part, all terms not defined herein have the meaning
given them in the Act:
Act means the Clean Air Act as amended (42 U.S.C. 7401, et seq.).
Administrator means the Administrator of the Environmental
Protection Agency (EPA) or his or her authorized representative.
Aerometric Information Retrieval System (AIRS)-Air Quality Subsystem
(AQS) is EPA's computerized system for storing and reporting of
information relating to ambient air quality data.
Annual State air monitoring report is an annual report, prepared by
control agencies and submitted to EPA for approval, that consists of an
annual data summary report for all pollutants and a detailed report
describing any proposed changes to their air quality surveillance
network.
CO means carbon monoxide.
Community Monitoring Zone (CMZ) means an optional averaging area
with established, well defined boundaries, such as county or census
block, within a MPA that has relatively uniform concentrations of annual
PM2.5 as defined by appendix D of this part. Two or more core
SLAMS and other monitors within a CMZ that meet certain requirements as
set forth in Appendix D of this part may be averaged for making
comparisons to the annual PM2.5 NAAQS.
Consolidated Metropolitan Statistical Area (CMSA) means the most
recent area as designated by the U.S. Office of Management and Budget
and population figures from the Bureau of the Census. The Department of
Commerce provides that within metropolitan complexes of 1 million or
more population, separate component areas are defined if specific
criteria are met. Such areas are designated primary metropolitan
statistical areas (PMSAs; and any area containing PMSAs is designated
CMSA.
[[Page 206]]
Core PM2.5 SLAMS means community-oriented monitoring
sites representative of community-wide exposures that are the basic
component sites of the PM2.5 SLAMS regulatory network. Core
PM2.5 SLAMS include community-oriented SLAMS monitors, and
sites collocated at PAMS.
Corrected concentration pertains to the result of an accuracy or
precision assessment test of an open path analyzer in which a high-
concentration test or audit standard gas contained in a short test cell
is inserted into the optical measurement beam of the instrument. When
the pollutant concentration measured by the analyzer in such a test
includes both the pollutant concentration in the test cell and the
concentration in the atmosphere, the atmospheric pollutant concentration
must be subtracted from the test measurement to obtain the corrected
concentration test result. The corrected concentration is equal to the
measured concentration minus the average of the atmospheric pollutant
concentrations measured (without the test cell) immediately before and
immediately after the test.
Correlated acceptable continuous (CAC) PM analyzer means an optional
fine particulate matter analyzer that can be used to supplement a
PM2.5 reference or equivalent sampler, in accordance with the
provisions of Sec. 58.13(f).
Effective concentration pertains to testing an open path analyzer
with a high-concentration calibration or audit standard gas contained in
a short test cell inserted into the optical measurement beam of the
instrument. Effective concentration is the equivalent ambient-level
concentration that would produce the same spectral absorbance over the
actual atmospheric monitoring path length as produced by the high-
concentration gas in the short test cell. Quantitatively, effective
concentration is equal to the actual concentration of the gas standard
in the test cell multiplied by the ratio of the path length of the test
cell to the actual atmospheric monitoring path length.
Equivalent method means a method of sampling and analyzing the
ambient air for an air pollutant that has been designated as an
equivalent method in accordance with part 53 of this chapter; it does
not include a method for which an equivalent method designation has been
canceled in accordance with Sec. 53.11 or Sec. 53.16 of this chapter.
Indian Governing Body means the governing body of any tribe, band,
or group of Indians subject to the jurisdiction of the United States and
recognized by the United States as possessing power of self-government.
Indian Reservation means any Federally recognized reservation
established by treaty, agreement, executive order, or act of Congress.
Local agency means any local government agency, other than the State
agency, which is charged with the responsibility for carrying out a
portion of the plan.
Meteorological measurements means measurements of wind speed, wind
direction, barometric pressure, temperature, relative humidity, and
solar radiation.
Metropolitan Statistical Area (MSA) as designated by the most recent
decennial U.S. Census of Population Report.
Monitor is a generic term for an instrument, sampler, analyzer, or
other device that measures or assists in the measurement of atmospheric
air pollutants and which is acceptable for use in ambient air
surveillance under the provisions of appendix C to this part, including
both point and open path analyzers that have been designated as either
reference or equivalent methods under part 53 of this chapter and air
samplers that are specified as part of a manual method that has been
designated as a reference or equivalent method under part 53 of this
chapter.
Monitoring path for an open path analyzer is the actual path in
space between two geographical locations over which the pollutant
concentration is measured and averaged.
Monitoring path length of an open path analyzer is the length of the
monitoring path in the atmosphere over which the average pollutant
concentration measurement (path-averaged concentration) is determined.
See also, optical measurement path length.
Monitoring Planning Area (MPA) means a contiguous geographic area
[[Page 207]]
with established, well defined boundaries, such as a metropolitan
statistical area, county or State, having a common area that is used for
planning monitoring locations for PM2.5. MPAs may cross State
boundaries, such as the Philadelphia PA-NJ MSA, and be further
subdivided into community monitoring zones. MPAs are generally oriented
toward areas with populations greater than 200,000, but for convenience,
those portions of a State that are not associated with MSAs can be
considered as a single MPA. MPAs must be defined, where applicable, in a
State PM monitoring network description.
NAMS means National Air Monitoring Station(s). Collectively the NAMS
are a subset of the SLAMS ambient air quality monitoring network.
NO2 means nitrogen dioxide. NO means nitrogen oxide.
NOX means oxides of nitrogen and is defined as the sum of the
concentrations of NO2 and NO.
O3 means ozone.
Open path analyzer is an automated analytical method that measures
the average atmospheric pollutant concentration in situ along one or
more monitoring paths having a monitoring path length of 5 meters or
more and that has been designated as a reference or equivalent method
under the provisions of part 53 of this chapter.
Optical measurement path length is the actual length of the optical
beam over which measurement of the pollutant is determined. The path-
integrated pollutant concentration measured by the analyzer is divided
by the optical measurement path length to determine the path-averaged
concentration. Generally, the optical measurement path length is:
(1) Equal to the monitoring path length for a (bistatic) system
having a transmitter and a receiver at opposite ends of the monitoring
path;
(2) Equal to twice the monitoring path length for a (monostatic)
system having a transmitter and receiver at one end of the monitoring
path and a mirror or retroreflector at the other end; or
(3) Equal to some multiple of the monitoring path length for more
complex systems having multiple passes of the measurement beam through
the monitoring path.
PAMS means Photochemical Assessment Monitoring Stations.
Particulate matter monitoring network description, required by
Sec. 58.20(f), means a detailed plan, prepared by control agencies and
submitted to EPA for approval, that describes their PM2.5 and
PM10 air quality surveillance network.
Pb means lead.
Plan means an implementation plan, approved or promulgated pursuant
to section 110 of the Clean Air Act.
PM2.5 means particulate matter with an aerodynamic
diameter less than or equal to a nominal 2.5 micrometers as measured by
a reference method based on 40 CFR part 50, Appendix L, and designated
in accordance with part 53 of this chapter or by an equivalent method
designated in accordance with part 53 of this chapter.
PM10 means particulate matter with an aerodynamic
diameter less than or equal to a nominal 10 micrometers as measured by a
reference method based on appendix J of part 50 of this chapter and
designated in accordance with part 53 of this chapter or by an
equivalent method designated in accordance with part 53 of this chapter.
Point analyzer is an automated analytical method that measures
pollutant concentration in an ambient air sample extracted from the
atmosphere at a specific inlet probe point and that has been designated
as a reference or equivalent method in accordance with part 53 of this
chapter.
Population-oriented monitoring (or sites) applies to residential
areas, commercial areas, recreational areas, industrial areas, and other
areas where a substantial number of people may spend a significant
fraction of their day.
Primary Metropolitan Statistical Area (PMSA) is a separate component
of a consolidated metropolitan statistical area. For the purposes of
this part, PMSA is used interchangeably with MSA.
Probe is the actual inlet where an air sample is extracted from the
atmosphere for delivery to a sampler or point analyzer for pollutant
analysis.
PSD station means any station operated for the purpose of
establishing the
[[Page 208]]
effect on air quality of the emissions from a proposed source for
purposes of prevention of significant deterioration as required by
Sec. 51.24(n) of part 51 of this chapter.
Reference method means a method of sampling and analyzing the
ambient air for an air pollutant that will be specified as a reference
method in an appendix to part 50 of this chapter, or a method that has
been designated as a reference method in accordance with this part; it
does not include a method for which a reference method designation has
been canceled in accordance with Sec. 53.11 or Sec. 53.16 of this
chapter.
Regional Administrator means the Administrator of one of the ten EPA
Regional Offices or his or her authorized representative.
SAROAD site identification form is one of the several forms in the
SAROAD system. It is the form which provides a complete description of
the site (and its surroundings) of an ambient air quality monitoring
station.
SLAMS means State or Local Air Monitoring Station(s). The SLAMS make
up the ambient air quality monitoring network which is required by
Sec. 58.20 to be provided for in the State's implementation plan. This
definition places no restrictions on the use of the physical structure
or facility housing the SLAMS. Any combination of SLAMS and any other
monitors (Special Purpose, NAMS, PSD) may occupy the same facility or
structure without affecting the respective definitions of those
monitoring station.
SO2 means sulfur dioxide.
Special Purpose Monitor (SPM) is a generic term used for all
monitors other than SLAMS, NAMS, PAMS, and PSD monitors included in an
agency's monitoring network for monitors used in a special study whose
data are officially reported to EPA.
State agency means the air pollution control agency primarily
responsible for development and implementation of a plan under the Act.
Storage and Retrieval of Aerometric Data (SAROAD) system is a
computerized system which stores and reports information relating to
ambient air quality. The SAROAD system has been replaced with the AIRS-
AQS system; however, the SAROAD data reporting format continues to be
used by some States and local air pollution agencies as an interface to
AIRS on an interim basis.
Traceable means that a local standard has been compared and
certified, either directly or via not more than one intermediate
standard, to a National Institute of Standards and Technology (NIST)-
certified primary standard such as a NIST-Traceable Reference Material
(NTRM) or a NIST-certified Gas Manufacturer's Internal Standard (GMIS).
TSP (total suspended particulates) means particulate matter as
measured by the method described in appendix B of part 50 of this
chapter,
Urban area population means the population defined in the most
recent decennial U.S. Census of Population Report.
VOC means volatile organic compounds.
[44 FR 27571, May 10, 1979, as amended at 48 FR 2529, Jan. 20, 1983; 51
FR 9586, Mar. 19, 1986; 52 FR 24739, July 1, 1987; 58 FR 8467, Feb. 12,
1993; 59 FR 41628, 41629, Aug. 12, 1994; 60 FR 52319, Oct. 6, 1995; 62
FR 38830, July 18, 1997; 63 FR 7714, Feb. 17, 1998]
Sec. 58.2 Purpose.
(a) This part contains criteria and requirements for ambient air
quality monitoring and requirements for reporting ambient air quality
data and information. The monitoring criteria pertain to the following
areas:
(1) Quality assurance procedures for monitor operation and data
handling.
(2) Methodology used in monitoring stations.
(3) Operating schedule.
(4) Siting parameters for instruments or instrument probes.
(b) The requirements pertaining to provisions for an air quality
surveillance system in the State Implementation Plan are contained in
this part.
(c) This part also acts to establish a national ambient air quality
monitoring network for the purpose of providing timely air quality data
upon which to base national assessments and policy decisions. This
network will be operated by the States and will consist of certain
selected stations from the States' SLAMS networks. These selected
stations will remain as SLAMS
[[Page 209]]
and will continue to meet any applicable requirements on SLAMS. The
stations, however, will also be designated as National Air Monitoring
Stations (NAMS) and will be subject to additional data reporting and
monitoring methodology requirements as contained in subpart D of this
part.
(d) This section also acts to establish a Photochemical Assessment
Monitoring Stations (PAMS) network as a subset of the State's SLAMS
network for the purpose of enhanced monitoring in O3
nonattainment areas listed as serious, severe, or extreme. The PAMS
network will be subject to the data reporting and monitoring methodology
requirements as contained in subpart E of this part.
(e) Requirements for the daily reporting of an index of ambient air
quality, to insure that the population of major urban areas are informed
daily of local air quality conditions, are also included in this part.
[44 FR 27571, May 10, 1979, as amended at 58 FR 8467, Feb. 12, 1993]
Sec. 58.3 Applicability.
This part applies to:
(a) State air pollution control agencies.
(b) Any local air pollution control agency or Indian governing body
to which the State has delegated authority to operate a portion of the
State's SLAMS network.
(c) Owners or operators of proposed sources.