[Title 40 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2011 Edition]
[From the U.S. Government Printing Office]



[[Page 1]]

          

          Title 40

Protection of Environment


________________________

Parts 53 to 59

                         Revised as of July 1, 2011

          Containing a codification of documents of general 
          applicability and future effect

          As of July 1, 2011
                    Published by the Office of the Federal Register 
                    National Archives and Records Administration as a 
                    Special Edition of the Federal Register

[[Page ii]]

          U.S. GOVERNMENT OFFICIAL EDITION NOTICE

          Legal Status and Use of Seals and Logos
          
          
          The seal of the National Archives and Records Administration 
              (NARA) authenticates the Code of Federal Regulations (CFR) as 
              the official codification of Federal regulations established 
              under the Federal Register Act. Under the provisions of 44 
              U.S.C. 1507, the contents of the CFR, a special edition of the 
              Federal Register, shall be judicially noticed. The CFR is 
              prima facie evidence of the original documents published in 
              the Federal Register (44 U.S.C. 1510).

          It is prohibited to use NARA's official seal and the stylized Code 
              of Federal Regulations logo on any republication of this 
              material without the express, written permission of the 
              Archivist of the United States or the Archivist's designee. 
              Any person using NARA's official seals and logos in a manner 
              inconsistent with the provisions of 36 CFR part 1200 is 
              subject to the penalties specified in 18 U.S.C. 506, 701, and 
              1017.

          Use of ISBN Prefix

          This is the Official U.S. Government edition of this publication 
              and is herein identified to certify its authenticity. Use of 
              the 0-16 ISBN prefix is for U.S. Government Printing Office 
              Official Editions only. The Superintendent of Documents of the 
              U.S. Government Printing Office requests that any reprinted 
              edition clearly be labeled as a copy of the authentic work 
              with a new ISBN.

              
              
          U . S . G O V E R N M E N T P R I N T I N G O F F I C E

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

          U.S. Superintendent of Documents  Washington, DC 
              20402-0001

          http://bookstore.gpo.gov

          Phone: toll-free (866) 512-1800; DC area (202) 512-1800

[[Page iii]]




                            Table of Contents



                                                                    Page
  Explanation.................................................       v

  Title 40:
          Chapter I--Environmental Protection Agency 
          (Continued)                                                3
  Finding Aids:
      Table of CFR Titles and Chapters........................     385
      Alphabetical List of Agencies Appearing in the CFR......     405
      List of CFR Sections Affected...........................     415

[[Page iv]]





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

                     Cite this Code: CFR
                     To cite the regulations in 
                       this volume use title, 
                       part and section number. 
                       Thus, 40 CFR 53.1 refers 
                       to title 40, part 53, 
                       section 1.

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

[[Page v]]



                               EXPLANATION

    The Code of Federal Regulations is a codification of the general and 
permanent rules published in the Federal Register by the Executive 
departments and agencies of the Federal Government. The Code is divided 
into 50 titles which represent broad areas subject to Federal 
regulation. Each title is divided into chapters which usually bear the 
name of the issuing agency. Each chapter is further subdivided into 
parts covering specific regulatory areas.
    Each volume of the Code is revised at least once each calendar year 
and issued on a quarterly basis approximately as follows:

Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1

    The appropriate revision date is printed on the cover of each 
volume.

LEGAL STATUS

    The contents of the Federal Register are required to be judicially 
noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie 
evidence of the text of the original documents (44 U.S.C. 1510).

HOW TO USE THE CODE OF FEDERAL REGULATIONS

    The Code of Federal Regulations is kept up to date by the individual 
issues of the Federal Register. These two publications must be used 
together to determine the latest version of any given rule.
    To determine whether a Code volume has been amended since its 
revision date (in this case, July 1, 2011), consult the ``List of CFR 
Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative 
List of Parts Affected,'' which appears in the Reader Aids section of 
the daily Federal Register. These two lists will identify the Federal 
Register page number of the latest amendment of any given rule.

EFFECTIVE AND EXPIRATION DATES

    Each volume of the Code contains amendments published in the Federal 
Register since the last revision of that volume of the Code. Source 
citations for the regulations are referred to by volume number and page 
number of the Federal Register and date of publication. Publication 
dates and effective dates are usually not the same and care must be 
exercised by the user in determining the actual effective date. In 
instances where the effective date is beyond the cut-off date for the 
Code a note has been inserted to reflect the future effective date. In 
those instances where a regulation published in the Federal Register 
states a date certain for expiration, an appropriate note will be 
inserted following the text.

OMB CONTROL NUMBERS

    The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires 
Federal agencies to display an OMB control number with their information 
collection request.

[[Page vi]]

Many agencies have begun publishing numerous OMB control numbers as 
amendments to existing regulations in the CFR. These OMB numbers are 
placed as close as possible to the applicable recordkeeping or reporting 
requirements.

OBSOLETE PROVISIONS

    Provisions that become obsolete before the revision date stated on 
the cover of each volume are not carried. Code users may find the text 
of provisions in effect on a given date in the past by using the 
appropriate numerical list of sections affected. For the period before 
April 1, 2001, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, 1973-1985, or 1986-2000, published in eleven separate 
volumes. For the period beginning April 1, 2001, a ``List of CFR 
Sections Affected'' is published at the end of each CFR volume.

``[RESERVED]'' TERMINOLOGY

    The term ``[Reserved]'' is used as a place holder within the Code of 
Federal Regulations. An agency may add regulatory information at a 
``[Reserved]'' location at any time. Occasionally ``[Reserved]'' is used 
editorially to indicate that a portion of the CFR was left vacant and 
not accidentally dropped due to a printing or computer error.

INCORPORATION BY REFERENCE

    What is incorporation by reference? Incorporation by reference was 
established by statute and allows Federal agencies to meet the 
requirement to publish regulations in the Federal Register by referring 
to materials already published elsewhere. For an incorporation to be 
valid, the Director of the Federal Register must approve it. The legal 
effect of incorporation by reference is that the material is treated as 
if it were published in full in the Federal Register (5 U.S.C. 552(a)). 
This material, like any other properly issued regulation, has the force 
of law.
    What is a proper incorporation by reference? The Director of the 
Federal Register will approve an incorporation by reference only when 
the requirements of 1 CFR part 51 are met. Some of the elements on which 
approval is based are:
    (a) The incorporation will substantially reduce the volume of 
material published in the Federal Register.
    (b) The matter incorporated is in fact available to the extent 
necessary to afford fairness and uniformity in the administrative 
process.
    (c) The incorporating document is drafted and submitted for 
publication in accordance with 1 CFR part 51.
    What if the material incorporated by reference cannot be found? If 
you have any problem locating or obtaining a copy of material listed as 
an approved incorporation by reference, please contact the agency that 
issued the regulation containing that incorporation. If, after 
contacting the agency, you find the material is not available, please 
notify the Director of the Federal Register, National Archives and 
Records Administration, 8601 Adelphi Road, College Park, MD 20740-6001, 
or call 202-741-6010.

CFR INDEXES AND TABULAR GUIDES

    A subject index to the Code of Federal Regulations is contained in a 
separate volume, revised annually as of January 1, entitled CFR Index 
and Finding Aids. This volume contains the Parallel Table of Authorities 
and Rules. A list of CFR titles, chapters, subchapters, and parts and an 
alphabetical list of agencies publishing in the CFR are also included in 
this volume.
    An index to the text of ``Title 3--The President'' is carried within 
that volume.

[[Page vii]]

    The Federal Register Index is issued monthly in cumulative form. 
This index is based on a consolidation of the ``Contents'' entries in 
the daily Federal Register.
    A List of CFR Sections Affected (LSA) is published monthly, keyed to 
the revision dates of the 50 CFR titles.

REPUBLICATION OF MATERIAL

    There are no restrictions on the republication of material appearing 
in the Code of Federal Regulations.

INQUIRIES

    For a legal interpretation or explanation of any regulation in this 
volume, contact the issuing agency. The issuing agency's name appears at 
the top of odd-numbered pages.
    For inquiries concerning CFR reference assistance, call 202-741-6000 
or write to the Director, Office of the Federal Register, National 
Archives and Records Administration, 8601 Adelphi Road, College Park, MD 
20740-6001 or e-mail fedreg.info@nara.gov.

SALES

    The Government Printing Office (GPO) processes all sales and 
distribution of the CFR. For payment by credit card, call toll-free, 
866-512-1800, or DC area, 202-512-1800, M-F 8 a.m. to 4 p.m. e.s.t. or 
fax your order to 202-512-2104, 24 hours a day. For payment by check, 
write to: US Government Printing Office - New Orders, P.O. Box 979050, 
St. Louis, MO 63197-9000.

ELECTRONIC SERVICES

    The full text of the Code of Federal Regulations, the LSA (List of 
CFR Sections Affected), The United States Government Manual, the Federal 
Register, Public Laws, Public Papers of the Presidents of the United 
States, Compilation of Presidential Documents and the Privacy Act 
Compilation are available in electronic format via www.ofr.gov. For more 
information, contact the GPO Customer Contact Center, U.S. Government 
Printing Office. Phone 202-512-1800, or 866-512-1800 (toll-free). E-
mail, gpo@custhelp.com.
    The Office of the Federal Register also offers a free service on the 
National Archives and Records Administration's (NARA) World Wide Web 
site for public law numbers, Federal Register finding aids, and related 
information. Connect to NARA's web site at www.archives.gov/federal-
register.

    Raymond A. Mosley,
    Director,
    Office of the Federal Register.
    July 1, 2011.







[[Page ix]]



                               THIS TITLE

    Title 40--Protection of Environment is composed of thirty-three 
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 
of part 52), parts 53-59, part 60 (60.1-end of part 60, sections), part 
60 (Appendices), parts 61-62, part 63 (63.1-63.599), part 63 (63.600-
63.1199), part 63 (63.1200-63.1439), part 63 (63.1440-63.6175), part 63 
(63.6580-63.8830), part 63 (63.8980-end of part 63) parts 64-71, parts 
72-80, parts 81-84, part 85-Sec.  86.599-99, part 86 (86.600-1-end of 
part 86), parts 87-95, parts 96-99, parts 100-135, parts 136-149, parts 
150-189, parts 190-259, parts 260-265, parts 266-299, parts 300-399, 
parts 400-424, parts 425-699, parts 700-789, parts 790-999, and part 
1000 to end. The contents of these volumes represent all current 
regulations codified under this title of the CFR as of July 1, 2011.

    Chapter I--Environmental Protection Agency appears in all thirty-
three volumes. Regulations issued by the Council on Environmental 
Quality, including an Index to Parts 1500 through 1508, appear in the 
volume containing part 1000 to end. The OMB control numbers for title 40 
appear in Sec.  9.1 of this chapter.

    For this volume, Bonnie Fritts was Chief Editor. The Code of Federal 
Regulations publication program is under the direction of Michael L. 
White, assisted by Ann Worley.

[[Page 1]]



                   TITLE 40--PROTECTION OF ENVIRONMENT




                   (This book contains parts 53 to 59)

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

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

[[Page 3]]



         CHAPTER I--ENVIRONMENTAL PROTECTION AGENCY (CONTINUED)




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


  Editorial Note: Nomenclature changes to chapter I appear at 65 FR 
47324, 47325, Aug. 2, 2000; 66 FR 34375, 34376, June 28, 2001.

                 SUBCHAPTER C--AIR PROGRAMS (CONTINUED)
Part                                                                Page
53              Ambient air monitoring reference and 
                    equivalent methods......................           5
54              Prior notice of citizen suits...............         116
55              Outer continental shelf air regulations.....         117
56              Regional consistency........................         161
57              Primary nonferrous smelter orders...........         163
58              Ambient air quality surveillance............         237
59              National volatile organic compound emission 
                    standards for consumer and commercial 
                    products................................         297

[[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 
          and 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 SO[bdi2], CO, O[bdi3], and NO[bdi2]

53.20 General provisions.
53.21 Test conditions.
53.22 Generation of test atmospheres.
53.23 Test procedures.

Appendix A to Subpart B--Optional Forms for Reporting Test Results

  Subpart C_Procedures for Determining Comparability Between Candidate 
                      Methods and Reference Methods

53.30 General provisions.
53.31 [Reserved]
53.32 Test procedures for methods for SO2, CO, O3, 
          and NO2.
53.33 Test Procedure for Methods for Lead (Pb).
53.34 Test procedures for methods for PM10 and Class I 
          methods for PM2.5.
53.35 Test procedures for Class II and Class III methods for 
          PM2.5 and PM10-2.5.

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

Subpart D_Procedures for Testing Performance Characteristics of Methods 
                           for PM[bdi1][bdi0]

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 
                       PM[bdi2].[bdi5]

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.

[[Page 6]]

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 PM[bdi2].[bdi5]
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 PM[bdi2].[bdi5]

53.60 General provisions.
53.61 Test conditions for PM2.5 reference method equivalency.
53.62 Test procedure: Full wind tunnel test.
53.63 Test procedure: Wind tunnel inlet aspiration test.
53.64 Test procedure: Static fractionator test.
53.65 Test procedure: Loading test.
53.66 Test procedure: Volatility test.

Table F-1 to Subpart F--Performance Specifications for PM2.5 
          Class II Equivalent Samplers
Table F-2 to Subpart F--Particle Sizes and Wind Speeds for Full Wind 
          Tunnel Test, Wind Tunnel Inlet Aspiration Test, and Static 
          Chamber Test
Table F-3 to Subpart F--Critical Parameters of Idealized Ambient 
          Particle Size Distributions
Table F-4 to Subpart F--Estimated Mass Concentration Measurement of 
          PM2.5 for Idealized Coarse Aerosol Size 
          Distribution
Table F-5 to Subpart F--Estimated Mass Concentration Measurement of 
          PM2.5 for Idealized ``Typical'' Coarse Aerosol Size 
          Distribution
Table F-6 to Subpart F--Estimated Mass Concentration Measurement of 
          PM2.5 for Idealized Fine Aerosol Size Distribution
Figure F-1 to Subpart F--Designation Testing Checklist
Appendix A to Subpart F--References

    Authority: Sec. 301(a) of the Clean Air Act (42 U.S.C. sec. 
1857g(a)), as amended by sec. 15(c)(2) of Pub. L. 91-604, 84 Stat. 1713, 
unless otherwise noted.

    Source: 40 FR 7049, Feb. 18, 1975, unless otherwise noted.



                      Subpart A_General Provisions

    Source: 62 FR 38784, July 18, 1997, unless otherwise noted.



Sec. 53.1  Definitions.

    Terms used but not defined in this part shall have the meaning given 
them by the Act.
    Act means the Clean Air Act (42 U.S.C. 1857-1857l), as amended.
    Additive and multiplicative bias means the linear regression 
intercept and slope of a linear plot fitted to corresponding candidate 
and reference method mean measurement data pairs.
    Administrator means the Administrator of the Environmental 
Protection Agency (EPA) or his or her authorized representative.
    Agency means the Environmental Protection Agency.
    Applicant means a person or entity who submits an application for a 
Federal reference method or Federal equivalent method determination 
under Sec. 53.4, or a person or entity who assumes the rights and 
obligations of an applicant under Sec. 53.7. Applicant may include a 
manufacturer, distributor, supplier, or vendor.
    Automated method or analyzer means a method for measuring 
concentrations of an ambient air pollutant in which sample collection 
(if necessary), analysis, and measurement are performed automatically by 
an instrument.
    Candidate method means a method for measuring the concentration of 
an air pollutant in the ambient air for which an application for a 
Federal reference method determination or a Federal equivalent method 
determination is submitted in accordance with Sec. 53.4, or a method 
tested at the initiative of the Administrator in accordance with Sec. 
53.7.
    Class I equivalent method means an equivalent method for 
PM2.5 or PM10-2.5 which is based on a sampler that 
is very similar to the sampler specified for reference methods in 
appendix L or appendix O (as applicable) of part 50 of this chapter, 
with only minor deviations or modifications, as determined by EPA.

[[Page 7]]

    Class II equivalent method means an equivalent method for 
PM2.5 or PM10-2.5 that utilizes a PM2.5 
sampler or PM10-2.5 sampler in which integrated 
PM2.5 samples or PM10-2.5 samples are obtained 
from the atmosphere by filtration and subjected to a subsequent filter 
conditioning process followed by a gravimetric mass determination, but 
which is not a Class I equivalent method because of substantial 
deviations from the design specifications of the sampler specified for 
reference methods in appendix L or appendix O (as applicable) of part 50 
of this chapter, as determined by EPA.
    Class III equivalent method means an equivalent method for 
PM2.5 or PM10-2.5 that is an analyzer capable of 
providing PM2.5 or PM10-2.5 ambient air 
measurements representative of one-hour or less integrated 
PM2.5 or PM10-2.5 concentrations as well as 24-
hour measurements determined as, or equivalent to, the mean of 24 one-
hour consecutive measurements.
    CO means carbon monoxide.
    Collocated means two or more air samplers, analyzers, or other 
instruments that are operated simultaneously while located side by side, 
separated by a distance that is large enough to preclude the air sampled 
by any of the devices from being affected by any of the other devices, 
but small enough so that all devices obtain identical or uniform ambient 
air samples that are equally representative of the general area in which 
the group of devices is located.
    Federal equivalent method (FEM) means a method for measuring the 
concentration of an air pollutant in the ambient air that has been 
designated as an equivalent method in accordance with this part; it does 
not include a method for which an equivalent method designation has been 
canceled in accordance with Sec. 53.11 or Sec. 53.16.
    Federal reference method (FRM) means a method of sampling and 
analyzing the ambient air for an air pollutant that is specified as a 
reference method in an appendix to part 50 of this chapter, or a method 
that has been designated as a reference method in accordance with this 
part; it does not include a method for which a reference method 
designation has been canceled in accordance with Sec. 53.11 or Sec. 
53.16.
    ISO 9001-registered facility means a manufacturing facility that is 
either:
    (1) An International Organization for Standardization (ISO) 9001-
registered manufacturing facility, registered to the ISO 9001 standard 
(by the Registrar Accreditation Board (RAB) of the American Society for 
Quality Control (ASQC) in the United States), with registration 
maintained continuously; or
    (2) A facility that can be demonstrated, on the basis of information 
submitted to the EPA, to be operated according to an EPA-approved and 
periodically audited quality system which meets, to the extent 
appropriate, the same general requirements as an ISO 9001-registered 
facility for the design and manufacture of designated Federal reference 
method and Federal equivalent method samplers and monitors.
    ISO-certified auditor means an auditor who is either certified by 
the Registrar Accreditation Board (in the United States) as being 
qualified to audit quality systems using the requirements of recognized 
standards such as ISO 9001, or who, based on information submitted to 
the EPA, meets the same general requirements as provided for ISO-
certified auditors.
    Manual method means a method for measuring concentrations of an 
ambient air pollutant in which sample collection, analysis, or 
measurement, or some combination thereof, is performed manually. A 
method for PM10 or PM2.5 which utilizes a sampler 
that requires manual preparation, loading, and weighing of filter 
samples is considered a manual method even though the sampler may be 
capable of automatically collecting a series of sequential samples.
    NO means nitrogen oxide.
    NO2 means nitrogen dioxide.
    NOX means oxides of nitrogen and is defined as the sum of the 
concentrations of NO2 and NO.
    O3 means ozone.
    Operated simultaneously means that two or more collocated samplers 
or analyzers are operated concurrently with no significant difference in 
the start time, stop time, and duration of the sampling or measurement 
period.

[[Page 8]]

    Pb means lead.
    PM means PM10, PM10C, PM2.5, 
PM10-2.5, or particulate matter of unspecified size range.
    PM2.5 means particulate matter with an aerodynamic diameter less 
than or equal to a nominal 2.5 micrometers as measured by a reference 
method based on appendix L of part 50 of this chapter and designated in 
accordance with part 53 of this chapter, by an equivalent method 
designated in accordance with part 53 of this chapter, or by an approved 
regional method designated in accordance with appendix C to this part.
    PM10 means particulate matter with an aerodynamic diameter less than 
or equal to a nominal 10 micrometers as measured by a reference method 
based on appendix J of part 50 of this chapter and designated in 
accordance with this part or by an equivalent method designated in 
accordance with this part.
    PM10C means particulate matter with an aerodynamic diameter less 
than or equal to a nominal 10 micrometers as measured by a reference 
method based on appendix O of part 50 of this chapter and designated in 
accordance with this part or by an equivalent method designated in 
accordance with this part.
    PM10-2.5 means particulate matter with an aerodynamic diameter less 
than or equal to a nominal 10 micrometers and greater than a nominal 2.5 
micrometers as measured by a reference method based on appendix O to 
part 50 of this chapter and designated in accordance with this part or 
by an equivalent method designated in accordance with this part.
    PM2.5 sampler means a device, associated with a manual method for 
measuring PM2.5, designed to collect PM2.5 from an 
ambient air sample, but lacking the ability to automatically analyze or 
measure the collected sample to determine the mass concentrations of 
PM2.5 in the sampled air.
    PM10 sampler means a device, associated with a manual method for 
measuring PM10, designed to collect PM10 from an 
ambient air sample, but lacking the ability to automatically analyze or 
measure the collected sample to determine the mass concentrations of 
PM10 in the sampled air.
    PM10C sampler means a PM10 sampler that meets the special 
requirements for a PM10C sampler that is part of a 
PM10-2.5 reference method sampler, as specified in appendix O 
to part 50 of this chapter, or a PM10 sampler that is part of 
a PM10-2.5 sampler that has been designated as an equivalent 
method for PM10-2.5.
    PM10-2.5 sampler means a sampler, or a collocated pair of samplers, 
associated with a manual method for measuring PM10-2.5 and 
designed to collect either PM10-2.5 directly or 
PM10C and PM2.5 separately and simultaneously from 
concurrent ambient air samples, but lacking the ability to automatically 
analyze or measure the collected sample(s) to determine the mass 
concentrations of PM10-2.5 in the sampled air.
    Sequential samples for PM samplers means two or more PM samples for 
sequential (but not necessarily contiguous) time periods that are 
collected automatically by the same sampler without the need for 
intervening operator service.
    SO2 means sulfur dioxide.
    Test analyzer means an analyzer subjected to testing as part of a 
candidate method in accordance with subparts B, C, D, E, or F of this 
part, as applicable.
    Test sampler means a PM10 sampler, PM2.5 
sampler, or PM10-2.5 sampler subjected to testing as part of 
a candidate method in accordance with subparts C, D, E, or F of this 
part.
    Ultimate purchaser means the first person or entity who purchases a 
Federal reference method or a Federal equivalent method for purposes 
other than resale.

[71 FR 61271, Oct. 17, 2006]



Sec. 53.2  General requirements for a reference method determination.

    The following general requirements for a Federal reference method 
(FRM) determination are summarized in table A-1 of this subpart.
    (a) Manual methods--(1) Sulfur dioxide (SO2) and Lead. 
For measuring SO2 and lead, appendixes A-2 and G of part 50 
of this chapter specify unique manual FRM for measuring those 
pollutants. Except as provided in Sec. 53.16, other manual methods for 
lead will not be

[[Page 9]]

considered for a reference method determination under this part.
    (2) PM10. A FRM 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 
this subpart A and subpart D of this part.
    (3) PM2.5. A FRM for measuring PM2.5 must be a manual 
method that meets all requirements specified in appendix L of part 50 of 
this chapter and must include a PM2.5 sampler that has been 
shown in accordance with this part to meet the applicable requirements 
specified in this subpart A and subpart E of this part. Further, FRM 
samplers must be manufactured in an ISO 9001-registered facility, as 
defined in Sec. 53.1 and as set forth in Sec. 53.51.
    (4) PM10-2.5. A FRM for measuring PM10-2.5 must be a 
manual method that meets all requirements specified in appendix O of 
part 50 of this chapter and must include PM10C and 
PM2.5 samplers that have been shown in accordance with this 
part to meet the applicable requirements specified in this subpart A and 
subpart E of this part. Further, PM10-2.5 FRM samplers must 
be manufactured in an ISO 9001-registered facility, as defined in Sec. 
53.1 and as set forth in Sec. 53.51.
    (b) Automated methods. An automated FRM for measuring 
SO2, CO, O3, or NO2 must utilize the 
measurement principle and calibration procedure specified in the 
appropriate appendix to part 50 of this chapter (appendix A-1 only for 
SO2 methods) and must have been shown in accordance with this 
part to meet the requirements specified in this subpart A and subpart B 
of this part.

[71 FR 61271, Oct. 17, 2006, as amended at 75 FR 35597, June 22, 2010]



Sec. 53.3  General requirements for an equivalent method determination.

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

[[Page 10]]

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

[71 FR 61271, Oct. 17, 2006]

[[Page 11]]



Sec. 53.4  Applications for reference or equivalent method determinations.

    (a) Applications for FRM or FEM determinations shall be submitted in 
duplicate to: Director, National Exposure Research Laboratory, Reference 
and Equivalent Method Program (MD-D205-03), U.S. Environmental 
Protection Agency, Research Triangle Park, North Carolina 27711 
(Commercial delivery address: 4930 Old Page Road, Durham, North Carolina 
27703).
    (b) Each application shall be signed by an authorized representative 
of the applicant, shall be marked in accordance with Sec. 53.15 (if 
applicable), and shall contain the following:
    (1) A clear identification of the candidate method, which will 
distinguish it from all other methods such that the method may be 
referred to unambiguously. This identification must consist of a unique 
series of descriptors such as title, identification number, analyte, 
measurement principle, manufacturer, brand, model, etc., as necessary to 
distinguish the method from all other methods or method variations, both 
within and outside the applicant's organization.
    (2) A detailed description of the candidate method, including but 
not limited to the following: The measurement principle, manufacturer, 
name, model number and other forms of identification, a list of the 
significant components, schematic diagrams, design drawings, and a 
detailed description of the apparatus and measurement procedures. 
Drawings and descriptions pertaining to candidate methods or samplers 
for PM2.5 or PM10-2.5 must meet all applicable 
requirements in reference 1 of appendix A of this subpart, using 
appropriate graphical, nomenclature, and mathematical conventions such 
as those specified in references 3 and 4 of appendix A of this subpart.
    (3) A copy of a comprehensive operation or instruction manual 
providing a complete and detailed description of the operational, 
maintenance, and calibration procedures prescribed for field use of the 
candidate method and all instruments utilized as part of that method 
(under Sec. 53.9(a)).
    (i) As a minimum this manual shall include:
    (A) Description of the method and associated instruments.
    (B) Explanation of all indicators, information displays, and 
controls.
    (C) Complete setup and installation instructions, including any 
additional materials or supplies required.
    (D) Details of all initial or startup checks or acceptance tests and 
any auxiliary equipment required.
    (E) Complete operational instructions.
    (F) Calibration procedures and descriptions of required calibration 
equipment and standards.
    (G) Instructions for verification of correct or proper operation.
    (H) Trouble-shooting guidance and suggested corrective actions for 
abnormal operation.
    (I) Required or recommended routine, periodic, and preventative 
maintenance and maintenance schedules.
    (J) Any calculations required to derive final concentration 
measurements.
    (K) Appropriate references to any applicable appendix of part 50 of 
this chapter; reference 6 of appendix A of this subpart; and any other 
pertinent guidelines.
    (ii) The manual shall also include adequate warning of potential 
safety hazards that may result from normal use and/or malfunction of the 
method and a description of necessary safety precautions. (See Sec. 
53.9(b).) However, the previous requirement shall not be interpreted to 
constitute or imply any warranty of safety of the method by EPA. For 
samplers and automated methods, the manual shall include a clear 
description of all procedures pertaining to installation, operation, 
preventive maintenance, and troubleshooting and shall also include parts 
identification diagrams. The manual may be used to satisfy the 
requirements of paragraphs (b)(1) and (2) of this section to the extent 
that it includes information necessary to meet those requirements.
    (4) A statement that the candidate method has been tested in 
accordance with the procedures described in subparts B, C, D, E, and/or 
F of this part, as applicable.
    (5) Descriptions of test facilities and test configurations, test 
data, records,

[[Page 12]]

calculations, and test results as specified in subparts B, C, D, E, and/
or F of this part, as applicable. Data must be sufficiently detailed to 
meet appropriate principles described in part B, sections 3.3.1 
(paragraph 1) and 3.5.1 and part C, section 4.6 of reference 2 of 
appendix A of this subpart; and in paragraphs 1 through 3 of section 4.8 
(Records) of reference 5 of appendix A of this subpart. Salient 
requirements from these references include the following:
    (i) The applicant shall maintain and include records of all relevant 
measuring equipment, including the make, type, and serial number or 
other identification, and most recent calibration with identification of 
the measurement standard or standards used and their National Institute 
of Standards and Technology (NIST) traceability. These records shall 
demonstrate the measurement capability of each item of measuring 
equipment used for the application and include a description and 
justification (if needed) of the measurement setup or configuration in 
which it was used for the tests. The calibration results shall be 
recorded and identified in sufficient detail so that the traceability of 
all measurements can be determined and any measurement could be 
reproduced under conditions close to the original conditions, if 
necessary, to resolve any anomalies.
    (ii) Test data shall be collected according to the standards of good 
practice and by qualified personnel. Test anomalies or irregularities 
shall be documented and explained or justified. The impact and 
significance of the deviation on test results and conclusions shall be 
determined. Data collected shall correspond directly to the specified 
test requirement and be labeled and identified clearly so that results 
can be verified and evaluated against the test requirement. Calculations 
or data manipulations must be explained in detail so that they can be 
verified.
    (6) A statement that the method, analyzer, or sampler tested in 
accordance with this part is representative of the candidate method 
described in the application.
    (c) For candidate automated methods and candidate manual methods for 
PM10, PM2.5, and PM10-2.5 the 
application shall also contain the following:
    (1) A detailed description of the quality system that will be 
utilized, if the candidate method is designated as a reference or 
equivalent method, to ensure that all analyzers or samplers offered for 
sale under that designation will have essentially the same performance 
characteristics as the analyzer(s) or samplers tested in accordance with 
this part. In addition, the quality system requirements for candidate 
methods for PM2.5 and PM10-2.5 must be described 
in sufficient detail, based on the elements described in section 4 of 
reference 1 (Quality System Requirements) of appendix A of this subpart. 
Further clarification is provided in the following sections of reference 
2 of appendix A of this subpart: part A (Management Systems), sections 
2.2 (Quality System and Description), 2.3 (Personnel Qualification and 
Training), 2.4 (Procurement of Items and Services), 2.5 (Documents and 
Records), and 2.7 (Planning); part B (Collection and Evaluation of 
Environmental Data), sections 3.1 (Planning and Scoping), 3.2 (Design of 
Data Collection Operations), and 3.5 (Assessment and Verification of 
Data Usability); and part C (Operation of Environmental Technology), 
sections 4.1 (Planning), 4.2 (Design of Systems), and 4.4 (Operation of 
Systems).
    (2) A description of the durability characteristics of such 
analyzers or samplers (see Sec. 53.9(c)). For methods for 
PM2.5 and PM10-2.5 the warranty program must 
ensure that the required specifications (see Table A-1 to this subpart) 
will be met throughout the warranty period and that the applicant 
accepts responsibility and liability for ensuring this conformance or 
for resolving any nonconformities, including all necessary components of 
the system, regardless of the original manufacturer. The warranty 
program must be described in sufficient detail to meet appropriate 
provisions of the ANSI/ASQC and ISO 9001 standards (references 1 and 2 
in appendix A of this subpart) for controlling conformance and resolving 
nonconformance, particularly sections 4.12, 4.13, and 4.14 of reference 
1 in appendix A of this subpart.

[[Page 13]]

    (i) Section 4.12 in reference 1 of appendix A of this subpart 
requires the manufacturer to establish and maintain a system of 
procedures for identifying and maintaining the identification of 
inspection and test status throughout all phases of manufacturing to 
ensure that only instruments that have passed the required inspections 
and tests are released for sale.
    (ii) Section 4.13 in reference 1 of appendix A of this subpart 
requires documented procedures for control of nonconforming product, 
including review and acceptable alternatives for disposition; section 
4.14 in reference 1 of appendix A of this subpart requires documented 
procedures for implementing corrective (4.14.2) and preventive (4.14.3) 
action to eliminate the causes of actual or potential nonconformities. 
In particular, section 4.14.3 requires that potential causes of 
nonconformities be eliminated by using information such as service 
reports and customer complaints to eliminate potential causes of 
nonconformities.
    (d) For candidate reference or equivalent methods for 
PM2.5 and Class II or Class III equivalent methods for 
PM10-2.5, the applicant, if requested by EPA, shall provide 
to EPA for test purposes one sampler or analyzer that is representative 
of the sampler or analyzer associated with the candidate method. The 
sampler or analyzer shall be shipped FOB destination to Director, 
National Exposure Research Laboratory, Reference and Equivalent Method 
Program (MD-D205-03), U.S. Environmental Protection Agency, 4930 Old 
Page Road, Durham, North Carolina 27703, scheduled to arrive concurrent 
with or within 30 days of the arrival of the other application 
materials. This analyzer or sampler may be subjected to various tests 
that EPA determines to be necessary or appropriate under Sec. 53.5(f), 
and such tests may include special tests not described in this part. If 
the instrument submitted under this paragraph malfunctions, becomes 
inoperative, or fails to perform as represented in the application 
before the necessary EPA testing is completed, the applicant shall be 
afforded an opportunity to repair or replace the device at no cost to 
EPA. Upon completion of EPA testing, the analyzer or sampler submitted 
under this paragraph shall be repacked by EPA for return shipment to the 
applicant, using the same packing materials used for shipping the 
instrument to EPA unless alternative packing is provided by the 
applicant. Arrangements for, and the cost of, return shipment shall be 
the responsibility of the applicant. The EPA does not warrant or assume 
any liability for the condition of the analyzer or sampler upon return 
to the applicant.

[71 FR 61271, Oct. 17, 2006]



Sec. 53.5  Processing of applications.

    After receiving an application for a FRM or FEM determination, the 
Administrator will, within 120 calendar days after receipt of the 
application, take one or more of the following actions:
    (a) Send notice to the applicant, in accordance with Sec. 53.8, 
that the candidate method has been determined to be a reference or 
equivalent method.
    (b) Send notice to the applicant that the application has been 
rejected, including a statement of reasons for rejection.
    (c) Send notice to the applicant that additional information must be 
submitted before a determination can be made and specify the additional 
information that is needed (in such cases, the 120-day period shall 
commence upon receipt of the additional information).
    (d) Send notice to the applicant that additional test data must be 
submitted and specify what tests are necessary and how the tests shall 
be interpreted (in such cases, the 120-day period shall commence upon 
receipt of the additional test data).
    (e) Send notice to the applicant that the application has been found 
to be substantially deficient or incomplete and cannot be processed 
until additional information is submitted to complete the application 
and specify the general areas of substantial deficiency.
    (f) Send notice to the applicant that additional tests will be 
conducted by the Administrator, specifying the nature of and reasons for 
the additional tests and the estimated time required

[[Page 14]]

(in such cases, the 120-day period shall commence 1 calendar day after 
the additional tests have been completed).

[71 FR 61271, Oct. 17, 2006]



Sec. 53.6  Right to witness conduct of tests.

    (a) Submission of an application for a reference or equivalent 
method determination shall constitute consent for the Administrator or 
the Administrator's authorized representative, upon presentation of 
appropriate credentials, to witness or observe any tests required by 
this part in connection with the application or in connection with any 
modification or intended modification of the method by the applicant.
    (b) The applicant shall have the right to witness or observe any 
test conducted by the Administrator in connection with the application 
or in connection with any modification or intended modification of the 
method by the applicant.
    (c) Any tests by either party that are to be witnessed or observed 
by the other party shall be conducted at a time and place mutually 
agreeable to both parties.



Sec. 53.7  Testing of methods at the initiative of the Administrator.

    (a) In the absence of an application for a reference or equivalent 
method determination, the Administrator may conduct the tests required 
by this part for such a determination, may compile such other 
information as may be necessary in the judgment of the Administrator to 
make such a determination, and on the basis of the tests and information 
may determine that a method satisfies applicable requirements of this 
part.
    (b) In the absence of an application requesting the Administrator to 
consider revising an appendix to part 50 of this chapter in accordance 
with Sec. 53.16, the Administrator may conduct such tests and compile 
such information as may be necessary in the Administrator's judgment to 
make a determination under Sec. 53.16(d) and on the basis of the tests 
and information make such a determination.
    (c) If a method tested in accordance with this section is designated 
as a reference or equivalent method in accordance with Sec. 53.8 or is 
specified or designated as a reference method in accordance with Sec. 
53.16, any person or entity who offers the method for sale as a 
reference or equivalent method thereafter shall assume the rights and 
obligations of an applicant for purposes of this part, with the 
exception of those pertaining to submission and processing of 
applications.



Sec. 53.8  Designation of reference and equivalent methods.

    (a) A candidate method determined by the Administrator to satisfy 
the applicable requirements of this part shall be designated as a FRM or 
FEM (as applicable) by and upon publication of a notice of the 
designation in the Federal Register.
    (b) Upon designation, a notice indicating that the method has been 
designated as a FRM or FEM shall be sent to the applicant.
    (c) The Administrator will maintain a current list of methods 
designated as FRM or FEM in accordance with this part and will send a 
copy of the list to any person or group upon request. A copy of the list 
will be available via the Internet and may be available from other 
sources.

[71 FR 61276, Oct. 17, 2006, as amended at 75 FR 35597, June 22, 2010]



Sec. 53.9  Conditions of designation.

    Designation of a candidate method as a FRM or FEM shall be 
conditioned to the applicant's compliance with the following 
requirements. Failure to comply with any of the requirements shall 
constitute a ground for cancellation of the designation in accordance 
with Sec. 53.11.
    (a) Any method offered for sale as a FRM or FEM shall be accompanied 
by a copy of the manual referred to in Sec. 53.4(b)(3) when delivered 
to any ultimate purchaser, and an electronic copy of the manual suitable 
for incorporating into user-specific standard operating procedure 
documents shall be readily available to any users.
    (b) Any method offered for sale as a FRM or FEM shall generate no 
unreasonable hazard to operators or to the environment during normal use 
or when malfunctioning.

[[Page 15]]

    (c) Any analyzer, PM10 sampler, PM2.5 sampler, 
or PM10-2.5 sampler offered for sale as part of a FRM or FEM 
shall function within the limits of the performance specifications 
referred to in Sec. 53.20(a), Sec. 53.30(a), Sec. 53.50, or Sec. 
53.60, as applicable, for at least 1 year after delivery and acceptance 
when maintained and operated in accordance with the manual referred to 
in Sec. 53.4(b)(3).
    (d) Any analyzer, PM10 sampler, PM2.5 sampler, 
or PM10-2.5 sampler offered for sale as a FRM or FEM shall 
bear a prominent, permanently affixed label or sticker indicating that 
the analyzer or sampler has been designated by EPA as a FRM or FEM (as 
applicable) in accordance with this part and displaying any designated 
method identification number that may be assigned by EPA.
    (e) If an analyzer is offered for sale as a FRM or FEM and has one 
or more selectable ranges, the label or sticker required by paragraph 
(d) of this section shall be placed in close proximity to the range 
selector and shall indicate clearly which range or ranges have been 
designated as parts of the FRM or FEM.
    (f) An applicant who offers analyzers, PM10 samplers, 
PM2.5 samplers, or PM10-2.5 samplers for sale as 
FRM or FEMs shall maintain an accurate and current list of the names and 
mailing addresses of all ultimate purchasers of such analyzers or 
samplers. For a period of 7 years after publication of the FRM or FEM 
designation applicable to such an analyzer or sampler, the applicant 
shall notify all ultimate purchasers of the analyzer or sampler within 
30 days if the designation has been canceled in accordance with Sec. 
53.11 or Sec. 53.16 or if adjustment of the analyzer or sampler is 
necessary under Sec. 53.11(b).
    (g) If an applicant modifies an analyzer, PM10 sampler, 
PM2.5 sampler, or PM10-2.5 sampler that has been 
designated as a FRM or FEM, the applicant shall not sell the modified 
analyzer or sampler as a reference or equivalent method nor attach a 
label or sticker to the modified analyzer or sampler under paragraph (d) 
or (e) of this section until the applicant has received notice under 
Sec. 53.14(c) that the existing designation or a new designation will 
apply to the modified analyzer or sampler or has applied for and 
received notice under Sec. 53.8(b) of a new FRM or FEM determination 
for the modified analyzer or sampler.
    (h) An applicant who has offered PM2.5 or 
PM10-2.5 samplers or analyzers for sale as part of a FRM or 
FEM may continue to do so only so long as the facility in which the 
samplers or analyzers are manufactured continues to be an ISO 9001-
registered facility, as set forth in subpart E of this part. In the 
event that the ISO 9001 registration for the facility is withdrawn, 
suspended, or otherwise becomes inapplicable, either permanently or for 
some specified time interval, such that the facility is no longer an ISO 
9001-registered facility, the applicant shall notify EPA within 30 days 
of the date the facility becomes other than an ISO 9001-registered 
facility, and upon such notification, EPA shall issue a preliminary 
finding and notification of possible cancellation of the FRM or FEM 
designation under Sec. 53.11.
    (i) An applicant who has offered PM2.5 or 
PM10-2.5 samplers or analyzers for sale as part of a FRM or 
FEM may continue to do so only so long as updates of the Product 
Manufacturing Checklist set forth in subpart E of this part are 
submitted annually. In the event that an annual Checklist update is not 
received by EPA within 12 months of the date of the last such submitted 
Checklist or Checklist update, EPA shall notify the applicant within 30 
days that the Checklist update has not been received and shall, within 
30 days from the issuance of such notification, issue a preliminary 
finding and notification of possible cancellation of the reference or 
equivalent method designation under Sec. 53.11.

[71 FR 61276, Oct. 17, 2006]



Sec. 53.10  Appeal from rejection of application.

    Any applicant whose application for a reference or equivalent method 
determination has been rejected may appeal the Administrator's decision 
by taking one or more of the following actions:
    (a) The applicant may submit new or additional information in 
support of the application.

[[Page 16]]

    (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.



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

[[Page 17]]

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 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

[[Page 18]]

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.



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

[[Page 19]]

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.
    (C) To cancel equivalent method designations based on the existing 
reference method(s).

[[Page 20]]

    (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.



     Sec. Table A-1 to Subpart A of Part 53--Summary of Applicable 

Requirements for Reference and Equivalent Methods for Air Monitoring of 
                           Criteria Pollutants

--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                 Applicable subparts of part 53
     Pollutant            Reference or         Manual or automated       Applicable part 50 appendix   -------------------------------------------------
                           equivalent                                                                      A       B       C       D       E        F
--------------------------------------------------------------------------------------------------------------------------------------------------------
SO2...............  Reference..............  Manual.................  A-2
                                             Automated..............  A-1                               [check  [check
                                                                                                            ]       ]
                    Equivalent.............  Manual.................  A-1                               [check          [check
                                                                                                            ]               ]
                                             Automated..............  A-1                               [check  [check  [check
                                                                                                            ]       ]       ]
CO................  Reference..............  Automated..............  C                                 [check  [check
                                                                                                            ]       ]
                    Equivalent.............  Manual.................  C                                 [check          [check
                                                                                                            ]               ]
                                             Automated..............  C                                 [check  [check  [check
                                                                                                            ]       ]       ]
O3................  Reference..............  Automated..............  D                                 [check  [check
                                                                                                            ]       ]
                    Equivalent.............  Manual.................  D                                 [check          [check
                                                                                                            ]               ]
                                             Automated..............  D                                 [check  [check  [check
                                                                                                            ]       ]       ]
NO2...............  Reference..............  Automated..............  F                                 [check  [check
                                                                                                            ]       ]
                    Equivalent.............  Manual.................  F                                 [check          [check
                                                                                                            ]               ]
                                             Automated..............  F                                 [check  [check  [check
                                                                                                            ]       ]       ]
Pb................  Reference..............  Manual.................  G
                    Equivalent.............  Manual.................  G                                 [check          [check
                                                                                                            ]               ]
                                             Automated..............  G                                 [check          [check
                                                                                                            ]               ]
PM10-Pb...........  Reference..............  Manual.................  Q

[[Page 21]]

 
                    Equivalent.............  Manual.................  Q                                 [check          [check
                                                                                                            ]               ]
                                             Automated..............  Q                                 [check          [check
                                                                                                            ]               ]
PM10..............  Reference..............  Manual.................  J                                 [check                  [check
                                                                                                            ]                       ]
                    Equivalent.............  Manual.................  J                                 [check          [check  [check
                                                                                                            ]               ]       ]
                                             Automated..............  J                                 [check          [check  [check
                                                                                                            ]               ]       ]
PM2.5.............  Reference..............  Manual.................  L                                 [check                          [check
                                                                                                            ]                               ]
                    Equivalent Class I.....  Manual.................  L                                 [check          [check          [check
                                                                                                            ]               ]               ]
                    Equivalent Class II....  Manual.................  L\1\                              [check          [check          [check  [check]\
                                                                                                            ]            ]\2\               ]      1 2\
                    Equivalent Class III...  Automated..............  L\1\                              [check          [check          [check  [check]\
                                                                                                            ]               ]               ]        1\
PM10	2.5..........  Reference..............  Manual.................  L, O                              [check                          [check
                                                                                                            ]                               ]
                    Equivalent Class I.....  Manual.................  L, O                              [check          [check          [check
                                                                                                            ]               ]               ]
                    Equivalent Class II....  Manual.................  L, O                              [check          [check          [check  [check]\
                                                                                                            ]            ]\2\               ]      1 2\
                    Equivalent Class III...  Automated..............  L\1\, O\1\                        [check          [check          [check  [check]\
                                                                                                            ]               ]               ]        1\
--------------------------------------------------------------------------------------------------------------------------------------------------------
1. Some requirements may apply, based on the nature of each particular candidate method, as determined by the Administrator.
2. Alternative Class III requirements may be substituted.


[75 FR 35597, June 22, 2010]



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

    (1) American National Standard Quality Systems--Model for Quality 
Assurance in Design, Development, Production, Installation, and 
Servicing, ANSI/ISO/ASQC Q9001-1994. Available from American Society for 
Quality, P.O. Box 3005, Milwaukee, WI 53202 (http://
qualitypress.asq.org).
    (2) American National Standard Quality Systems for Environmental 
Data and Technology Programs--Requirements with guidance for use, ANSI/
ASQC E4-2004. Available from American Society for Quality P.O. Box 3005, 
Milwaukee, WI 53202 (http://qualitypress.asq.org).
    (3) Dimensioning and Tolerancing, ASME Y14.5M-1994. Available from 
the American Society of Mechanical Engineers, 345 East 47th Street, New 
York, NY 10017.
    (4) Mathematical Definition of Dimensioning and Tolerancing 
Principles, ASME Y14.5.1M-1994. Available from the American Society of 
Mechanical Engineers, 345 East 47th Street, New York, NY 10017.
    (5) ISO 10012, Quality Assurance Requirements for Measuring 
Equipment-Part 1: Meteorological confirmation system for measuring 
equipment):1992(E). Available from American Society for Quality Control, 
611 East Wisconsin Avenue, Milwaukee, WI 53202.
    (6) Quality Assurance Guidance Document 2.12. Monitoring 
PM2.5 in Ambient Air Using Designated Reference or Class I 
Equivalent Methods. U.S. EPA, National Exposure Research Laboratory, 
Research Triangle Park, NC, November 1998 or later edition. Currently 
available at http://www.epa.gov/ttn/amtic/pmqainf.html.

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



    Subpart B_Procedures for Testing Performance Characteristics of 
          Automated Methods SO[bdi2], CO, O[bdi3], and NO[bdi2]



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 
measurement range, one range must be that specified in table B-1 
(standard range for SO2), 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 one or more 
broader ranges (i.e., ones extending to higher concentrations) than the 
range specified in table B-1, provided that the range does not extend to 
concentrations more than four times the upper range limit specified in 
table B-1. For broader

[[Page 22]]

ranges, only the tests for range (calibration), noise at 80% of the 
upper range limit, and lag, rise and fall time are required to be 
repeated. The tests may be repeated for one or more narrower ranges 
(ones extending to lower concentrations) than that specified in table B-
1. For SO2 methods, table B-1 specifies special performance 
requirements for narrower (lower) ranges. For methods other than 
SO2, only the tests for range (calibration), noise at 0% of 
the measurement range, and lower detectable limit are required to be 
repeated. If the tests are conducted or passed only for the specified 
range (standard range for SO2), any FRM or FEM method 
determination with respect to the method will be limited to that range. 
If the tests are passed for both the specified range and one or more 
broader ranges, any such determination will include the additional 
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 one or more narrower ranges, any FRM or FEM method determination for 
the method will include the narrower range(s) as well as the specified 
range. Appropriate test data shall be submitted for each range sought to 
be included in a FRM or FEM method determination under this paragraph 
(b).
    (c) For each performance 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
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                 SO 2
                                                                      -------------------------                                  Definitions and test
          Performance parameter                    Units \1\            Std. range     Lower       O 3       CO       NO 2            procedures
                                                                           \3\       range 2 3
--------------------------------------------------------------------------------------------------------------------------------------------------------
1. Range................................  ppm........................      0-0.5       <0.5       0-0.5      0-50    0-0.5    Sec. 53.23(a).
2. Noise................................  ppm........................        0.001      0.0005      0.005     0.5      0.005  Sec. 53.23(b).
3. Lower detectable limit...............  ppm........................        0.002      0.001       0.010     1.0      0.010  Sec. 53.23(c).
4. Interference equivalent
    Each interferent....................  ppm........................   0.003 ppm for the lower range.


[[Page 23]]

    (d) The tests for zero drift, span drift, lag time, rise time, fall 
time, and precision shall be combined into a single sequential procedure 
to be conducted at various line voltages and ambient temperatures 
specified in Sec. 53.23(e). The tests for noise, lower detectable 
limit, and interference equivalents shall be made at any temperature 
between 20 [deg]C. and 30 [deg]C. and at any normal line voltage between 
105 and 125 volts, and shall be conducted such that not more than three 
(3) test results for each parameter are obtained per 24 hours.
    (e) All response readings to be recorded shall first be converted to 
concentration units according to the calibration curve constructed in 
accordance with Sec. 53.21(b).
    (f) All recorder chart tracings, records, test data and other 
documentation obtained from or pertinent to these tests shall be 
identified, dated, signed by the analyst performing the test, and 
submitted.

    Note: Suggested formats for reporting the test results and 
calculations are provided in Figures B-2, B-3, B-4, B-5, and B-6 in 
appendix A. Symbols and abbreviations used in this subpart are listed in 
table B-5, appendix A.

[40 FR 7049, Feb. 18, 1975, as amended at 40 FR 18168, Apr. 25, 1975; 41 
FR 52694, Dec. 1, 1976; 75 FR 35598, June 22, 2010]



Sec. 53.21  Test conditions.

    (a) Set-up and start-up of the test analyzer shall be in strict 
accordance with the operating instructions specified in the manual 
referred to in Sec. 53.4(b)(3). Allow adequate warm-up or stabilization 
time as indicated in the operating instructions before beginning the 
tests. The test procedures assume that the test analyzer has an analog 
measurement signal output that is connected to a suitable strip chart 
recorder of the servo, null-balance type. This recorder shall have a 
chart width of a least 25 centimeters, chart speeds up to 10 cm per 
hour, a response time of 1 second or less, a deadband of not more than 
0.25 percent of full scale, and capability either of reading 
measurements at least 5 percent below zero or of offsetting the zero by 
at least 5 percent. If the test analyzer does not have an analog signal 
output, or if other types of measurement data output are used, an 
alternative measurement data recording device (or devices) may be used 
for the tests, provided it is reasonably suited to the nature and 
purposes of the tests and an analog representation of the analyzer 
measurements for each test can be plotted or otherwise generated that is 
reasonably similar to the analog measurement recordings that would be 
produced by a conventional chart recorder.
    (b) Calibration of the test analyzer shall be as indicated in the 
manual referred to in Sec. 53.4(b)(3) and as follows: If the chart 
recorder does not have below zero capability, adjust either the controls 
of the test analyzer or the chart recorder to obtain a +5% offset zero 
reading on the recorder chart to facilitate observing negative response 
or drift. If the candidate method is not capable of negative response, 
the test analyzer (not recorder) shall be operated with an offset zero. 
Construct and submit a calibration curve showing a plot of recorder 
scale readings (ordinate) against pollutant concentrations (abscissa). A 
plot of output units (volts, millivolts, milliamps, etc.) against 
pollutant concentrations shall also be shown for methods not including 
an integral chart recorder. All such plots shall consist of at least 
seven (7) approximately equally spaced, identifiable points, including 0 
and 905 percent of full scale.
    (c) Once the test analyzer has been set up and calibrated and the 
tests started, manual adjustment or normal periodic maintenance is 
permitted only every 3 days. Automatic adjustments which the test 
analyzer performs by itself are permitted at any time. The submitted 
records shall show clearly when any manual adjustment or periodic 
maintenance was made and describe the operations performed.
    (d) If the test analyzer should malfunction during any of the 
performance tests, the tests for that parameter shall be repeated. A 
detailed explanation of the malfunction, remedial action taken, and 
whether recalibration was necessary (along with all pertinent records 
and charts) shall be submitted. If more than one malfunction occurs, all 
performance test procedures for all parameters shall be repeated.

[[Page 24]]

    (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.

[62 FR 38784, July 18, 1997, as amended at 75 FR 35599, June 22, 2010]



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.

                       Table B-2--Test Atmospheres
------------------------------------------------------------------------
           Test gas                  Generation          Verification
------------------------------------------------------------------------
Ammonia.......................  Permeation device.   Indophenol method,
                                 Similar to system    reference 3.
                                 described in
                                 references 1 and 2.
Carbon dioxide................  Cylinder of zero     Use NIST-certified
                                 air or nitrogen      standards whenever
                                 containing CO2 as    possible. If NIST
                                 required to obtain   standards are not
                                 the concentration    available, obtain
                                 specified in Table   2 standards from
                                 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     Use a FRM CO
                                 air or nitrogen      analyzer as
                                 containing CO as     described in
                                 required to obtain   reference 8.
                                 the concentration
                                 specified in Table
                                 B-3.
Ethane........................  Cylinder of zero     Gas chromatography,
                                 air or nitrogen      ASTM D2820,
                                 containing ethane    reference 10. Use
                                 as required to       NIST-traceable
                                 obtain the           gaseous methane or
                                 concentration        propane standards
                                 specified in Table   for calibration.
                                 B-3.
Ethylene......................  Cylinder of pre-     Do.
                                 purified nitrogen
                                 containing
                                 ethylene as
                                 required to obtain
                                 the concentration
                                 specified in Table
                                 B-3.
Hydrogen chloride.............  Cylinder\1\ of pre-  Collect samples in
                                 purified nitrogen    bubbler containing
                                 containing           distilled water
                                 approximately 100    and analyze by the
                                 ppm of gaseous       mercuric
                                 HCL. Dilute with     thiocyante method,
                                 zero air to          ASTM (D612), p.
                                 concentration        29, reference 4.
                                 specified in Table
                                 B-3.
Hydrogen sulfide..............  Permeation device    Tentative method of
                                 system described     analysis for H2S
                                 in references 1      content of the
                                 and 2.               atmosphere, p.
                                                      426, reference 5.
Methane.......................  Cylinder of zero     Gas chromatography
                                 air containing       ASTM D2820,
                                 methane as           reference 10. Use
                                 required to obtain   NIST-traceable
                                 the concentration    methane standards
                                 specified in Table   for calibration.
                                 B-3.
Naphthalene...................  1. Permeation        Use NIST-certified
                                 device as            standards whenever
                                 described in         possible. If NIST
                                 references 1 and 2.  standards are not
                                2. Cylinder of pre-   available, obtain
                                 purified nitrogen    2 standards from
                                 containing 100 ppm   independent
                                 naphthalene.         sources which
                                 Dilute with zero     agree within 2
                                 air to               percent, or obtain
                                 concentration        one standard and
                                 specified in Table   submit it to an
                                 B-3..                independent
                                                      laboratory for
                                                      analysis, which
                                                      must agree within
                                                      2 percent of the
                                                      supplier's nominal
                                                      analysis.

[[Page 25]]

 
Nitric oxide..................  Cylinder\1\ of pre-  Use NIST-certified
                                 purified nitrogen    standards whenever
                                 containing           possible. If NIST
                                 approximately 100    standards are not
                                 ppm NO. Dilute       available, obtain
                                 with zero air to     2 standards from
                                 required             independent
                                 concentration.       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.
Nitrogen dioxide..............  1. Gas phase         1. Use an FRM NO2
                                 titration as         analyzer
                                 described in         calibrated with a
                                 reference 6.         gravimetrically
                                2. Permeation         calibrated
                                 device, similar to   permeation device.
                                 system described    2. Use an FRM NO2
                                 in reference 6..     analyzer
                                                      calibrated by gas-
                                                      phase titration as
                                                      described in
                                                      reference 6.
Ozone.........................  Calibrated ozone     Use an FEM ozone
                                 generator as         analyzer
                                 described in         calibrated as
                                 reference 9.         described in
                                                      reference 9.
Sulfur dioxide................  1. Permeation        Use an SO2 FRM or
                                 device as            FEM analyzer as
                                 described in         described in
                                 references 1 and 2.  reference 7.
                                2. Dynamic dilution
                                 of a cylinder
                                 containing
                                 approximately 100
                                 ppm SO2 as
                                 described in
                                 Reference 7..
Water.........................  Pass zero air        Measure relative
                                 through distilled    humidity by means
                                 water at a fixed     of a dew-point
                                 known temperature    indicator,
                                 between 20[deg]      calibrated
                                 and 30 [deg]C such   electrolytic or
                                 that the air         piezo electric
                                 stream becomes       hygrometer, or wet/
                                 saturated. Dilute    dry bulb
                                 with zero air to     thermometer.
                                 concentration
                                 specified in Table
                                 B-3.
Xylene........................  Cylinder of pre-     Use NIST-certified
                                 purified nitrogen    standards whenever
                                 containing 100 ppm   possible. If NIST
                                 xylene. Dilute       standards are not
                                 with zero air to     available, obtain
                                 concentration        2 standards from
                                 specified in Table   independent
                                 B-3.                 sources which
                                                      agree within 2
                                                      percent, or obtain
                                                      one standard and
                                                      submit it to an
                                                      independent
                                                      laboratory for
                                                      analysis, which
                                                      must agree within
                                                      2 percent of the
                                                      supplier's nominal
                                                      analysis.
Zero air......................  1. Ambient air
                                 purified by
                                 appropriate
                                 scrubbers or other
                                 devices such that
                                 it is free of
                                 contaminants
                                 likely to cause a
                                 detectable
                                 response on the
                                 analyzer.
                                2. Cylinder of
                                 compressed zero
                                 air certified by
                                 the supplier or an
                                 independent
                                 laboratory to be
                                 free of
                                 contaminants
                                 likely to cause a
                                 detectable
                                 response on the
                                 analyzer.
------------------------------------------------------------------------
\1\ Use stainless steel pressure regulator dedicated to the pollutant
  measured.
Reference 1. O'Keefe, A. E., and Ortaman, G. C. ``Primary Standards for
  Trace Gas Analysis,'' Anal. Chem. 38, 760 (1966).
Reference 2. Scaringelli, F. P., A. E. Rosenberg, E., and Bell, J. P.,
  ``Primary Standards for Trace Gas Analysis.'' Anal. Chem. 42, 871
  (1970).
Reference 3. ``Tentative Method of Analysis for Ammonia in the
  Atmosphere (Indophenol Method)'', Health Lab Sciences, vol. 10, No. 2,
  115-118, April 1973.
Reference 4. 1973 Annual Book of ASTM Standards, American Society for
  Testing and Materials, 1916 Race St., Philadelphia, PA.
Reference 5. Methods for Air Sampling and Analysis, Intersociety
  Committee, 1972, American Public Health Association, 1015.
Reference 6. 40 CFR 50 Appendix F, ``Measurement Principle and
  Calibration Principle for the Measurement of Nitrogen Dioxide in the
  Atmosphere (Gas Phase Chemiluminescence).''
Reference 7. 40 CFR 50 Appendix A-1, ``Measurement Principle and
  Calibration Procedure for the Measurement of Sulfur Dioxide in the
  Atmosphere (Ultraviolet FIuorscence).''
Reference 8. 40 CFR 50 Appendix C, ``Measurement Principle and
  Calibration Procedure for the Measurement of Carbon Monoxide in the
  Atmosphere'' (Non-Dispersive Infrared Photometry)''.
Reference 9. 40 CFR 50 Appendix D, ``Measurement Principle and
  Calibration Procedure for the Measurement of Ozone in the
  Atmosphere''.
Reference 10. ``Standard Test Method for C, through C5 Hydrocarbons in
  the Atmosphere by Gas Chromatography'', D 2820, 1987 Annual Book of
  Aston Standards, vol 11.03, American Society for Testing and
  Materials, 1916 Race St., Philadelphia, PA 19103.

    (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

[[Page 26]]

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; 75 
FR 35599, June 22, 2010]



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 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.

[[Page 27]]

    (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 28]]



                                                                 Table B-3--Interferent Test Concentration,\1\ Parts per Million
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                         Hydro-           Hydro-                                                                           Carbon
     Pollu-  tant                Analyzer type          chloric   Ammo-    gen     Sulfur  Nitrogen  Nitric   Carbon   Ethy-   Ozone    M-       Water      mon-    Meth-    Ethane  Naphthalene
                                                          acid     nia   sulfide  dioxide   dioxide   oxide  dioxide   lene           xylene     vapor     oxide     ane
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
SO2...................  Ultraviolet fluorescence......  .......  ......  \5\ 0.1      \4\       0.5     0.5  .......  ......     0.5     0.2      20,000  .......  .......  .......   \6\ 0.05
                                                                                     0.14
SO2...................  Flame photometric.............  .......  ......     0.01      \4\  ........  ......      750  ......  ......  ......  \3\ 20,000       50  .......  .......
                                                                                     0.14
SO2...................  Gas chromatography............  .......  ......      0.1      \4\  ........  ......      750  ......  ......  ......  \3\ 20,000       50  .......  .......
                                                                                     0.14
SO2...................  Spectrophotometric-wet              0.2     0.1      0.1      \4\       0.5  ......      750  ......     0.5  ......  ..........  .......  .......  .......
                         chemical (pararosanaline).                                  0.14
SO2...................  Electrochemical...............      0.2     0.1      0.1      \4\       0.5     0.5  .......     0.2     0.5  ......  \3\ 20,000  .......  .......  .......
                                                                                     0.14
SO2...................  Conductivity..................      0.2     0.1  .......      \4\       0.5  ......      750  ......  ......  ......  ..........  .......  .......  .......
                                                                                     0.14
SO2...................  Spectrophotometric-gas phase,   .......  ......  .......      \4\       0.5  ......  .......  ......     0.5     0.2  ..........  .......  .......  .......
                         including DOAS.                                             0.14
O3....................  Chemiluminescent..............  .......  ......  \3\ 0.1  .......  ........  ......      750  ......     \4\  ......  \3\ 20,000  .......  .......  .......
                                                                                                                                0.08
O3....................  Electrochemical...............  .......     \3\  .......      0.5       0.5  ......  .......  ......     \4\  ......  ..........  .......  .......  .......
                                                                    0.1                                                         0.08
O3....................  Spectrophotometric-wet          .......     \3\  .......      0.5       0.5     \3\  .......  ......     \4\  ......  ..........  .......  .......  .......
                         chemical (potassium iodide).               0.1                                 0.5                     0.08
O3....................  Spectrophotometric-gas phase,   .......  ......  .......      0.5       0.5     0.5  .......  ......     \4\    0.02      20,000  .......  .......  .......
                         including ultraviolet                                                                                  0.08
                         absorption and DOAS.
CO....................  Infrared......................  .......  ......  .......  .......  ........  ......      750  ......  ......  ......      20,000   \4\ 10  .......  .......
CO....................  Gas chromatography with flame   .......  ......  .......  .......  ........  ......  .......  ......  ......  ......      20,000   \4\ 10  .......      0.5
                         ionization detector.
CO....................  Electrochemical...............  .......  ......  .......  .......  ........     0.5  .......     0.2  ......  ......      20,000   \4\ 10  .......  .......
CO....................  Catalytic combustion-thermal    .......     0.1  .......  .......  ........  ......      750     0.2  ......  ......      20,000   \4\ 10      5.0      0.5
                         detection.
CO....................  IR fluorescence...............  .......  ......  .......  .......  ........  ......      750  ......  ......  ......      20,000   \4\ 10  .......      0.5
CO....................  Mercury replacement-UV          .......  ......  .......  .......  ........  ......  .......     0.2  ......  ......  ..........   \4\ 10  .......      0.5
                         photometric.
NO2...................  Chemiluminescent..............  .......     \3\  .......      0.5   \4\ 0.1     0.5  .......  ......  ......  ......      20,000  .......  .......  .......
                                                                    0.1
NO2...................  Spectrophotometric-wet          .......  ......  .......      0.5   \4\ 0.1     0.5      750  ......     0.5  ......  ..........  .......  .......  .......
                         chemical (azo-dye reaction).
NO2...................  Electrochemical...............      0.2     \3\  .......      0.5   \4\ 0.1     0.5      750  ......     0.5  ......      20,000       50  .......  .......
                                                                    0.1
NO2...................  Spectrophotometric-gas phase..  .......     \3\  .......      0.5   \4\ 0.1     0.5  .......  ......     0.5  ......      20,000       50  .......  .......
                                                                    0.1
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
1. Concentrations of interferent listed must be prepared and controlled to 10 percent of the stated value.
2. Analyzer types not listed will be considered by the Administrator as special cases.
3. Do not mix with the pollutant.
4. Concentration of pollutant used for test. These pollutant concentrations must be prepared to 10 percent of the stated value.
5. If candidate method utilizes an elevated-temperature scrubber for removal of aromatic hydrocarbons, perform this interference test.
6. If naphthalene test concentration cannot be accurately quantified, remove the scrubber, use a test concentration that causes a full scale response, reattach the scrubber, and evaluate
  response for interference


[[Page 29]]

    (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 30]]

    (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,   temperature,         Comments
                          \1\ rms     \2\ [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 31]]

 
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 32]]

[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 33]]

 
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 34]]

hour continuous zero air test. Determine the minimum (Cmin.) and maximum 
(Cmax.) readings (in p/m) during this period of 12 consecutive hours, 
extrapolating the calibration curve to negative concentration units if 
necessary. Determine the 12-hour zero drift (12ZD) as 12ZD = C\max.\-
C\min.\. (See Figure B-5 in appendix A.)
    (B) Calculate the 24-hour zero drift (24ZD) for the n-th test day as 
24ZDn = Zn-Zn-1, or 24ZDn = 
Zn-Z'n-1 if zero adjustment was made on the 
previous day, where Zn = \1/2\(L1+L2) 
for L1 and L2 taken on the n-th test day.
    (C) Compare 12ZD and 24ZD to the zero drift specification in table 
B-1. Both 12ZD and 24ZD must be equal to or less than the specified 
value to pass the test for zero drift.
    (ii) Span drift. (A) Span drift at 20 percent of URL (MSD)
    [GRAPHIC] [TIFF OMITTED] TC09NO91.000
    
    [GRAPHIC] [TIFF OMITTED] TC09NO91.001
    

If span adjustment was made on the previous day, where
[GRAPHIC] [TIFF OMITTED] TC09NO91.002


n indicates the n-th test day, and i indicates the i-th reading on the 
n-th day.
    (B) Span drift at 80 percent of URL (USD):
    [GRAPHIC] [TIFF OMITTED] TC09NO91.003
    

or
[GRAPHIC] [TIFF OMITTED] TC09NO91.004


If span adjustment was made on the previous day, where
[GRAPHIC] [TIFF OMITTED] TC09NO91.005


n indicates the n-th test day, and i indicates the i-th reading on the 
n-th test day.
    (C) Both USD and MSD must be equal to or less than the respective 
specifications given in table B-1 to pass the test for span draft.
    (iii) Lag time. Determine, from the strip chart, the elapsed time in 
minutes between the mark made in step (xxvi) and the first observable 
(two times the noise level) response. This time must be equal to or less 
than the time specified in table B-1 to pass the test for lag time.
    (iv) Rise time. Calculate 95 percent of reading P9 and 
determine from the recorder chart, the elapsed time between the first 
observable (two times noise level) response and a response equal to 95 
percent of the P9 reading. This time must be equal to or less 
than the rise time specified in table B-1 to pass the test for rise 
time.
    (v) Fall time. Calculate five percent of (P10-
L2) and determine, from the strip chart, the elapsed time in 
minutes between the first observable decrease in response following 
reading P10 and a response equal to five percent of 
(P10-L2). This time must be equal to or less than 
the fall time specification in table B-1 to pass the test for fall time.
    (vi) Precision. Calculate precision (P20 and 
P80) for each day's test as follows:
    (A)
    [GRAPHIC] [TIFF OMITTED] TC09NO91.006
    
    (B)
    [GRAPHIC] [TIFF OMITTED] TC09NO91.007
    
    (C) Both P20 and P80 
must be equal to or less than the specification given in table B-1 to 
pass the test for precision.

[40 FR 7049, Feb. 18, 1975, as amended at 41 FR 52694, Dec. 1, 1976; 75 
FR 35600, June 22, 2010]

[[Page 35]]



 Sec. Appendix A to Subpart B of Part 53--Optional Forms for Reporting 
                              Test Results

                  Table B-5--Symbols and Abbreviations
 
 
 
BL............................  Analyzer reading at specified LDL
                                 concentration.
Bz............................  Analyzer reading at 0 concentration for
                                 LDL test.
DM............................  Digital meter.
Cmax..........................  Maximum analyzer reading during 12ZD
                                 test.
Cmin..........................  Minimum analyzer reading during 12ZD
                                 test.
i.............................  Subscript indicating the i-th quantity
                                 in a series.
IE............................  Interference equivalent.
L1............................  First analyzer zero reading for 24ZD
                                 test.
L2............................  Second analyzer zero reading for 24ZD
                                 test.
Mn............................  Average of P1 . . . P6 for the n-th test
                                 day.
M'n...........................  Adjusted span reading at 20 percent of
                                 URL on the n-th test day.
MSD...........................  Span drift at 20 percent of URL.
n.............................  Subscript indicating the test day
                                 number.
P.............................  Analyzer reading for precision test.
Pi............................  The i-th analyzer reading for precision
                                 test.
P20...........................  Precision at 20 percent of URL.
P80...........................  Precision at 80 percent of URL.
R.............................  Analyzer reading of pollutant alone for
                                 IE test.
RI............................  Analyzer reading with interferent added
                                 for IE test.
ri............................  The i-th DM reading for noise test.
S.............................  Standard deviation of noise readings.
S0............................  Noise value (S) measured at 0
                                 concentration.
S80...........................  Noise value (S) measured at 80 percent
                                 of URL.
Sn............................  Average of P7 . . . P12 for the n-th
                                 test day.
S'n...........................  Adjusted span reading at 80 percent of
                                 URL on the n-th test day.
URL...........................  Upper range limit.
USD...........................  Span drift at 80 percent o
Z.............................  Average of L1 and L2.
Zn............................  Average of L1 and L2 on the n-th test
                                 day.
Z'n...........................  Adjusted zero reading on the n-th test
                                 day.
ZD............................  Zero drift.
12ZD..........................  12-hour zero drift.
24ZD..........................  24-hour zero drift.
 


[[Page 36]]




[[Page 37]]




[[Page 38]]




[[Page 39]]




[[Page 40]]

[GRAPHIC] [TIFF OMITTED] TC09NO91.031


[40 FR 7049, Feb. 18, 1975, as amended at 40 FR 18169, Apr. 25, 1975]



  Subpart C_Procedures for Determining Comparability Between Candidate 
                      Methods and Reference Methods

    Source: 71 FR 61278, Oct. 17, 2006, unless otherwise noted.



Sec. 53.30  General provisions.

    (a) Determination of comparability. The test procedures prescribed 
in this subpart shall be used to determine if a candidate method is 
comparable to a reference method when both methods measure pollutant 
concentrations in

[[Page 41]]

ambient air. Minor deviations in testing requirements and acceptance 
requirements set forth in this subpart, in connection with any 
documented extenuating circumstances, may be determined by the 
Administrator to be acceptable, at the discretion of the Administrator.
    (b) Selection of test sites. (1) Each test site shall be in an area 
which can be shown to have at least moderate concentrations of various 
pollutants. Each site shall be clearly identified and shall be justified 
as an appropriate test site with suitable supporting evidence such as a 
description of the surrounding area, characterization of the sources and 
pollutants typical in the area, maps, population density data, vehicular 
traffic data, emission inventories, pollutant measurements from previous 
years, concurrent pollutant measurements, meteorological data, and other 
information useful in supporting the suitability of the site for the 
comparison test or tests.
    (2) If approval of one or more proposed test sites is desired prior 
to conducting the tests, a written request for approval of the test site 
or sites must be submitted to the address given in Sec. 53.4. The 
request should include information identifying the type of candidate 
method and one or more specific proposed test sites along with a 
justification for each proposed specific site as described in paragraph 
(b)(1) of this section. The EPA will evaluate each proposed site and 
approve the site, disapprove the site, or request more information about 
the site. Any such pre-test approval of a test site by the EPA shall 
indicate only that the site meets the applicable test site requirements 
for the candidate method type; it shall not indicate, suggest, or imply 
that test data obtained at the site will necessarily meet any of the 
applicable data acceptance requirements. The Administrator may exercise 
discretion in selecting a different site (or sites) for any additional 
tests the Administrator decides to conduct.
    (c) Test atmosphere. Ambient air sampled at an appropriate test site 
or sites shall be used for these tests. Simultaneous concentration 
measurements shall be made in each of the concentration ranges specified 
in tables C-1, C-3, or C-4 of this subpart, as appropriate.
    (d) Sampling or sample collection. All test concentration 
measurements or samples shall be taken in such a way that both the 
candidate method and the reference method obtain air samples that are 
alike or as nearly identical as practical.
    (e) Operation. Set-up and start-up of the test analyzer(s), test 
sampler(s), and reference method analyzers or samplers shall be in 
strict accordance with the applicable operation manual(s).
    (f) Calibration. The reference method shall be calibrated according 
to the appropriate appendix to part 50 of this chapter (if it is a 
manual method) or according to the applicable operation manual(s) (if it 
is an automated method). A candidate method (or portion thereof) shall 
be calibrated according to the applicable operation manual(s), if such 
calibration is a part of the method.
    (g) Submission of test data and other information. All recorder 
charts, calibration data, records, test results, procedural descriptions 
and details, and other documentation obtained from (or pertinent to) 
these tests shall be identified, dated, signed by the analyst performing 
the test, and submitted. For candidate methods for PM2.5 and 
PM10-2.5, all submitted information must meet the 
requirements of the ANSI/ASQC E4 Standard, sections 6 (reference 1 of 
appendix A of this subpart).



Sec. 53.31  [Reserved]



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

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

[[Page 42]]

test site. If necessary, the concentration of pollutant in the sampled 
ambient air may be augmented with artificially generated pollutant to 
facilitate measurements in the specified ranges, as described under 
paragraph (f)(4) of this section.
    (c) Requirements for measurements or samples. All test measurements 
made or test samples collected by means of a sample manifold as 
specified in paragraph (f)(4) of this section shall be at a room 
temperature between 20[deg] and 30 [deg]C, and at a line voltage between 
105 and 125 volts. All methods shall be calibrated as specified in Sec. 
53.30(f) prior to initiation of the tests.
    (d) Set-up and start-up. (1) Set-up and start-up of the test 
analyzer, test sampler(s), and reference method shall be in strict 
accordance with the applicable operation manual(s). If the test analyzer 
does not have an integral strip chart or digital data recorder, connect 
the analyzer output to a suitable strip chart or digital data recorder. 
This recorder shall have a chart width of at least 25 centimeters, a 
response time of 1 second or less, a deadband of not more than 0.25 
percent of full scale, and capability of either reading measurements at 
least 5 percent below zero or offsetting the zero by at least 5 percent. 
Digital data shall be recorded at appropriate time intervals such that 
trend plots similar to a strip chart recording may be constructed with a 
similar or suitable level of detail.
    (2) Other data acquisition components may be used along with the 
chart recorder during the conduct of these tests. Use of the chart 
recorder is intended only to facilitate visual evaluation of data 
submitted.
    (3) Allow adequate warmup or stabilization time as indicated in the 
applicable operation manual(s) before beginning the tests.
    (e) Range. (1) Except as provided in paragraph (e)(2) of this 
section, each method shall be operated in the range specified for the 
reference method in the appropriate appendix to part 50 of this chapter 
(for manual reference methods), or specified in table B-1 of subpart B 
of this part (for automated reference methods).
    (2) For a candidate method having more than one selectable range, 
one range must be that specified in table B-1 of subpart B of this part, 
and a test analyzer representative of the method must pass the tests 
required by this subpart while operated on that range. The tests may be 
repeated for one or more broader ranges (i.e., ones extending to higher 
concentrations) than the one specified in table B-1 of subpart B of this 
part, provided that such a range does not extend to concentrations more 
than four times the upper range limit specified in table B-1 of subpart 
B of this part and that the test analyzer has passed the tests required 
by subpart B of this part (if applicable) for the broader range. If the 
tests required by this subpart are conducted or passed only for the 
range specified in table B-1 of subpart B of this part, any equivalent 
method determination with respect to the method will be limited to that 
range. If the tests are passed for both the specified range and a 
broader range (or ranges), any such determination will include the 
broader range(s) as well as the specified range. Appropriate test data 
shall be submitted for each range sought to be included in such a 
determination.
    (f) Operation of automated methods. (1) Once the test analyzer has 
been set up and calibrated and tests started, manual adjustment or 
normal periodic maintenance, as specified in the manual referred to in 
Sec. 53.4(b)(3), is permitted only every 3 days. Automatic adjustments 
which the test analyzer performs by itself are permitted at any time. 
The submitted records shall show clearly when manual adjustments were 
made and describe the operations performed.
    (2) All test measurements shall be made with the same test analyzer; 
use of multiple test analyzers is not permitted. The test analyzer shall 
be operated continuously during the entire series of test measurements.
    (3) If a test analyzer should malfunction during any of these tests, 
the entire set of measurements shall be repeated, and a detailed 
explanation of the malfunction, remedial action taken, and whether 
recalibration was necessary (along with all pertinent records and 
charts) shall be submitted.
    (4) Ambient air shall be sampled from a common intake and 
distribution

[[Page 43]]

manifold designed to deliver homogenous air samples to both methods. 
Precautions shall be taken in the design and construction of this 
manifold to minimize the removal of particulate matter and trace gases, 
and to insure that identical samples reach the two methods. If 
necessary, the concentration of pollutant in the sampled ambient air may 
be augmented with artificially generated pollutant. However, at all 
times the air sample measured by the candidate and reference methods 
under test shall consist of not less than 80 percent ambient air by 
volume. Schematic drawings, physical illustrations, descriptions, and 
complete details of the manifold system and the augmentation system (if 
used) shall be submitted.
    (g) Tests. (1) Conduct the first set of simultaneous measurements 
with the candidate and reference methods:
    (i) Table C-1 of this subpart specifies the type (1-or 24-hour) and 
number of measurements to be made in each of the three test 
concentration ranges.
    (ii) The pollutant concentration must fall within the specified 
range as measured by the reference method.
    (iii) The measurements shall be made in the sequence specified in 
table C-2 of this subpart, except for the 1-hour SO2 
measurements, which are all in the high range.
    (2) For each pair of measurements, determine the difference 
(discrepancy) between the candidate method measurement and reference 
method measurement. A discrepancy which exceeds the discrepancy 
specified in table C-1 of this subpart constitutes a failure. Figure C-1 
of this subpart contains a suggested format for reporting the test 
results.
    (3) The results of the first set of measurements shall be 
interpreted as follows:
    (i) Zero failures: The candidate method passes the test for 
comparability.
    (ii) Three or more failures: The candidate method fails the test for 
comparability.
    (iii) One or two failures: Conduct a second set of simultaneous 
measurements as specified in table C-1 of this subpart. The results of 
the combined total of first-set and second-set measurements shall be 
interpreted as follows:
    (A) One or two failures: The candidate method passes the test for 
comparability.
    (B) Three or more failures: The candidate method fails the test for 
comparability.
    (iv) For SO2, the 1-hour and 24-hour measurements shall 
be interpreted separately, and the candidate method must pass the tests 
for both 1- and 24-hour measurements to pass the test for comparability.
    (4) A 1-hour measurement consists of the integral of the 
instantaneous concentration over a 60-minute continuous period divided 
by the time period. Integration of the instantaneous concentration may 
be performed by any appropriate means such as chemical, electronic, 
mechanical, visual judgment, or by calculating the mean of not less than 
12 equally-spaced instantaneous readings. Appropriate allowances or 
corrections shall be made in cases where significant errors could occur 
due to characteristic lag time or rise/fall time differences between the 
candidate and reference methods. Details of the means of integration and 
any corrections shall be submitted.
    (5) A 24-hour measurement consists of the integral of the 
instantaneous concentration over a 24-hour continuous period divided by 
the time period. This integration may be performed by any appropriate 
means such as chemical, electronic, mechanical, or by calculating the 
mean of twenty-four (24) sequential 1-hour measurements.
    (6) For O3 and CO, no more than six 1-hour measurements 
shall be made per day. For SO2, no more than four 1-hour 
measurements or one 24-hour measurement shall be made per day. One-hour 
measurements may be made concurrently with 24-hour measurements if 
appropriate.
    (7) For applicable methods, control or calibration checks may be 
performed once per day without adjusting the test analyzer or method. 
These checks may be used as a basis for a linear interpolation-type 
correction to be applied to the measurements to correct for drift. If 
such a correction is used, it shall be applied to all measurements

[[Page 44]]

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

[62 FR 38784, July 18, 1997, as amended at 75 FR 35601, June 22, 2010]



Sec. 53.33  Test Procedure for Methods for Lead (Pb).

    (a) General. The reference method for Pb in TSP includes two parts, 
the reference method for high-volume sampling of TSP as specified in 40 
CFR 50, appendix B and the analysis method for Pb in TSP as specified in 
40 CFR 50, appendix G. Correspondingly, the reference method for Pb in 
PM10 includes the reference method for low-volume sampling of 
PM10 in 40 CFR 50, appendix O and the analysis method of Pb 
in PM10 as specified in 40 CFR 50, appendix Q. This section 
explains the procedures for demonstrating the equivalence of either a 
candidate method for Pb in TSP to the high-volume reference methods, or 
a candidate method for Pb in PM10 to the low-volume reference 
methods.
    (1) Pb in TSP--A candidate method for Pb in TSP specifies reporting 
of Pb concentrations in terms of standard temperature and pressure. 
Comparisons of candidate methods to the reference method in 40 CFR 50, 
appendix G must be made in a consistent manner with regard to 
temperature and pressure.
    (2) Pb in PM10--A candidate method for Pb in 
PM10 must specify reporting of Pb concentrations in terms of 
local conditions of temperature and pressure, which will be compared to 
similarly reported concentrations from the reference method in 40 CFR 50 
appendix Q.
    (b) Comparability. Comparability is shown for Pb methods when the 
differences between:
    (1) Measurements made by a candidate method, and
    (2) Measurements made by the reference method on simultaneously 
collected Pb samples (or the same sample, if applicable), are less than 
or equal to the values specified in table C-3 of this subpart.
    (c) Test measurements. Test measurements may be made at any number 
of test sites. Augmentation of pollutant concentrations is not 
permitted, hence an appropriate test site or sites must be selected to 
provide Pb concentrations in the specified range.
    (d) Collocated samplers. The ambient air intake points of all the 
candidate and reference method collocated samplers shall be positioned 
at the same height above the ground level, and between 2 meters (1 meter 
for samplers with flow rates less than 200 liters per minute (L/min)) 
and 4 meters apart. The samplers shall be oriented in a manner that will 
minimize spatial and wind directional effects on sample collection.
    (e) Sample collection. Collect simultaneous 24-hour samples of Pb at 
the test site or sites with both the reference and candidate methods 
until at least 10 sample pairs have been obtained.
    (1) A candidate method for Pb in TSP which employs a sampler and 
sample collection procedure that are identical to the sampler and sample 
collection procedure specified in the reference method in 40 CFR part 
50, Appendix B, but uses a different analytical procedure than specified 
in 40 CFR Appendix G, may be tested by analyzing pairs of filter strips 
taken from a single TSP reference sampler operated according to the 
procedures specified by that reference method.
    (2) A candidate method for Pb in PM10 which employs a 
sampler and sample collection procedure that are identical to the 
sampler and sample collection procedure specified in the reference 
method in 40 CFR part 50, Appendix O, but uses a different analytical 
procedure than specified in 40 CFR Appendix Q, requires the use of two 
PM10 reference samplers because a single 46.2-mm filter from 
a reference sampler may not be divided prior to analysis. It is possible 
to analyze a 46.2-mm filter first with the non-destructive X-ray 
Fluorescence (XRF) FRM and subsequently extract the filter for other 
analytical techniques. If the filter is subject to XRF with subsequent 
extraction for other analyses, then a single PM10 reference 
sampler may be used for sample collection.
    (3) A candidate method for Pb in TSP or Pb in PM10 which 
employs a direct reading (e.g., continuous or semi-continuous sampling) 
method that uses the same sampling inlet and flow rate as the FRM and 
the same or different

[[Page 45]]

analytical procedure may be tested. The direct measurements are then 
aggregated to 24-hour equivalent concentrations for comparison with the 
FRM. For determining precision in section (k), two collocated direct 
reading devices must be used.
    (f) Audit samples. Three audit samples must be obtained from the 
address given in Sec. 53.4(a). For Pb in TSP collected by the high-
volume sampling method, the audit samples are \3/4\ x 8-inch glass fiber 
strips containing known amounts of Pb in micrograms per strip ([micro]g/
strip) equivalent to the following nominal percentages of the National 
Ambient Air Quality Standard (NAAQS): 30%, 100%, and 250%. For Pb in 
PM10 collected by the low-volume sampling method, the audit 
samples are 46.2-mm polytetrafluorethylene (PTFE) filters containing 
known amounts of Pb in micrograms per filter ([micro]g/filter) 
equivalent to the same percentages of the NAAQS: 30%, 100%, and 250%. 
The true amount of Pb (Tqi), in total [micro]g/strip (for TSP) or total 
[micro]g/filter (for PM10), will be provided for each audit 
sample.
    (g) Filter analysis.
    (1) For both the reference method samples (e) and the audit samples 
(f), analyze each filter or filter extract three times in accordance 
with the reference method analytical procedure. This applies to both the 
Pb in TSP and Pb in PM10 methods. The analysis of replicates 
should not be performed sequentially, i.e., a single sample should not 
be analyzed three times in sequence. Calculate the indicated Pb 
concentrations for the reference method samples in micrograms per cubic 
meter ([micro]g/m\3\) for each analysis of each filter. Calculate the 
indicated total Pb amount for the audit samples in [micro]g/strip for 
each analysis of each strip or [micro]g/filter for each analysis of each 
audit filter. Label these test results as R1A, 
R1B, R1C, R2A, R2B, etc., 
Q1A, Q1B, Q1C, etc., where R denotes 
results from the reference method samples; Q denotes results from the 
audit samples; 1, 2, 3 indicate the filter number, and A, B, C indicate 
the first, second, and third analysis of each filter, respectively.
    (2) For the candidate method samples, analyze each sample filter or 
filter extract three times and calculate, in accordance with the 
candidate method, the indicated Pb concentration in [micro]g/m \3\ for 
each analysis of each filter. The analysis of replicates should not be 
performed sequentially. Label these test results as C1A, 
C1B, C2C, etc., where C denotes results from the 
candidate method. For candidate methods which provide a direct reading 
or measurement of Pb concentrations without a separable procedure, 
C1A=C1B=C1C, 
C2A=C2B=C2C, etc.
    (h) Average Pb concentration. For the reference method, calculate 
the average Pb concentration for each filter by averaging the 
concentrations calculated from the three analyses as described in (g)(1) 
using equation 1 of this section:
[GRAPHIC] [TIFF OMITTED] TR12NO08.003

Where, i is the filter number.

    (i) Analytical Bias. (1) For the audit samples, calculate the 
average Pb concentration for each strip or filter analyzed by the 
reference method by averaging the concentrations calculated from the 
three analyses as described in (g)(1) using equation 2 of this section:
[GRAPHIC] [TIFF OMITTED] TR12NO08.004

Where, i is audit sample number.

    (2) Calculate the percent difference (Dq) between the 
average Pb concentration for each audit sample and the true Pb 
concentration (Tq) using equation 3 of this section:
[GRAPHIC] [TIFF OMITTED] TR12NO08.005

    (3) If any difference value (Dqi) exceeds 5 percent, the bias of the reference method analytical 
procedure is out-of-control. Corrective action must be taken to 
determine the source of the error(s) (e.g., calibration standard 
discrepancies, extraction problems, etc.) and the reference method and 
audit

[[Page 46]]

sample determinations must be repeated according to paragraph (g) of 
this section, or the entire test procedure (starting with paragraph (e) 
of this section) must be repeated.
    (j) Acceptable filter pairs. Disregard all filter pairs for which 
the Pb concentration, as determined in paragraph (h) of this section by 
the average of the three reference method determinations, falls outside 
the range of 30% to 250% of the Pb NAAQS level in [micro]g/m\3\ for Pb 
in both TSP and PM10. All remaining filter pairs must be 
subjected to the tests for precision and comparability in paragraphs (k) 
and (l) of this section. At least five filter pairs must be within the 
specified concentration range for the tests to be valid.
    (k) Test for precision. (1) Calculate the precision (P) of the 
analysis (in percent) for each filter and for each method, as the 
maximum minus the minimum divided by the average of the three 
concentration values, using equation 4 or equation 5 of this section:
[GRAPHIC] [TIFF OMITTED] TR12NO08.006

Where, i indicates the filter number.

    (2) If a direct reading candidate method is tested, the precision is 
determined from collocated devices using equation 5 above.
    (3) If any reference method precision value (PRi) exceeds 
15 percent, the precision of the reference method analytical procedure 
is out-of-control. Corrective action must be taken to determine the 
source(s) of imprecision, and the reference method determinations must 
be repeated according to paragraph (g) of this section, or the entire 
test procedure (starting with paragraph (e) of this section) must be 
repeated.
    (4) If any candidate method precision value (PCi) exceeds 
15 percent, the candidate method fails the precision test.
    (5) The candidate method passes this test if all precision values 
(i.e., all PRi's and all PCi's) are less than 15 
percent.
    (l) Test for comparability. (1) For each filter or analytical sample 
pair, calculate all nine possible percent differences (D) between the 
reference and candidate methods, using all nine possible combinations of 
the three determinations (A, B, and C) for each method using equation 6 
of this section:
[GRAPHIC] [TIFF OMITTED] TR12NO08.007

Where, i is the filter number, and n numbers from 1 to 9 for the nine 
possible difference combinations for the three determinations for each 
method (j = A, B, C, candidate; k = A, B, C, reference).

    (2) If none of the percent differences (D) exceeds 20 percent, the candidate method passes the test for 
comparability.
    (3) If one or more of the percent differences (D) exceed 20 percent, the candidate method fails the test for 
comparability.
    (4) The candidate method must pass both the precision test 
(paragraph (k) of this section) and the comparability test (paragraph 
(l) of this section) to qualify for designation as an equivalent method.
    (m) Method Detection Limit (MDL). Calculate the estimated MDL using 
the guidance provided in 40 CFR, Part 136 Appendix B. It is essential 
that all sample processing steps of the analytical method be included in 
the determination of the method detection limit. Take a minimum of seven 
blank filters from each lot to be used and calculate the detection limit 
by processing each through the entire candidate analytical method. Make 
all computations according to the defined method with the final results 
in [micro]g/m\3\. The MDL of the candidate method must be equal to, or 
less than 5% of the level of the Pb NAAQS.

[73 FR 67057, Nov. 12, 2008]



Sec. 53.34  Test procedure for methods for PM[bdi1][bdi0] and Class 

I methods for PM[bdi2].[bdi5].

    (a) Comparability. Comparability is shown for PM10 
methods and for Class I

[[Page 47]]

methods for PM2.5 when the relationship between:
    (1) Measurements made by a candidate method, and
    (2) Measurements made by a corresponding reference method on 
simultaneously collected samples (or the same sample, if applicable) at 
each of one or more test sites (as required) is such that the linear 
regression parameters (slope, intercept, and correlation coefficient) 
describing the relationship meet the requirements specified in table C-4 
of this subpart.
    (b) Methods for PM10. Test measurements must be made, or derived 
from particulate samples collected, at not less than two test sites, 
each of which must be located in a geographical area characterized by 
ambient particulate matter that is significantly different in nature and 
composition from that at the other test site(s). Augmentation of 
pollutant concentrations is not permitted, hence appropriate test sites 
must be selected to provide the minimum number of test PM10 
concentrations in the ranges specified in table C-4 of this subpart. The 
tests at the two sites may be conducted in different calendar seasons, 
if appropriate, to provide PM10 concentrations in the 
specified ranges.
    (c) PM10 methods employing the same sampling procedure as the 
reference method but a different analytical method. Candidate methods 
for PM10 which employ a sampler and sample collection 
procedure that are identical to the sampler and sample collection 
procedure specified in the reference method, but use a different 
analytical procedure, may be tested by analyzing common samples. The 
common samples shall be collected according to the sample collection 
procedure specified by the reference method and shall be analyzed in 
accordance with the analytical procedures of both the candidate method 
and the reference method.
    (d) Methods for PM2.5. Augmentation of pollutant concentrations is 
not permitted, hence appropriate test sites must be selected to provide 
the minimum number of test measurement sets to meet the requirements for 
PM2.5 concentrations in the ranges specified in table C-4 of 
this subpart. Only one test site is required, and the site need only 
meet the PM2.5 ambient concentration levels required by table 
C-4 of this subpart and the requirements of Sec. 53.30(b) of this 
subpart. A total of 10 valid measurement sets is required.
    (e) Collocated measurements. (1) Set up three reference method 
samplers collocated with three candidate method samplers or analyzers at 
each of the number of test sites specified in table C-4 of this subpart.
    (2) The ambient air intake points of all the candidate and reference 
method collocated samplers or analyzers shall be positioned at the same 
height above the ground level, and between 2 meters (1 meter for 
samplers or analyzers with flow rates less than 200 L/min) and 4 meters 
apart. The samplers shall be oriented in a manner that will minimize 
spatial and wind directional effects on sample collection.
    (3) At each site, obtain as many sets of simultaneous 
PM10 or PM2.5 measurements as necessary (see table 
C-4 of this subpart), each set consisting of three reference method and 
three candidate method measurements, all obtained simultaneously.
    (4) Candidate PM10 method measurements shall be nominal 
24-hour (1 hour) integrated measurements or shall 
be averaged to obtain the mean concentration for a nominal 24-hour 
period. PM2.5 measurements may be either nominal 24-or 48-
hour integrated measurements. All collocated measurements in a 
measurement set must cover the same nominal 24-or 48-hour time period.
    (5) For samplers, retrieve the samples promptly after sample 
collection and analyze each sample according to the reference method or 
candidate method, as appropriate, and determine the PM10 or 
PM2.5 concentration in [micro]g/m\3\. If the conditions of 
paragraph (c) of this section apply, collect sample sets only with the 
three reference method samplers. Guidance for quality assurance 
procedures for PM2.5 methods is found in ``Quality Assurance 
Document 2.12'' (reference (2) in appendix A to this subpart).
    (f) Sequential samplers. For sequential samplers, the sampler shall 
be configured for the maximum number of sequential samples and shall be 
set for

[[Page 48]]

automatic collection of all samples sequentially such that the test 
samples are collected equally, to the extent possible, among all 
available sequential channels or utilizing the full available sequential 
capability.
    (g) Calculation of reference method averages and precisions. (1) For 
each of the measurement sets, calculate the average PM10 or 
PM2.5 concentration obtained with the reference method 
samplers, using equation 7 of this section:
[GRAPHIC] [TIFF OMITTED] TR17OC06.021

Where:

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

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

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

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

Where:

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

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

[[Page 49]]



Sec. 53.35  Test procedure for Class II and Class III methods for 

PM[bdi2].[bdi5] and PM-[bdi2].[bdi5]

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

[[Page 50]]

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

[[Page 51]]

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

Where:

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

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

Where:


[[Page 52]]


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

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

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

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

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

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

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

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

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

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

[[Page 53]]

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

[GRAPHIC] [TIFF OMITTED] TR17OC06.034

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

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

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

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



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

 
----------------------------------------------------------------------------------------------------------------
                                                          Simultaneous measurements required
                                                     --------------------------------------------     Maximum
                                     Concentration           1-hour                24-hour          discrepancy
            Pollutant              range, parts per  -------------------------------------------- specification,
                                     million (ppm)                 Second                Second      parts per
                                                      First set     set     First set     set         million
----------------------------------------------------------------------------------------------------------------
Ozone...........................  Low 0.06 to 0.10..          5          6  .........  .........            0.02
                                  Med. 0.15 to 0.25.          5          6  .........  .........            0.03
                                  High 0.35 to 0.46.          4          6  .........  .........            0.04
���������������������������������
                                     Total..........         14         18  .........  .........
���������������������������������
Carbon monoxide.................  Low 7 to 11.......          5          6  .........  .........             1.5
                                  Med. 20 to 30.....          5          6  .........  .........             2.0
                                  High 25 to 45.....          4          6  .........  .........             3.0
���������������������������������
                                     Total..........         14         18  .........  .........
���������������������������������
Sulfur dioxide..................  Low 0.02 to 0.05..          5          6          3          3            0.02
                                  Med. 0.10 to 0.15.          5          6          2          3            0.03
                                  High 0.30 to 0.50.          4          6          2          2            0.04
���������������������������������
                                     Total..........         14         18          7          8
���������������������������������
Nitrogen dioxide................  Low 0.02 to 0.08..  .........  .........          3          3            0.02

[[Page 54]]

 
                                  Med. 0.10 to 0.20.  .........  .........          2          2            0.02
                                  High 0.25.........  .........  .........          2          2            0.03
���������������������������������
                                     Total..........  .........  .........          7          8  ..............
----------------------------------------------------------------------------------------------------------------


[75 FR 35601, June 22, 2010]



  Sec. Table C-2 to Subpart C of Part 53--Sequence of Test Measurements

------------------------------------------------------------------------
                                           Concentration range
          Measurement           ----------------------------------------
                                      First set           Second set
------------------------------------------------------------------------
1..............................  Low................  Medium.
2..............................  High...............  High.
3..............................  Medium.............  Low.
4..............................  High...............  High.
5..............................  Low................  Medium.
6..............................  Medium.............  Low.
7..............................  Low................  Medium.
8..............................  Medium.............  Low.
9..............................  High...............  High.
10.............................  Medium.............  Low.
11.............................  High...............  Medium.
12.............................  Low................  High.
13.............................  Medium.............  Medium.
14.............................  Low................  High.
15.............................  ...................  Low.
16.............................  ...................  Medium.
17.............................  ...................  Low.
18.............................  ...................  High.
------------------------------------------------------------------------



 Sec. Table C-3 to Subpart C of Part 53--Test Specifications for Pb in 
                  TSP and Pb in PM10 Methods

Table C-3 to Subpart C of Part 53--Test Specifications for Pb in TSP and
                           Pb in PM10 Methods
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Concentration range equivalent to           30% to 250%
 percentage of NAAQS in [micro]g/m\3\.
Minimum number of 24-hr measurements......  5
Maximum reference method analytical bias,   5%
 Dq.
Maximum precision, PR or PC...............  <=15%
Maximum difference (D)....................  20%
Estimated Method Detection Limit (MDL),     5% of NAAQS level.
 [micro]g/m\3\.
------------------------------------------------------------------------


[73 FR 67059, Nov. 12, 2008]



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

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

[[Page 55]]

 
    Rj > 30 [micro]g/m3 for 24-   3
     hr or Rj > 20 [micro]g/m3
     for 48-hr samples.
    Each season.................  10................  23................  23                  23                  23
    Total, each site............  10................  23................  23 (46 for two-     23                  23 (46 for two-
                                                                           season sites)                           season sites)
Precision of replicate reference  5 [micro]g/m3 or    2 [micro]g/m3 or    10% 2               10% 2               10% 2               10% 2
 method measurements, PRj or       7%.                 5%.
 RPRj, respectively; RP for
 Class II or III PM2.5 or PM10-
 2.5, maximum.
Precision of PM2.5 or PM10-2.5    10% 2.............  15% 2.............  15% 2               15% 2
 candidate method, CP, each site.
Slope of regression relationship  1  0.10.       thn-eq> 0.05.       thn-eq> 0.10        thn-eq> 0.10        thn-eq> 0.10        thn-eq> 0.12
Intercept of regression           0  5.          thn-eq> 1.          (15.05 x slope),    (17.32 x slope),    (70.5 x slope),     (82.93 x slope),
                                                                           but not less than   but not less than   but not less than   but not less than
                                                                           -1.5; and 16.56 -   -2.0; and 15.05 -   -3.5; and 78.95 -   -7.0; and 70.50 -
                                                                           (15.05 x slope),    (13.20 x slope),    (70.5 x slope),     (61.16 x slope),
                                                                           but not more than   but not more than   but not more than   but not more than
                                                                           +1.5                +2.0                +3.5                +7.0
                                 -----------------------------------------------------------------------------------------------------------------------
Correlation of reference method   = 0.97.  = 0.97.   = 0.93--for CCV <= 0.4; = 0.85 + 0.2 x CCV--for 0.4 <=
 and candidate method                                                                 CCV <= 0.5; = 0.95--for CCV = 0.5
 measurements.
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Some missing daily measurement values may be permitted; see test procedure.
\2\ Calculated as the root mean square over all measurement sets.


[72 FR 32203, June 12, 2007]



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

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


[[Page 56]]


--------------------------------------------------------------------------------------------------------------------------------------------------------
          Candidate method                  Test site                   A                      B                      C                      D
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                     Class III Field test    Winter and summer.....  Winter only..........  Winter only..........  Summer only.
                                      campaigns (Total: 5).
                                                            --------------------------------------------------------------------------------------------
                                     Class II Field test                Site A or B, any season
                                      campaigns (Total: 2).
                                                Site C or D, any season.
--------------------------------------------------------------------------------------------------------------------------------------------------------





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


 Candidate Method_______________________________________________________

 Reference Method_______________________________________________________

 Applicant______________________________________________________________


[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                                    2
                                               ---------------------------------------------------------------------------------------------------------
to -------- ppm                                 3
                                               ---------------------------------------------------------------------------------------------------------
                                                4
                                               ---------------------------------------------------------------------------------------------------------
                                                5
                                               ---------------------------------------------------------------------------------------------------------
                                                6
--------------------------------------------------------------------------------------------------------------------------------------------------------
                    Medium                      1
                                               ---------------------------------------------------------------------------------------------------------
-------- ppm                                    2
                                               ---------------------------------------------------------------------------------------------------------
to -------- ppm                                 3
                                               ---------------------------------------------------------------------------------------------------------
                                                4
                                               ---------------------------------------------------------------------------------------------------------
                                                5
                                               ---------------------------------------------------------------------------------------------------------
                                                6
--------------------------------------------------------------------------------------------------------------------------------------------------------
                     High                       1
                                               ---------------------------------------------------------------------------------------------------------
-------- ppm                                    2
                                               ---------------------------------------------------------------------------------------------------------
to -------- ppm                                 3
                                               ---------------------------------------------------------------------------------------------------------
                                                4
                                               ---------------------------------------------------------------------------------------------------------
                                                5
                                               ---------------------------------------------------------------------------------------------------------
                                                6
                                               ---------------------------------------------------------------------------------------------------------
                                                7
                                               ---------------------------------------------------------------------------------------------------------
                                                8
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                ...................  ........  ........  ..........  ..........  ..........           Total
                                                                                                                                  Failures:
--------------------------------------------------------------------------------------------------------------------------------------------------------


[72 FR 32204, June 12, 2007]

[[Page 57]]



 Sec. Figure C-2 to Subpart C of Part 53--Illustration of the Slope and 
 
 Intercept Limits for Class II and Class III PM2.5 Candidate 
                           Equivalent Methods

[GRAPHIC] [TIFF OMITTED] TR41AD07.009


[72 FR 32204, June 12, 2007]



 Sec. Figure C-3 to Subpart C of Part 53--Illustration of the Slope and 
    
    Intercept Limits for Class II and Class III PM10-2.5 
                      Candidate Equivalent Methods

[GRAPHIC] [TIFF OMITTED] TR41AD07.010


[72 FR 32204, June 12, 2007]

[[Page 58]]



  Sec. Figure C-4 to Subpart C of Part 53--Illustration of the Minimum 
     
     Limits for Correlation Coefficient for PM2.5 and 
              PM10-2.5 Class II and III Methods

[GRAPHIC] [TIFF OMITTED] TR41AD07.011


[72 FR 32204, June 12, 2007]



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

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



Subpart D_Procedures for Testing Performance Characteristics of Methods 
                           for PM[bdi1][bdi0]

    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.

[[Page 59]]

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

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

    (e) For the 50 percent cutpoint parameter, the test result for each 
wind speed shall be reported as the particle size at which the curve 
specified in Sec. 53.40(d) crosses the 50 percent effectiveness line. 
The candidate method passes the 50 percent cutpoint test if the test 
result at each wind speed falls within 100.5 
[micro]m.
    (f) The solid particle sampling effectiveness of a test sampler 
shall be determined in a wind tunnel using 25 [micro]m particles at 2 
wind speeds as specified in table D-2. A minimum of three replicate 
measurements of sampling effectiveness for the 25 [micro]m solid 
particles shall be required at both wind speeds for a minimum of 6 test 
measurements.
    (g) For the solid particle sampling effectiveness parameter, the 
test result for each wind speed shall be reported as the difference 
between the average of the replicate sampling effectiveness measurements 
obtained for the 25 [micro]m solid particles and the average of the 
replicate measurements obtained for the 25 [micro]m liquid particles. 
The candidate method passes the solid particle sampling effectiveness 
test if the test result for each wind speed is less than, or equal to, 5 
percent.
    (h) The precision and flow rate stability of three identical test 
samplers shall be determined at a suitable test site by simultaneously 
sampling the PM10 concentration of the atmosphere for 10 
periods of 24 hours.
    (i) For the precision parameter, the test result for each of the 10 
periods of 24 hours shall be calculated using the procedure in Sec. 
53.43(c). The candidate method passes the precision test if all of the 
test results meet the specifications in table D-1.
    (j) For the flow rate stability parameter, the test results for each 
of the three test samplers and for each of the 10 periods of 24 hours 
shall be calculated using the procedure in Sec. 53.43(d). The candidate 
method passes the flow rate stability test if all of the test results 
meet the specifications in table D-1.
    (k) All test data and other documentation obtained from or pertinent 
to these tests shall be identified, dated, signed by the analyst 
performing the test, and submitted to EPA.

                             Table D-1--Performance Specifications for PM10 Samplers
----------------------------------------------------------------------------------------------------------------
         Performance parameter                     Units                            Specification
----------------------------------------------------------------------------------------------------------------
1. Sampling effectiveness:
  A. Liquid particles.................  Percent...................  Such that the expected mass concentration is
                                                                     within 10 percent of
                                                                     that predicted for the ideal sampler.
  B. Solid particles..................  Percent...................  Sampling effectiveness is no more than 5
                                                                     percent above that obtained for liquid
                                                                     particles of same size.
2. 50 Percent cutpoint                  [micro]m..................  10[micro].5 [micro]m
                                                                     aerodynamic diameter.
3. Precision                            [micro]g/m\3\ or percent..  5 [micro]g/m\3\ or 7 percent for three
                                                                     collocated samplers.
4. Flow rate stability                  Percent...................  Average flow rate over 24 hours within 5 percent of initial flow
                                                                     rate; all measured flow rates over 24 hours
                                                                     within 10 percent of
                                                                     initial flow rate.
----------------------------------------------------------------------------------------------------------------


[[Page 60]]



Sec. 53.41  Test conditions.

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



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

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

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

    (b) The size of the test particles delivered to the test section of 
the wind tunnel shall be established using the operating parameters of 
the vibrating orifice aerosol generator and shall be verified during the 
tests by microscopic examination of samples of the particles collected 
on glass slides or other suitable substrates. When sizing liquid 
particles on glass slides, the slides should be pretreated with an 
oleophobic surfactant and an appropriate flattening factor shall be used 
in the calculation of aerodynamic diameter. The particle size, as 
established by the operating parameters of the vibrating orifice aerosol 
generator, shall be within the tolerance specified in table D-2. The 
precision of the particle size verification technique shall be 0.5 
[micro]m or better, and particle size determined by the verification 
technique shall not differ by more than 0.5 [micro]m or 10 percent, 
whichever is higher, from that established by the operating parameters 
of the vibrating orifice aerosol generator.

[[Page 61]]

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



Sec. 53.43  Test procedures.

    (a) Sampling effectiveness--(1) Technical definition. The ratio 
(expressed as a percentage) of the mass concentration of particles of a 
given size reaching the sampler filter or filters to the mass 
concentration of particles of the same size approaching the sampler.
    (2) Test procedure. (i) Establish a wind speed specified in table D-
2 and measure the wind speed and turbulence intensity (longitudinal 
component and macroscale) at a minimum of 12 test points in a cross-
sectional area of the test section of the wind tunnel. The mean wind 
speed in the test section must be within 10 
percent of the value specified in table D-2 and the variation at any 
test point in the test section may not exceed 10 percent of the mean.
    (ii) Generate particles of a size and type specified in table D-2 
using a vibrating orifice aerosol generator. Check for the presence of 
satellites and adjust the generator as necessary. Calculate the 
aerodynamic particle size using the operating parameters of the 
vibrating orifice aerosol generator and record. The calculated 
aerodynamic diameter must be within the tolerance specified in table D-
2.
    (iii) Collect a sample of the particles on a glass slide or other 
suitable substrate at the particle injection point. If a glass slide is 
used, it should be pretreated with an appropriate oleophobic surfactant 
when collecting liquid particles. Use a microscopic technique to size a 
minimum of 25 primary particles in three viewing fields (do not include 
multiplets). Determine

[[Page 62]]

the geometric mean aerodynamic diameter and geometric standard deviation 
using the bulk density of the particle type (and an appropriate 
flattening factor for liquid particles if collected on a glass slide). 
The measured geometric mean aerodynamic diameter must be within 0.5 
[micro]m or 10 percent of the aerodynamic diameter calculated from the 
operating parameters of the vibrating orifice aerosol generator. The 
geometric standard deviation must not exceed 1.1.
    (iv) Determine the population of multiplets (doublets and triplets) 
in the collected sample by counting a minimum of 100 particles in three 
viewing fields. The multiplet population of the particle test atmosphere 
must not exceed 10 percent.
    (v) Introduce the particles into the wind tunnel and allow the 
particle concentration to stabilize.
    (vi) Install an array of five or more evenly spaced isokinetic 
samplers in the sampling zone (see Sec. 53.42(d)) of the wind tunnel. 
Collect particles on appropriate filters (e.g., glass fiber) over a time 
period such that the relative error of the measured particle 
concentration is less than 5 percent. Relative error is defined as 
(px100%)/(X), where p is the precision of the fluorometer on the 
appropriate range, X is the measured concentration, and the units of p 
and X are the same.
    (vii) Determine the quantity of material collected with each 
isokinetic sampler in the array using a calibrated fluorometer. 
Calculate and record the mass concentration for each isokinetic sampler 
as:
[GRAPHIC] [TIFF OMITTED] TC09NO91.015

where
i = replicate number and j = isokinetic sampler number.

    (viii) Calculate and record the mean mass concentration as:
    [GRAPHIC] [TIFF OMITTED] TC09NO91.016
    
where

n = total number of isokinetic samplers.

    (ix) Calculate and record the coefficient of variation of the mass 
concentration measurements as:
[GRAPHIC] [TIFF OMITTED] TC09NO91.017


If the value of CViso(i) exceeds 0.10, the particle 
concentration uniformity is unacceptable and steps (vi) through (ix) 
must be repeated. If adjustment of the vibrating orifice aerosol 
generator or changes in the particle delivery system are necessary to 
achieve uniformity, steps (ii) through (ix) must be repeated. Remove the 
array of isokinetic samplers from the wind tunnel. NOTE: A single 
isokinetic sampler, operated at the same nominal flow rate as the test 
sampler, may be used in place of the array of isokinetic samplers for 
the determination of particle mass concentration used in the calculation 
of sampling effectiveness of the test sampler in step (xiii). In this 
case, the

[[Page 63]]

array of isokinetic samplers must be used to demonstrate particle 
concentration uniformity prior to the replicate measurements of sampling 
effectiveness.
    (x) If a single isokinetic sampler is used, install the sampler in 
the wind tunnel with the sampler nozzle centered in the sampling zone 
(see Sec. 53.42(d)). Collect particles on an appropriate filter (e.g., 
glass fiber) for a time period such that the relative error of the 
measured concentration (as defined in step (vi)) is less than 5 percent. 
Determine the quantity of material collected with the isokinetic sampler 
using a calibrated fluorometer. Calculate and record the mass 
concentration as Ciso(i) as in step vii. Remove the 
isokinetic sampler from the wind tunnel.
    (xi) Install the test sampler (or portion thereof) in the wind 
tunnel with the sampler inlet opening centered in the sampling zone (see 
Sec. 53.42(d)). To meet the maximum blockage limit of Sec. 53.42(a) or 
for convenience, part of the test sampler may be positioned external to 
the wind tunnel provided that neither the geometry of the sampler nor 
the length of any connecting tube or pipe is altered. Collect particles 
on an appropriate filter or filters (e.g., glass fiber) for a time 
period such that the relative error of the measured concentration (as 
defined in step (vi)) is less than 5 percent.
    (xii) Determine the quantity of material collected with the test 
sampler using a calibrated fluorometer. Calculate and record the mass 
concentration as:
[GRAPHIC] [TIFF OMITTED] TC09NO91.018

where i=replicate number.

    (xiii) Calculate and record the sampling effectiveness of the test 
sampler as:
[GRAPHIC] [TIFF OMITTED] TC09NO91.019

where i = replicate number.

    Note: If a single isokinetic sampler is used for the determination 
of particle mass concentration, replace Ciso(i) with 
Ciso(i).

    (xiv) Remove the test sampler from the wind tunnel. Repeat steps 
(vi) through (xiii), as appropriate, to obtain a minimum of three 
replicate measurements of sampling effectiveness.
    (xv) Calculate and record the average sampling effectiveness of the 
test sampler as:
[GRAPHIC] [TIFF OMITTED] TC09NO91.020

where n=number of replicates.
    (xvi) Calculate and record the coefficient of variation for the 
replicate sampling effectiveness measurements of the test sampler as:
[GRAPHIC] [TIFF OMITTED] TC09NO91.021


If the value of CVE exceeds 0.10, the test run (steps (ii) 
through (xvi)) must be repeated.
    (xvii) Repeat steps i through xvi for each wind speed, particle 
size, and particle type specified in table D-2.
    (xviii) For each of the three wind speeds (nominally 2, 8, and 24 
km/hr), correct the liquid particle sampling effectiveness data for the 
presence of multiplets (doublets and triplets) in the test particle 
atmospheres.
    (xix) For each wind speed, plot the corrected liquid particle 
sampling effectiveness of the test sampler (Ecorr) as a 
function of particle size (dp) on semi-logarithmic graph 
paper where dp is the particle size established by the 
operating parameters of the vibrating orifice aerosol generator. 
Construct a smooth curve through the data.

[[Page 64]]

    (xx) For each wind speed, calculate the expected mass concentration 
for the test sampler under the assumed particle size distribution and 
compare it to the mass concentration predicted for the ideal sampler, as 
follows:
    (A) Extrapolate the upper and lower ends of the corrected liquid 
particle sampling effectiveness curve to 100 percent and 0 percent, 
respectively, using smooth curves. Assume that Ecorr = 100 
percent at a particle size of 1.0 [micro]m and Ecorr = 0 
percent at a particle size of 50 [micro]m.
    (B) Determine the value of Ecorr at each of the particle 
sizes specified in the first column of table D-3. Record each 
Ecorr value as a decimal between 0 and 1 in the second column 
of table D-3.
    (C) Multiply the values of Ecorr in column 2 by the 
interval mass concentration values in column 3 and enter the products in 
column 4 of table D-3.
    (D) Sum the values in column 4 and enter the total as the expected 
mass concentration for the test sampler at the bottom of column 4 of 
table D-3.
    (E) Calculate and record the percent difference in expected mass 
concentration between the test sampler and the ideal sampler as:
[GRAPHIC] [TIFF OMITTED] TC09NO91.022

where:

Csam(exp) = expected mass concentration for the test sampler, 
[micro]g/m\3\
Cideal(exp) = expected mass concentration for the ideal 
sampler, [micro]g/m\3\ (calculated for the ideal sampler and given at 
the bottom of column 7 of table D-3.)

    (F) The candidate method passes the liquid particle sampling 
effectiveness test if the [Delta] C value for each wind speed meets the 
specification in table D-1.
    (xxi) For each of the two wind speeds (nominally 8 and 24 km/hr), 
calculate the difference between the average sampling effectiveness 
value for the 25 [micro]m solid particles and the average sampling 
effectiveness value for the 25 [micro]m liquid particles (uncorrected 
for multiplets).
    (xxii) The candidate method passes the solid particle sampling 
effectiveness test if each such difference meets the specification in 
table D-1.

                                                Table D-3--Expected Mass Concentration for PM10 Samplers
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                Test sampler                                                      Ideal Sampler
                     -----------------------------------------------------------------------------------------------------------------------------------
 Particle size (um)                             Interval mass         Expected mass                               Interval mass         Expected mass
                            Sampling            concentration         concentration           Sampling            concentration         concentration
                          effectiveness        ([micro]g/m\3\)       ([micro]g/m\3\)        effectiveness        ([micro]g/m\3\)       ([micro]g/m\3\)
--------------------------------------------------------------------------------------------------------------------------------------------------------
(1)                                  (2)                   (3)                   (4)                   (5)                   (6)                   (7)
--------------------------------------------------------------------------------------------------------------------------------------------------------
              <1.0                 1.000                62.813                62.813                 1.000                62.813                62.813
               1.5    ....................               9.554    ....................               0.949                 9.554                 9.067
              02.0    ....................               2.164    ....................               0.942                 2.164                 2.038
              02.5    ....................               1.785    ....................               0.933                 1.785                 1.665
              03.0    ....................               2.084    ....................               0.922                 2.084                 1.921
              03.5    ....................               2.618    ....................               0.909                 2.618                 2.380
              04.0    ....................               3.211    ....................               0.893                 3.211                 2.867
              04.5    ....................               3.784    ....................               0.876                 3.784                 3.315
              05.0    ....................               4.300    ....................               0.857                 4.300                 3.685
              05.5    ....................               4.742    ....................               0.835                 4.742                 3.960
              06.0    ....................               5.105    ....................               0.812                 5.105                 4.145
              06.5    ....................               5.389    ....................               0.786                 5.389                 4.236
              07.0    ....................               5.601    ....................               0.759                 5.601                 4.251
              07.5    ....................               5.746    ....................               0.729                 5.746                 4.189
              08.0    ....................               5.834    ....................               0.697                 5.834                 4.066
              08.5    ....................               5.871    ....................               0.664                 5.871                 3.898
              09.0    ....................               5.864    ....................               0.628                 5.864                 3.683
              09.5    ....................               5.822    ....................               0.590                 5.822                 3.435
              10.0    ....................               5.750    ....................               0.551                 5.750                 3.168
              10.5    ....................               5.653    ....................               0.509                 5.653                 2.877
              11.0    ....................               8.257    ....................               0.465                 8.257                 3.840
              12.0    ....................              10.521    ....................               0.371                10.521                 3.903
              13.0    ....................               9.902    ....................               0.269                 9.902                 2.664
              14.0    ....................               9.250    ....................               0.159                 9.250                 1.471
              15.0    ....................               8.593    ....................               0.041                 8.593                 0.352
              16.0    ....................               7.948    ....................               0.000                 7.948                 0.000

[[Page 65]]

 
              17.0    ....................               7.329    ....................               0.000                 7.329                 0.000
              18.0    ....................               9.904    ....................               0.000                 9.904                 0.000
              20.0    ....................              11.366    ....................               0.000                11.366                 0.000
              22.0    ....................               9.540    ....................               0.000                 9.540                 0.000
              24.0    ....................               7.997    ....................               0.000                 7.997                 0.000
              26.0    ....................               6.704    ....................               0.000                 6.704                 0.000
              28.0    ....................               5.627    ....................               0.000                 5.627                 0.000
              30.0    ....................               7.785    ....................               0.000                 7.785                 0.000
              35.0    ....................               7.800    ....................               0.000                 7.800                 0.000
              40.0    ....................               5.192    ....................               0.000                 5.192                 0.000
              45.0    ....................               4.959    ....................               0.000                 4.959                 0.000
                      ....................       Csam(exp) = D    ....................  ....................       Cideal(exp) =               143.889
--------------------------------------------------------------------------------------------------------------------------------------------------------

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

    Note: For candidate equivalent methods, this test may be used to 
satisfy part of the requirements of subpart C of this chapter. In that 
case, three reference method samplers are also used at the test site, 
measurements with the candidate and reference methods are compared as 
specified in Sec. 53.34, and the test site must meet the requirements 
of Sec. 53.30(b).

    (ii) Measure the PM10 concentration of the atmosphere 
using the three test samplers for 10 periods (test days) of 24 hours 
each. On each of the 10 test days, measure the initial and final flow 
rates of each test sampler. On three of the test days, measure the flow 
rate of each test sampler after 6, 12, and 18 hours of operation. All 
measurements of flow rate and mass collected must be made in accordance 
with the procedures prescribed in the sampler instruction manual and/or 
appendix J to part 50 of this chapter. All measurements of flow rate 
must be in actual volumetric units. Record the PM10 
concentration for each sampler and each test day as C(i)(j) 
where i is the sampler number and j is the test day.
    (iii) For each test day, calculate and record the average of the 
three measured PM10 concentrations as C(j) where j 
is the test day. If C(j)<30 [micro]g/m\3\ for any test day, 
data from that test day are unacceptable and the tests for that day must 
be repeated.
    (iv) Calculate and record the precision for each of the 10 test days 
as:

[[Page 66]]




    (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 and Class II Equivalent 
               Methods for PM[bdi2].[bdi5] or 
                PM10-[bdi2].[bdi5]

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



Sec. 53.50  General provisions.

    (a) A candidate method for PM2.5 or PM10-2.5 
described in an application for a FRM or FEM determination submitted 
under Sec. 53.4 shall be determined by the EPA to be a FRM or a Class 
I, II, or III FEM on the basis of the definitions for such methods given 
in Sec. 53.1. This subpart sets forth the specific tests that must be 
carried out and the test results, evidence, documentation,

[[Page 67]]

and other materials that must be provided to EPA to demonstrate that a 
PM2.5 or PM10-2.5 sampler associated with a 
candidate reference method or Class I or Class II equivalent method 
meets all design and performance specifications set forth in appendix L 
or O, respectively, of part 50 of this chapter as well as additional 
requirements specified in this subpart E. Some or all of these tests may 
also be applicable to a candidate Class III equivalent method or 
analyzer, as may be determined under Sec. 53.3(b)(3).
    (b) PM2.5 methods--(1) Reference method. A sampler associated with a 
candidate reference method for PM2.5 shall be subject to the 
provisions, specifications, and test procedures prescribed in Sec. Sec. 
53.51 through 53.58.
    (2) Class I method. A sampler associated with a candidate Class I 
equivalent method for PM2.5 shall be subject to the 
provisions, specifications, and test procedures prescribed in all 
sections of this subpart.
    (3) Class II method. A sampler associated with a candidate Class II 
equivalent method for PM2.5 shall be subject to the 
provisions, specifications, and test procedures prescribed in all 
applicable sections of this subpart, as specified in subpart F of this 
part or as specified in Sec. 53.3(a)(3).
    (c) PM10-2.5 methods--(1) Reference method. A sampler 
associated with a reference method for PM10-2.5, as specified 
in appendix O to part 50 of this chapter, shall be subject to the 
requirements in this paragraph (c)(1).
    (i) The PM2.5 sampler of the PM10-2.5 sampler 
pair shall be verified to be either currently designated under this part 
53 as a FRM for PM2.5, or shown to meet all requirements for 
designation as a FRM for PM2.5, in accordance with this part 
53.
    (ii) The PM10C sampler of the PM10-2.5 sampler 
pair shall be verified to be of like manufacturer, design, 
configuration, and fabrication to the PM2.5 sampler of the 
PM10-2.5 sampler pair, except for replacement of the particle 
size separator specified in section 7.3.4 of appendix L to part 50 of 
this chapter with the downtube extension as specified in Figure O-1 of 
appendix O to part 50 of this chapter.
    (iii) For samplers that meet the provisions of paragraphs (c)(1)(i) 
and (ii) of this section, the candidate PM10-2.5 reference 
method may be determined to be a FRM without further testing.
    (2) Class I method. A sampler associated with a Class I candidate 
equivalent method for PM10-2.5 shall meet the requirements in 
this paragraph (c)(2).
    (i) The PM2.5 sampler of the PM10-2.5 sampler 
pair shall be verified to be either currently designated under this part 
53 as a FRM or Class I FEM for PM2.5, or shown to meet all 
requirements for designation as a FRM or Class I FEM for 
PM2.5, in accordance with this part 53.
    (ii) The PM10c sampler of the PM10-2.5 sampler 
pair shall be verified to be of similar design to the 
PM10-2.5 sampler and to meet all requirements for designation 
as a FRM or Class I FRM for PM2.5, in accordance with this 
part 53, except for replacement of the particle size separator specified 
in section 7.3.4 of appendix L to part 50 of this chapter with the 
downtube extension as specified in Figure O-1 of appendix O to part 50 
of this chapter.
    (iii) For samplers that meet the provisions of paragraphs (c)(2)(i) 
and (ii) of this section, the candidate PM10-2.5 method may 
be determined to be a Class I FEM without further testing.
    (3) Class II method. A sampler associated with a Class II candidate 
equivalent method for PM10-2.5 shall be subject to the 
applicable requirements of this subpart E, as described in Sec. 
53.3(a)(5).
    (d) The provisions of Sec. 53.51 pertain to test results and 
documentation required to demonstrate compliance of a candidate method 
sampler with the design specifications set forth in 40 CFR part 50, 
appendix L or O, as applicable. The test procedures prescribed in 
Sec. Sec. 53.52 through 53.59 pertain to performance tests required to 
demonstrate compliance of a candidate method sampler with the 
performance specifications set forth in 40 CFR part 50, appendix L or O, 
as applicable, as well as additional requirements specified in this 
subpart E. These latter test procedures shall be used to test the 
performance of candidate samplers against the performance specifications 
and requirements specified in each procedure and

[[Page 68]]

summarized in table E-1 of this subpart.
    (e) Test procedures prescribed in Sec. 53.59 do not apply to 
candidate reference method samplers. These procedures apply primarily to 
candidate Class I or Class II equivalent method samplers for 
PM2.5 or PM10-2.5 that have a sample air flow path 
configuration upstream of the sample filter that is modified from that 
specified for the FRM sampler, as set forth in 40 CFR part 50, appendix 
L, Figures L-1 to L-29 or 40 CFR part 50 appendix O, Figure O-1, if 
applicable, such as might be necessary to provide for sequential sample 
capability. The additional tests determine the adequacy of aerosol 
transport through any altered components or supplemental devices that 
are used in a candidate sampler upstream of the filter. In addition to 
the other test procedures in this subpart, these test procedures shall 
be used to further test the performance of such an equivalent method 
sampler against the performance specifications given in the procedure 
and summarized in table E-1 of this subpart.
    (f) A 10-day operational field test of measurement precision is 
required under Sec. 53.58 for both FRM and Class I FEM samplers for 
PM2.5. This test requires collocated operation of three 
candidate method samplers at a field test site. For candidate FEM 
samplers, this test may be combined and carried out concurrently with 
the test for comparability to the FRM specified under Sec. 53.34, which 
requires collocated operation of three FRM samplers and three candidate 
FEM samplers.
    (g) All tests and collection of test data shall be performed in 
accordance with the requirements of reference 1, section 4.10.5 (ISO 
9001) and reference 2, part B, (section 6) and Part C, (section 7) in 
appendix A of this subpart. All test data and other documentation 
obtained specifically from or pertinent to these tests shall be 
identified, dated, signed by the analyst performing the test, and 
submitted to EPA in accordance with subpart A of this part.

[71 FR 61289, Oct. 17, 2006]



Sec. 53.51  Demonstration of compliance with design specifications and

manufacturing and test requirements.

    (a) Overview. (1) Paragraphs (a) through (f) of this section specify 
certain documentation that must be submitted and tests that are required 
to demonstrate that samplers associated with a designated FRM or FEM for 
PM2.5 or PM10-2.5 are properly manufactured to 
meet all applicable design and performance specifications and have been 
properly tested according to all applicable test requirements for such 
designation. Documentation is required to show that instruments and 
components of a PM2.5 or PM10-2.5 sampler are 
manufactured in an ISO 9001-registered facility under a quality system 
that meets ISO-9001 requirements for manufacturing quality control and 
testing.
    (2) In addition, specific tests are required by paragraph (d) of 
this section to verify that critical features of FRM samplers--the 
particle size separator and the surface finish of surfaces specified to 
be anodized--meet the specifications of 40 CFR part 50, appendix L or 
appendix O, as applicable. A checklist is required to provide 
certification by an ISO-certified auditor that all performance and other 
required tests have been properly and appropriately conducted, based on 
a reasonable and appropriate sample of the actual operations or their 
documented records. Following designation of the method, another 
checklist is required initially to provide an ISO-certified auditor's 
certification that the sampler manufacturing process is being 
implemented under an adequate and appropriate quality system.
    (3) For the purposes of this section, the definitions of ISO 9001-
registered facility and ISO-certified auditor are found in Sec. 53.1. 
An exception to the reliance by EPA on ISO-certified auditors is the 
requirement for the submission of the operation or instruction manual 
associated with the candidate method to EPA as part of the application. 
This manual is required under Sec. 53.4(b)(3). The EPA has determined 
that acceptable technical judgment for review of this manual may not be 
assured by ISO-certified auditors, and approval of this manual will 
therefore be performed by EPA.

[[Page 69]]

    (b) ISO registration of manufacturing facility. The applicant must 
submit documentation verifying that the samplers identified and sold as 
part of a designated PM2.5 or PM10-2.5 FRM or FEM 
will be manufactured in an ISO 9001-registered facility and that the 
manufacturing facility is maintained in compliance with all applicable 
ISO 9001 requirements (reference 1 in appendix A of this subpart). The 
documentation shall indicate the date of the original ISO 9001 
registration for the facility and shall include a copy of the most 
recent certification of continued ISO 9001 facility registration. If the 
manufacturer does not wish to initiate or complete ISO 9001 registration 
for the manufacturing facility, documentation must be included in the 
application to EPA describing an alternative method to demonstrate that 
the facility meets the same general requirements as required for 
registration to ISO-9001. In this case, the applicant must provide 
documentation in the application to demonstrate, by required ISO-
certified auditor's inspections, that a quality system is in place which 
is adequate to document and monitor that the sampler system components 
and final assembled samplers all conform to the design, performance and 
other requirements specified in this part and in 40 CFR part 50, 
appendix L.
    (c) Sampler manufacturing quality control. The manufacturer must 
ensure that all components used in the manufacture of PM2.5 
or PM10-2.5 samplers to be sold as part of a FRM or FEM and 
that are specified by design in 40 CFR part 50, appendix L or O (as 
applicable), are fabricated or manufactured exactly as specified. If the 
manufacturer's quality records show that its quality control (QC) and 
quality assurance (QA) system of standard process control inspections 
(of a set number and frequency of testing that is less than 100 percent) 
complies with the applicable QA provisions of section 4 of reference 4 
in appendix A of this subpart and prevents nonconformances, 100 percent 
testing shall not be required until that conclusion is disproved by 
customer return or other independent manufacturer or customer test 
records. If problems are uncovered, inspection to verify conformance to 
the drawings, specifications, and tolerances shall be performed. Refer 
also to paragraph (e) of this section--final assembly and inspection 
requirements.
    (d) Specific tests and supporting documentation required to verify 
conformance to critical component specifications--(1) Verification of 
PM2.5 (WINS) impactor jet diameter. For samplers utilizing 
the WINS impactor particle size separator specified in paragraphs 
7.3.4.1, 7.3.4.2, and 7.3.4.3 of appendix L to part 50 of this chapter, 
the diameter of the jet of each impactor manufactured for a 
PM2.5 or PM10-2.5 sampler under the impactor 
design specifications set forth in 40 CFR part 50, appendix L, shall be 
verified against the tolerance specified on the drawing, using standard, 
NIST-traceable ZZ go/no go plug gages. This test shall be a final check 
of the jet diameter following all fabrication operations, and a record 
shall be kept of this final check. The manufacturer shall submit 
evidence that this procedure is incorporated into the manufacturing 
procedure, that the test is or will be routinely implemented, and that 
an appropriate procedure is in place for the disposition of units that 
fail this tolerance test.
    (2) VSCC separator. For samplers utilizing the BGI VSCC\TM\ Very 
Sharp Cut Cyclone particle size separator specified in paragraph 7.3.4.4 
of appendix L to part 50 of this chapter, the VSCC manufacturer shall 
identify the critical dimensions and manufacturing tolerances for the 
device, develop appropriate test procedures to verify that the critical 
dimensions and tolerances are maintained during the manufacturing 
process, and carry out those procedures on each VSCC manufactured to 
verify conformance of the manufactured products. The manufacturer shall 
also maintain records of these tests and their results and submit 
evidence that this procedure is incorporated into the manufacturing 
procedure, that the test is or will be routinely implemented, and that 
an appropriate procedure is in place for the disposition of units that 
fail this tolerance test.
    (3) Verification of surface finish. The anodization process used to 
treat surfaces specified to be anodized shall be verified by testing 
treated specimen

[[Page 70]]

surfaces for weight and corrosion resistance to ensure that the coating 
obtained conforms to the coating specification. The specimen surfaces 
shall be finished in accordance with military standard specification 
8625F, Type II, Class I (reference 4 in appendix A of this subpart) in 
the same way the sampler surfaces are finished, and tested, prior to 
sealing, as specified in section 4.5.2 of reference 4 in appendix A of 
this subpart.
    (e) Final assembly and inspection requirements. Each sampler shall 
be tested after manufacture and before delivery to the final user. Each 
manufacturer shall document its post-manufacturing test procedures. As a 
minimum, each test shall consist of the following: Tests of the overall 
integrity of the sampler, including leak tests; calibration or 
verification of the calibration of the flow measurement device, 
barometric pressure sensor, and temperature sensors; and operation of 
the sampler with a filter in place over a period of at least 48 hours. 
The results of each test shall be suitably documented and shall be 
subject to review by an ISO-certified auditor.
    (f) Manufacturer's audit checklists. Manufacturers shall require an 
ISO-certified auditor to sign and date a statement indicating that the 
auditor is aware of the appropriate manufacturing specifications 
contained in 40 CFR part 50, appendix L or O (as applicable), and the 
test or verification requirements in this subpart. Manufacturers shall 
also require an ISO-certified auditor to complete the checklists, shown 
in figures E-1 and E-2 of this subpart, which describe the 
manufacturer's ability to meet the requirements of the standard for both 
designation testing and product manufacture.
    (1) Designation testing checklist. The completed statement and 
checklist as shown in figure E-1 of this subpart shall be submitted with 
the application for FRM or FEM determination.
    (2) Product manufacturing checklist. Manufacturers shall require an 
ISO-certified auditor to complete a Product Manufacturing Checklist 
(figure E-2 of this subpart), which evaluates the manufacturer on its 
ability to meet the requirements of the standard in maintaining quality 
control in the production of FRM or FEM devices. The completed checklist 
shall be submitted with the application for FRM or FEM determination.

[71 FR 61290, Oct. 17, 2006]



Sec. 53.52  Leak check test.

    (a) Overview. In section 7.4.6 of 40 CFR part 50, appendix L, the 
sampler is required to include the facility, including components, 
instruments, operator controls, a written procedure, and other 
capabilities as necessary, to allow the operator to carry out a leak 
test of the sampler at a field monitoring site without additional 
equipment. This test procedure is intended to test the adequacy and 
effectiveness of the sampler's leak check facility. Because of the 
variety of potential sampler configurations and leak check procedures 
possible, some adaptation of this procedure may be necessary to 
accommodate the specific sampler under test. The test conditions and 
performance specifications associated with this test are summarized in 
table E-1 of this subpart. The candidate test sampler must meet all test 
parameters and test specifications to successfully pass this test.
    (b) Technical definitions. (1) External leakage includes the total 
flow rate of external ambient air which enters the sampler other than 
through the sampler inlet and which passes through any one or more of 
the impactor, filter, or flow rate measurement components.
    (2) Internal leakage is the total sample air flow rate that passes 
through the filter holder assembly without passing through the sample 
filter.
    (c) Required test equipment. (1) Flow rate measurement device, range 
70 mL/min to 130 mL/min, 2 percent certified accuracy, NIST-traceable.
    (2) Flow rate measurement adaptor (40 CFR part 50, appendix L, 
figure L-30) or equivalent adaptor to facilitate measurement of sampler 
flow rate at the top of the downtube.
    (3) Impermeable membrane or disk, 47 mm nominal diameter.
    (4) Means, such as a micro-valve, of providing a simulated leak flow 
rate through the sampler of approximately 80 mL/min under the conditions 
specified for the leak check in the sampler's leak check procedure.

[[Page 71]]

    (5) Teflon sample filter, as specified in section 6 of 40 CFR part 
50, appendix L.
    (d) Calibration of test measurement instruments. Submit 
documentation showing evidence of appropriately recent calibration, 
certification of calibration accuracy, and NIST-traceability (if 
required) of all measurement instruments used in the tests. The accuracy 
of flow rate meters shall be verified at the highest and lowest 
pressures and temperatures used in the tests and shall be checked at 
zero and one or more non-zero flow rates within 7 days of use for this 
test.
    (e) Test setup. (1) The test sampler shall be set up for testing as 
described in the sampler's operation or instruction manual referred to 
in Sec. 53.4(b)(3). The sampler shall be installed upright and set up 
in its normal configuration for collecting PM samples, except that the 
sample air inlet shall be removed and the flow rate measurement adaptor 
shall be installed on the sampler's downtube.
    (2) The flow rate control device shall be set up to provide a 
constant, controlled flow rate of 80 mL/min into the sampler downtube 
under the conditions specified for the leak check in the sampler's leak 
check procedure.
    (3) The flow rate measurement device shall be set up to measure the 
controlled flow rate of 80 mL/min into the sampler downtube under the 
conditions specified for the leak check in the sampler's leak check 
procedure.
    (f) Procedure. (1) Install the impermeable membrane in a filter 
cassette and install the cassette into the sampler. Carry out the 
internal leak check procedure as described in the sampler's operation/
instruction manual and verify that the leak check acceptance criterion 
specified in table E-1 of this subpart is met.
    (2) Replace the impermeable membrane with a Teflon filter and 
install the cassette in the sampler. Remove the inlet from the sampler 
and install the flow measurement adaptor on the sampler's downtube. 
Close the valve of the adaptor to seal the flow system. Conduct the 
external leak check procedure as described in the sampler's operation/
instruction manual and verify that the leak check acceptance criteria 
specified in table E-1 of this subpart are met.
    (3) Arrange the flow control device, flow rate measurement device, 
and other apparatus as necessary to provide a simulated leak flow rate 
of 80 mL/min into the test sampler through the downtube during the 
specified external leak check procedure. Carry out the external leak 
check procedure as described in the sampler's operation/instruction 
manual but with the simulated leak of 80 mL/min.
    (g) Test results. The requirements for successful passage of this 
test are:
    (1) That the leak check procedure indicates no significant external 
or internal leaks in the test sampler when no simulated leaks are 
introduced.
    (2) That the leak check procedure properly identifies the occurrence 
of the simulated external leak of 80 mL/min.

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



Sec. 53.53  Test for flow rate accuracy, regulation, measurement accuracy, and cut-off.

    (a) Overview. This test procedure is designed to evaluate a 
candidate sampler's flow rate accuracy with respect to the design flow 
rate, flow rate regulation, flow rate measurement accuracy, coefficient 
of variability measurement accuracy, and the flow rate cut-off function. 
The tests for the first four parameters shall be conducted over a 6-hour 
time period during which reference flow measurements are made at 
intervals not to exceed 5 minutes. The flow rate cut-off test, conducted 
separately, is intended to verify that the sampler carries out the 
required automatic sample flow rate cut-off function properly in the 
event of a low-flow condition. The test conditions and performance 
specifications associated with this test are summarized in table E-1 of 
this subpart. The candidate test sampler must meet all test parameters 
and test specifications to successfully pass this test.
    (b) Technical definitions. (1) Sample flow rate means the 
quantitative volumetric flow rate of the air stream caused by the 
sampler to enter the sampler inlet and pass through the

[[Page 72]]

sample filter, measured in actual volume units at the temperature and 
pressure of the air as it enters the inlet.
    (2) The flow rate cut-off function requires the sampler to 
automatically stop sample flow and terminate the current sample 
collection if the sample flow rate deviates by more than the variation 
limits specified in table E-1 of this subpart (10 
percent from the nominal sample flow rate) for more than 60 seconds 
during a sample collection period. The sampler is also required to 
properly notify the operator with a flag warning indication of the out-
of-specification flow rate condition and if the flow rate cut-off 
results in an elapsed sample collection time of less than 23 hours.
    (c) Required test equipment. (1) Flow rate meter, suitable for 
measuring and recording the actual volumetric sample flow rate at the 
sampler downtube, with a minimum range of 10 to 25 L/min, 2 percent 
certified, NIST-traceable accuracy. Optional capability for continuous 
(analog) recording capability or digital recording at intervals not to 
exceed 30 seconds is recommended. While a flow meter which provides a 
direct indication of volumetric flow rate is preferred for this test, an 
alternative certified flow measurement device may be used as long as 
appropriate volumetric flow rate corrections are made based on 
measurements of actual ambient temperature and pressure conditions.
    (2) Ambient air temperature sensor, with a resolution of 0.1 [deg]C 
and certified to be accurate to within 0.5 [deg]C (if needed). If the 
certified flow meter does not provide direct volumetric flow rate 
readings, ambient air temperature measurements must be made using 
continuous (analog) recording capability or digital recording at 
intervals not to exceed 5 minutes.
    (3) Barometer, range 600 mm Hg to 800 mm Hg, certified accurate to 2 
mm Hg (if needed). If the certified flow meter does not provide direct 
volumetric flow rate readings, ambient pressure measurements must be 
made using continuous (analog) recording capability or digital recording 
at intervals not to exceed 5 minutes.
    (4) Flow measurement adaptor (40 CFR part 50, appendix L, figure L-
30) or equivalent adaptor to facilitate measurement of sample flow rate 
at the sampler downtube.
    (5) Valve or other means to restrict or reduce the sample flow rate 
to a value at least 10 percent below the design flow rate (16.67 L/min). 
If appropriate, the valve of the flow measurement adaptor may be used 
for this purpose.
    (6) Means for creating an additional pressure drop of 55 mm Hg in 
the sampler to simulate a heavily loaded filter, such as an orifice or 
flow restrictive plate installed in the filter holder or a valve or 
other flow restrictor temporarily installed in the flow path near the 
filter.
    (7) Teflon sample filter, as specified in section 6 of 40 CFR part 
50, appendix L (if required).
    (d) Calibration of test measurement instruments. Submit 
documentation showing evidence of appropriately recent calibration, 
certification of calibration accuracy, and NIST-traceability (if 
required) of all measurement instruments used in the tests. The accuracy 
of flow-rate meters shall be verified at the highest and lowest 
pressures and temperatures used in the tests and shall be checked at 
zero and at least one flow rate within 3 percent 
of 16.7 L/min within 7 days prior to use for this test. Where an 
instrument's measurements are to be recorded with an analog recording 
device, the accuracy of the entire instrument-recorder system shall be 
calibrated or verified.
    (e) Test setup. (1) Setup of the sampler shall be as required in 
this paragraph (e) and otherwise as described in the sampler's operation 
or instruction manual referred to in Sec. 53.4(b)(3). The sampler shall 
be installed upright and set up in its normal configuration for 
collecting PM samples. A sample filter and (or) the device for creating 
an additional 55 mm Hg pressure drop shall be installed for the duration 
of these tests. The sampler's ambient temperature, ambient pressure, and 
flow rate measurement systems shall all be calibrated per the sampler's 
operation or instruction manual within 7 days prior to this test.

[[Page 73]]

    (2) The inlet of the candidate sampler shall be removed and the flow 
measurement adaptor installed on the sampler's downtube. A leak check as 
described in the sampler's operation or instruction manual shall be 
conducted and must be properly passed before other tests are carried 
out.
    (3) The inlet of the flow measurement adaptor shall be connected to 
the outlet of the flow rate meter.
    (4) For the flow rate cut-off test, the valve or means for reducing 
sampler flow rate shall be installed between the flow measurement 
adaptor and the downtube or in another location within the sampler such 
that the sampler flow rate can be manually restricted during the test.
    (f) Procedure. (1) Set up the sampler as specified in paragraph (e) 
of this section and otherwise prepare the sampler for normal sample 
collection operation as directed in the sampler's operation or 
instruction manual. Set the sampler to automatically start a 6-hour 
sample collection period at a convenient time.
    (2) During the 6-hour operational flow rate portion of the test, 
measure and record the sample flow rate with the flow rate meter at 
intervals not to exceed 5 minutes. If ambient temperature and pressure 
corrections are necessary to calculate volumetric flow rate, ambient 
temperature and pressure shall be measured at the same frequency as that 
of the certified flow rate measurements. Note and record the actual 
start and stop times for the 6-hour flow rate test period.
    (3) Following completion of the 6-hour flow rate test period, 
install the flow rate reduction device and change the sampler flow rate 
recording frequency to intervals of not more than 30 seconds. Reset the 
sampler to start a new sample collection period. Manually restrict the 
sampler flow rate such that the sampler flow rate is decreased slowly 
over several minutes to a flow rate slightly less than the flow rate 
cut-off value (15.0 L/min). Maintain this flow rate for at least 2.0 
minutes or until the sampler stops the sample flow automatically. 
Manually terminate the sample period, if the sampler has not terminated 
it automatically.
    (g) Test results. At the completion of the test, validate the test 
conditions and determine the test results as follows:
    (1) Mean sample flow rate. (i) From the certified measurements 
(Qref) of the test sampler flow rate obtained by use of the 
flow rate meter, tabulate each flow rate measurement in units of L/min. 
If ambient temperature and pressure corrections are necessary to 
calculate volumetric flow rate, each measured flow rate shall be 
corrected using its corresponding temperature and pressure measurement 
values. Calculate the mean flow rate for the sample period 
(Qref,ave) as follows:
                               Equation 1
[GRAPHIC] [TIFF OMITTED] TR18JY97.063

where:

n equals the number of discrete certified flow rate measurements over 
the 6-hour test period.

    (ii)(A) Calculate the percent difference between this mean flow rate 
value and the design value of 16.67 L/min, as follows:
                               Equation 2
[GRAPHIC] [TIFF OMITTED] TR18JY97.064

    (B) To successfully pass the mean flow rate test, the percent 
difference calculated in Equation 2 of this paragraph (g)(1)(ii) must be 
within 5 percent.
    (2) Sample flow rate regulation. (i) From the certified measurements 
of the test sampler flow rate, calculate the sample coefficient of 
variation (CV) of the discrete measurements as follows:
                               Equation 3
[GRAPHIC] [TIFF OMITTED] TR18JY97.065


[[Page 74]]


    (ii) To successfully pass the flow rate regulation test, the 
calculated coefficient of variation for the certified flow rates must 
not exceed 2 percent.
    (3) Flow rate measurement accuracy. (i) Using the mean volumetric 
flow rate reported by the candidate test sampler at the completion of 
the 6-hour test period (Qind,ave), determine the accuracy of 
the reported mean flow rate as:
                               Equation 4
[GRAPHIC] [TIFF OMITTED] TR18JY97.066

    (ii) To successfully pass the flow rate measurement accuracy test, 
the percent difference calculated in Equation 4 of this paragraph (g)(3) 
shall not exceed 2 percent.
    (4) Flow rate coefficient of variation measurement accuracy. (i) 
Using the flow rate coefficient of variation indicated by the candidate 
test sampler at the completion of the 6-hour test (%CVind), 
determine the accuracy of this reported coefficient of variation as:
                               Equation 5
[GRAPHIC] [TIFF OMITTED] TR18JY97.067

    (ii) To successfully pass the flow rate CV measurement accuracy 
test, the absolute difference in values calculated in Equation 5 of this 
paragraph (g)(4) must not exceed 0.3 (CV%).
    (5) Flow rate cut-off. (i) Inspect the measurements of the sample 
flow rate during the flow rate cut-off test and determine the time at 
which the sample flow rate decreased to a value less than the cut-off 
value specified in table E-1 of this subpart. To pass this test, the 
sampler must have automatically stopped the sample flow at least 30 
seconds but not more than 90 seconds after the time at which the sampler 
flow rate was determined to have decreased to a value less than the cut-
off value.
    (ii) At the completion of the flow rate cut-off test, download the 
archived data from the test sampler and verify that the sampler's 
required Flow-out-of-spec and Incorrect sample period flag indicators 
are properly set.

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



Sec. 53.54  Test for proper sampler operation following power interruptions.

    (a) Overview. (1) This test procedure is designed to test certain 
performance parameters of the candidate sampler during a test period in 
which power interruptions of various duration occur. The performance 
parameters tested are:
    (i) Proper flow rate performance of the sampler.
    (ii) Accuracy of the sampler's average flow rate, CV, and sample 
volume measurements.
    (iii) Accuracy of the sampler's reported elapsed sampling time.
    (iv) Accuracy of the reported time and duration of power 
interruptions.
    (2) This test shall be conducted during operation of the test 
sampler over a continuous 6-hour test period during which the sampler's 
flow rate shall be measured and recorded at intervals not to exceed 5 
minutes. The performance parameters tested under this procedure, the 
corresponding minimum performance specifications, and the applicable 
test conditions are summarized in table E-1 of this subpart. Each 
performance parameter tested, as described or determined in the test 
procedure, must meet or exceed the associated performance specification 
to successfully pass this test.
    (b) Required test equipment. (1) Flow rate meter, suitable for 
measuring and recording the actual volumetric sample flow rate at the 
sampler downtube, with a minimum range of 10 to 25 L/min, 2 percent 
certified, NIST-traceable accuracy. Optional capability for continuous 
(analog) recording capability or digital recording at intervals not to 
exceed 5 minutes is recommended. While a flow meter which provides a 
direct indication of volumetric flow rate is preferred for this test, an 
alternative certified flow measurement device may be used as long as 
appropriate volumetric flow rate corrections are made based on 
measurements of actual ambient temperature and pressure conditions.

[[Page 75]]

    (2) Ambient air temperature sensor (if needed for volumetric 
corrections to flow rate measurements), with a resolution of 0.1 [deg]C, 
certified accurate to within 0.5 [deg]C, and continuous (analog) 
recording capability or digital recording at intervals not to exceed 5 
minutes.
    (3) Barometer (if needed for volumetric corrections to flow rate 
measurements), range 600 mm Hg to 800 mm Hg, certified accurate to 2 mm 
Hg, with continuous (analog) recording capability or digital recording 
at intervals not to exceed 5 minutes.
    (4) Flow measurement adaptor (40 CFR part 50, appendix L, figure L-
30) or equivalent adaptor to facilitate measurement of sample flow rate 
at the sampler downtube.
    (5) Means for creating an additional pressure drop of 55 mm Hg in 
the sampler to simulate a heavily loaded filter, such as an orifice or 
flow restrictive plate installed in the filter holder or a valve or 
other flow restrictor temporarily installed in the flow path near the 
filter.
    (6) Teflon sample filter, as specified in section 6 of 40 CFR part 
50, appendix L (if required).
    (7) Time measurement system, accurate to within 10 seconds per day.
    (c) Calibration of test measurement instruments. Submit 
documentation showing evidence of appropriately recent calibration, 
certification of calibration accuracy, and NIST-traceability (if 
required) of all measurement instruments used in the tests. The accuracy 
of flow rate meters shall be verified at the highest and lowest 
pressures and temperatures used in the tests and shall be checked at 
zero and at least one flow rate within 3 percent 
of 16.7 L/min within 7 days prior to use for this test. Where an 
instrument's measurements are to be recorded with an analog recording 
device, the accuracy of the entire instrument-recorder system shall be 
calibrated or verified.
    (d) Test setup. (1) Setup of the sampler shall be performed as 
required in this paragraph (d) and otherwise as described in the 
sampler's operation or instruction manual referred to in Sec. 
53.4(b)(3). The sampler shall be installed upright and set up in its 
normal configuration for collecting PM samples. A sample filter and (or) 
the device for creating an additional 55 mm Hg pressure drop shall be 
installed for the duration of these tests. The sampler's ambient 
temperature, ambient pressure, and flow measurement systems shall all be 
calibrated per the sampler's operating manual within 7 days prior to 
this test.
    (2) The inlet of the candidate sampler shall be removed and the flow 
measurement adaptor installed on the sample downtube. A leak check as 
described in the sampler's operation or instruction manual shall be 
conducted and must be properly passed before other tests are carried 
out.
    (3) The inlet of the flow measurement adaptor shall be connected to 
the outlet of the flow rate meter.
    (e) Procedure. (1) Set up the sampler as specified in paragraph (d) 
of this section and otherwise prepare the sampler for normal sample 
collection operation as directed in the sampler's operation or 
instruction manual. Set the sampler to automatically start a 6-hour 
sample collection period at a convenient time.
    (2) During the entire 6-hour operational flow rate portion of the 
test, measure and record the sample flow rate with the flow rate meter 
at intervals not to exceed 5 minutes. If ambient temperature and 
pressure corrections are necessary to calculate volumetric flow rate, 
ambient temperature and pressure shall be measured at the same frequency 
as that of the certified flow rate measurements. Note and record the 
actual start and stop times for the 6-hour flow rate test period.
    (3) During the 6-hour test period, interrupt the AC line electrical 
power to the sampler 5 times, with durations of 20 seconds, 40 seconds, 
2 minutes, 7 minutes, and 20 minutes (respectively), with not less than 
10 minutes of normal electrical power supplied between each power 
interruption. Record the hour and minute and duration of each power 
interruption.
    (4) At the end of the test, terminate the sample period (if not 
automatically terminated by the sampler) and download all archived 
instrument data from the test sampler.
    (f) Test results. At the completion of the sampling period, validate 
the test

[[Page 76]]

conditions and determine the test results as follows:
    (1) Mean sample flow rate. (i) From the certified measurements 
(Qref) of the test sampler flow rate, tabulate each flow rate 
measurement in units of L/min. If ambient temperature and pressure 
corrections are necessary to calculate volumetric flow rate, each 
measured flow rate shall be corrected using its corresponding 
temperature and pressure measurement values. Calculate the mean flow 
rate for the sample period (Qref,ave) as follows:
                               Equation 6
[GRAPHIC] [TIFF OMITTED] TR18JY97.068

where:

n equals the number of discrete certified flow rate measurements over 
the 6-hour test period, excluding flow rate values obtained during 
periods of power interruption.

    (ii)(A) Calculate the percent difference between this mean flow rate 
value and the design value of 16.67 L/min, as follows:
                               Equation 7
[GRAPHIC] [TIFF OMITTED] TR18JY97.069

    (B) To successfully pass this test, the percent difference 
calculated in Equation 7 of this paragraph (f)(1)(ii) must be within 
5 percent.
    (2) Sample flow rate regulation. (i) From the certified measurements 
of the test sampler flow rate, calculate the sample coefficient of 
variation of the discrete measurements as follows:
                               Equation 8
[GRAPHIC] [TIFF OMITTED] TR18JY97.070

    (ii) To successfully pass this test, the calculated coefficient of 
variation for the certified flow rates must not exceed 2 percent.
    (3) Flow rate measurement accuracy. (i) Using the mean volumetric 
flow rate reported by the candidate test sampler at the completion of 
the 6-hour test (Qind,ave), determine the accuracy of the 
reported mean flow rate as:
                               Equation 9
[GRAPHIC] [TIFF OMITTED] TR18JY97.071

    (ii) To successfully pass this test, the percent difference 
calculated in Equation 9 of this paragraph (f)(3) shall not exceed 2 
percent.
    (4) Flow rate CV measurement accuracy. (i) Using the flow rate 
coefficient of variation indicated by the candidate test sampler at the 
completion of the 6-hour test (%CVind), determine the 
accuracy of the reported coefficient of variation as:
                               Equation 10
[GRAPHIC] [TIFF OMITTED] TR18JY97.072

    (ii) To successfully pass this test, the absolute difference in 
values calculated in Equation 10 of this paragraph (f)(4) must not 
exceed 0.3 (CV%).
    (5) Verify that the sampler properly provided a record and visual 
display of the correct year, month, day-of-month, hour, and minute with 
an accuracy of 2 minutes, of the start of each 
power interruption of duration greater than 60 seconds.
    (6) Calculate the actual elapsed sample time, excluding the periods 
of electrical power interruption. Verify that the elapsed sample time 
reported by the sampler is accurate to within 20 
seconds for the 6-hour test run.
    (7) Calculate the sample volume as Qref.ave multiplied by 
the sample time, excluding periods of power interruption. Verify that 
the sample volume reported by the sampler is within 2 percent of the 
calculated sample volume to successfully pass this test.
    (8) Inspect the downloaded instrument data from the test sampler and 
verify that all data are consistent with normal operation of the 
sampler.

[62 FR 38799, July 18, 1997; 63 FR 7714, Feb. 17, 1998, as amended at 71 
FR 61291, Oct. 17, 2006]

[[Page 77]]



Sec. 53.55  Test for effect of variations in power line voltage and ambient temperature.

    (a) Overview. (1) This test procedure is a combined procedure to 
test various performance parameters under variations in power line 
voltage and ambient temperature. Tests shall be conducted in a 
temperature-controlled environment over four 6-hour time periods during 
which reference temperature and flow rate measurements shall be made at 
intervals not to exceed 5 minutes. Specific parameters to be evaluated 
at line voltages of 105 and 125 volts and temperatures of -20 [deg]C and 
+40 [deg]C are as follows:
    (i) Sample flow rate.
    (ii) Flow rate regulation.
    (iii) Flow rate measurement accuracy.
    (iv) Coefficient of variability measurement accuracy.
    (v) Ambient air temperature measurement accuracy.
    (vi) Proper operation of the sampler when exposed to power line 
voltage and ambient temperature extremes.
    (2) The performance parameters tested under this procedure, the 
corresponding minimum performance specifications, and the applicable 
test conditions are summarized in table E-1 of this subpart. Each 
performance parameter tested, as described or determined in the test 
procedure, must meet or exceed the associated performance specification 
given. The candidate sampler must meet all specifications for the 
associated PM2.5 or PM10-2.5 method (as 
applicable) to pass this test procedure.
    (b) Technical definition. Sample flow rate means the quantitative 
volumetric flow rate of the air stream caused by the sampler to enter 
the sampler inlet and pass through the sample filter, measured in actual 
volume units at the temperature and pressure of the air as it enters the 
inlet.
    (c) Required test equipment. (1) Environmental chamber or other 
temperature-controlled environment or environments, capable of obtaining 
and maintaining temperatures at -20 [deg]C and =40 [deg]C as required 
for the test with an accuracy of 2 [deg]C. The 
test environment(s) must be capable of maintaining these temperatures 
within the specified limits continuously with the additional heat load 
of the operating test sampler in the environment. Henceforth, where the 
test procedures specify a test or environmental ``chamber,'' an 
alternative temperature-controlled environmental area or areas may be 
substituted, provided the required test temperatures and all other test 
requirements are met.
    (2) Variable voltage AC power transformer, range 100 Vac to 130 Vac, 
with sufficient current capacity to operate the test sampler 
continuously under the test conditions.
    (3) Flow rate meter, suitable for measuring and recording the actual 
volumetric sample flow rate at the sampler downtube, with a minimum 
range of 10 to 25 actual L/min, 2 percent certified, NIST-traceable 
accuracy. Optional capability for continuous (analog) recording 
capability or digital recording at intervals not to exceed 5 minutes is 
recommended. While a flow meter which provides a direct indication of 
volumetric flow rate is preferred for this test, an alternative 
certified flow measurement device may be used as long as appropriate 
volumetric flow rate corrections are made based on measurements of 
actual ambient temperature and pressure conditions.
    (4) Ambient air temperature recorder, range -30 [deg]C to =50 
[deg]C, with a resolution of 0.1 [deg]C and certified accurate to within 
0.5 [deg]C. Ambient air temperature measurements must be made using 
continuous (analog) recording capability or digital recording at 
intervals not to exceed 5 minutes.
    (5) Barometer, range 600 mm Hg to 800 mm Hg, certified accurate to 2 
mm Hg. If the certified flow rate meter does not provide direct 
volumetric flow rate readings, ambient pressure measurements must be 
made using continuous (analog) recording capability or digital recording 
at intervals not to exceed 5 minutes.
    (6) Flow measurement adaptor (40 CFR part 50, appendix L, figure L-
30) or equivalent adaptor to facilitate measurement of sampler flow rate 
at the sampler downtube.
    (7) Means for creating an additional pressure drop of 55 mm Hg in 
the sampler to simulate a heavily loaded filter,

[[Page 78]]

such as an orifice or flow restrictive plate installed in the filter 
holder or a valve or other flow restrictor temporarily installed in the 
flow path near the filter.
    (8) AC RMS voltmeter, accurate to 1.0 volt.
    (9) Teflon sample filter, as specified in section 6 of 40 CFR part 
50, appendix L (if required).
    (d) Calibration of test measurement instruments. Submit 
documentation showing evidence of appropriately recent calibration, 
certification of calibration accuracy, and NIST-traceability (if 
required) of all measurement instruments used in the tests. The accuracy 
of flow rate meters shall be verified at the highest and lowest 
pressures and temperatures used in the tests and shall be checked at 
zero and at least one flow rate within 3 percent 
of 16.7 L/min within 7 days prior to use for this test. Where an 
instrument's measurements are to be recorded with an analog recording 
device, the accuracy of the entire instrument-recorder system shall be 
calibrated or verified.
    (e) Test setup. (1) Setup of the sampler shall be performed as 
required in this paragraph (e) and otherwise as described in the 
sampler's operation or instruction manual referred to in Sec. 
53.4(b)(3). The sampler shall be installed upright and set up in the 
temperature-controlled chamber in its normal configuration for 
collecting PM samples. A sample filter and (or) the device for creating 
an additional 55 mm Hg pressure drop shall be installed for the duration 
of these tests. The sampler's ambient temperature, ambient pressure, and 
flow measurement systems shall all be calibrated per the sampler's 
operating manual within 7 days prior to this test.
    (2) The inlet of the candidate sampler shall be removed and the flow 
measurement adaptor installed on the sampler's downtube. A leak check as 
described in the sampler's operation or instruction manual shall be 
conducted and must be properly passed before other tests are carried 
out.
    (3) The inlet of the flow measurement adaptor shall be connected to 
the outlet of the flow rate meter.
    (4) The ambient air temperature recorder shall be installed in the 
test chamber such that it will accurately measure the temperature of the 
air in the vicinity of the candidate sampler without being unduly 
affected by the chamber's air temperature control system.
    (f) Procedure. (1) Set up the sampler as specified in paragraph (e) 
of this section and otherwise prepare the sampler for normal sample 
collection operation as directed in the sampler's operation or 
instruction manual.
    (2) The test shall consist of four test runs, one at each of the 
following conditions of chamber temperature and electrical power line 
voltage (respectively):
    (i) -20 [deg]C 2 [deg]C and 105 1 Vac.
    (ii) -20 [deg]C 2 [deg]C and 125 1 Vac.
    (iii) =40 [deg]C 2 [deg]C and 105 1 Vac.
    (iv) =40 [deg]C 2 [deg]C and 125 1 Vac.
    (3) For each of the four test runs, set the selected chamber 
temperature and power line voltage for the test run. Upon achieving each 
temperature setpoint in the chamber, the candidate sampler and flow 
meter shall be thermally equilibrated for a period of at least 2 hours 
prior to the test run. Following the thermal conditioning time, set the 
sampler to automatically start a 6-hour sample collection period at a 
convenient time.
    (4) During each 6-hour test period:
    (i) Measure and record the sample flow rate with the flow rate meter 
at intervals not to exceed 5 minutes. If ambient temperature and 
pressure corrections are necessary to calculate volumetric flow rate, 
ambient temperature and pressure shall be measured at the same frequency 
as that of the certified flow rate measurements. Note and record the 
actual start and stop times for the 6-hour flow rate test period.
    (ii) Determine and record the ambient (chamber) temperature 
indicated by the sampler and the corresponding ambient (chamber) 
temperature measured by the ambient temperature recorder specified in 
paragraph (c)(4) of this section at intervals not to exceed 5 minutes.
    (iii) Measure the power line voltage to the sampler at intervals not 
greater than 1 hour.

[[Page 79]]

    (5) At the end of each test run, terminate the sample period (if not 
automatically terminated by the sampler) and download all archived 
instrument data from the test sampler.
    (g) Test results. For each of the four test runs, examine the 
chamber temperature measurements and the power line voltage 
measurements. Verify that the temperature and line voltage met the 
requirements specified in paragraph (f) of this section at all times 
during the test run. If not, the test run is not valid and must be 
repeated. Determine the test results as follows:
    (1) Mean sample flow rate. (i) From the certified measurements 
(Qref) of the test sampler flow rate, tabulate each flow rate 
measurement in units of L/min. If ambient temperature and pressure 
corrections are necessary to calculate volumetric flow rate, each 
measured flow rate shall be corrected using its corresponding 
temperature and pressure measurement values. Calculate the mean flow 
rate for each sample period (Qref,ave) as follows:
                               Equation 11
[GRAPHIC] [TIFF OMITTED] TR18JY97.073

where:

n equals the number of discrete certified flow rate measurements over 
each 6-hour test period.

    (ii)(A) Calculate the percent difference between this mean flow rate 
value and the design value of 16.67 L/min, as follows:
                               Equation 12
[GRAPHIC] [TIFF OMITTED] TR18JY97.074

    (B) To successfully pass this test, the percent difference 
calculated in Equation 12 of this paragraph (g)(1)(ii) must be within 
5 percent for each test run.
    (2) Sample flow rate regulation. (i) From the certified measurements 
of the test sampler flow rate, calculate the sample coefficient of 
variation of the discrete measurements as follows:
                               Equation 13
[GRAPHIC] [TIFF OMITTED] TR18JY97.075

    (ii) To successfully pass this test, the calculated coefficient of 
variation for the certified flow rates must not exceed 2 percent.
    (3) Flow rate measurement accuracy. (i) Using the mean volumetric 
flow rate reported by the candidate test sampler at the completion of 
each 6-hour test (Qind,ave), determine the accuracy of the 
reported mean flow rate as:
                               Equation 14
[GRAPHIC] [TIFF OMITTED] TR18JY97.076

    (ii) To successfully pass this test, the percent difference 
calculated in Equation 14 of this paragraph (g)(3) shall not exceed 2 
percent for each test run.
    (4) Flow rate coefficient of variation measurement accuracy. (i) 
Using the flow rate coefficient of variation indicated by the candidate 
test sampler (%CVind), determine the accuracy of the reported 
coefficient of variation as:
                               Equation 15
[GRAPHIC] [TIFF OMITTED] TR18JY97.077

    (ii) To successfully pass this test, the absolute difference 
calculated in Equation 15 of this paragraph (g)(4) must not exceed 0.3 
(CV%) for each test run.
    (5) Ambient temperature measurement accuracy. (i) Calculate the 
absolute value of the difference between the mean ambient air 
temperature indicated by the test sampler and the mean ambient (chamber) 
air temperature measured with the ambient air temperature recorder as:
[GRAPHIC] [TIFF OMITTED] TR17OC06.037

Where:

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

[[Page 80]]

Tref,ave = The mean ambient air temperature measured by the 
reference temperature instrument, [deg]C.

    (ii) The calculated temperature difference must be less than 2 
[deg]C for each test run.
    (6) Sampler functionality. To pass the sampler functionality test, 
the following two conditions must both be met for each test run:
    (i) The sampler must not shutdown during any portion of the 6-hour 
test.
    (ii) An inspection of the downloaded data from the test sampler 
verifies that all the data are consistent with normal operation of the 
sampler.

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



Sec. 53.56  Test for effect of variations in ambient pressure.

    (a) Overview. (1) This test procedure is designed to test various 
sampler performance parameters under variations in ambient (barometric) 
pressure. Tests shall be conducted in a pressure-controlled environment 
over two 6-hour time periods during which reference pressure and flow 
rate measurements shall be made at intervals not to exceed 5 minutes. 
Specific parameters to be evaluated at operating pressures of 600 and 
800 mm Hg are as follows:
    (i) Sample flow rate.
    (ii) Flow rate regulation.
    (iii) Flow rate measurement accuracy.
    (iv) Coefficient of variability measurement accuracy.
    (v) Ambient pressure measurement accuracy.
    (vi) Proper operation of the sampler when exposed to ambient 
pressure extremes.
    (2) The performance parameters tested under this procedure, the 
corresponding minimum performance specifications, and the applicable 
test conditions are summarized in table E-1 of this subpart. Each 
performance parameter tested, as described or determined in the test 
procedure, must meet or exceed the associated performance specification 
given. The candidate sampler must meet all specifications for the 
associated PM2.5 or PM10-2.5 method (as 
applicable) to pass this test procedure.
    (b) Technical definition. Sample flow rate means the quantitative 
volumetric flow rate of the air stream caused by the sampler to enter 
the sampler inlet and pass through the sample filter, measured in actual 
volume units at the temperature and pressure of the air as it enters the 
inlet.
    (c) Required test equipment. (1) Hypobaric chamber or other 
pressure-controlled environment or environments, capable of obtaining 
and maintaining pressures at 600 mm Hg and 800 mm Hg required for the 
test with an accuracy of 5 mm Hg. Henceforth, where the test procedures 
specify a test or environmental chamber, an alternative pressure-
controlled environmental area or areas may be substituted, provided the 
test pressure requirements are met. Means for simulating ambient 
pressure using a closed-loop sample air system may also be approved for 
this test; such a proposed method for simulating the test pressure 
conditions may be described and submitted to EPA at the address given in 
Sec. 53.4(a) prior to conducting the test for a specific individual 
determination of acceptability.
    (2) Flow rate meter, suitable for measuring and recording the actual 
volumetric sampler flow rate at the sampler downtube, with a minimum 
range of 10 to 25 L/min, 2 percent certified, NIST-traceable accuracy. 
Optional capability for continuous (analog) recording capability or 
digital recording at intervals not to exceed 5 minutes is recommended. 
While a flow meter which provides a direct indication of volumetric flow 
rate is preferred for this test, an alternative certified flow 
measurement device may be used as long as appropriate volumetric 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.

[[Page 81]]

    (4) Barometer, range 600 mm Hg to 800 mm Hg, certified accurate to 2 
mm Hg. Ambient air pressure measurements must be made using continuous 
(analog) recording capability or digital recording at intervals not to 
exceed 5 minutes.
    (5) Flow measurement adaptor (40 CFR part 50, appendix L, figure L-
30) or equivalent adaptor to facilitate measurement of sampler flow rate 
at the sampler downtube.
    (6) Means for creating an additional pressure drop of 55 mm Hg in 
the sampler to simulate a heavily loaded filter, such as an orifice or 
flow restrictive plate installed in the filter holder or a valve or 
other flow restrictor temporarily installed in the flow path near the 
filter.
    (7) Teflon sample filter, as specified in section 6 of 40 CFR part 
50, appendix L (if required).
    (d) Calibration of test measurement instruments. Submit 
documentation showing evidence of appropriately recent calibration, 
certification of calibration accuracy, and NIST-traceability (if 
required) of all measurement instruments used in the tests. The accuracy 
of flow rate meters shall be verified at the highest and lowest 
pressures and temperatures used in the tests and shall be checked at 
zero and at least one flow rate within 3 percent 
of 16.7 L/min within 7 days prior to use for this test. Where an 
instrument's measurements are to be recorded with an analog recording 
device, the accuracy of the entire instrument-recorder system shall be 
calibrated or verified.
    (e) Test setup. (1) Setup of the sampler shall be performed as 
required in this paragraph (e) and otherwise as described in the 
sampler's operation or instruction manual referred to in Sec. 
53.4(b)(3). The sampler shall be installed upright and set up in the 
pressure-controlled chamber in its normal configuration for collecting 
PM samples. A sample filter and (or) the device for creating an 
additional 55 mm Hg pressure drop shall be installed for the duration of 
these tests. The sampler's ambient temperature, ambient pressure, and 
flow measurement systems shall all be calibrated per the sampler's 
operating manual within 7 days prior to this test.
    (2) The inlet of the candidate sampler shall be removed and the flow 
measurement adaptor installed on the sampler's downtube. A leak check as 
described in the sampler's operation or instruction manual shall be 
conducted and must be properly passed before other tests are carried 
out.
    (3) The inlet of the flow measurement adaptor shall be connected to 
the outlet of the flow rate meter.
    (4) The barometer shall be installed in the test chamber such that 
it will accurately measure the air pressure to which the candidate 
sampler is subjected.
    (f) Procedure. (1) Set up the sampler as specified in paragraph (e) 
of this section and otherwise prepare the sampler for normal sample 
collection operation as directed in the sampler's operation or 
instruction manual.
    (2) The test shall consist of two test runs, one at each of the 
following conditions of chamber pressure:
    (i) 600 mm Hg.
    (ii) 800 mm Hg.
    (3) For each of the two test runs, set the selected chamber pressure 
for the test run. Upon achieving each pressure setpoint in the chamber, 
the candidate sampler shall be pressure-equilibrated for a period of at 
least 30 minutes prior to the test run. Following the conditioning time, 
set the sampler to automatically start a 6-hour sample collection period 
at a convenient time.
    (4) During each 6-hour test period:
    (i) Measure and record the sample flow rate with the flow rate meter 
at intervals not to exceed 5 minutes. If ambient temperature and 
pressure corrections are necessary to calculate volumetric flow rate, 
ambient temperature and pressure shall be measured at the same frequency 
as that of the certified flow rate measurements. Note and record the 
actual start and stop times for the 6-hour flow rate test period.
    (ii) Determine and record the ambient (chamber) pressure indicated 
by the sampler and the corresponding ambient (chamber) pressure measured 
by the barometer specified in paragraph (c)(4) of this section at 
intervals not to exceed 5 minutes.

[[Page 82]]

    (5) At the end of each test period, terminate the sample period (if 
not automatically terminated by the sampler) and download all archived 
instrument data for the test run from the test sampler.
    (g) Test results. For each of the two test runs, examine the chamber 
pressure measurements. Verify that the pressure met the requirements 
specified in paragraph (f) of this section at all times during the test. 
If not, the test run is not valid and must be repeated. Determine the 
test results as follows:
    (1) Mean sample flow rate. (i) From the certified measurements 
(Qref) of the test sampler flow rate, tabulate each flow rate 
measurement in units of L/min. If ambient temperature and pressure 
corrections are necessary to calculate volumetric flow rate, each 
measured flow rate shall be corrected using its corresponding 
temperature and pressure measurement values. Calculate the mean flow 
rate for the sample period (Qref,ave) as follows:
                               Equation 17
[GRAPHIC] [TIFF OMITTED] TR18JY97.079

where:

n equals the number of discrete certified flow measurements over the 6-
hour test period.

    (ii)(A) Calculate the percent difference between this mean flow rate 
value and the design value of 16.67 L/min, as follows:
                               Equation 18
[GRAPHIC] [TIFF OMITTED] TR18JY97.080

    (B) To successfully pass this test, the percent difference 
calculated in Equation 18 of this paragraph (g)(1) must be within 5 percent for each test run.
    (2) Sample flow rate regulation. (i) From the certified measurements 
of the test sampler flow rate, calculate the sample coefficient of 
variation of the discrete measurements as follows:
                               Equation 19
[GRAPHIC] [TIFF OMITTED] TR18JY97.081

    (ii) To successfully pass this test, the calculated coefficient of 
variation for the certified flow rates must not exceed 2 percent.
    (3) Flow rate measurement accuracy. (i) Using the mean volumetric 
flow rate reported by the candidate test sampler at the completion of 
each 6-hour test (Qind,ave), determine the accuracy of the 
reported mean flow rate as:
                               Equation 20
[GRAPHIC] [TIFF OMITTED] TR18JY97.082

    (ii) To successfully pass this test, the percent difference 
calculated in Equation 20 of this paragraph (g)(3) shall not exceed 2 
percent for each test run.
    (4) Flow rate CV measurement accuracy. (i) Using the flow rate 
coefficient of variation indicated by the candidate test sampler at the 
completion of the 6-hour test (%CVind), determine the 
accuracy of the reported coefficient of variation as:
                               Equation 21
[GRAPHIC] [TIFF OMITTED] TR18JY97.083

    (ii) To successfully pass this test, the absolute difference in 
values calculated in Equation 21 of this paragraph (g)(4) must not 
exceed 0.3 (CV%) for each test run.
    (5) Ambient pressure measurement accuracy. (i) Calculate the 
absolute difference between the mean ambient air pressure indicated by 
the test sampler and the ambient (chamber) air pressure measured with 
the reference barometer as:
                               Equation 22
[GRAPHIC] [TIFF OMITTED] TR18JY97.084

where:

Pind,ave = mean ambient pressure indicated by the test 
sampler, mm Hg; and

[[Page 83]]

Pref,ave = mean barometric pressure measured by the reference 
barometer, mm Hg.

    (ii) The calculated pressure difference must be less than 10 mm Hg 
for each test run to pass the test.
    (6) Sampler functionality. To pass the sampler functionality test, 
the following two conditions must both be met for each test run:
    (i) The sampler must not shut down during any part of the 6-hour 
tests; and
    (ii) An inspection of the downloaded data from the test sampler 
verifies that all the data are consistent with normal operation of the 
sampler.

[62 FR 38799, July 18, 1997; 63 FR 7714, Feb. 17, 1998, as amended at 71 
FR 61292, Oct. 17, 2006]



Sec. 53.57  Test for filter temperature control during sampling and post-sampling periods.

    (a) Overview. This test is intended to measure the candidate 
sampler's ability to prevent excessive overheating of the PM sample 
collection filter (or filters) under conditions of elevated solar 
insolation. The test evaluates radiative effects on filter temperature 
during a 4-hour period of active sampling as well as during a subsequent 
4-hour non-sampling time period prior to filter retrieval. Tests shall 
be conducted in an environmental chamber which provides the proper 
radiant wavelengths and energies to adequately simulate the sun's 
radiant effects under clear conditions at sea level. For additional 
guidance on conducting solar radiative tests under controlled 
conditions, consult military standard specification 810-E (reference 6 
in appendix A of this subpart). The performance parameters tested under 
this procedure, the corresponding minimum performance specifications, 
and the applicable test conditions are summarized in table E-1 of this 
subpart. Each performance parameter tested, as described or determined 
in the test procedure, must meet or exceed the associated performance 
specification to successfully pass this test.
    (b) Technical definition. Filter temperature control during sampling 
is the ability of a sampler to maintain the temperature of the 
particulate matter sample filter within the specified deviation (5 
[deg]C) from ambient temperature during any active sampling period. 
Post-sampling temperature control is the ability of a sampler to 
maintain the temperature of the particulate matter sample filter within 
the specified deviation from ambient temperature during the period from 
the end of active sample collection by the sampler until the filter is 
retrieved from the sampler for laboratory analysis.
    (c) Required test equipment. (1) Environmental chamber providing the 
means, such as a bank of solar-spectrum lamps, for generating or 
simulating thermal radiation in approximate spectral content and 
intensity equivalent to solar insulation of 1000 50 W/m\2\ inside the environmental chamber. To properly 
simulate the sun's radiative effects on the sampler, the solar bank must 
provide the spectral energy distribution and permitted tolerances 
specified in table E-2 of this subpart. The solar radiation source area 
shall be such that the width of the candidate sampler shall not exceed 
one-half the dimensions of the solar bank. The solar bank shall be 
located a minimum of 76 cm (30 inches) from any surface of the candidate 
sampler. To meet requirements of the solar radiation tests, the 
chamber's internal volume shall be a minimum of 10 times that of the 
volume of the candidate sampler. Air velocity in the region of the 
sampler must be maintained continuously during the radiative tests at 
2.0 0.5 m/sec.
    (2) Ambient air temperature recorder, range -30 [deg]C to =50 
[deg]C, with a resolution of 0.1 [deg]C and certified accurate to within 
0.5 [deg]C. Ambient air temperature measurements must be made using 
continuous (analog) recording capability or digital recording at 
intervals not to exceed 5 minutes.
    (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

[[Page 84]]

accurate to within 0.5 [deg]C, NIST-traceable, with continuous (analog) 
recording capability or digital recording at intervals of not more than 
5 minutes.
    (5) Solar radiometer, to measure the intensity of the simulated 
solar radiation in the test environment, range of 0 to approximately 
1500 W/m\2\. Optional capability for continuous (analog) recording or 
digital recording at intervals not to exceed 5 minutes is recommended.
    (6) Sample filter or filters, as specified in section 6 of 40 CFR 
part 50, appendix L.
    (d) Calibration of test measurement instruments. Submit 
documentation showing evidence of appropriately recent calibration, 
certification of calibration accuracy, and NIST-traceability (if 
required) of all measurement instruments used in the tests. The accuracy 
of flow rate meters shall be verified at the highest and lowest 
pressures and temperatures used in the tests and shall be checked at 
zero and at least one flow rate within 3 percent 
of 16.7 L/min within 7 days prior to use for this test. Where an 
instrument's measurements are to be recorded with an analog recording 
device, the accuracy of the entire instrument-recorder system shall be 
calibrated or verified.
    (e) Test setup. (1) Setup of the sampler shall be performed as 
required in this paragraph (e) and otherwise as described in the 
sampler's operation or instruction manual referred to in Sec. 
53.4(b)(3). The sampler shall be installed upright and set up in the 
solar radiation environmental chamber in its normal configuration for 
collecting PM samples (with the inlet installed). The sampler's ambient 
and filter temperature measurement systems shall be calibrated per the 
sampler's operating manual within 7 days prior to this test. A sample 
filter shall be installed for the duration of this test. For sequential 
samplers, a sample filter shall also be installed in each available 
sequential channel or station intended for collection of a sequential 
sample (or at least five additional filters for magazine-type sequential 
samplers) as directed by the sampler's operation or instruction manual.
    (2) The miniature temperature sensor shall be temporarily installed 
in the test sampler such that it accurately measures the air temperature 
1 cm from the center of the filter on the downstream side of the filter. 
The sensor shall be installed such that no external or internal air 
leakage is created by the sensor installation. The sensor's dimensions 
and installation shall be selected to minimize temperature measurement 
uncertainties due to thermal conduction along the sensor mounting 
structure or sensor conductors. For sequential samplers, similar 
temperature sensors shall also be temporarily installed in the test 
sampler to monitor the temperature 1 cm from the center of each filter 
stored in the sampler for sequential sample operation.
    (3) The solar radiant energy source shall be installed in the test 
chamber such that the entire test sampler is irradiated in a manner 
similar to the way it would be irradiated by solar radiation if it were 
located outdoors in an open area on a sunny day, with the radiation 
arriving at an angle of between 30[deg] and 45[deg] from vertical. The 
intensity of the radiation received by all sampler surfaces that receive 
direct radiation shall average 1000 50 W/m\2\, 
measured in a plane perpendicular to the incident radiation. The 
incident radiation shall be oriented with respect to the sampler such 
that the area of the sampler's ambient temperature sensor (or 
temperature shield) receives full, direct radiation as it would or could 
during normal outdoor installation. Also, the temperature sensor must 
not be shielded or shaded from the radiation by a sampler part in a way 
that would not occur at other normal insulation angles or directions.
    (4) The solar radiometer shall be installed in a location where it 
measures thermal radiation that is generally representative of the 
average thermal radiation intensity that the upper portion of the 
sampler and sampler inlet receive. The solar radiometer shall be 
oriented so that it measures the radiation in a plane perpendicular to 
its angle of incidence.
    (5) The ambient air temperature recorder shall be installed in the 
test chamber such that it will accurately measure the temperature of the 
air in

[[Page 85]]

the chamber without being unduly affected by the chamber's air 
temperature control system or by the radiant energy from the solar 
radiation source that may be present inside the test chamber.
    (f) Procedure. (1) Set up the sampler as specified in paragraph (e) 
of this section and otherwise prepare the sampler for normal sample 
collection operation as directed in the sampler's operation or 
instruction manual.
    (2) Remove the inlet of the candidate test sampler and install the 
flow measurement adaptor on the sampler's downtube. Conduct a leak check 
as described in the sampler's operation or instruction manual. The leak 
test must be properly passed before other tests are carried out.
    (3) Remove the flow measurement adaptor from the downtube and re-
install the sampling inlet.
    (4) Activate the solar radiation source and verify that the 
resulting energy distribution prescribed in table E-2 of this subpart is 
achieved.
    (5) Program the test sampler to conduct a single sampling run of 4 
continuous hours. During the 4-hour sampling run, measure and record the 
radiant flux, ambient temperature, and filter temperature (all filter 
temperatures for sequential samplers) at intervals not to exceed 5 
minutes.
    (6) At the completion of the 4-hour sampling phase, terminate the 
sample period, if not terminated automatically by the sampler. Continue 
to measure and record the radiant flux, ambient temperature, and filter 
temperature or temperatures for 4 additional hours at intervals not to 
exceed 5 minutes. At the completion of the 4-hour post-sampling period, 
discontinue the measurements and turn off the solar source.
    (7) Download all archived sampler data from the test run.
    (g) Test results. Chamber radiant flux control. Examine the 
continuous record of the chamber radiant flux and verify that the flux 
met the requirements specified in table E-2 of this subpart at all times 
during the test. If not, the entire test is not valid and must be 
repeated.
    (1) Filter temperature measurement accuracy. (i) For each 4-hour 
test period, calculate the absolute value of the difference between the 
mean filter temperature indicated by the sampler (active filter) and the 
mean filter temperature measured by the reference temperature sensor 
installed within 1 cm downstream of the (active) filter as:
                               Equation 23
[GRAPHIC] [TIFF OMITTED] TR18JY97.085

where:

Tind,filter = mean filter temperature indicated by the test 
sampler, [deg]C; and
Tref,filter = mean filter temperature measured by the 
reference temperature sensor, [deg]C.

    (ii) To successfully pass the indicated filter temperature accuracy 
test, the calculated difference between the measured means 
(Tdiff,filter) must not exceed 2 [deg]C for each 4-hour test 
period.
    (2) Ambient temperature measurement accuracy. (i) For each 4-hour 
test period, calculate the absolute value of the difference between the 
mean ambient air temperature indicated by the test sampler and the mean 
ambient air temperature measured by the reference ambient air 
temperature recorder as:
                               Equation 24
[GRAPHIC] [TIFF OMITTED] TR18JY97.086

where:

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

    (ii) To successfully pass the indicated ambient temperature accuracy 
test, the calculated difference between the measured means 
(Tdiff,ambient) must not exceed 2 [deg]C for each 4-hour test 
period.
    (3) Filter temperature control accuracy. (i) For each temperature 
measurement interval over each 4-hour test period, calculate the 
difference between the filter temperature indicated by the reference 
temperature sensor and the ambient temperature indicated by the test 
sampler as:
                               Equation 25
[GRAPHIC] [TIFF OMITTED] TR18JY97.087


[[Page 86]]


    (ii) Tabulate and inspect the calculated differences as a function 
of time. To successfully pass the indicated filter temperature control 
test, the calculated difference between the measured values must not 
exceed 5 [deg]C for any consecutive intervals covering more than a 30-
minute time period.
    (iii) For sequential samplers, repeat the test calculations for each 
of the stored sequential sample filters. All stored filters must also 
meet the 5 [deg]C temperature control test.

[62 FR 38799, July 18, 1997; 63 FR 7714, Feb. 17, 1998, as amended at 71 
FR 61292, Oct. 17, 2006]



Sec. 53.58  Operational field precision and blank test.

    (a) Overview. This test is intended to determine the operational 
precision of the candidate sampler during a minimum of 10 days of field 
operation, using three collocated test samplers. Measurements of PM are 
made at a test site with all of the samplers and then compared to 
determine replicate precision. Candidate sequential samplers are also 
subject to a test for possible deposition of particulate matter on 
inactive filters during a period of storage in the sampler. This 
procedure is applicable to both reference and equivalent methods. In the 
case of equivalent methods, this test may be combined and conducted 
concurrently with the comparability test for equivalent methods 
(described in subpart C of this part), using three reference method 
samplers collocated with three candidate equivalent method samplers and 
meeting the applicable site and other requirements of subpart C of this 
part.
    (b) Technical definition. (1) Field precision is defined as the 
standard deviation or relative standard deviation of a set of PM 
measurements obtained concurrently with three or more collocated 
samplers in actual ambient air field operation.
    (2) Storage deposition is defined as the mass of material 
inadvertently deposited on a sample filter that is stored in a 
sequential sampler either prior to or subsequent to the active sample 
collection period.
    (c) Test site. Any outdoor test site having PM2.5 (or 
PM10-2.5, as applicable) concentrations that are reasonably 
uniform over the test area and that meet the minimum level requirement 
of paragraph (g)(2) of this section is acceptable for this test.
    (d) Required facilities and equipment. (1) An appropriate test site 
and suitable electrical power to accommodate three test samplers are 
required.
    (2) Teflon sample filters, as specified in section 6 of 40 CFR part 
50, appendix L, conditioned and preweighed as required by section 8 of 
40 CFR part 50, appendix L, as needed for the test samples.
    (e) Test setup. (1) Three identical test samplers shall be installed 
at the test site in their normal configuration for collecting PM samples 
in accordance with the instructions in the associated manual referred to 
in Sec. 53.4(b)(3) and also in accordance with applicable supplemental 
guidance provided in reference 3 in appendix A of this subpart. The test 
samplers' inlet openings shall be located at the same height above 
ground and between 2 (1 for samplers with flow rates less than 200 L/
min.) and 4 meters apart horizontally. The samplers shall be arranged or 
oriented in a manner that will minimize the spatial and wind directional 
effects on sample collection of one sampler on any other sampler.
    (2) Each test sampler shall be successfully leak checked, 
calibrated, and set up for normal operation in accordance with the 
instruction manual and with any applicable supplemental guidance 
provided in reference 3 in appendix A of this subpart.
    (f) Test procedure. (1) Install a conditioned, preweighed filter in 
each test sampler and otherwise prepare each sampler for normal sample 
collection. Set identical sample collection start and stop times for 
each sampler. For sequential samplers, install a conditioned, preweighed 
specified filter in each available channel or station intended for 
automatic sequential sample filter collection (or at least five 
additional filters for magazine-type sequential samplers), as directed 
by the sampler's operation or instruction manual. Since the inactive 
sequential channels are used for the storage deposition part of the 
test, they may not be used to collect the active PM test samples.

[[Page 87]]

    (2) Collect either a nominal 24-hour or 48-hour atmospheric PM 
sample simultaneously with each of the three test samplers.
    (3) Following sample collection, retrieve the collected sample from 
each sampler. For sequential samplers, retrieve the additional stored 
(blank, unsampled) filters after at least 5 days (120 hours) storage in 
the sampler if the active samples are 24-hour samples, or after at least 
10 days (240 hours) if the active samples are 48-hour samples.
    (4) Determine the measured PM mass concentration for each sample in 
accordance with the applicable procedures prescribed for the candidate 
method in appendix L or appendix O, as applicable, of part 50 of this 
chapter, and in accordance with the associated manual referred to in 
Sec. 53.4(b)(3) and supplemental guidance in reference 2 in appendix A 
of this subpart. For sequential samplers, also similarly determine the 
storage deposition as the net weight gain of each blank, unsampled 
filter after the 5-day (or 10-day) period of storage in the sampler.
    (5) Repeat this procedure to obtain a total of 10 sets of any 
combination of (nominal) 24-hour or 48-hour PM measurements over 10 test 
periods. For sequential samplers, repeat the 5-day (or 10-day) storage 
test of additional blank filters once for a total of two sets of blank 
filters.
    (g) Calculations. (1) Record the PM concentration for each test 
sampler for each test period as Ci,j, where i is the sampler 
number (i = 1,2,3) and j is the test period (j = 1,2, * * * 10).
    (2)(i) For each test period, calculate and record the average of the 
three measured PM concentrations as Cave,j where j is the 
test period using equation 26 of this section:
[GRAPHIC] [TIFF OMITTED] TR41AD07.005

    (ii) If Cave,j < 3 [micro]g/m\3\ for any test period, 
data from that test period are unacceptable, and an additional sample 
collection set must be obtained to replace the unacceptable data.
    (3)(i) Calculate and record the precision for each of the 10 test 
periods, as the standard deviation, using equation 27 of this section:
[GRAPHIC] [TIFF OMITTED] TR17OC06.039

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

    (h) Test results. (1) The candidate method passes the precision test 
if either Pj or RPj is less than or equal to the 
corresponding specification in table E-1 of this subpart for all 10 test 
periods.
    (2) The candidate sequential sampler passes the blank filter storage 
deposition test if the average net storage deposition weight gain of 
each set of blank filters (total of the net weight gain of each blank 
filter divided by the number of filters in the set) from each test 
sampler (six sets in all) is less than 50 [micro]g.

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



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

    (a) Overview. This test is intended to verify adequate aerosol 
transport through any modified or air flow splitting components that may 
be used in a Class I candidate equivalent method sampler such as may be 
necessary to achieve sequential sampling capability. This test is 
applicable to all Class I candidate samplers in which the aerosol flow 
path (the flow path through which sample air passes upstream of sample 
collection filter) differs significantly from that specified for 
reference method samplers as specified in 40 CFR

[[Page 88]]

part 50, appendix L or appendix O, as applicable. The test requirements 
and performance specifications for this test are summarized in table E-1 
of this subpart.
    (b) Technical definitions. (1) Aerosol transport is the percentage 
of a laboratory challenge aerosol which penetrates to the active sample 
filter of the candidate equivalent method sampler.
    (2) The active sample filter is the exclusive filter through which 
sample air is flowing during performance of this test.
    (3) A no-flow filter is a sample filter through which no sample air 
is intended to flow during performance of this test.
    (4) A channel is any of two or more flow paths that the aerosol may 
take, only one of which may be active at a time.
    (5) An added component is any physical part of the sampler which is 
different in some way from that specified for a reference method sampler 
in 40 CFR part 50, appendix L or appendix O, as applicable, such as a 
device or means to allow or cause the aerosol to be routed to one of 
several channels.
    (c) Required facilities and test equipment. (1) Aerosol generation 
system, as specified in Sec. 53.62(c)(2).
    (2) Aerosol delivery system, as specified in Sec. 53.64(c)(2).
    (3) Particle size verification equipment, as specified in Sec. 
53.62(c)(3).
    (4) Fluorometer, as specified in Sec. 53.62(c)(7).
    (5) Candidate test sampler, with the inlet and impactor or impactors 
removed, and with all internal surfaces of added components electroless 
nickel coated as specified in Sec. 53.64(d)(2).
    (6) Filters that are appropriate for use with fluorometric methods 
(e.g., glass fiber).
    (d) Calibration of test measurement instruments. Submit 
documentation showing evidence of appropriately recent calibration, 
certification of calibration accuracy, and NIST-traceability (if 
required) of all measurement instruments used in the tests. The accuracy 
of flow rate meters shall be verified at the highest and lowest 
pressures and temperatures used in the tests and shall be checked at 
zero and at least one flow rate within 3 percent 
of 16.7 L/min within 7 days prior to use for this test. Where an 
instrument's measurements are to be recorded with an analog recording 
device, the accuracy of the entire instrument-recorder system shall be 
calibrated or verified.
    (e) Test setup. (1) The candidate test sampler shall have its inlet 
and impactor or impactors removed. The lower end of the down tube shall 
be reconnected to the filter holder, using an extension of the downtube, 
if necessary. If the candidate sampler has a separate impactor for each 
channel, then for this test, the filter holder assemblies must be 
connected to the physical location on the sampler where the impactors 
would normally connect.
    (2) The test particle delivery system shall be connected to the 
sampler downtube so that the test aerosol is introduced at the top of 
the downtube.
    (f) Test procedure. (1) All surfaces of the added or modified 
component or components which come in contact with the aerosol flow 
shall be thoroughly washed with 0.01 N NaOH and then dried.
    (2) Generate aerosol. (i) Generate aerosol composed of oleic acid 
with a uranine fluorometric tag of 3 0.25 [micro]m 
aerodynamic diameter using a vibrating orifice aerosol generator 
according to conventions specified in Sec. 53.61(g).
    (ii) Check for the presence of satellites and adjust the generator 
to minimize their production.
    (iii) Calculate the aerodynamic particle size using the operating 
parameters of the vibrating orifice aerosol generator. The calculated 
aerodynamic diameter must be 3 0.25 [micro]m 
aerodynamic diameter.
    (3) Verify the particle size according to procedures specified in 
Sec. 53.62(d)(4)(i).
    (4) Collect particles on filters for a time period such that the 
relative error of the resulting measured fluorometric concentration for 
the active filter is less than 5 percent.
    (5) Determine the quantity of material collected on the active 
filter using a calibrated fluorometer. Record the mass of fluorometric 
material for the active filter as Mactive (i) where i = the 
active channel number.
    (6) Determine the quantity of material collected on each no-flow 
filter using a calibrated fluorometer. Record

[[Page 89]]

the mass of fluorometric material on each no-flow filter as 
Mno-flow.
    (7) Using 0.01 N NaOH, wash the surfaces of the added component or 
components which contact the aerosol flow. Determine the quantity of 
material collected using a calibrated fluorometer. Record the mass of 
fluorometric material collected in the wash as Mwash.
    (8) Calculate the aerosol transport as:
                               Equation 29
[GRAPHIC] [TIFF OMITTED] TR18JY97.091

where:

i = the active channel number.

    (9) Repeat paragraphs (f)(1) through (8) of this section for each 
channel, making each channel in turn the exclusive active channel.
    (g) Test results. The candidate Class I sampler passes the aerosol 
transport test if T(i) is at least 97 percent for each 
channel.

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



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

----------------------------------------------------------------------------------------------------------------
                                                          Performance                         Part 50,  appendix
       Subpart E procedure         Performance test      specification      Test conditions      L  reference
----------------------------------------------------------------------------------------------------------------
Sec.  53.52 Sample leak check    Sampler leak check  External leakage:   Controlled leak     Sec. 7.4.6.
 test.                             facility.           80 mL/min, max.     flow rate of 80
                                                      Internal leakage:    mL/ min.
                                                       80 mL/min, max.
----------------------------------------------------------------------------------------------------------------
Sec.  53.53 Base flow rate test  Sample flow rate..  1. 16.67     operational test   Sec. 7.4.2.
                                  2. Regulation.....   5%, L/ min.         plus flow rate     Sec. 7.4.3.
                                  3. Meas accuracy..  2. 2%, max........   cut-off test.      Sec. 7.4.4.
                                  4. CV accuracy....  3. 2%, max........  (b) Normal          Sec. 7.4.5.
                                  5. Cut-off........  4. 0.3% max.......   conditions.
                                                      5. Flow rate cut-   (c) Additional 55
                                                       off if flow rate    mm Hg pressure
                                                       deviates more       drop to simulate
                                                       than 10% from       loaded filter.
                                                       design flow rate   (d) Variable flow
                                                       for 60   restriction used
                                                        30
                                                       seconds.
Sec.  53.54 Power interruption   Sample flow rate..  1. 16.67     operational test.  Sec. 7.4.2.
                                  2. Regulation.....   5%, L/ min.        (b) Nominal         Sec. 7.4.3.
                                  3. Meas. accuracy.  2. 2%, max........   conditions.        Sec. 7.4.5.
                                  4. CV accuracy....  3. 2%, max........  (c) Additional 55   Sec. 7.4.12.
                                  5. Occurrence time  4. 0.3% max.......   mm Hg pressure     Sec. 7.4.13.
                                   of power           5.  2 min if    loaded filter.     Sec. 7.4.15.5.
                                  6. Elapsed sample    60      (d) 6 power
                                   time.               seconds..           interruptions of
                                  7. Sample volume..  6.  20
                                                       seconds.
                                                      7.  2%, max.
----------------------------------------------------------------------------------------------------------------
Sec.  53.55 Temperature and      Sample flow rate..  1. 16.67     operational test.  Sec. 7.4.2.
                                  2. Regulation.....   5%, L/ min.        (b) Normal          Sec. 7.4.3.
                                  3. Meas. accuracy.  2. 2%, max........   conditions.        Sec. 7.4.5.
                                  4. CV accuracy....  3. 2%, max........  (c) Additional 55   Sec. 7.4.8.
                                  5. Temperature      4. 0.3% max.......   mm Hg pressure     Sec. 7.4.15.1.
                                   meas. accuracy.    5. 2 [deg]C.......   drop to simulate
                                  6. Proper                                loaded filter.
                                   operation..                            (d) Ambient
                                                                           temperature at -
                                                                           20 and +40 [deg]C.
                                                                          (e) Line voltage:
                                                                           105 Vac to 125
                                                                           Vac.
----------------------------------------------------------------------------------------------------------------
Sec.  53.56 Barometric pressure  Sample flow rate..  1. 16.67     operational test.  Sec. 7.4.2.
                                  2. Regulation.....   5%, L/ min.        (b) Normal          Sec. 7.4.3.
                                  3. Meas. accuracy.  2. 2%, max........   conditions.        Sec. 7.4.5.
                                  4. CV accuracy....  3. 2%, max........  (c) Additional 55   Sec. 7.4.9.
                                  5. Pressure meas.   4. 0.3% max.......   mm Hg pressure
                                   accuracy.          5. 10 mm Hg.......   drop to simulate
                                  6. Proper                                loaded filter.
                                   operation..                            (d) Barometric
                                                                           pressure at 600
                                                                           and 800 mm Hg.
----------------------------------------------------------------------------------------------------------------

[[Page 90]]

 
Sec.  53.57 Filter temperature   1. Filter temp.     1. 2 [deg]C.......  (a) 4-hour          Sec. 7.4.8.
 control test.                     meas. accuracy.    2. 2 [deg]C.......   simulated solar    Sec. 7.4.10.
                                  2. Ambient temp.    3. Not more than 5   radiation,         Sec. 7.4.11.
                                   meas. accuracy.     [deg]C above        sampling.
                                  3. Filter temp.      ambient temp. for  (b) 4-hour
                                   control accuracy,   more than 30 min.   simulated solar
                                   sampling and non-                       radiation, non-
                                   sampling.                               sampling.
                                                                          (c) Solar flux of
                                                                           1000 
                                                                           50 W/m 2.
----------------------------------------------------------------------------------------------------------------
Sec.  53.58 Field precision      1. Measurement      1. Pj < 2 [micro]g/ (a) 3 collocated    Sec. 5.1.
 test.                             precision.          m3 or RPj < 5%.     samplers at 1      Sec. 7.3.5.
                                  2. Storage          2. 50 [micro]g       site for at least  Sec. 8.
                                   deposition test     max. average        10 days.           Sec. 9.
                                   for sequential      weight gain/blank  (b) PM2.5 conc. >   Sec. 10.
                                   samplers.           filter.             3 [micro]g/m3.
                                                                          (c) 24- or 48-hour
                                                                           samples.
                                                                          (d) 5- or 10-day
                                                                           storage period
                                                                           for inactive
                                                                           stored filters.
----------------------------------------------------------------------------------------------------------------
              The Following Requirement Is Applicable to Class I Candidate Equivalent Methods Only
----------------------------------------------------------------------------------------------------------------
Sec.  53.59 Aerosol transport    Aerosol transport.  97%, min. for all   Determine aerosol
 test.                                                 channels..          transport through
                                                                           any new or
                                                                           modified
                                                                           components with
                                                                           respect to the
                                                                           reference method
                                                                           sampler before
                                                                           the filter for
                                                                           each channel.
----------------------------------------------------------------------------------------------------------------


[72 FR 32208, June 12, 2007]



Sec. Table E-2 to Subpart E of Part 53--Spectral Energy Distribution and 
           Permitted Tolerance for Conducting Radiative Tests

------------------------------------------------------------------------
                                       Spectral Region
  Characteristic   -----------------------------------------------------
                        Ultraviolet         Visible          Infrared
------------------------------------------------------------------------
Bandwidth           0.28 to 0.32 0.32   0.40 to 0.78     0.78 to 3.00
 ([micro]m)          to 0.40
Irradiance (W/      5 56                450 to 550       439
 m\2\)
Allowed Tolerance   35% 10%       thn-eq>10%
                     minus2
                     5%
------------------------------------------------------------------------


[62 FR 38799, July 18, 1997; 63 FR 7714, Feb. 17, 1998]



 Sec. Figure E-1 to Subpart E of Part 53--Designation Testing Checklist

                      DESIGNATION TESTING CHECKLIST

     -------------------- -------------------- --------------------
     Auditee Auditor signature Date

------------------------------------------------------------------------
Compliance Status: Y = Yes N = No NA = Not applicable/    Verification
                    Not available                           Comments
------------------------------------------------------     (Includes
    Verification      Verified by Direct Observation    documentation of
--------------------    of Process or of Documented    who, what, where,
                     Evidence: Performance, Design or   when, why) (Doc.
                      Application Spec. Corresponding   , Rev.
  Y      N      NA   to Sections of 40 CFR Part 53 or   , Rev.
                        40 CFR Part 50, Appendix L           Date)
------------------------------------------------------------------------
       .....  .....  Performance Specification Tests
       .....  .....  Sample flow rate coefficient of
                      variation (Sec.  53.53) (L-
                      7.4.3)
------------------------------------------------------------------------
       .....  .....  Filter temperature control
                      (sampling) (Sec.  53.57) (L-
                      7.4.10)
------------------------------------------------------------------------
       .....  .....  Elapsed sample time accuracy
                      (Sec.  53.54) (L-7.4.13)
------------------------------------------------------------------------
       .....  .....  Filter temperature control (post
                      sampling) (Sec.  53.57) (L-
                      7.4.10)
------------------------------------------------------------------------
       .....  .....  Application Specification Tests
------------------------------------------------------------------------
       .....  .....  Field Precision (Sec.  53.58)
                      (L-5.1)
------------------------------------------------------------------------

[[Page 91]]

 
       .....  .....  Meets all Appendix L
                      requirements (part 53, subpart
                      A, Sec.  53.2(a)(3)) (part 53,
                      subpart E, Sec.  53.51(a),(d))
------------------------------------------------------------------------
       .....  .....  Filter Weighing (L-8)
------------------------------------------------------------------------
       .....  .....  Field Sampling Procedure (Sec.
                      53.30, .31, .34)
------------------------------------------------------------------------
       .....  .....  Design Specification Tests
------------------------------------------------------------------------
       .....  .....  Filter ( L-6)
------------------------------------------------------------------------
       .....  .....  Range of Operational Conditions
                      (L-7.4.7)
------------------------------------------------------------------------
 
  The Following Requirements Apply Only to Class I Candidate Equivalent
                                 Methods
------------------------------------------------------------------------
 
       .....  .....  Aerosol Transport (Sec.  53.59)
------------------------------------------------------------------------



Sec. Figure E-2 to Subpart E of Part 53--Product Manufacturing Checklist

                     PRODUCT MANUFACTURING CHECKLIST

     -------------------- -------------------- --------------------
     Auditee Auditor signature Date

------------------------------------------------------------------------
Compliance Status: Y = Yes N = No NA = Not applicable/    Verification
                    Not available                           Comments
------------------------------------------------------     (Includes
    Verification      Verified by Direct Observation    documentation of
--------------------    of Process or of Documented    who, what, where,
                     Evidence: Performance, Design or   when, why) (Doc.
                      Application Spec. Corresponding   , Rev.
  Y      N      NA   to Sections of 40 CFR Part 53 or   , Rev.
                        40 CFR Part 50, Appendix L           Date)
------------------------------------------------------------------------
       .....  .....  Performance Specification Tests
------------------------------------------------------------------------
       .....  .....   Assembled operational
                      performance (Burn-in test)
                      (Sec.  53.53)
------------------------------------------------------------------------
       .....  .....   Sample flow rate (Sec.  53.53)
                      (L-7.4.1, L-7.4.2)
------------------------------------------------------------------------
       .....  .....   Sample flow rate regulation
                      (Sec.  53.53) (L-7.4.3)
------------------------------------------------------------------------
       .....  .....   Flow rate and average flow rate
                      measurement accuracy (Sec.
                      53.53) (L-7.4.5)
------------------------------------------------------------------------
       .....  .....   Ambient air temperature
                      measurement accuracy (Sec.
                      53.55) (L-7.4.8)
------------------------------------------------------------------------
       .....  .....   Ambient barometric pressure
                      measurement accuracy (Sec.
                      53.56) (L-7.4.9)
------------------------------------------------------------------------
       .....  .....   Sample flow rate cut-off (Sec.
                       53.53) (L-7.4.4)
------------------------------------------------------------------------
       .....  .....   Sampler leak check facility
                      (Sec.  53.52) (L-7.4.6)
------------------------------------------------------------------------
       .....  .....   Application Specification Tests
------------------------------------------------------------------------
       .....  .....   Flow rate calibration transfer
                      standard (L-9.2)
------------------------------------------------------------------------
       .....  .....   Operational /Instructional
                      manual (L-7.4.18)
------------------------------------------------------------------------
       .....  .....   Design Specification Tests
------------------------------------------------------------------------
       .....  .....   Impactor (jet width) (Sec.
                      53.51(d)(1)) (L-7.3.4.1)
------------------------------------------------------------------------
       .....  .....   Surface finish (Sec.  53.51(
                      d)(2)) (L-7.3.7)
------------------------------------------------------------------------


[[Page 92]]



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

    (1) American National Standard Quality Systems--Model for Quality 
Assurance in Design, Development, Production, Installation, and 
Servicing, ANSI/ISO/ASQC Q9001-1994. Available from American Society for 
Quality, P.O. Box 3005, Milwaukee, WI 53202 (http://
qualitypress.asq.org).
    (2) American National Standard Quality Systems for Environmental 
Data and Technology Programs--Requirements with guidance for use, ANSI/
ASQC E4-2004. Available from American Society for Quality, P.O. Box 
3005, Milwaukee, WI 53202 (http://qualitypress.asq.org).
    (3) Quality Assurance Guidance Document 2.12. Monitoring 
PM2.5 in Ambient Air Using Designated Reference or Class I 
Equivalent Methods. U.S. EPA, National Exposure Research Laboratory, 
Research Triangle Park, NC, November 1998 or later edition. Currently 
available at http://www.epa.gov/ttn/amtic/pmqainf.html.
    (4) Military standard specification (mil. spec.) 8625F, Type II, 
Class 1 as listed in Department of Defense Index of Specifications and 
Standards (DODISS), available from DODSSP-Customer Service, 
Standardization Documents Order Desk, 700 Robbins Avenue, Building 4D, 
Philadelphia, PA 1911-5094.
    (5) Quality Assurance Handbook for Air Pollution Measurement 
Systems, Volume IV: Meteorological Measurements. Revised March, 1995. 
EPA-600/R-94-038d. Available from National Technical Information 
Service, Springfield, VA 22161, (800-553-6847, http://www.ntis.gov). 
NTIS number PB95-199782INZ.
    (6) Military standard specification (mil. spec.) 810-E as listed in 
Department of Defense Index of Specifications and Standards (DODISS), 
available from DODSSP-Customer Service, Standardization Documents Order 
Desk, 700 Robbins Avenue, Building 4D, Philadelphia, PA 1911-5094.

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



Subpart F_Procedures for Testing Performance Characteristics of Class II 
            Equivalent Methods for PM[bdi2].[bdi5]

    Source: 62 FR 38814, July 18, 1997, unless otherwise noted.



Sec. 53.60  General provisions.

    (a) This subpart sets forth the specific requirements that a 
PM2.5 sampler associated with a candidate Class II equivalent 
method must meet to be designated as an equivalent method for 
PM2.5. This subpart also sets forth the explicit test 
procedures that must be carried out and the test results, evidence, 
documentation, and other materials that must be provided to EPA to 
demonstrate that a sampler meets all specified requirements for 
designation as an equivalent method.
    (b) A candidate method described in an application for a FRM or FEM 
determination submitted under Sec. 53.4 shall be determined by the EPA 
to be a Class II candidate equivalent method on the basis of the 
definition of a Class II FEM in Sec. 53.1.
    (c) Any sampler associated with a Class II candidate equivalent 
method (Class II sampler) must meet all applicable requirements for FRM 
samplers or Class I FEM samplers specified in subpart E of this part, as 
appropriate. Except as provided in Sec. 53.3(a)(3), a Class II 
PM2.5 sampler must meet the additional requirements as 
specified in paragraph (d) of this section.
    (d) Except as provided in paragraphs (d)(1), (2), and (3) of this 
section, all Class II samplers are subject to the additional tests and 
performance requirements specified in Sec. 53.62 (full wind tunnel 
test), Sec. 53.65 (loading test), and Sec. 53.66 (volatility test). 
Alternative tests and performance requirements, as described in 
paragraphs (d)(1), (2), and (3) of this section, are optionally 
available for certain Class II samplers which meet the requirements for 
reference method or Class I equivalent method samplers given in 40 CFR 
part 50, appendix L, and in subpart E of this part, except for specific 
deviations of the inlet, fractionator, or filter.
    (1) Inlet deviation. A sampler which has been determined to be a 
Class II sampler solely because the design or construction of its inlet 
deviates from the design or construction of the inlet specified in 40 
CFR part 50, appendix L, for reference method samplers shall not be 
subject to the requirements of Sec. 53.62 (full wind tunnel test), 
provided that it meets all requirements of Sec. 53.63 (wind tunnel 
inlet aspiration test), Sec. 53.65 (loading test), and Sec. 53.66 
(volatility test).
    (2) Fractionator deviation. A sampler which has been determined to 
be a Class II sampler solely because the design or construction of its 
particle size

[[Page 93]]

fractionator deviates from the design or construction of the particle 
size fractionator specified in 40 CFR part 50, appendix L for reference 
method samplers shall not be subject to the requirements of Sec. 53.62 
(full wind tunnel test), provided that it meets all requirements of 
Sec. 53.64 (static fractionator test), Sec. 53.65 (loading test), and 
Sec. 53.66 (volatility test).
    (3) Filter size deviation. A sampler which has been determined to be 
a Class II sampler solely because its effective filtration area deviates 
from that of the reference method filter specified in 40 CFR part 50, 
appendix L, for reference method samplers shall not be subject to the 
requirements of Sec. 53.62 (full wind tunnel test) nor Sec. 53.65 
(loading test), provided it meets all requirements of Sec. 53.66 
(volatility test).
    (e) The test specifications and acceptance criteria for each test 
are summarized in table F-1 of this subpart. The candidate sampler must 
demonstrate performance that meets the acceptance criteria for each 
applicable test to be designated as an equivalent method.
    (f) Overview of various test procedures for Class II samplers--(1) 
Full wind tunnel test. This test procedure is designed to ensure that 
the candidate sampler's effectiveness (aspiration of an ambient aerosol 
and penetration of the sub 2.5-micron fraction to its sample filter) 
will be comparable to that of a reference method sampler. The candidate 
sampler is challenged at wind speeds of 2 and 24 km/hr with monodisperse 
aerosols of the size specified in table F-2 of this subpart. The 
experimental test results are then integrated with three idealized 
ambient distributions (typical, fine, and coarse) to yield the expected 
mass concentration measurement for each. The acceptance criteria are 
based on the results of this numerical analysis and the particle 
diameter for which the sampler effectiveness is 50 percent.
    (2) Wind tunnel inlet aspiration test. The wind tunnel inlet 
aspiration test directly compares the inlet of the candidate sampler to 
the inlet of a reference method sampler with the single-sized, liquid, 
monodisperse challenge aerosol specified in table F-2 of this subpart at 
wind speeds of 2 km/hr and 24 km/hr. The acceptance criteria, presented 
in table F-1 of this subpart, is based on the relative aspiration 
between the candidate inlet and the reference method inlet.
    (3) Static fractionator test. The static fractionator test 
determines the effectiveness of the candidate sampler's 2.5-micron 
fractionator under static conditions for aerosols of the size specified 
in table F-2 of this subpart. The numerical analysis procedures and 
acceptance criteria are identical to those in the full wind tunnel test.
    (4) Loading test. The loading test is conducted to ensure that the 
performance of a candidate sampler is not significantly affected by the 
amount of particulate deposited on its interior surfaces between 
periodic cleanings. The candidate sampler is artificially loaded by 
sampling a test environment containing aerosolized, standard test dust. 
The duration of the loading phase is dependent on both the time between 
cleaning as specified by the candidate method and the aerosol mass 
concentration in the test environment. After loading, the candidate's 
performance must then be evaluated by Sec. 53.62 (full wind tunnel 
evaluation), Sec. 53.63 (wind tunnel inlet aspiration test), or Sec. 
53.64 (static fractionator test). If the results of the appropriate test 
meet the criteria presented in table F-1 of this subpart, then the 
candidate sampler 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

[[Page 94]]

the residual mass measured by the reference method sampler for several 
specified clean air sampling time periods.
    (g) Test data. All test data and other documentation obtained from 
or pertinent to these tests shall be identified, dated, signed by the 
analyst performing the test, and submitted to EPA as part of the 
equivalent method application. Schematic drawings of each particle 
delivery system and other information showing complete procedural 
details of the test atmosphere generation, verification, and delivery 
techniques for each test performed shall be submitted to EPA. All 
pertinent calculations shall be clearly presented. In addition, 
manufacturers are required to submit as part of the application, a 
Designation Testing Checklist (Figure F-1 of this subpart) which has 
been completed and signed by an ISO-certified auditor.

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



Sec. 53.61  Test conditions.

    (a) Sampler surface preparation. Internal surfaces of the candidate 
sampler shall be cleaned and dried prior to performing any Class II 
sampler test in this subpart. The internal collection surfaces of the 
sampler shall then be prepared in strict accordance with the operating 
instructions specified in the sampler's operating manual referred to in 
section 7.4.18 of 40 CFR part 50, appendix L.
    (b) Sampler setup. Set up and start up of all test samplers shall be 
in strict accordance with the operating instructions specified in the 
manual referred to in section 7.4.18 of 40 CFR part 50, appendix L, 
unless otherwise specified within this subpart.
    (c) Sampler adjustments. Once the test sampler or samplers have been 
set up and the performance tests started, manual adjustment shall be 
permitted only between test points for all applicable tests. Manual 
adjustments and any periodic maintenance shall be limited to only those 
procedures prescribed in the manual referred to in section 7.4.18 of 40 
CFR part 50, appendix L. The submitted records shall clearly indicate 
when any manual adjustment or periodic maintenance was made and shall 
describe the operations performed.
    (d) Sampler malfunctions. If a test sampler malfunctions during any 
of the applicable tests, that test run shall be repeated. A detailed 
explanation of all malfunctions and the remedial actions taken shall be 
submitted as part of the equivalent method application.
    (e) Particle concentration measurements. All measurements of 
particle concentration must be made such that the relative error in 
measurement is less than 5.0 percent. Relative error is defined as (s x 
100 percent)/(X), where s is the sample standard deviation of the 
particle concentration detector, X is the measured concentration, and 
the units of s and X are identical.
    (f) Operation of test measurement equipment. All test measurement 
equipment shall be set up, calibrated, and maintained by qualified 
personnel according to the manufacturer's instructions. All appropriate 
calibration information and manuals for this equipment shall be kept on 
file.
    (g) Vibrating orifice aerosol generator conventions. This section 
prescribes conventions regarding the use of the vibrating orifice 
aerosol generator (VOAG) for the size-selective performance tests 
outlined in Sec. Sec. 53.62, 53.63, 53.64, and 53.65.
    (1) Particle aerodynamic diameter. The VOAG produces near-
monodisperse droplets through the controlled breakup of a liquid jet. 
When the liquid solution consists of a non-volatile solute dissolved in 
a volatile solvent, the droplets dry to form particles of near-
monodisperse size.
    (i) The physical diameter of a generated spherical particle can be 
calculated from the operating parameters of the VOAG as:
                               Equation 1
[GRAPHIC] [TIFF OMITTED] TR18JY97.094

where:

Dp = particle physical diameter, [micro]m;
Q = liquid volumetric flow rate, [micro]m\3\/sec;
Cvol = volume concentration (particle volume produced per 
drop volume), dimensionless; and

[[Page 95]]

f = frequency of applied vibrational signal, 1/sec.

    (ii) A given particle's aerodynamic behavior is a function of its 
physical particle size, particle shape, and density. Aerodynamic 
diameter is defined as the diameter of a unit density ([rho]o 
= 1g/cm\3\) sphere having the same settling velocity as the particle 
under consideration. For converting a spherical particle of known 
density to aerodynamic diameter, the governing relationship is:
                               Equation 2
[GRAPHIC] [TIFF OMITTED] TR18JY97.095

where:

Dae = particle aerodynamic diameter, [micro]m;
[rho]p = particle density, g/cm\3\;
[rho]o = aerodynamic particle density = 1 g/cm\3\;
CDp = Cunningham's slip correction factor for physical 
particle diameter, dimensionless; and
CDae = Cunningham's slip correction factor for aerodynamic 
particle diameter, dimensionless.

    (iii) At room temperature and standard pressure, the Cunningham's 
slip correction factor is solely a function of particle diameter:
                               Equation 3
[GRAPHIC] [TIFF OMITTED] TR18JY97.096


or
                               Equation 4
[GRAPHIC] [TIFF OMITTED] TR18JY97.097

    (iv) Since the slip correction factor is itself a function of 
particle diameter, the aerodynamic diameter in equation 2 of paragraph 
(g)(1)(ii) of this section cannot be solved directly but must be 
determined by iteration.
    (2) Solid particle generation. (i) Solid particle tests performed in 
this subpart shall be conducted using particles composed of ammonium 
fluorescein. For use in the VOAG, liquid solutions of known volumetric 
concentration can be prepared by diluting fluorescein powder 
(C20H12O5, FW = 332.31, CAS 2321-07-5) 
with aqueous ammonia. Guidelines for preparation of fluorescein 
solutions of the desired volume concentration (Cvol) are 
presented by Vanderpool and Rubow (1988) (Reference 2 in appendix A of 
this subpart). For purposes of converting particle physical diameter to 
aerodynamic diameter, an ammonium fluorescein density of 1.35 g/cm\3\ 
shall be used.
    (ii) Mass deposits of ammonium fluorescein shall be extracted and 
analyzed using solutions of 0.01 N ammonium hydroxide.
    (3) Liquid particle generation. (i) Tests prescribed in Sec. 53.63 
for inlet aspiration require the use of liquid particle tests composed 
of oleic acid tagged with uranine to enable subsequent fluorometric 
quantitation of collected aerosol mass deposits. Oleic acid 
(C18H34O2, FW = 282.47, CAS 112-80-1) 
has a density of 0.8935 g/cm\3\. Because the viscosity of oleic acid is 
relatively high, significant errors can occur when dispensing oleic acid 
using volumetric pipettes. For this reason, it is recommended that oleic 
acid solutions be prepared by quantifying dispensed oleic acid 
gravimetrically. The volume of oleic acid dispensed can then be 
calculated simply by dividing the dispensed mass by the oleic acid 
density.
    (ii) Oleic acid solutions tagged with uranine shall be prepared as 
follows. A known mass of oleic acid shall first be diluted using 
absolute ethanol. The desired mass of the uranine tag should then be 
diluted in a separate container using absolute ethanol. Uranine 
(C20H10O5Na2, FW = 376.3, 
CAS 518-47-8) is the disodium salt of fluorescein and has a density of 
1.53 g/cm\3\. In preparing uranine tagged oleic acid particles, the 
uranine content shall not exceed 20 percent on a mass basis. Once both 
oleic acid and uranine solutions are properly prepared, they can then be 
combined and diluted to final volume using absolute ethanol.
    (iii) Calculation of the physical diameter of the particles produced 
by the VOAG requires knowledge of the liquid solution's volume 
concentration (Cvol). Because uranine is essentially 
insoluble in oleic acid, the total particle

[[Page 96]]

volume is the sum of the oleic acid volume and the uranine volume. The 
volume concentration of the liquid solution shall be calculated as:
                               Equation 5
[GRAPHIC] [TIFF OMITTED] TR18JY97.098

where:

Vu = uranine volume, ml;
Voleic = oleic acid volume, ml;
Vsol = total solution volume, ml;
Mu = uranine mass, g;
[rho]u = uranine density, g/cm\3\;
Moleic = oleic acid mass, g; and
[rho]oleic = oleic acid density, g/cm\3\.

    (iv) For purposes of converting the particles' physical diameter to 
aerodynamic diameter, the density of the generated particles shall be 
calculated as:
                               Equation 6
[GRAPHIC] [TIFF OMITTED] TR18JY97.099

    (v) Mass deposits of oleic acid shall be extracted and analyzed 
using solutions of 0.01 N sodium hydroxide.

[62 FR 38814, July 18, 1997; 63 FR 7714, Feb. 17, 1998]



Sec. 53.62  Test procedure: Full wind tunnel test.

    (a) Overview. The full wind tunnel test evaluates the effectiveness 
of the candidate sampler at 2 km/hr and 24 km/hr for aerosols of the 
size specified in table F-2 of this subpart (under the heading, ``Full 
Wind Tunnel Test''). For each wind speed, a smooth curve is fit to the 
effectiveness data and corrected for the presence of multiplets in the 
wind tunnel calibration aerosol. The cutpoint diameter (Dp50) 
at each wind speed is then determined from the corrected effectiveness 
curves. The two resultant penetration curves are then each numerically 
integrated with three idealized ambient particle size distributions to 
provide six estimates of measured mass concentration. Critical 
parameters for these idealized distributions are presented in table F-3 
of this subpart.
    (b) Technical definitions. Effectiveness is the ratio (expressed as 
a percentage) of the mass concentration of particles of a specific size 
reaching the sampler filter or filters to the mass concentration of 
particles of the same size approaching the sampler.
    (c) Facilities and equipment required--(1) Wind tunnel. The particle 
delivery system shall consist of a blower system and a wind tunnel 
having a test section of sufficiently large cross-sectional area such 
that the test sampler, or portion thereof, as installed in the test 
section for testing, blocks no more than 15 percent of the test section 
area. The wind tunnel blower system must be capable of maintaining 
uniform wind speeds at the 2 km/hr and 24 km/hr in the test section.
    (2) Aerosol generation system. A vibrating orifice aerosol generator 
shall be used to produce monodisperse solid particles of ammonium 
fluorescein with equivalent aerodynamic diameters as specified in table 
F-2 of this subpart. The geometric standard deviation for each particle 
size generated shall not exceed 1.1 (for primary particles) and the 
proportion of multiplets (doublets and triplets) in all test particle 
atmosphere shall not exceed 10 percent of the particle population. The 
aerodynamic particle diameter, as established by the operating 
parameters of the vibrating orifice aerosol generator, shall be within 
the tolerance specified in table F-2 of this subpart.
    (3) Particle size verification equipment. The size of the test 
particles shall be verified during this test by use of a suitable 
instrument (e.g., scanning electron microscope, optical particle sizer, 
time-of-flight apparatus). The instrument must be capable of measuring 
solid and liquid test particles with a size resolution of 0.1 [micro]m 
or less. The accuracy of the particle size verification technique shall 
be 0.15 [micro]m or better.
    (4) Wind speed measurement. The wind speed in the wind tunnel shall 
be determined during the tests using an appropriate technique capable of 
a precision of 2 percent and an accuracy of 5 percent or better (e.g., 
hot-wire anemometry). For the wind speeds specified in table F-2 of this 
subpart,

[[Page 97]]

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 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

[[Page 98]]

of the test aerosol must be within 0.15 [micro]m of the aerodynamic 
diameter calculated from the operating parameters of the vibrating 
orifice aerosol generator. The geometric standard deviation of the 
primary particles must not exceed 1.1.
    (ii) Determine the population of multiplets in the collected sample. 
The multiplet population of the particle test atmosphere must not exceed 
10 percent of the total particle population.
    (5) Aerosol uniformity and concentration measurement. (i) Install an 
array of five or more evenly spaced isokinetic samplers in the sampling 
zone (paragraph (c)(5) of this section). Collect particles on 
appropriate filters over a time period such that the relative error of 
the measured particle concentration is less than 5.0 percent.
    (ii) Determine the quantity of material collected with each 
isokinetic sampler in the array using a calibrated fluorometer. 
Calculate and record the mass concentration for each isokinetic sampler 
as:
                               Equation 7
[GRAPHIC] [TIFF OMITTED] TR18JY97.100

where:

i = replicate number;
j = isokinetic sampler number;
Miso = mass of material collected with the isokinetic 
sampler;
Q = isokinetic sampler volumetric flow rate; and
t = sampling time.

    (iii) Calculate and record the mean mass concentration as:
                               Equation 8
[GRAPHIC] [TIFF OMITTED] TR18JY97.101

where:

i = replicate number;
j = isokinetic sampler number; and
n = total number of isokinetic samplers.

    (iv) Precision calculation. (A) Calculate the coefficient of 
variation of the mass concentration measurements as:
                               Equation 9
[GRAPHIC] [TIFF OMITTED] TR18JY97.102

where:

i = replicate number;
j = isokinetic sampler number; and
n = total number of isokinetic samplers.

    (B) If the value of CViso(i) for any replicate exceeds 10 
percent, the particle concentration uniformity is unacceptable and step 
5 must be repeated. If adjustment of the vibrating orifice aerosol 
generator or changes in the particle delivery system are necessary to 
achieve uniformity, steps 1 through 5 must be repeated. When an 
acceptable aerosol spatial uniformity is achieved, remove the array of 
isokinetic samplers from the wind tunnel.
    (6) Alternative measure of wind tunnel total concentration. If a 
single isokinetic sampler is used to determine the mean aerosol 
concentration in the wind tunnel, install the sampler in the wind tunnel 
with the sampler nozzle centered in the sampling zone (paragraph (c)(6) 
of this section).
    (i) Collect particles on an appropriate filter over a time period 
such that the relative error of the measured concentration is less than 
5.0 percent.
    (ii) Determine the quantity of material collected with the 
isokinetic sampler using a calibrated fluorometer.
    (iii) Calculate and record the mass concentration as 
Ciso(i) as in paragraph (d)(5)(ii) of this section.
    (iv) Remove the isokinetic sampler from the wind tunnel.
    (7) Measure the aerosol with the candidate sampler. (i) Install the 
test sampler (or portion thereof) in the wind tunnel with the sampler 
inlet opening centered in the sampling zone. To meet the maximum 
blockage limit of paragraph (c)(1) of this section or for convenience, 
part of the test sampler may be positioned external to the wind tunnel 
provided that neither the geometry of the sampler nor the length of any 
connecting tube or pipe is altered. Collect particles for a time period 
such

[[Page 99]]

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 sampling effectiveness has been measured for all particle 
sizes specified in table F-2 of this subpart.
    (10) Repeat steps in paragraphs (d)(1) through (d)(9) of this 
section until tests have been successfully conducted for both wind 
speeds of 2 km/hr and 24 km/hr.
    (e) Calculations--(1) Graphical treatment of effectiveness data. For 
each wind speed given in table F-2 of this subpart, plot the particle 
average sampling effectiveness of the candidate sampler as a function of 
aerodynamic particle diameter (Dae) on semi-logarithmic graph 
paper where the aerodynamic particle diameter is the particle size 
established by the parameters of the VOAG in conjunction with the known 
particle density. Construct a best-fit, smooth curve through the data by 
extrapolating the sampling effectiveness curve through 100 percent at an 
aerodynamic particle size of 0.5 [micro]m and 0 percent at an 
aerodynamic particle size of 10 [micro]m. Correction for the presence of 
multiplets shall be performed using the techniques presented by Marple, 
et al (1987). This multiplet-corrected effectiveness curve shall be used 
for all remaining calculations in this paragraph (e).
    (2) Cutpoint determination. For each wind speed determine the 
sampler Dp50

[[Page 100]]

cutpoint defined as the aerodynamic particle size corresponding to 50 
percent effectiveness from the multiplet corrected smooth curve.
    (3) Expected mass concentration calculation. For each wind speed, 
calculate the estimated mass concentration measurement for the test 
sampler under each particle size distribution (Tables F-4, F-5, and F-6 
of this subpart) and compare it to the mass concentration predicted for 
the reference sampler as follows:
    (i) Determine the value of corrected effectiveness using the best-
fit, multiplet-corrected curve at each of the particle sizes specified 
in the first column of table F-4 of this subpart. Record each corrected 
effectiveness value as a decimal between 0 and 1 in column 2 of table F-
4 of this subpart.
    (ii) Calculate the interval estimated mass concentration measurement 
by multiplying the values of corrected effectiveness in column 2 by the 
interval mass concentration values in column 3 and enter the products in 
column 4 of table F-4 of this subpart.
    (iii) Calculate the estimated mass concentration measurement by 
summing the values in column 4 and entering the total as the estimated 
mass concentration measurement for the test sampler at the bottom of 
column 4 of table F-4 of this subpart.
    (iv) Calculate the estimated mass concentration ratio between the 
candidate method and the reference method as:
                               Equation 14
[GRAPHIC] [TIFF OMITTED] TR18JY97.107

where:

Ccand(est) = estimated mass concentration measurement for the 
test sampler, [micro]g/m\3\; and
Cref(est) = estimated mass concentration measurement for the 
reference sampler, [micro]g/m\3\ (calculated for the reference sampler 
and specified at the bottom of column 7 of table F-4 of this subpart).

    (v) Repeat steps in paragraphs (e) (1) through (e)(3) of this 
section for tables F-5 and F-6 of this subpart.
    (f) Evaluation of test results. The candidate method passes the wind 
tunnel effectiveness test if the Rc value for each wind speed 
meets the specification in table F-1 of this subpart for each of the 
three particle size distributions.



Sec. 53.63  Test procedure: Wind tunnel inlet aspiration test.

    (a) Overview. This test applies to a candidate sampler which differs 
from the reference method sampler only with respect to the design of the 
inlet. The purpose of this test is to ensure that the aspiration of a 
Class II candidate sampler is such that it representatively extracts an 
ambient aerosol at elevated wind speeds. This wind tunnel test uses a 
single-sized, liquid aerosol in conjunction with wind speeds of 2 km/hr 
and 24 km/hr. The test atmosphere concentration is alternately measured 
with the candidate sampler and a reference method device, both of which 
are operated without the 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.

[[Page 101]]

    (2) Measure the aerosol concentration with the reference sampler. 
(i) Install the reference sampler (or portion thereof) in the wind 
tunnel with the sampler inlet opening centered in the sampling zone. To 
meet the maximum blockage limit of Sec. 53.62(c)(1) or for convenience, 
part of the test sampler may be positioned external to the wind tunnel 
provided that neither the geometry of the sampler nor the length of any 
connecting tube or pipe is altered. Collect particles for a time period 
such that the relative error of the measured concentration is less than 
5.0 percent.
    (ii) Determine the quantity of material collected with the reference 
method sampler using a calibrated fluorometer. Calculate and record the 
mass concentration as:
                               Equation 15
[GRAPHIC] [TIFF OMITTED] TR18JY97.108

where:

i = replicate number;
Mref = mass of material collected with the reference method 
sampler;
Q = reference method sampler volumetric flow rate; and
t = sampling time.

    (iii) Remove the reference method sampler from the tunnel.
    (3) Measure the aerosol concentration with the candidate sampler. 
(i) Install the candidate sampler (or portion thereof) in the wind 
tunnel with the sampler inlet centered in the sampling zone. To meet the 
maximum blockage limit of Sec. 53.62(c)(1) or for convenience, part of 
the test sampler may be positioned external to the wind tunnel provided 
that neither the geometry of the sampler nor the length of any 
connecting tube or pipe is altered. Collect particles for a time period 
such that the relative error of the measured concentration is less than 
5.0 percent.
    (ii) Determine the quantity of material collected with the candidate 
sampler using a calibrated fluorometer. Calculate and record the mass 
concentration as:
                               Equation 16
[GRAPHIC] [TIFF OMITTED] TR18JY97.109

where:

i = replicate number;
Mcand = mass of material collected with the candidate 
sampler;
Q = candidate sampler volumetric flow rate; and
t = sampling time.

    (iii) Remove the candidate sampler from the wind tunnel.
    (4) Repeat steps in paragraphs (d) (2) and (d)(3) of this section. 
Alternately measure the tunnel concentration with the reference sampler 
and the candidate sampler until four reference sampler and three 
candidate sampler measurements of the wind tunnel concentration are 
obtained.
    (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:

[[Page 102]]

                               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.
    (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.

[[Page 103]]

The aerosol shall be delivered to a manifold with two symmetrical 
branching legs. One of the legs, referred to as the bypass leg, shall 
allow the challenge aerosol to pass unfractionated to the detector. The 
other leg shall accommodate the fractionation device.
    (3) Particle concentration measurement--(i) Fluorometry. Refer to 
Sec. 53.62(c)(7).
    (ii) Number concentration measurement. A number counting particle 
sizer may be used in conjunction with the divided flow test apparatus in 
lieu of fluorometric measurement. This device must have a minimum range 
of 1 to 10 [micro]m, a resolution of 0.1 [micro]m, and an accuracy of 
0.15 [micro]m such that primary particles may be distinguished from 
multiplets for all test aerosols. The measurement of number 
concentration shall be accomplished by integrating the primary particle 
peak.
    (d) Setup--(1) Remove the inlet and downtube from the candidate 
fractionator. All tests procedures shall be conducted with the inlet and 
downtube removed from the candidate sampler.
    (2) Surface treatment of the fractionator. Rinsing aluminum surfaces 
with alkaline solutions has been found to adversely affect subsequent 
fluorometric quantitation of aerosol mass deposits. If wash-off tests 
are to be used for quantifying aerosol penetration, internal surfaces of 
the fractionator must first be plated with electroless nickel. 
Specifications for this plating are specified in Society of Automotive 
Engineers Aerospace Material Specification (SAE AMS) 2404C, Electroless 
Nickel Plating (Reference 3 in appendix A of subpart F).
    (e) Test procedure: Wash-off method--(1) Clean the candidate 
sampler. Note: The procedures in this step may be omitted if this test 
is being used to evaluate the fractionator after being loaded as 
specified in Sec. 53.65.
    (i) Clean and dry the internal surfaces of the candidate sampler.
    (ii) Prepare the internal fractionator surfaces in strict accordance 
with the operating instructions specified in the sampler's operating 
manual referred to in section 7.4.18 of 40 CFR part 50, appendix L.
    (2) Generate aerosol. Follow the procedures for aerosol generation 
prescribed in Sec. 53.62(d)(2).
    (3) Verify the quality of the test aerosol. Follow the procedures 
for verification of test aerosol size and quality prescribed in Sec. 
53.62(d)(4).
    (4) Determine effectiveness for the particle size being produced. 
(i) Collect particles downstream of the fractionator on an appropriate 
filter over a time period such that the relative error of the 
fluorometric measurement is less than 5.0 percent.
    (ii) Determine the quantity of material collected on the after 
filter of the candidate method using a calibrated fluorometer. Calculate 
and record the aerosol mass concentration for the sampler filter as:
                               Equation 20
[GRAPHIC] [TIFF OMITTED] TR18JY97.113

where:

i = replicate number;
Mcand = mass of material collected with the candidate 
sampler;
Q = candidate sampler volumetric flowrate; and
t = sampling time.

    (iii) Wash all interior surfaces upstream of the filter and 
determine the quantity of material collected using a calibrated 
fluorometer. Calculate and record the fluorometric mass concentration of 
the sampler wash as:
                               Equation 21
[GRAPHIC] [TIFF OMITTED] TR18JY97.114

where:

i = replicate number;
Mwash = mass of material washed from the interior surfaces of 
the fractionator;
Q = candidate sampler volumetric flowrate; and
t = sampling time.

    (iv) Calculate and record the sampling effectiveness of the test 
sampler for this particle size as:

[[Page 104]]

                               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:
                               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

[[Page 105]]

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 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.

[[Page 106]]

    (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 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


[[Page 107]]


                               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 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

[[Page 108]]

changes in a candidate method sampler's performance as a function of 
coarse aerosol collection. The candidate sampler is exposed to a mass of 
coarse aerosol equivalent to sampling a mass concentration of 150 
[micro]g/m\3\ over the time period that the manufacturer has specified 
between periodic cleaning. After loading, the candidate sampler is then 
evaluated by performing the test in Sec. 53.62 (full wind tunnel test), 
Sec. 53.63 (wind tunnel inlet aspiration test), or Sec. 53.64 (static 
fractionator test). If the acceptance criteria are met for this 
evaluation test, then the candidate sampler is approved for multi-day 
sampling with the periodic maintenance schedule as specified by the 
candidate method. For example, if the candidate sampler passes the 
reevaluation tests following loading with an aerosol mass equivalent to 
sampling a 150 [micro]g/m\3\ aerosol continuously for 7 days, then the 
sampler is approved for 7 day field operation before cleaning is 
required.
    (2) [Reserved]
    (b) Technical definition. Effectiveness after loading is the ratio 
(expressed as a percentage) of the mass concentration of particles of a 
given size reaching the sampler filter to the mass concentration of 
particles of the same size approaching the sampler.
    (c) Facilities and equipment required--(1) Particle delivery system. 
The particle delivery system shall consist of a static chamber or a low 
velocity wind tunnel having a sufficiently large cross-sectional area 
such that the test sampler, or portion thereof, may be installed in the 
test section. At a minimum, the system must have a sufficiently large 
cross section to house the candidate sampler inlet as well as a 
collocated isokinetic nozzle for measuring total aerosol concentration. 
The mean velocity in the test section of the static chamber or wind 
tunnel shall not exceed 2 km/hr.
    (2) Aerosol generation equipment. For purposes of these tests, the 
test aerosol shall be produced from commercially available, bulk Arizona 
road dust. To provide direct interlaboratory comparability of sampler 
loading characteristics, the bulk dust is specified as 0-10 [micro]m ATD 
available from Powder Technology Incorporated (Burnsville, MN). A 
fluidized bed aerosol generator, Wright dust feeder, or sonic nozzle 
shall be used to efficiently deagglomerate the bulk test dust and 
transform it into an aerosol cloud. Other dust generators may be used 
contingent upon prior approval by the Agency.
    (3) Isokinetic sampler. Mean aerosol concentration within the static 
chamber or wind tunnel shall be established using a single isokinetic 
sampler containing a preweighed high-efficiency total filter.
    (4) Analytic balance. An analytical balance shall be used to 
determine the weight of the total filter in the isokinetic sampler. The 
precision and accuracy of this device shall be such that the relative 
measurement error is less than 5.0 percent for the difference between 
the initial and final weight of the total filter. The identical analytic 
balance shall be used to perform both initial and final weighing of the 
total filter.
    (d) Test procedure. (1) Calculate and record the target time 
weighted concentration of Arizona road dust which is equivalent to 
exposing the sampler to an environment of 150 [micro]g/m\3\ over the 
time between cleaning specified by the candidate sampler's operations 
manual as:
                               Equation 40
[GRAPHIC] [TIFF OMITTED] TR18JY97.133

where:

t = the number of hours specified by the candidate method prior to 
periodic cleaning.

    (2) Clean the candidate sampler. (i) Clean and dry the internal 
surfaces of the candidate sampler.
    (ii) Prepare the internal surfaces in strict accordance with the 
operating manual referred to in section 7.4.18 of 40 CFR part 50, 
appendix L.
    (3) Determine the preweight of the filter that shall be used in the 
isokinetic sampler. Record this value as InitWt.
    (4) Install the candidate sampler's inlet and the isokinetic sampler 
within the test chamber or wind tunnel.
    (5) Generate a dust cloud. (i) Generate a dust cloud composed of 
Arizona test dust.

[[Page 109]]

    (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 [deg]C and a relative 
humidity of 40 3 percent. For this reason, it is 
strongly advised that all weighing and experimental apparatus be housed 
in an environmental chamber capable of this level of control.
    (2) Aerosol generator. The aerosol generator shall be a pressure 
nebulizer operated at 20 to 30 psig (140 to 207 kPa) to produce a 
polydisperse, semi-voltile aerosol with a mass median diameter larger 
than 1 [micro]m and smaller than 2.5 [micro]m. The nebulized liquid 
shall be A.C.S. reagent grade glycerol (C3H8O, FW 
= 92.09, CAS 56-81-5) of 99.5 percent minimum purity. For the purpose of

[[Page 110]]

this test the accepted mass median diameter is predicated on the stable 
aerosol inside the internal chamber and not on the aerosol emerging from 
the nebulizer nozzle. Aerosol monitoring and its stability are described 
in (c)(3) and (c)(4) of this section.
    (3) Aerosol monitoring equipment. The evaporation and condensation 
dynamics of a volatile aerosol is greatly dependent upon the vapor 
pressure of the volatile component in the carrier gas. The size of an 
aerosol becomes fixed only when an equilibrium is established between 
the aerosol and the surrounding vapor; therefore, aerosol size 
measurement shall be used as a surrogate measure of this equilibrium. A 
suitable instrument with a range of 0.3 to 10 [micro]m, an accuracy of 
0.5 [micro]m, and a resolution of 0.2 [micro]m (e.g., an optical 
particle sizer, or a time-of-flight instrument) shall be used for this 
purpose. The parameter monitored for stability shall be the mass median 
instrument measured diameter (i.e. optical diameter if an optical 
particle counter is used). A stable aerosol shall be defined as an 
aerosol with a mass median diameter that has changed less than 0.25 
[micro]m over a 4 hour time period.
    (4) Internal chamber. The time required to achieve a stable aerosol 
depends upon the time during which the aerosol is resident with the 
surrounding air. This is a function of the internal volume of the 
aerosol transport system and may be facilitated by recirculating the 
challenge aerosol. A chamber with a volume of 0.5 m\3\ and a 
recirculating loop (airflow of approximately 500 cfm) is recommended for 
this purpose. In addition, a baffle is recommended to dissipate the jet 
of air that the recirculating loop can create. Furthermore, a HEPA 
filtered hole in the wall of the chamber is suggested to allow makeup 
air to enter the chamber or excess air to exit the chamber to maintain a 
system flow balance. The concentration inside the chamber shall be 
maintained at 1 mg/m\3\ 20 percent to obtain 
consistent and significant filter loading.
    (5) Aerosol sampling manifold. A manifold shall be used to extract 
the aerosol from the area in which it is equilibrated and transport it 
to the candidate method sampler, the reference method sampler, and the 
aerosol monitor. The losses in each leg of the manifold shall be 
equivalent such that the three devices will be exposed to an identical 
aerosol.
    (6) Chamber air temperature recorders. Minimum range 15-25 [deg]C, 
certified accuracy to within 0.2 [deg]C, resolution of 0.1 [deg]C. 
Measurement shall be made at the intake to the sampling manifold and 
adjacent to the weighing location.
    (7) Chamber air relative humidity recorders. Minimum range 30 - 50 
percent, certified accuracy to within 1 percent, resolution of 0.5 
percent. Measurement shall be made at the intake to the sampling 
manifold and adjacent to the weighing location.
    (8) Clean air generation system. A source of aerosol and aerosol-
vapor free air is required for phase C of this test. This clean air 
shall be produced by filtering air through an absolute (HEPA) filter.
    (9) Balance. Minimum range 0 - 200 mg, certified accuracy to within 
10 [micro]g, resolution of 1 [micro]g.
    (d) Additional filter handling conditions--(1) Filter handling. 
Careful handling of the filter during sampling, conditioning, and 
weighing is necessary to avoid errors due to damaged filters or loss of 
collected particles from the filters. All filters must be weighed 
immediately after phase A dynamic conditioning and phase C.
    (2) Dynamic conditioning of filters. Total dynamic conditioning is 
required prior to the initial weight determined in phase A. Dynamic 
conditioning refers to pulling clean air from the clean air generation 
system through the filters. Total dynamic conditioning can be 
established by sequential filter weighing every 30 minutes following 
repetitive dynamic conditioning. The filters are considered sufficiently 
conditioned if the sequential weights are repeatable to 3 [micro]g.
    (3) Static charge. The following procedure is suggested for 
minimizing charge effects. Place six or more Polonium static control 
devices (PSCD) inside the microbalance weighing chamber, (MWC). Two of 
them must be placed horizontally on the floor of the MWC and the 
remainder placed vertically on the back wall of the MWC. Taping two 
PSCD's together or

[[Page 111]]

using double-sided tape will help to keep them from falling. Place the 
filter that is to be weighed on the horizontal PSCDs facing aerosol 
coated surface up. Close the MWC and wait 1 minute. Open the MWC and 
place the filter on the balance dish. Wait 1 minute. If the charges have 
been neutralized the weight will stabilize within 30-60 seconds. Repeat 
the procedure of neutralizing charges and weighing as prescribed above 
several times (typically 2-4 times) until consecutive weights will 
differ by no more than 3 micrograms. Record the last measured weight and 
use this value for all subsequent calculations.
    (e) Test procedure--(1) Phase A - Preliminary steps. (i) Generate a 
polydisperse glycerol test aerosol.
    (ii) Introduce the aerosol into the transport system.
    (iii) Monitor the aerosol size and concentration until stability and 
level have been achieved.
    (iv) Condition the candidate method sampler and reference method 
sampler filters until total dynamic conditioning is achieved as 
specified in paragraph (d)(2) of this section.
    (v) Record the dynamically conditioned weight as InitWtc 
and InitWtr where c is the candidate method sampler and r is 
the reference method sampler.
    (2) Phase B - Aerosol loading. (i) Install the dynamically 
conditioned filters into the appropriate samplers.
    (ii) Attach the samplers to the manifold.
    (iii) Operate the candidate and the reference samplers such that 
they simultaneously sample the test aerosol for 2 hours for a candidate 
sampler operating at 16.7 L/min or higher, or proportionately longer for 
a candidate sampler operating at a lower flow rate.
    (3) Phase C - Blow-off. (i) Alter the intake of the samplers to 
sample air from the clean air generation system.
    (ii) Sample clean air for one of the required blow-off time 
durations (1, 2, 3, and 4 hours).
    (iii) Remove the filters from the samplers.
    (iv) Weigh the filters immediately and record this weight, 
FinalWtc and FinalWtr, where c is the candidate 
method sampler and r is the reference method sampler.
    (v) Calculate the residual mass for the reference method sampler:
                              Equation 41a
[GRAPHIC] [TIFF OMITTED] TR18JY97.135

where:

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

    (vi) Calculate the corrected residual mass for the candidate method 
sampler as:
                              Equation 41b
[GRAPHIC] [TIFF OMITTED] TR18JY97.136

where:

i = repetition number;
j = blow-off time period;
Qc = candidate method sampler flow rate, and
Qr = reference method sampler flow rate.

    (4) Repeat steps in paragraph (e)(1) through (e)(3) of this section 
until three repetitions have been completed for each of the required 
blow-off time durations (1, 2, 3, and 4 hours).
    (f) Calculations and analysis. (1) Perform a linear regression with 
the candidate method CRM as the dependent variable and the reference 
method RM as the independent variable.
    (2) Determine the following regression parameters: slope, intercept, 
and correlation coefficient (r).
    (g) Test results. The candidate method passes the volatility test if 
the regression parameters meet the acceptance criteria specified in 
table F-1 of this subpart.

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

[[Page 112]]



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

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


[72 FR 32209, June 12, 2007]



 Sec. Table F-2 to Subpart F of Part 53--Particle Sizes and Wind Speeds 

for Full Wind Tunnel Test, Wind Tunnel Inlet Aspiration Test, and Static 
                              Chamber Test

----------------------------------------------------------------------------------------------------------------
                                         Full Wind Tunnel Test   Inlet Aspiration Test     Static
    Primary Partical Mean Size \a\     ------------------------------------------------ Fractionator  Volatility
              ([micro]m)                  2 km/hr    24 km/hr     2 km/hr    24 km/hr       Test         Test
----------------------------------------------------------------------------------------------------------------
1.50.25.........          S           S   ..........  ..........           S
2.00.25.........          S           S   ..........  ..........           S
2.20.25.........          S           S   ..........  ..........           S
2.50.25.........          S           S   ..........  ..........           S
2.80.25.........          S           S   ..........  ..........           S
3.00.25.........  ..........  ..........          L           L
3.50.25.........          S           S   ..........  ..........           S
4.00.5..........          S           S   ..........  ..........           S
Polydisperse Glycerol Aerosol.........  ..........  ..........  ..........          L
----------------------------------------------------------------------------------------------------------------
\a\ Aerodynamic diameter.
S=Solid particles.
L=Liquid particles.



Sec. Table F-3 to Subpart F of Part 53--Critical Parameters of Idealized 
                   Ambient Particle Size Distributions

--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                     Fine Particle Mode                Coarse Particle Mode                       FRM
                                                            ----------------------------------------------------------------------              Sampler
                                                                                                                                     PM2.5/    Expected
                   Idealized Distribution                        MMD     Geo. Std.     Conc.        MMD     Geo. Std.     Conc.       PM10    Mass Conc.
                                                             ([micro]m)     Dev.    ([micro]g/  ([micro]m)     Dev.    ([micro]g/    Ratio    ([micro]g/
                                                                                       m\3\)                              m\3\)                  m\3\)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Coarse.....................................................        0.50          2        12.0          10          2        88.0       0.27      13.814
``Typical''................................................        0.50          2        33.3          10          2        66.7       0.55      34.284
Fine.......................................................        0.85          2        85.0          15          2        15.0       0.94      78.539
--------------------------------------------------------------------------------------------------------------------------------------------------------



  Sec. Table F-4 to Subpart F of Part 53--Estimated Mass Concentration 
  
  Measurement of PM2.5 for Idealized Coarse Aerosol Size 
                              Distribution

----------------------------------------------------------------------------------------------------------------
                                   Test Sampler                                    Ideal Sampler
                ------------------------------------------------------------------------------------------------
    Particle                                      Estimated Mass                                  Estimated Mass
  Aerodynamic       Fractional     Interval Mass   Concentration    Fractional     Interval Mass   Concentration
    Diameter         Sampling      Concentration    Measurement      Sampling      Concentration    Measurement
   ([micro]m)     Effectiveness     ([micro]g/      ([micro]g/     Effectiveness    ([micro]g/      ([micro]g/
                                       m\3\)           m\3\)                           m\3\)           m\3\)
----------------------------------------------------------------------------------------------------------------
      (1)              (2)              (3)             (4)             (5)             (6)             (7)
----------------------------------------------------------------------------------------------------------------
<0.500           1.000            6.001           ..............  1.000           6.001           6.001
0.625            ...............  2.129           ..............  0.999           2.129           2.127
0.750            ...............  0.982           ..............  0.998           0.982           0.980

[[Page 113]]

 
0.875            ...............  0.730           ..............  0.997           0.730           0.728
1.000            ...............  0.551           ..............  0.995           0.551           0.548
1.125            ...............  0.428           ..............  0.991           0.428           0.424
1.250            ...............  0.346           ..............  0.987           0.346           0.342
1.375            ...............  0.294           ..............  0.980           0.294           0.288
1.500            ...............  0.264           ..............  0.969           0.264           0.256
1.675            ...............  0.251           ..............  0.954           0.251           0.239
1.750            ...............  0.250           ..............  0.932           0.250           0.233
1.875            ...............  0.258           ..............  0.899           0.258           0.232
2.000            ...............  0.272           ..............  0.854           0.272           0.232
2.125            ...............  0.292           ..............  0.791           0.292           0.231
2.250            ...............  0.314           ..............  0.707           0.314           0.222
2.375            ...............  0.339           ..............  0.602           0.339           0.204
2.500            ...............  0.366           ..............  0.480           0.366           0.176
2.625            ...............  0.394           ..............  0.351           0.394           0.138
2.750            ...............  0.422           ..............  0.230           0.422           0.097
2.875            ...............  0.449           ..............  0.133           0.449           0.060
3.000            ...............  0.477           ..............  0.067           0.477           0.032
3.125            ...............  0.504           ..............  0.030           0.504           0.015
3.250            ...............  0.530           ..............  0.012           0.530           0.006
3.375            ...............  0.555           ..............  0.004           0.555           0.002
3.500            ...............  0.579           ..............  0.001           0.579           0.001
3.625            ...............  0.602           ..............  0.000000        0.602           0.000000
3.750            ...............  0.624           ..............  0.000000        0.624           0.000000
3.875            ...............  0.644           ..............  0.000000        0.644           0.000000
4.000            ...............  0.663           ..............  0.000000        0.663           0.000000
4.125            ...............  0.681           ..............  0.000000        0.681           0.000000
4.250            ...............  0.697           ..............  0.000000        0.697           0.000000
4.375            ...............  0.712           ..............  0.000000        0.712           0.000000
4.500            ...............  0.726           ..............  0.000000        0.726           0.000000
4.625            ...............  0.738           ..............  0.000000        0.738           0.000000
4.750            ...............  0.750           ..............  0.000000        0.750           0.000000
4.875            ...............  0.760           ..............  0.000000        0.760           0.000000
5.000            ...............  0.769           ..............  0.000000        0.769           0.000000
5.125            ...............  0.777           ..............  0.000000        0.777           0.000000
5.250            ...............  0.783           ..............  0.000000        0.783           0.000000
5.375            ...............  0.789           ..............  0.000000        0.789           0.000000
5.500            ...............  0.794           ..............  0.000000        0.794           0.000000
5.625            ...............  0.798           ..............  0.000000        0.798           0.000000
5.75             ...............  0.801           ..............  0.000000        0.801           0.000000
                 ...............  Csam(exp)=      ..............  ..............  Cideal(exp)=    13.814
----------------------------------------------------------------------------------------------------------------



  Sec. Table F-5 to Subpart F of Part 53--Estimated Mass Concentration 

Measurement of PM2.5 for Idealized ``Typical'' Coarse Aerosol 
                            Size Distribution

----------------------------------------------------------------------------------------------------------------
                                   Test Sampler                                    Ideal Sampler
                ------------------------------------------------------------------------------------------------
    Particle                                      Estimated Mass                                  Estimated Mass
  Aerodynamic       Fractional     Interval Mass   Concentration    Fractional     Interval Mass   Concentration
    Diameter         Sampling      Concentration    Measurement      Sampling      Concentration    Measurement
   ([micro]m)     Effectiveness     ([micro]g/      ([micro]g/     Effectiveness    ([micro]g/      ([micro]g/
                                       m\3\)           m\3\)                           m\3\)           m\3\)
----------------------------------------------------------------------------------------------------------------
      (1)              (2)              (3)             (4)             (5)             (6)             (7)
----------------------------------------------------------------------------------------------------------------
<0.500           1.000            16.651          ..............  1.000           16.651          16.651
0.625            ...............  5.899           ..............  0.999           5.899           5.893
0.750            ...............  2.708           ..............  0.998           2.708           2.703
0.875            ...............  1.996           ..............  0.997           1.996           1.990
1.000            ...............  1.478           ..............  0.995           1.478           1.471
1.125            ...............  1.108           ..............  0.991           1.108           1.098
1.250            ...............  0.846           ..............  0.987           0.846           0.835
1.375            ...............  0.661           ..............  0.980           0.661           0.648
1.500            ...............  0.532           ..............  0.969           0.532           0.516
1.675            ...............  0.444           ..............  0.954           0.444           0.424
1.750            ...............  0.384           ..............  0.932           0.384           0.358
1.875            ...............  0.347           ..............  0.899           0.347           0.312
2.000            ...............  0.325           ..............  0.854           0.325           0.277
2.125            ...............  0.314           ..............  0.791           0.314           0.248

[[Page 114]]

 
2.250            ...............  0.312           ..............  0.707           0.312           0.221
2.375            ...............  0.316           ..............  0.602           0.316           0.190
2.500            ...............  0.325           ..............  0.480           0.325           0.156
2.625            ...............  0.336           ..............  0.351           0.336           0.118
2.750            ...............  0.350           ..............  0.230           0.350           0.081
2.875            ...............  0.366           ..............  0.133           0.366           0.049
3.000            ...............  0.382           ..............  0.067           0.382           0.026
3.125            ...............  0.399           ..............  0.030           0.399           0.012
3.250            ...............  0.416           ..............  0.012           0.416           0.005
3.375            ...............  0.432           ..............  0.004           0.432           0.002
3.500            ...............  0.449           ..............  0.001           0.449           0.000000
3.625            ...............  0.464           ..............  0.000000        0.464           0.000000
3.750            ...............  0.480           ..............  0.000000        0.480           0.000000
3.875            ...............  0.494           ..............  0.000000        0.494           0.000000
4.000            ...............  0.507           ..............  0.000000        0.507           0.000000
4.125            ...............  0.520           ..............  0.000000        0.520           0.000000
4.250            ...............  ..............  ..............  0.000000        0.532           0.000000
4.375            ...............  ..............  ..............  0.000000        0.543           0.000000
4.500            ...............  ..............  ..............  0.000000        0.553           0.000000
4.625            ...............  ..............  ..............  0.000000        0.562           0.000000
4.750            ...............  ..............  ..............  0.000000        0.570           0.000000
4.875            ...............  ..............  ..............  0.000000        0.577           0.000000
5.000            ...............  ..............  ..............  0.000000        0.584           0.000000
5.125            ...............  ..............  ..............  0.000000        0.590           0.000000
5.250            ...............  ..............  ..............  0.000000        0.595           0.000000
5.375            ...............  ..............  ..............  0.000000        0.599           0.000000
5.500            ...............  ..............  ..............  0.000000        0.603           0.000000
5.625            ...............  ..............  ..............  0.000000        0.605           0.000000
5.75             ...............  ..............  ..............  0.000000        0.608           0.000000
                 ...............  Csam(exp)=      ..............  ..............  Cideal(exp)=    34.284
----------------------------------------------------------------------------------------------------------------



  Sec. Table F-6 to Subpart F of Part 53--Estimated Mass Concentration 
    
    Measurement of PM2.5 for Idealized Fine Aerosol Size 
                              Distribution

----------------------------------------------------------------------------------------------------------------
                                   Test Sampler                                    Ideal Sampler
                ------------------------------------------------------------------------------------------------
    Particle                                      Estimated Mass                                  Estimated Mass
  Aerodynamic       Fractional     Interval Mass   Concentration    Fractional     Interval Mass   Concentration
    Diameter         Sampling      Concentration    Measurement      Sampling      Concentration    Measurement
   ([micro]m)     Effectiveness     ([micro]g/      ([micro]g/     Effectiveness    ([micro]g/      ([micro]g/
                                       m\3\)           m\3\)                           m\3\)           m\3\)
----------------------------------------------------------------------------------------------------------------
      (1)              (2)              (3)             (4)             (5)             (6)             (7)
----------------------------------------------------------------------------------------------------------------
<0.500           1.000            18.868          ..............  1.000           18.868          18.868
0.625            ...............  13.412          ..............  0.999           13.412          13.399
0.750            ...............  8.014           ..............  0.998           8.014           7.998
0.875            ...............  6.984           ..............  0.997           6.984           6.963
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

[[Page 115]]

 
3.625            ...............  0.226           ..............  0.000000        0.226           0.000000
3.750            ...............  0.204           ..............  0.000000        0.204           0.000000
3.875            ...............  0.185           ..............  0.000000        0.185           0.000000
4.000            ...............  0.170           ..............  0.000000        0.170           0.000000
4.125            ...............  0.157           ..............  0.000000        0.157           0.000000
4.250            ...............  0.146           ..............  0.000000        0.146           0.000000
4.375            ...............  0.136           ..............  0.000000        0.136           0.000000
4.500            ...............  0.129           ..............  0.000000        0.129           0.000000
4.625            ...............  0.122           ..............  0.000000        0.122           0.000000
4.750            ...............  0.117           ..............  0.000000        0.117           0.000000
4.875            ...............  0.112           ..............  0.000000        0.112           0.000000
5.000            ...............  0.108           ..............  0.000000        0.108           0.000000
5.125            ...............  0.105           ..............  0.000000        0.105           0.000000
5.250            ...............  0.102           ..............  0.000000        0.102           0.000000
5.375            ...............  0.100           ..............  0.000000        0.100           0.000000
5.500            ...............  0.098           ..............  0.000000        0.098           0.000000
5.625            ...............  0.097           ..............  0.000000        0.097           0.000000
5.75             ...............  0.096           ..............  0.000000        0.096           0.000000
                 ...............  Csam(exp)=      ..............  ..............  Cideal(exp)=    78.539
----------------------------------------------------------------------------------------------------------------



 Sec. Figure F-1 to Subpart F of Part 53--Designation Testing Checklist

               DESIGNATION TESTING CHECKLIST FOR CLASS II

     -------------------- -------------------- --------------------
     Auditee Auditor signature Date

------------------------------------------------------------------------
   Compliance Status: Y = Yes N = No NA = Not
            applicable/Not available
------------------------------------------------
     Verification          Verified by Direct     Verification Comments
-----------------------  Observation of Process  (Includes documentation
                            or of Documented       of who, what, where,
                         Evidence: Performance,  when, why) (Doc. , 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 116]]



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

    (1) Marple, V.A., K.L. Rubow, W. Turner, and J.D. Spangler, Low Flow 
Rate Sharp Cut Impactors for Indoor Air Sampling: Design and 
Calibration., JAPCA, 37: 1303-1307 (1987).
    (2) Vanderpool, R.W. and K.L. Rubow, Generation of Large, Solid 
Calibration Aerosols, J. of Aer. Sci. and Tech., 9:65-69 (1988).
    (3) Society of Automotive Engineers Aerospace Material Specification 
(SAE AMS) 2404C, Electroless Nickel Planting, SAE, 400 Commonwealth 
Drive, Warrendale PA-15096, Revised 7-1-84, pp. 1-6.



PART 54_PRIOR NOTICE OF CITIZEN SUITS--Table of Contents



Sec.
54.1 Purpose.
54.2 Service of notice.
54.3 Contents of notice.

    Authority: Sec. 304 of the Clean Air Act, as amended (sec. 12, Pub. 
L. 91-604, 84 Stat. 1706).

    Source: 36 FR 23386, Dec. 9, 1971, unless otherwise noted.



Sec. 54.1  Purpose.

    Section 304 of the Clean Air Act, as amended, authorizes the 
commencement of civil actions to enforce the Act or to enforce certain 
requirements promulgated pursuant to the Act. The purpose of this part 
is to prescribe procedures governing the giving of notices required by 
subsection 304(b) of the Act (sec. 12, Pub. L. 91-604; 84 Stat. 1706) as 
a prerequisite to the commencement of such actions.



Sec. 54.2  Service of notice.

    (a) Notice to Administrator: Service of notice given to the 
Administrator under this part shall be accomplished by certified mail 
addressed to the Administrator, Environmental Protection Agency, 
Washington, DC 20460. Where notice relates to violation of an emission 
standard or limitation or to violation of an order issued with respect 
to an emission standard or limitation, a copy of such notice shall be 
mailed to the Regional Administrator of the Environmental Protection 
Agency for the Region in which such violation is alleged to have 
occurred.
    (b) Notice to State: Service of notice given to a State under this 
part regarding violation of an emission standard or limitation, or an 
order issued with respect to an emission standard or limitation shall be 
accomplished by certified mail addressed to an authorized representative 
of the State agency charged with responsibility for air pollution 
control in the State. A copy of such notice shall be mailed to the 
Governor of the State.
    (c) Notice to alleged violator: Service of notice given to an 
alleged violator under this part shall be accomplished by certified mail 
addressed to, or by personal service upon, the owner or managing agent 
of the building, plant, installation, or facility alleged to be in 
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 117]]

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 Sec. Sec. 55.13 and 
55.14 of this part, except that for two years following the date of 
promulgation of this part the definition given in Sec. 55.3 of this 
part shall apply for the purpose of determining the required date of 
compliance with this part.
    Exploratory source or exploratory OCS source means any OCS source 
that is a temporary operation conducted for the sole purpose of 
gathering information. This includes an operation conducted during the 
exploratory phase to determine the characteristics of the reservoir and 
formation and may involve the extraction of oil and gas.
    Modification shall have the meaning given in the applicable 
requirements incorporated into Sec. Sec. 55.13 and 55.14 of this part, 
except that for two years following the date of promulgation of this 
part the definition given in section 111(a) of the Act shall apply for 
the purpose of determining the required date of compliance with this 
part, as set forth in Sec. 55.3 of this part.
    Nearest Onshore Area (NOA) means, with respect to any existing or 
proposed OCS source, the onshore area

[[Page 118]]

that is geographically closest to that source.
    New source or new OCS source shall have the meaning given in the 
applicable requirements of Sec. Sec. 55.13 and 55.14 of this part, 
except that for two years following the date of promulgation of this 
part, the definition given in Sec. 55.3 of this part shall apply for 
the purpose of determining the required date of compliance with this 
part.
    OCS source means any equipment, activity, or facility which:
    (1) Emits or has the potential to emit any air pollutant;
    (2) Is regulated or authorized under the Outer Continental Shelf 
Lands Act (``OCSLA'') (43 U.S.C. Sec. 1331 et seq.); and
    (3) Is located on the OCS or in or on waters above the OCS.
    This definition shall include vessels only when they are:
    (1) Permanently or temporarily attached to the seabed and erected 
thereon and used for the purpose of exploring, developing or producing 
resources therefrom, within the meaning of section 4(a)(1) of OCSLA (43 
U.S.C. Sec. 1331 et seq.); or
    (2) Physically attached to an OCS facility, in which case only the 
stationary sources aspects of the vessels will be regulated.
    Onshore area means a coastal area designated as an attainment, 
nonattainment, or unclassifiable area by EPA in accordance with section 
107 of the Act. If the boundaries of an area designated pursuant to 
section 107 of the Act do not coincide with the boundaries of a single 
onshore air pollution control agency, then onshore area shall mean a 
coastal area defined by the jurisdictional boundaries of an air 
pollution control agency.
    Outer continental shelf shall have the meaning provided by section 2 
of the OCSLA (43 U.S.C. Sec. 1331 et seq.).
    Potential emissions means the maximum emissions of a pollutant from 
an OCS source operating at its design capacity. Any physical or 
operational limitation on the capacity of a source to emit a pollutant, 
including air pollution control equipment and restrictions on hours of 
operation or on the type or amount of material combusted, stored, or 
processed, shall be treated as a limit on the design capacity of the 
source if the limitation is federally enforceable. Pursuant to section 
328 of the Act, emissions from vessels servicing or associated with an 
OCS source shall be considered direct emissions from such a source while 
at the source, and while enroute to or from the source when within 25 
miles of the source, and shall be included in the ``potential to emit'' 
for an OCS source. This definition does not alter or affect the use of 
this term for any other purposes under Sec. Sec. 55.13 or 55.14 of this 
part, except that vessel emissions must be included in the ``potential 
to emit'' as used in Sec. Sec. 55.13 and 55.14 of this part.
    Residual emissions means the difference in emissions from an OCS 
source if it applies the control requirements(s) imposed pursuant to 
Sec. 55.13 or Sec. 55,14 of this part and emissions from that source 
if it applies a substitute control requirement pursuant to an exemption 
granted under Sec. 55.7 of this part.
    State means the State air pollution control agency that would be the 
permitting authority, a local air pollution permitting agency, or 
certain Indian tribes which can be the permitting authority for areas 
within their jurisdiction. State may also be used in the geographic 
sense to refer to a State, the NOA, or the COA.

[57 FR 40806, Sept. 4, 1992, as amended at 62 FR 46408, Sept. 2, 1997]



Sec. 55.3  Applicability.

    (a) This part applies to all OCS sources except those located in the 
Gulf of Mexico west of 87.5 degrees longitude.
    (b) OCS sources located within 25 miles of States' seaward 
boundaries shall be subject to all the requirements of this part, which 
include, but are not limited to, the Federal requirements as set forth 
in Sec. 55.13 of this part and the Federal, State, and local 
requirements of the COA (designated pursuant to Sec. 55.5 of this 
part), as set forth in Sec. 55.14 of this part.
    (c) The OCS sources located beyond 25 miles of States' seaward 
boundaries shall be subject to all the requirements of this part, except 
the requirements of Sec. Sec. 55.4, 55.5, 55.12 and 55.14 of this part.
    (d) New OCS sources shall comply with the requirements of this part 
by

[[Page 119]]

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 120]]

and abatement of air pollution than the NOA;
    (ii) The emissions from the source are or would be transported to 
the requesting area; and
    (iii) The transported emissions would affect the requesting area's 
efforts to attain or maintain a Federal or State ambient air quality 
standard or to comply with the requirements of part C of title I of the 
Act, taking into account the effect of air pollution control 
requirements that would be imposed if the NOA were designated as the 
COA.
    (c) Determination by the Administrator. (1) If no demonstrations are 
received by the Administrator within 90 days of the receipt of the NOI, 
the NOA will become the designated COA without further action.
    (2) If one or more demonstrations are received, the Administrator 
will issue a preliminary designation of the COA within 150 days of the 
receipt of the NOI, which shall be followed by a 30 day public comment 
period, in accordance with paragraph (f) of this section.
    (3) The Administrator will designate the COA for a specific source 
within 240 days of the receipt of the NOI.
    (4) When the Administrator designates a more stringent area as the 
COA with respect to a specific OCS source, the delegated agency in the 
COA will exercise all delegated authority. If there is no delegated 
agency in the COA, then EPA will issue the permit and implement and 
enforce the requirements of this part. The Administrator may retain 
authority for implementing and enforcing the requirements of this part 
if the NOA and the COA are in different States.
    (5) The Administrator shall designate the COA for each source only 
once in the source's lifetime.
    (d) Offset requirements. Offsets shall be obtained based on the 
applicable requirements of the COA, as set forth in Sec. Sec. 55.13 and 
55.14 of this part.
    (e) Authority to designate the COA. The authority to designate the 
COA for any OCS source shall not be delegated to a State or local 
agency, but shall be retained by the Administrator.
    (f) Administrative procedures and public participation. The 
Administrator will use the following public notice and comment 
procedures for processing a request for COA designation under this 
section:
    (1) Within 150 days from receipt of an NOI, if one or more 
demonstrations are received, the Administrator shall make a preliminary 
determination of the COA and shall:
    (i) Make available, in at least one location in the NOA and in the 
area requesting COA designation, a copy of all materials submitted by 
the requester, a copy of the Administrator's preliminary determination, 
and a copy or summary of other materials, if any, considered by the 
Administrator in 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 121]]



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 Sec. Sec. 55.13 or 55.14 to the 
Administrator through the EPA Regional Office.
    (iii) The delegated agency shall send a copy of any preliminary 
determination and final permit action required under this section or 
Sec. Sec. 55.13 or 55.14 to the Administrator through the EPA Regional 
Office at the time of the determination and shall make available to the 
Administrator any materials used in making the determination.
    (b) Preconstruction requirements for OCS sources located within 25 
miles of States' seaward boundaries. (1) No OCS source to which the 
requirements of Sec. Sec. 55.13 or 55.14 of this part apply shall

[[Page 122]]

begin actual construction after the effective date of this part without 
a permit that requires the OCS source to meet those requirements.
    (2) Any permit application required under this part shall not be 
submitted until the Administrator has determined whether a consistency 
update is necessary, pursuant to Sec. 55.12 of this part, and, if the 
Administrator finds an update to be necessary, has published a proposed 
consistency update.
    (3) The applicant may be required to obtain more than one 
preconstruction permit, if necessitated by partial delegation of this 
part or by the requirements of this section and Sec. Sec. 55.13 and 
55.14 of this part.
    (4) An approval to construct shall become invalid if construction is 
not commenced within 18 months after receipt of such approval, if 
construction is discontinued for a period of 18 months or more, or if 
construction is not completed within a reasonable time. The 18-month 
period may be extended upon a showing satisfactory to the Administrator 
or the delegated agency that an extension is justified. Sources 
obtaining extensions are subject to all new or interim requirements and 
a reassessment of the applicable control technology when the extension 
is granted. This requirement shall not supersede a more stringent 
requirement under Sec. Sec. 55.13 or 55.14 of this part.
    (5) Any preconstruction permit issued to a new OCS source or 
modification shall remain in effect until it expires under paragraph 
(b)(4) of this section or is rescinded under the applicable requirements 
incorporated in Sec. Sec. 55.13 and 55.14 of this part.
    (6) Whenever any proposed OCS source or modification to an existing 
OCS source is subject to action by a Federal agency that might 
necessitate preparation of an environmental impact statement pursuant to 
the National Environmental Policy Act (42 U.S.C. 4321), review by the 
Administrator conducted pursuant to this section shall be coordinated 
with the environmental reviews under that Act to the extent feasible and 
reasonable.
    (7) The Administrator or delegated agency and the applicant shall 
provide written notice of any permit application from a source, the 
emissions from which may affect a Class I area, to the Federal Land 
Manager charged with direct responsibility for management of any lands 
within the Class I area. Such notification shall include a copy of all 
information contained in the permit application and shall be given 
within 30 days of receipt of the application and at least 60 days prior 
to any public hearing on the preconstruction permit.
    (8) Modification of existing sources. The preconstruction 
requirements above shall not apply to a particular modification, as 
defined in Sec. 55.13 or Sec. 55.14 of this part, of an existing OCS 
source if:
    (i) The modification is necessary to comply with this part, and no 
other physical change or change in the method of operation is made in 
conjunction with the modification;
    (ii) The modification is made within 24 months of promulgation of 
this part; and
    (iii) The modification does not result in an increase, in excess of 
any de minimus levels contained in the applicable requirements of 
Sec. Sec. 55.13 and 55.14, of potential emissions or actual hourly 
emissions of a pollutant regulated under the Act.
    (9) Compliance plans. Sources intending to perform modifications 
that meet all of the criteria of paragraph (b)(8) of this section shall 
submit a compliance plan to the Administrator or delegated agency prior 
to performing the modification. The compliance shall describe the 
schedule and method the source will use to comply with the applicable 
OCS requirements within 24 months of the promulgation date of this part 
and shall include a request for any exemptions from compliance with a 
pollution control technology requirement that the applicant believes is 
technically infeasible or will cause an unreasonable threat to health 
and safety. The Administrator or delegated agency shall act on the 
request for exemption in accordance with the procedures established in 
Sec. 55.7 of this part.
    (i) The Administrator or delegated agency shall review the 
compliance plan and provide written comments to the source within 45 
days of receipt of such plan. The source shall provide a written 
response to such comments as required by the reviewing agency.

[[Page 123]]

    (ii) Receipt and review of a compliance plan by the Administrator or 
delegated agency shall not relieve any owner or operator of an existing 
OCS source of the responsibility to comply fully with the applicable 
requirements of Sec. Sec. 55.13 and 55.14 of this part within 24 months 
of promulgation of this part.
    (c) Operating permit requirements for sources located within 25 
miles of States' seaward boundaries. (1) All applicable operating permit 
requirements listed in this section and incorporated into Sec. Sec. 
55.13 and 55.14 of this part shall apply to OCS sources.
    (2) The Administrator or delegated agency shall not issue a permit 
to operate to any existing OCS source that has not demonstrated 
compliance with all the applicable requirements of this part.
    (3) If the COA does not have an operating permits program approved 
pursuant to 40 CFR part 70 or if EPA has determined that the COA is not 
adequately implementing an approved program, the applicable requirements 
of 40 CFR part 71, the Federal operating permits program, shall apply to 
the OCS sources. The applicable requirements of 40 CFR part 71 will be 
implemented and enforced by the Administrator. The Administrator may 
delegate the authority to implement and enforce all or part of a Federal 
operating permits program to a State pursuant to Sec. 55.11 of this 
part.
    (d) Permit requirements for sources located beyond 25 miles of 
States' seaward boundaries. (1) OCS sources located beyond 25 miles of 
States' seaward boundaries shall be subject to the permitting 
requirements set forth in this section and Sec. 55.13 of this part.
    (2) The Administrator or delegated agency shall not issue a permit-
to-operate to any existing OCS source that has not demonstrated 
compliance with all the applicable requirements of this part.
    (e) Permit requirements for new sources that commenced construction 
prior to September 4, 1992--(1) Applicability. Sec. 55.6(e) applies to 
a new OCS source, as defined by section 328 of the Act, that commenced 
construction before September 4, 1992.
    (2) A source subject to Sec. 55.6(e) shall comply with the 
following requirements:
    (i) By October 5, 1992, the owner or operator of the source shall 
submit a transitional permit application (``TPA'') to the Administrator 
or the delegated agency. The TPA shall include the following:
    (A) The information specified in Sec. Sec. 55.4(b)(1) through Sec. 
55.4(b)(9) of this part;
    (B) A list of all requirements applicable to the source under this 
part;
    (C) A request for exemption from compliance with any control 
technology requirement that the applicant believes is technically 
infeasible or will cause an unreasonable threat to health and safety;
    (D) An air quality screening analysis demonstrating whether the 
source has or is expected in the future to cause or contribute to a 
violation of any applicable State or Federal ambient air quality 
standard or exceed any applicable increment. If no air quality analysis 
is required by the applicable requirements of Sec. Sec. 55.13 and 
55.14, this requirement does not apply;
    (E) Documentation that source emissions are currently being offset, 
or will be offset if the source has not commenced operation, at the 
ratio required under this part, and documentation that those offsets 
meet or will meet the requirements of this part; and
    (F) A description of how the source is complying with the applicable 
requirements of Sec. Sec. 55.13 and 55.14 of this part, including 
emission levels and corresponding control measures, including Best 
Available Control Technology (``BACT'') or Lowest Achievable Emission 
Rates (``LAER''), but excluding the requirements to have valid permits.
    (ii) The source shall expeditiously complete its permit application 
in compliance with the schedule determined by the Administrator or 
delegated agency.
    (iii) The source shall comply with all applicable requirements of 
this part except for the requirements of paragraph (a)(4)(i) of this 
section. The source shall comply with the control technology 
requirements (such as BACT or LAER) set forth in the TPA that would

[[Page 124]]

be applicable if the source had a valid permit.
    (iv) Any owner or operator subject to this subsection who continues 
to construct or operate an OCS source thirty days from promulgation of 
this part without submitting a TPA, or continues to construct or operate 
an OCS source not in accordance with the TPA submitted pursuant to 
paragraph (e) of this section, or constructs or operates an OCS source 
not in accordance with the schedule determined by the permitting 
authority, shall be in violation of this part.
    (3) Upon the submittal of a permit application deemed to be complete 
by the permitting authority, the owner or operator of the source shall 
be subject to the permitting requirements of Sec. Sec. 55.13 and 55.14 
of this part that apply subsequent to the submission of a complete 
permit application. When a source receives the permit or permits 
required under this part, its TPA shall expire.
    (4) Until the date that a source subject to this subsection receives 
the permit or permits required under this part, that source shall cease 
operation if, based on projected or actual emissions, the permitting 
authority determines that the source is currently or may in the future 
cause or contribute to a violation of a State or Federal ambient air 
quality standard or exceed any applicable increment.

[57 FR 40806, Sept. 4, 1992, as amended at 61 FR 34228, July 1, 1996; 62 
FR 46409, Sept. 2, 1997]



Sec. 55.7  Exemptions.

    (a) Authority and criteria. The Administrator or the delegated 
agency may exempt a source from a control technology requirement of this 
part if the Administrator or the delegated agency finds that compliance 
with the control technology requirement is technically infeasible or 
will cause an unreasonable threat to health and safety.
    (b) Request for an exemption--(1) Permit application required. An 
applicant shall submit a request for an exemption from a control 
technology requirement at the same time as the applicant submits a 
preconstruction or operating permit application to the Administrator or 
delegated agency.
    (2) No permit application required. If no permit or permit 
modification is required, a request for an exemption must be received by 
the Administrator or delegated agency within 60 days from the date the 
control technology requirement is promulgated by EPA.
    (3) Compliance plan. An existing source that submits a compliance 
plan in accordance with Sec. 55.6(b) of this part shall submit all 
requests for exemptions at the same time as the compliance plan. For the 
purpose of applying Sec. 55.7 of this part, a request submitted with a 
compliance plan shall be treated in the same manner as a request that 
does not require a permit application.
    (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 125]]

    (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 126]]

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 Sec. Sec. 55.13 and 55.14 of this part.
    (b) All monitoring, reporting, inspection and compliance 
requirements authorized under the Act shall apply.
    (c) An existing OCS source that is not required to obtain a permit 
to operate within 24 months of the date of promulgation of this part 
shall submit a compliance report to the Administrator or delegated 
agency within 25 months of promulgation of this part. The compliance 
report shall specify all the applicable OCS requirements of this part 
and a description of how the

[[Page 127]]

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 Sec. Sec. 55.5, 55.11, and 55.12 of this part will not be 
delegated.
    (b) The Administrator will delegate implementation and enforcement 
authority to a State if the State has an adjacent OCS source and the 
Administrator determines that the State's regulations are adequate, 
including a demonstration by the State that the State has:
    (1) Adopted the appropriate portions of this part into State law;
    (2) Adequate authority under State law to implement and enforce the 
requirements of this part. A letter from the State Attorney General 
shall be required stating that the requesting agency has such authority;
    (3) Adequate resources to implement and enforce the requirements of 
this part; and
    (4) Adequate administrative procedures to implement and enforce the 
requirements of this part, including public notice and comment 
procedures.
    (c) The Administrator will notify in writing the Governor or the 
Governor's designee of the Administrator's final

[[Page 128]]

action on a request for delegation within 6 months of the receipt of the 
request.
    (d) If the Administrator finds that the State regulations are 
adequate, the Administrator will authorize the State to implement and 
enforce the OCS requirements under State law. If the Administrator finds 
that only part of the State regulations are adequate, he will authorize 
the State to implement and enforce only that portion of this part.
    (e) Upon delegation, a State may use any authority it possesses 
under State law to enforce any permit condition or any other requirement 
of this part for which the agency has delegated authority under this 
part. A State may use any authority it possesses under State law to 
require monitoring and reporting and to conduct inspections.
    (f) Nothing in this part shall prohibit the Administrator from 
enforcing any requirement of this part.
    (g) The Administrator will withdraw a delegation of any authority to 
implement and enforce any or all of this part if the Administrator 
determines that: (1) The requirements of this part are not being 
adequately implemented or enforced by the delegated agency, or (2) The 
delegated agency no longer has adequate regulations as required by Sec. 
55.11(b) of this part.
    (h) Sharing of information. Any information obtained or used in the 
administration of a delegated program shall be made available to EPA 
upon request without restriction. If the information has been submitted 
to the delegated agency under a claim of confidentiality, the delegated 
agency must notify the source of this obligation and submit that claim 
to EPA. Any information obtained from a delegated agency accompanied by 
a claim of confidentiality will be treated in accordance with the 
requirements of 40 CFR part 2.
    (i) Grant of exemptions. A decision by a delegated agency to grant 
or deny an exemption request may be appealed to the Administrator in 
accordance with Sec. 55.7 of this part.
    (j) Delegated authority. The delegated agency in the COA for sources 
located within 25 miles of the State's seaward boundary or the delegated 
agency in the NOA for sources located beyond 25 miles of the State's 
seaward boundary will exercise all delegated authority. If there is no 
delegated agency in the COA for sources located within 25 miles of the 
State's seaward boundary, or in the NOA for sources located beyond 25 
miles of the State's seaward boundary, the EPA will issue the permit and 
implement and enforce the requirements of this part. For sources located 
within 25 miles of the State's seaward boundary, the Administrator may 
retain the authority for implementing and enforcing the requirements of 
this part if the NOA and COA are in different States.

[57 FR 40806, Sept. 4, 1992, as amended at 62 FR 46409, Sept. 2, 1997]



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 129]]

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 130]]

    (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) [Reserved]
    (5) Delaware.
    (i) 40 CFR part 52, subpart I.
    (ii) [Reserved]
    (6) Florida.
    (i) 40 CFR part 52, subpart K.
    (ii) [Reserved]
    (7)-(10) [Reserved]
    (11) Massachusetts.
    (i) 40 CFR part 52, subpart W.
    (ii) [Reserved]
    (12)-(14) [Reserved]
    (15) New Jersey
    (i) 40 CFR part 52, subpart FF.
    (ii) [Reserved]
    (16) New York.
    (i) 40 CFR part 52, subpart HH.
    (ii) [Reserved]
    (17) North Carolina.
    (i) 40 CFR part 52, subpart II.
    (ii) [Reserved]
    (18)-(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)

[[Page 131]]

and 1 CFR part 51. Copies may be inspected at the National Archives and 
Records Administration (NARA). For information on the availability of 
this material at NARA, call 202-741-6030 or go to: http://
www.archives.gov/
federal--register/code
--of--federal--regulations/
ibr--locations.html.
    Copies of rules pertaining to particular states or local areas may 
be inspected or obtained from the EPA Docket Center--Public Reading 
Room, EPA West Building, Room 3334, 1301 Constitution Avenue, NW., 
Washington, DC 20004 or the appropriate EPA regional offices: U.S.EPA, 
Region 1 (Massachusetts) 5 Post Office Square, Boston, MA 02109-3912 ; 
U.S. EPA, Region 2 (New Jersey and New York), 290 Broadway, New York, NY 
10007-1866; U.S. EPA, Region III (Delaware), 1650 Arch Street, 
Philadelphia, PA 19103, (215) 814-5000; U.S. EPA, Region 4 (Florida and 
North Carolina), 61 Forsyth Street, Atlanta, GA 30303; U.S. EPA, Region 
9 (California), 75 Hawthorne Street, San 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, June 18, 
2009.
    (B) [Reserved]
    (ii) Local requirements.
    (A) South Central Alaska Clean Air Authority Requirements Applicable 
to OCS Sources, August 21, 1992.
    (B) [Reserved]
    (3) California.
    (i) State requirements.
    (A) State of California Requirements Applicable to OCS Sources, 
February 2006.
    (ii) Local requirements.
    (A)-(D) [Reserved]
    (E) San Luis Obispo County Air Pollution Control District 
Requirements Applicable to OCS Sources, February 2000.
    (F) Santa Barbara County Air Pollution Control District Requirements 
Applicable to OCS Sources, March 2011.
    (G) South Coast Air Quality Management District Requirements 
Applicable to OCS Sources (Parts I, II and III), September 2009.
    (H) Ventura County Air Pollution Control District Requirements 
Applicable to OCS Sources, May, 2009.
    (4) [Reserved]
    (5) Delaware.
    (i) State requirements.
    (A) State of Delaware Requirements Applicable to OCS Sources, 
December 19, 2008.
    (B) [Reserved]
    (ii) Local requirements.
    (A) [Reserved]
    (6) Florida.
    (i) State requirements.
    (A) State of Florida Requirements Applicable to OCS Sources, January 
2, 2008.
    (B) [Reserved]
    (ii) Local requirements.
    (A) [Reserved]
    (7)-(10) [Reserved]
    (11) Massachusetts.
    (i) State requirements.
    (A) Commonwealth of Massachusetts Requirements Applicable to OCS 
Sources, May 20, 2010.
    (B) [Reserved]
    (ii) Local requirements.
    (A) [Reserved]
    (12)-(14) [Reserved]
    (15) New Jersey
    (i) State Requirements.
    (A) State of New Jersey Requirements Applicable to OCS Sources, 
August 13, 2009.
    (B) [Reserved]
    (ii) Local requirements.
    (A) [Reserved]
    (16) New York.
    (i) State Requirements.
    (A) State of New York Requirements Applicable to OCS Sources, 
October 20, 2007
    (B) [Reserved]
    (ii) Local requirements.
    (A) [Reserved]
    (17) North Carolina.
    (i) State requirements.
    (A) State of North Carolina Air Pollution Control Requirements 
Applicable to OCS Sources, January 2, 2008.
    (B) [Reserved]

[[Page 132]]

    (ii) Local requirements.
    (A) [Reserved]
    (18)-(23) [Reserved]

[57 FR 40806, Sept. 4, 1992]

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

    Effective Date Note: At 76 FR 37279, June 27, 2011, Sec. 55.14 was 
amended by by revising paragraph (e)(2)(i)(A), effective July 27, 2011. 
For the convenience of the user, the revised text is set forth as 
follows:



Sec. 55.14  Requirements that apply to OCS sources located within 25 
          miles of States' seaward boundaries, by State.

                                * * * * *

    (e) * * *
    (2) * * *
    (i) * * *
    (A) State of Alaska Requirements Applicable to OCS Sources, December 
9, 2010.

                                * * * * *



Sec. 55.15  Specific designation of corresponding onshore areas.

    (a) California.
    (1) The South Coast Air Quality Management District is designated as 
the COA for the following OCS facilities: Edith, Ellen, Elly, and 
Eureka.
    (2) The Ventura County Air Pollution Control District is designated 
as the COA for the following OCS facilities: Grace, Gilda, Gail and 
Gina.
    (3) The Santa Barbara County Air Pollution Control District is 
designated as the COA for the following OCS facilities: Habitat, 
Hacienda, Harmony, Harvest, Heather, Henry, Heritage, Hermosa, Hidalgo, 
Hillhouse, Hogan, Houchin, Hondo, Irene, Independence (formerly Iris), 
the OS and T, and Union A, B, and C.
    (b) [Reserved]

[58 FR 14159, Mar. 16, 1993]



  Sec. Appendix A to Part 55--Listing of State and Local Requirements 
            Incorporated by Reference Into Part 55, by State

    This appendix lists the titles of the State and local requirements 
that are contained within the documents incorporated by reference into 
40 CFR part 55.

                                 Alaska

    (a) State requirements.
    (1) The following State of Alaska requirements are applicable to OCS 
Sources, June 18, 2009, Alaska Administrative Code--Department of 
Environmental Conservation. The following sections of Title 18, Chapter 
50:

                Article 1. Ambient Air Quality Management

18 AAC 50.005. Purpose and Applicability of Chapter (effective 10/01/
          2004)
18 AAC 50.010. Ambient Air Quality Standards (effective 10/01/2004)
18 AAC 50.015. Air Quality Designations, Classification, and Control 
          Regions (effective 10/10/2004) except (d)(2)

                  Table 1. Air Quality Classifications

18 AAC 50.020. Baseline Dates and Maximum Allowable Increases (effective 
          07/25/2008)

                         Table 2. Baseline Dates

                  Table 3. Maximum Allowable Increases

18 AAC 50.025. Visibility and Other Special Protection Areas (effective 
          06/21/1998)
18 AAC 50.030. State Air Quality Control Plan (effective 11/09/2008)
18 AAC 50.035. Documents, Procedures, and Methods Adopted by Reference 
          (effective 11/09/2008)
18 AAC 50.040. Federal Standards Adopted by Reference (effective 07/25/
          2008) except (a)(H), (a)(I), (a)(N) through (a)(P), (a)(R) 
          through (a)(U), (a)(W), (a)(Y), (a)(AA), (a)(CC) through 
          (a)(EE), (a)(II), (a)(KK), (c)(4), (c)(5), (c)(12), (c)(14) 
          through (c)(16), (c)(18), (c)(20), (c)(25), (c)(26) through 
          (c)(29), (c)(30), (c)(31) and (g)
18 AAC 50.045. Prohibitions (effective 10/01/2004)
18 AAC 50.050. Incinerator Emissions Standards (effective 07/25/2008)

         Table 4. Particulate Matter Standards for Incinerators

18 AAC 50.055. Industrial Processes and Fuel-Burning Equipment 
          (effective 07/25/2008) except (a)(3) through (a)(9), 
          (b)(2)(A), (b)(4) through (b)(6), (e) and (f)
18 AAC 50.065. Open Burning (effective 01/18/1997)
18 AAC 50.070. Marine Vessel Visible Emission Standards (effective 06/
          21/1998)
18 AAC 50.075. Wood-Fired Heating Device Visible Emission Standards 
          (effective 01/18/1997)
18 AAC 50.080. Ice Fog Standards (effective 01/18/1997)
18 AAC 50.085. Volatile Liquid Storage Tank Emission Standards 
          (effective 01/18/1997)
18 AAC 50.090. Volatile Liquid Loading Racks and Delivery Tank Emission 
          Standards (effective 07/25/2008)

[[Page 133]]

18 AAC 50.100. Nonroad Engines (effective 10/01/2004)
18 AAC 50.110. Air Pollution Prohibited (effective 05/26/1972)

                    Article 2. Program Administration

18 AAC 50.200. Information Requests (effective 10/01/2004)
18 AAC 50.201. Ambient Air Quality Investigation (effective 10/01/2004)
18 AAC 50.205. Certification (effective 10/01/2004)
18 AAC 50.215. Ambient Air Quality Analysis Methods (effective 07/25/
          2008)

                Table 5. Significant Impact Levels (SILs)

18 AAC 50.220. Enforceable Test Methods (effective 10/01/2004)
18 AAC 50.225. Owner-Requested Limits (effective 07/25/2008) except (c) 
          through (g)
18 AAC 50.230. Preapproved Emission Limits (effective 01/29/2005) except 
          (d)
18 AAC 50.235. Unavoidable Emergencies and Malfunctions (effective 10/
          01/2004)
18 AAC 50.240. Excess Emissions (effective 10/01/2004)
18 AAC 50.245. Air Episodes and Advisories (effective 10/01/2004)

            Table 6. Concentrations Triggering an Air Episode

18 AAC 50.260. Guidance for Best Available Retrofit Technology under the 
          Regional Haze Rule (effective 12/30/2007)

               Article 3. Major Stationary Source Permits

18 AAC 50.301. Permit Continuity (effective 10/01/2004) except (b)
18 AAC 50.302. Construction Permits (effective 10/01/2004)
18 AAC 50.306. Prevention of Significant Deterioration (PSD) Permits 
          (effective 07/25/2008) except (c)(2) and (e)
18 AAC 50.311. Nonattainment Area Major Stationary Source Permits 
          (effective 10/01/2004) except (c)
18 AAC 50.316. Preconstruction Review for Construction or Reconstruction 
          of a Major Source of Hazardous Air Pollutants (effective 12/
          01/2004) except (c)
18 AAC 50.321. Case-By-Case Maximum Achievable Control Technology 
          (effective 12/01/2004)
18 AAC 50.326. Title V Operating Permits (effective12/01/2004) except 
          (c)(1), (h), (i)(3), (j)(5), (j)(6), (k)(1)(k)(3), (k)(5), and 
          (k)(6)
18 AAC 50.345. Construction, Minor and Operating Permits: Standard 
          Permit Conditions (effective 11/09/2008)
18 AAC 50.346. Construction and Operating Permits: Other Permit 
          Conditions (effective 11/09/2008)

              Table 7. Standard Operating Permit Condition

                          Article 4. User Fees

18 AAC 50.400. Permit Administration Fees (effective 07/25/2008) except 
          (c)(1) through (c)(3), (c)(6), (k)(3) and (m)(3)
18 AAC 50.403. Negotiated Service Agreements (effective 12/03/2005)
18 AAC 50.405. Transition Process for Permit Fees (effective 01/29/2005)
18 AAC 50.410. Emission Fees (effective 06/18/2009).
18 AAC 50.499. Definition for User Fee Requirements (effective 01/29/
          2005)

                        Article 5. Minor Permits

18 AAC 50.502. Minor Permits for Air Quality Protection (effective 07/
          25/2008) except (b)(1) through (b)(3), (b)(5), (d)(1) and 
          (d)(2)
18 AAC 50.508. Minor Permits Requested by the Owner or Operator 
          (effective 07/25/2008)
18 AAC 50.509. Construction of a Pollution Control Project Without a 
          Permit (effective 07/25/2008)
18 AAC 50.540. Minor Permit: Application (effective 07/25/2008)
18 AAC 50.542. Minor Permit: Review and Issuance (effective 07/25/2008) 
          except (a), (b)(1), (b)(2), (b)(4), (b)(5), and (d)
18 AAC 50.544. Minor Permits: Content (effective 11/09/2008)
18 AAC 50.546. Minor Permits: Revisions (effective 07/25/2008)
18 AAC 50.560. General Minor Permits (effective 10/01/2004) except (b)

                      Article 9. General Provisions

18 AAC 50.990. Definitions (effective 07/25/2008)

                               California

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

                 Barclays California Code of Regulations

    The following sections of Title 17 Subchapter 6:

17 Sec. 92000--Definitions (Adopted 5/31/91)
17 Sec. 92100--Scope and Policy (Adopted 5/31/91)
17 Sec. 92200--Visible Emission Standards (Adopted 5/31/91)
17 Sec. 92210--Nuisance Prohibition (Adopted 5/31/91)
17 Sec. 92220--Compliance with Performance Standards (Adopted 5/31/91)
17 Sec. 92400--Visible Evaluation Techniques (Adopted 5/31/91)
17 Sec. 92500--General Provisions (Adopted 5/31/91)
17 Sec. 92510--Pavement Marking (Adopted 5/31/91)

[[Page 134]]

17 Sec. 92520--Stucco and Concrete (Adopted 5/31/91)
17 Sec. 92530--Certified Abrasive (Adopted 5/31/91)
17 Sec. 92540--Stucco and Concrete (Adopted 5/31/91)
17 Sec. 93115--Airborne Toxic Control Measure for Stationary 
          Compression Ignition Engines (Adopted 2/26/04)

                         Health and Safety Code

    The following section of Division 26, Part 4, Chapter 4, Article 1:
    Health and Safety Code Sec. 42301.13 of seq. Stationary sources: 
demolition or removal (chaptered 7/25/96)

    (b) Local requirements.
    (1)-(4) [Reserved]
    (5) The following requirements are contained in San Luis Obispo 
County Air Pollution Control District Requirements Applicable to OCS 
Sources, February 2000:
Rule 103 Conflicts Between District, State and Federal Rules (Adopted 8/
6/76)
Rule 105 Definitions (Adopted 1/24/96)
Rule 106 Standard Conditions (Adopted 8/6/76)
Rule 108 Severability (Adopted 11/13/84)
Rule 113 Continuous Emissions Monitoring, except F. (Adopted 7/5/77)
Rule 201 Equipment not Requiring a Permit, except A.1.b. (Revised 4/26/
95)
Rule 202 Permits, except A.4. and A.8. (Adopted 11/5/91)
Rule 203 Applications, except B. (Adopted 11/5/91)
Rule 204 Requirements, except B.3. and C. (Adopted 8/10/93)
Rule 209 Provision for Sampling and Testing Facilities (Adopted 11/5/91)
Rule 210 Periodic Inspection, Testing and Renewal of Permits to Operate 
(Adopted 11/5/91)
Rule 213 Calculations, except E.4. and F. (Adopted 8/10/93)
Rule 302 Schedule of Fees (Adopted 6/18/97)
Rule 305 Fees for Major Non-Vehicular Sources (Adopted 9/15/92)
Rule 401 Visible Emissions (Adopted 8/6/76)
Rule 403 Particulate Matter Emissions (Adopted 8/6/76)
Rule 404 Sulfur Compounds Emission Standards, Limitations and 
Prohibitions (Revised 12/6/76)
Rule 405 Nitrogen Oxides Emission Standards, Limitations and 
Prohibitions (Adopted 11/16/93)
Rule 406 Carbon Monoxide Emission Standards, Limitations and 
Prohibitions (Adopted 11/14/84)
Rule 407 Organic Material Emission Standards, Limitations and 
Prohibitions (Adopted 5/22/96)
Rule 411 Surface Coating of Metal Parts and Products (Adopted 1/28/98)
Rule 416 Degreasing Operations (Adopted 6/18/79)
Rule 417 Control of Fugitive Emissions of Volatile Organic Compounds 
(Adopted 2/9/93)
Rule 419 Petroleum Pits, Ponds, Sumps, Well Cellars, and Wastewater 
Separators (Revised 7/12/94)
Rule 422 Refinery Process Turnarounds (Adopted 6/18/79)
Rule 425 Storage of Volatile Organic Compounds (Adopted 7/12/94)
Rule 427 Marine Tanker Loading (Adopted 4/26/95)
Rule 429 Oxides of Nitrogen and Carbon Monoxide Emissions from Electric 
Power Generation Boilers (Revised 11/12/97)
Rule 430 Control of Oxides of Nitrogen from Industrial, Institutional, 
Commercial Boilers, Steam Generators, and Process Heaters (Adopted 7/26/
95)
Rule 431 Stationary Internal Combustion Engines (Adopted 11/13/96)
Rule 501 General Burning Provisions (Adopted 1/10/89)
Rule 503 Incinerator Burning, except B.1.a. (Adopted 2/7/89)
Rule 601 New Source Performance Standards (Adopted 5/28/97)

    (6) The following requirements are contained in Santa Barbara County 
Air Pollution Control District Requirements Applicable to OCS Sources:

Rule 102..............  Definitions (Adopted 09/20/10).
Rule 103..............  Severability (Adopted 10/23/78).
Rule 106..............  Notice to Comply for Minor Violations (Repealed
                         01/01/2001).
Rule 107..............  Emergencies (Adopted 04/19/01).
Rule 201..............  Permits Required (Adopted 06/19/08).
Rule 202..............  Exemptions to Rule 201 (Adopted 09/20/10).
Rule 203..............  Transfer (Adopted 04/17/97).
Rule 204..............  Applications (Adopted 04/17/97).
Rule 205..............  Standards for Granting Permits (Adopted 04/17/
                         97).
Rule 206..............  Conditional Approval of Authority to Construct
                         or Permit to Operate (Adopted 10/15/91).
Rule 207..............  Denial of Application (Adopted 10/23/78).
Rule 210..............  Fees (Adopted 03/17/05).
Rule 212..............  Emission Statements (Adopted 10/20/92).
Rule 301..............  Circumvention (Adopted 10/23/78).
Rule 302..............  Visible Emissions (Adopted 10/23/78).

[[Page 135]]

 
Rule 304..............  Particulate Matter--Northern Zone (Adopted 10/23/
                         78).
Rule 305..............  Particulate Matter Concentration--Southern Zone
                         (Adopted 10/23/78).
Rule 306..............  Dust and Fumes--Northern Zone (Adopted 10/23/
                         78).
Rule 307..............  Particulate Matter Emission Weight Rate--
                         Southern Zone (Adopted 10/23/78).
Rule 308..............  Incinerator Burning (Adopted 10/23/78).
Rule 309..............  Specific Contaminants (Adopted 10/23/78).
Rule 310..............  Odorous Organic Sulfides (Adopted 10/23/78).
Rule 311..............  Sulfur Content of Fuels (Adopted 10/23/78).
Rule 312..............  Open Fires (Adopted 10/02/90).
Rule 316..............  Storage and Transfer of Gasoline (Adopted 01/15/
                         09).
Rule 317..............  Organic Solvents (Adopted 10/23/78).
Rule 318..............  Vacuum Producing Devices or Systems--Southern
                         Zone (Adopted 10/23/78).
Rule 321..............  Solvent Cleaning Operations (Adopted 09/20/10).
Rule 322..............  Metal Surface Coating Thinner and Reducer
                         (Adopted 10/23/78).
Rule 323..............  Architectural Coatings (Adopted 11/15/01).
Rule 324..............  Disposal and Evaporation of Solvents (Adopted 10/
                         23/78).
Rule 325..............  Crude Oil Production and Separation (Adopted 07/
                         19/01).
Rule 326..............  Storage of Reactive Organic Compound Liquids
                         (Adopted 01/18/01).
Rule 327..............  Organic Liquid Cargo Tank Vessel Loading
                         (Adopted 12/16/85).
Rule 328..............  Continuous Emission Monitoring (Adopted 10/23/
                         78).
Rule 330..............  Surface Coating of Metal Parts and Products
                         (Adopted 01/20/00).
Rule 331..............  Fugitive Emissions Inspection and Maintenance
                         (Adopted 12/10/91).
Rule 332..............  Petroleum Refinery Vacuum Producing Systems,
                         Wastewater Separators and Process Turnarounds
                         (Adopted 06/11/79).
Rule 333..............  Control of Emissions from Reciprocating Internal
                         Combustion Engines (Adopted 06/19/08).
Rule 342..............  Control of Oxides of Nitrogen (NOX) from
                         Boilers, Steam Generators and Process Heaters)
                         (Adopted 04/17/97).
Rule 343..............  Petroleum Storage Tank Degassing (Adopted 12/14/
                         93).
Rule 344..............  Petroleum Sumps, Pits, and Well Cellars (Adopted
                         11/10/94).
Rule 346..............  Loading of Organic Liquid Cargo Vessels (Adopted
                         01/18/01).
Rule 352..............  Natural Gas-Fired Fan-Type Central Furnaces and
                         Residential Water Heaters (Adopted 09/16/99).
Rule 353..............  Adhesives and Sealants (Adopted 08/19/99).
Rule 359..............  Flares and Thermal Oxidizers (Adopted 06/28/94).
Rule 360..............  Emissions of Oxides of Nitrogen from Large Water
                         Heaters and Small Boilers (Adopted 10/17/02).
Rule 361..............  Small Boilers, Steam Generators, and Process
                         Heaters (Adopted 01/17/08).
Rule 370..............  Potential to Emit--Limitations for Part 70
                         Sources (Adopted 06/15/95).
Rule 505..............  Breakdown Conditions Sections A., B.1., and D.
                         only (Adopted 10/23/78).
Rule 603..............  Emergency Episode Plans (Adopted 06/15/81).
Rule 702..............  General Conformity (Adopted 10/20/94).
Rule 801..............  New Source Review (Adopted 04/17/97).
Rule 802..............  Nonattainment Review (Adopted 04/17/97).
Rule 803..............  Prevention of Significant Deterioration (Adopted
                         04/17/97).
Rule 804..............  Emission Offsets (Adopted 04/17/97).
Rule 805..............  Air Quality Impact Analysis and Modeling
                         (Adopted 04/17/97).
Rule 808..............  New Source Review for Major Sources of Hazardous
                         Air Pollutants (Adopted 05/20/99).
Rule 1301.............  Part 70 Operating Permits--General Information
                         (Adopted 06/19/03).
Rule 1302.............  Part 70 Operating Permits--Permit Application
                         (Adopted 11/09/93).
Rule 1303.............  Part 70 Operating Permits--Permits (Adopted 11/
                         09/93).
Rule 1304.............  Part 70 Operating Permits--Issuance, Renewal,
                         Modification and Reopening (Adopted 11/09/93).
Rule 1305.............  Part 70 Operating Permits--Enforcement (Adopted
                         11/09/93).
 


    (7) The following requirements are contained in South Coast Air 
Quality Management District Requirements Applicable to OCS Sources 
(Parts I, II and III):

Rule 102 Definition of Terms (Adopted 12/3/04)
Rule 103 Definition of Geographical Areas (Adopted 01/9/76)
Rule 104 Reporting of Source Test Data and Analyses (Adopted 01/9/76)
Rule 108 Alternative Emission Control Plans (Adopted 04/6/90)
Rule 109 Recordkeeping for Volatile Organic Compound Emissions (Adopted 
08/18/00)

[[Page 136]]

Rule 112 Definition of Minor Violation and Guidelines for Issuance of 
Notice to Comply (Adopted 11/13/98)
Rule 118 Emergencies (Adopted 12/07/95)
Rule 201 Permit to Construct (Adopted 12/03/04)
Rule 201.1 Permit Conditions in Federally Issued Permits to Construct 
(Adopted 12/03/04)
Rule 202 Temporary Permit to Operate (Adopted 12/03/04)
Rule 203 Permit to Operate (Adopted 12/03/04)
Rule 204 Permit Conditions (Adopted 03/6/92)
Rule 205 Expiration of Permits to Construct (Adopted 01/05/90)
Rule 206 Posting of Permit to Operate (Adopted 01/05/90)
Rule 207 Altering or Falsifying of Permit (Adopted 01/09/76)
Rule 208 Permit and Burn Authorization for Open Burning (Adopted 12/21/
01)
Rule 209 Transfer and Voiding of Permits (Adopted 01/05/90)
Rule 210 Applications (Adopted 01/05/90)
Rule 212 Standards for Approving Permits (Adopted 12/07/95) except 
(c)(3) and (e)
Rule 214 Denial of Permits (Adopted 01/05/90)
Rule 217 Provisions for Sampling and Testing Facilities (Adopted 01/05/
90)
Rule 218 Continuous Emission Monitoring (Adopted 05/14/99)
Rule 218.1 Continuous Emission Monitoring Performance Specifications 
(Adopted 05/14/99)
Rule 218.1 Attachment A--Supplemental and Alternative CEMS Performance 
Requirements (Adopted 05/14/99)
Rule 219 Equipment Not Requiring a Written Permit Pursuant to Regulation 
II (Adopted 6/1/07)
Rule 220 Exemption--Net Increase in Emissions (Adopted 08/07/81)
Rule 221 Plans (Adopted 01/04/85)
Rule 301 Permitting and Associated Fees (Adopted 5/2/08) except 
(e)(7)and Table IV
Rule 303 Hearing Board Fees (Adopted 5/2/08)
Rule 304 Equipment, Materials, and Ambient Air Analyses (Adopted 5/2/08)
Rule 304.1 Analyses Fees (Adopted 5/2/08)
Rule 305 Fees for Acid Deposition (Rescinded 6/9/06)
Rule 306 Plan Fees (Adopted 5/2/08)
Rule 309 Fees for Regulation XVI (Adopted 5/2/08)
Rule 313 Authority to Adjust Fees and Due Dates (Adopted 5/2/08)
Rule 401 Visible Emissions (Adopted 11/09/01)
Rule 403 Fugitive Dust (Adopted 06/03/05)
Rule 404 Particulate Matter--Concentration (Adopted 02/07/86)
Rule 405 Solid Particulate Matter--Weight (Adopted 02/07/86)
Rule 407 Liquid and Gaseous Air Contaminants (Adopted 04/02/82)
Rule 408 Circumvention (Adopted 05/07/76)
Rule 409 Combustion Contaminants (Adopted 08/07/81)
Rule 429 Start-Up and Shutdown Exemption Provisions for Oxides of 
Nitrogen (Adopted 12/21/90)
Rule 430 Breakdown Provisions, (a) and (b) only (Adopted 07/12/96)
Rule 431.1 Sulfur Content of Gaseous Fuels (Adopted 06/12/98)
Rule 431.2 Sulfur Content of Liquid Fuels (Adopted 09/15/00)
Rule 431.3 Sulfur Content of Fossil Fuels (Adopted 05/7/76)
Rule 441 Research Operations (Adopted 05/7/76)
Rule 442 Usage of Solvents (Adopted 12/15/00)
Rule 444 Open Burning (Adopted 12/21/01)
Rule 463 Organic Liquid Storage (Adopted 05/06/05)
Rule 465 Refinery Vacuum-Producing Devices or Systems (Adopted 08/13/99)
Rule 468 Sulfur Recovery Units (Adopted 10/08/76)
Rule 473 Disposal of Solid and Liquid Wastes (Adopted 05/07/76)
Rule 474 Fuel Burning Equipment-Oxides of Nitrogen (Adopted 12/04/81)
Rule 475 Electric Power Generating Equipment (Adopted 08/07/78)
Rule 476 Steam Generating Equipment (Adopted 10/08/76)
Rule 480 Natural Gas Fired Control Devices (Adopted 10/07/77) Addendum 
to Regulation IV (Effective 1977)
Rule 518 Variance Procedures for Title V Facilities (Adopted 08/11/95)
Rule 518.1 Permit Appeal Procedures for Title V Facilities (Adopted 08/
11/95)
Rule 518.2 Federal Alternative Operating Conditions (Adopted 12/21/01)
Rule 701 Air Pollution Emergency Contingency Actions (Adopted 06/13/97)
Rule 702 Definitions (Adopted 07/11/80)
Rule 708 Plans (Rescinded 09/08/95)
    Regulation IX Standard of Performance For New Stationary Sources 
(Adopted 4/4/08)
    Regulation X National Emission Standards for Hazardous Air 
Pollutants (Adopted 4/4/08)
Rule 1105.1 Reduction of PM10 And Ammonia Emissions From 
Fluid Catalytic Cracking Units (Adopted 11/07/03)
Rule 1106 Marine Coating Operations (Adopted 01/13/95)
Rule 1107 Coating of Metal Parts and Products (Adopted 1/6/06)
Rule 1109 Emissions of Oxides of Nitrogen for Boilers and Process 
Heaters in Petroleum Refineries (Adopted 08/05/88)
Rule 1110 Emissions from Stationary Internal Combustion Engines 
(Demonstration) (Repealed 11/14/97)

[[Page 137]]

Rule 1110.1 Emissions from Stationary Internal Combustion Engines 
(Rescinded 06/03/05)
Rule 1110.2 Emissions from Gaseous-and Liquid Fueled Engines (Adopted 2/
1/08)
Rule 1113 Architectural Coatings (Adopted 7/13/07)
Rule 1116.1 Lightering Vessel Operations-Sulfur Content of Bunker Fuel 
(Adopted 10/20/78)
Rule 1121 Control of Nitrogen Oxides from Residential-Type Natural Gas-
Fired Water Heaters (Adopted 09/03/04)
Rule 1122 Solvent Degreasers (Adopted 10/01/04)
Rule 1123 Refinery Process Turnarounds (Adopted 12/07/90)
Rule 1129 Aerosol Coatings (Rescinded 03/08/96)
Rule 1132 Further Control of VOC Emissions from High-Emitting Spray 
Booth Facilities (Adopted 5/5/06)
Rule 1134 Emissions of Oxides of Nitrogen from Stationary Gas Turbines 
(Adopted 08/08/97)
Rule 1136 Wood Products Coatings (Adopted 06/14/96)
Rule 1137 PM10 Emission Reductions from Woodworking Operations (Adopted 
02/01/02)
Rule 1140 Abrasive Blasting (Adopted 08/02/85)
Rule 1142 Marine Tank Vessel Operations (Adopted 07/19/91)
Rule 1146 Emissions of Oxides of Nitrogen from Industrial, 
Institutional, and Commercial Boilers, Steam Generators, and Process 
Heaters (Adopted 9/5/08)
Rule 1146.1 Emission of Oxides of Nitrogen from Small Industrial, 
Institutional, and Commercial Boilers, Steam Generators, and Process 
Heaters (Adopted 9/5/08)
Rule 1146.2 Emissions of Oxides of Nitrogen from Large Water Heaters and 
Small Boilers (Adopted 5/5/06)
Rule 1148 Thermally Enhanced Oil Recovery Wells (Adopted 11/05/82)
Rule 1149 Storage Tank Cleaning And Degassing (Adopted 5/2/08)
Rule 1162 Polyester Resin Operations (Adopted 7/8/05)
Rule 1168 Adhesive and Sealant Applications (Adopted 01/07/05)
Rule 1171 Solvent Cleaning Operations (Adopted 2/1/08)
Rule 1173 Control of Volatile Organic Compounds Leaks and Releases From 
Components At Petroleum Facilities and Chemical Plants (Adopted 6/1/07)
Rule 1176 VOC Emissions from Wastewater Systems (Adopted 09/13/96)
Rule 1178 Further Reductions of VOC Emissions from Storage Tanks at 
Petroleum Facilities (Adopted 4/7/06)
Rule 1301 General (Adopted 12/07/95)
Rule 1302 Definitions (Adopted 12/06/02)
Rule 1303 Requirements (Adopted 12/06/02)
Rule 1304 Exemptions (Adopted 06/14/96)
Rule 1306 Emission Calculations (Adopted 12/06/02)
Rule 1309.1 Priority Reserve (Replaced 8/3/07)
Rule 1313 Permits to Operate (Adopted 12/07/95)
Rule 1315 Federal New Source Review Tracking System (Readopted) (Adopted 
8/3/07)
Rule 1403 Asbestos Emissions from Demolition/Renovation Activities 
(Adopted 10/5/07)
Rule 1470 Requirements for Stationary Diesel-Fueled Internal Combustion 
and Other Compression Ignition Engines (Adopted 6/1/07)
Rule 1472 Requirements for Facilities with Multiple Stationary Emergency 
Standby Diesel-Fueled Internal Combustion Engines (Adopted 3/7/08)
Rule 1605 Credits for the Voluntary Repair of On-Road Motor Vehicles 
Identified Through Remote Sensing Devices (Adopted 10/11/96)
Rule 1612 Credits for Clean On-Road Vehicles (Adopted 07/10/98)
Rule 1612.1 Mobile Source Credit Generation Pilot Program (Adopted 03/
16/01)
Rule 1620 Credits for Clean Off-Road Mobile Equipment (Adopted 07/10/98)
Rule 1701 General (Adopted 08/13/99)
Rule 1702 Definitions (Adopted 08/13/99)
Rule 1703 PSD Analysis (Adopted 10/07/88)
Rule 1704 Exemptions (Adopted 08/13/99)
Rule 1706 Emission Calculations (Adopted 08/13/99)
Rule 1713 Source Obligation (Adopted 10/07/88)
Regulation XVII Appendix (effective 1977)
Rule 1901 General Conformity (Adopted 09/09/94)
Regulation XX Regional Clean Air Incentives Market (Reclaim)
Rule 2000 General (Adopted 05/06/05)
Rule 2001 Applicability (Adopted 05/06/05)
Rule 2002 Allocations for Oxides of Nitrogen (NOX) and Oxides 
of Sulfur (SOX) (Adopted 01/07/05)
Rule 2004 Requirements (Adopted 4/6/07) except (l)
Rule 2005 New Source Review for RECLAIM (Adopted 05/06/05) except (i)
Rule 2006 Permits (Adopted 05/11/01)
Rule 2007 Trading Requirements (Adopted 4/6/07)
Rule 2008 Mobile Source Credits (Adopted 10/15/93)
Rule 2009 Compliance Plan for Power Producing Facilities (Adopted 01/07/
05)
Rule 2010 Administrative Remedies and Sanctions (Adopted 4/6/07)
Rule 2011 Requirements for Monitoring, Reporting, and Recordkeeping for 
Oxides of Sulfur (SOX) Emissions (Adopted 05/06/05)
Appendix A Volume IV--(Protocol for Oxides of Sulfur) (Adopted 05/06/05)
Rule 2012 Requirements for Monitoring, Reporting, and Recordkeeping for 
Oxides of

[[Page 138]]

Nitrogen (NOX) Emissions (Adopted 05/06/05)
Appendix A Volume V--(Protocol for Oxides of Nitrogen) (Adopted 05/06/
05)
Rule 2015 Backstop Provisions (Adopted 06/04/04) except (b)(1)(G) and 
(b)(3)(B)
Rule 2020 RECLAIM Reserve (Adopted 05/11/01)
Rule 2100 Registration of Portable Equipment (Adopted 07/11/97)
Rule 2449 Controls of Oxides of Nitrogen Emissions from Off-Road Diesel 
Vehicles (Adopted 5/2/08)
Rule 2506 Area Source Credits for NOX and SOX 
(Adopted 12/10/99)
XXX Title V Permits
Rule 3000 General (Adopted 11/14/97)
Rule 3001 Applicability (Adopted 11/14/97)
Rule 3002 Requirements (Adopted 11/14/97)
Rule 3003 Applications (Adopted 03/16/01)
Rule 3004 Permit Types and Content (Adopted 12/12/97)
Rule 3005 Permit Revisions (Adopted 03/16/01)
Rule 3006 Public Participation (Adopted 11/14/97)
Rule 3007 Effect of Permit (Adopted 10/08/93)
Rule 3008 Potential To Emit Limitations (Adopted 03/16/01)
XXXI Acid Rain Permit Program (Adopted 02/10/95)

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

Rule 2 Definitions (Adopted 04/13/04)
Rule 5 Effective Date (Adopted 04/13/04)
Rule 6 Severability (Adopted 11/21/78)
Rule 7 Zone Boundaries (Adopted 06/14/77)
Rule 10 Permits Required (Adopted 04/13/04)
Rule 11 Definition for Regulation II (Adopted 03/14/06)
Rule 12 Applications for Permits (Adopted 06/13/95)
Rule 13 Action on Applications for an Authority to Construct (Adopted 
06/13/95)
Rule 14 Action on Applications for a Permit to Operate (Adopted 06/13/
95)
Rule 15.1 Sampling and Testing Facilities (Adopted 10/12/93)
Rule 16 BACT Certification (Adopted 06/13/95)
Rule 19 Posting of Permits (Adopted 05/23/72)
Rule 20 Transfer of Permit (Adopted 05/23/72)
Rule 23 Exemptions from Permits (Adopted 04/08/08)
Rule 24 Source Recordkeeping, Reporting, and Emission Statements 
(Adopted 09/15/92)
Rule 26 New Source Review--General (Adopted 03/14/06)
Rule 26.1 New Source Review--Definitions (Adopted 11/14/06)
Rule 26.2 New Source Review--Requirements (Adopted 05/14/02)
Rule 26.3 New Source Review--Exemptions (Adopted 03/14/06)
Rule 26.6 New Source Review--Calculations (Adopted 03/14/06)
Rule 26.8 New Source Review--Permit To Operate (Adopted 10/22/91)
Rule 26.10 New Source Review--PSD (Adopted 01/13/98)
Rule 26.11 New Source Review--ERC Evaluation At Time of Use (Adopted 05/
14/02)
Rule 26.12 Federal Major Modifications (Adopted 06/27/06)
Rule 28 Revocation of Permits (Adopted 07/18/72)
Rule 29 Conditions on Permits (Adopted 03/14/06)
Rule 30 Permit Renewal (Adopted 04/13/04)
Rule 32 Breakdown Conditions: Emergency Variances, A., B.1., and D. 
only. (Adopted 02/20/79)
Rule 33 Part 70 Permits--General (Adopted 09/12/06)
Rule 33.1 Part 70 Permits--Definitions (Adopted 09/12/06)
Rule 33.2 Part 70 Permits--Application Contents (Adopted 04/10/01)
Rule 33.3 Part 70 Permits--Permit Content (Adopted 09/12/06)
Rule 33.4 Part 70 Permits--Operational Flexibility (Adopted 04/10/01)
Rule 33.5 Part 70 Permits--Time frames for Applications, Review and 
Issuance (Adopted 10/12/93)
Rule 33.6 Part 70 Permits--Permit Term and Permit Reissuance (Adopted 
10/12/93)
Rule 33.7 Part 70 Permits--Notification (Adopted 04/10/01)
Rule 33.8 Part 70 Permits--Reopening of Permits (Adopted 10/12/93)
Rule 33.9 Part 70 Permits--Compliance Provisions (Adopted 04/10/01)
Rule 33.10 Part 70 Permits--General Part 70 Permits (Adopted 10/12/93)
Rule 34 Acid Deposition Control (Adopted 03/14/95)
Rule 35 Elective Emission Limits (Adopted 11/12/96)
Rule 36 New Source Review--Hazardous Air Pollutants (Adopted 10/06/98)
Rule 42 Permit Fees (Adopted 04/08/08)
Rule 44 Exemption Evaluation Fee (Adopted 04/08/08)
Rule 45 Plan Fees (Adopted 06/19/90)
Rule 45.2 Asbestos Removal Fees (Adopted 08/04/92)
Rule 47 Source Test, Emission Monitor, and Call-Back Fees (Adopted 06/
22/99)
Rule 50 Opacity (Adopted 04/13/04)
Rule 52 Particulate Matter-Concentration (Grain Loading)(Adopted 04/13/
04)
Rule 53 Particulate Matter-Process Weight (Adopted 04/13/04)
Rule 54 Sulfur Compounds (Adopted 06/14/94)
Rule 56 Open Burning (Adopted 11/11/03)
Rule 57 Incinerators (Adopted 01/11/05)

[[Page 139]]

Rule 57.1 Particulate Matter Emissions from Fuel Burning Equipment 
(Adopted 01/11/05)
Rule 62.7 Asbestos--Demolition and Renovation (Adopted 09/01/92)
Rule 63 Separation and Combination of Emissions (Adopted 11/21/78)
Rule 64 Sulfur Content of Fuels (Adopted 04/13/99)
Rule 67 Vacuum Producing Devices (Adopted 07/05/83)
Rule 68 Carbon Monoxide (Adopted 04/13/04)
Rule 71 Crude Oil and Reactive Organic Compound Liquids (Adopted 12/13/
94)
Rule 71.1 Crude Oil Production and Separation (Adopted 06/16/92)
Rule 71.2 Storage of Reactive Organic Compound Liquids (Adopted 09/26/
89)
Rule 71.3 Transfer of Reactive Organic Compound Liquids (Adopted 06/16/
92)
Rule 71.4 Petroleum Sumps, Pits, Ponds, and Well Cellars (Adopted 06/08/
93)
Rule 71.5 Glycol Dehydrators (Adopted 12/13/94)
Rule 72 New Source Performance Standards (NSPS) (Adopted 09/9/08)
Rule 73 National Emission Standards for Hazardous Air Pollutants 
(NESHAPS (Adopted 09/9/08)
Rule 74 Specific Source Standards (Adopted 07/06/76)
Rule 74.1 Abrasive Blasting (Adopted 11/12/91)
Rule 74.2 Architectural Coatings (Adopted 11/13/01)
Rule 74.6 Surface Cleaning and Degreasing (Adopted 11/11/03--effective 
07/01/04)
Rule 74.6.1 Batch Loaded Vapor Degreasers (Adopted 11/11/03--effective 
07/01/04)
Rule 74.7 Fugitive Emissions of Reactive Organic Compounds at Petroleum 
Refineries and Chemical Plants (Adopted 10/10/95)
Rule 74.8 Refinery Vacuum Producing Systems, Waste-water Separators and 
Process Turnarounds (Adopted 07/05/83)
Rule 74.9 Stationary Internal Combustion Engines (Adopted 11/08/05)
Rule 74.10 Components at Crude Oil Production Facilities and Natural Gas 
Production and Processing Facilities (Adopted 03/10/98)
Rule 74.11 Natural Gas-Fired Residential Water Heaters-Control of 
NOX (Adopted 04/09/85)
Rule 74.11.1 Large Water Heaters and Small Boilers (Adopted 09/14/99)
Rule 74.12 Surface Coating of Metal Parts and Products (Adopted 04/08/
08)
Rule 74.15 Boilers, Steam Generators and Process Heaters (Adopted 11/08/
94)
Rule 74.15.1 Boilers, Steam Generators and Process Heaters (Adopted 06/
13/00)
Rule 74.16 Oil Field Drilling Operations (Adopted 01/08/91)
Rule 74.20 Adhesives and Sealants (Adopted 01/11/05)
Rule 74.23 Stationary Gas Turbines (Adopted 1/08/02)
Rule 74.24 Marine Coating Operations (Adopted 11/11/03)
Rule 74.24.1 Pleasure Craft Coating and Commercial Boatyard Operations 
(Adopted 01/08/02)
Rule 74.26 Crude Oil Storage Tank Degassing Operations (Adopted 11/08/
94)
Rule 74.27 Gasoline and ROC Liquid Storage Tank Degassing Operations 
(Adopted 11/08/94)
Rule 74.28 Asphalt Roofing Operations (Adopted 05/10/94)
Rule 74.30 Wood Products Coatings (Adopted 06/27/06)
Rule 75 Circumvention (Adopted 11/27/78)
Rule 101 Sampling and Testing Facilities (Adopted 05/23/72)
Rule 102 Source Tests (Adopted 04/13/04)
Rule 103 Continuous Monitoring Systems (Adopted 02/09/99)
Rule 154 Stage 1 Episode Actions (Adopted 09/17/91)
Rule 155 Stage 2 Episode Actions (Adopted 09/17/91)
Rule 156 Stage 3 Episode Actions (Adopted 09/17/91)
Rule 158 Source Abatement Plans (Adopted 09/17/91)
Rule 159 Traffic Abatement Procedures (Adopted 09/17/91)
Rule 220 General Conformity (Adopted 05/09/95)
Rule 230 Notice to Comply (Adopted 9/9/08)

                                Delaware

    (a) State requirements.
    (1) The following State of Delaware requirements are applicable to 
OCS Sources, December 19, 2008, State of Delaware--Department of Natural 
Resources and Environmental Control. The following sections of 7 DE 
Admin. Code 1100--Air Quality Management Section:

    7 DE Admin. Code 1101: Definitions and Administrative Principles

Section 1.0: General Provisions (Effective 02/01/1981)
Section 2.0: Definitions (Effective 09/11/1999)
Section 3.0: Administrative Principles (02/01/1981)
Section 4.0: Abbreviations (Effective 02/01/1981)

                     7 DE Admin. Code 1102: Permits

Section 1.0: General Provisions (Effective 06/11/2006)
Section 2.0: Applicability (Effective 06/11/2006)
Section 3.0: Application/Registration Prepared by Interested Party 
(Effective 06/01/1997)
Section 4.0: Cancellation of Construction Permits (Effective 06/01/1997)

[[Page 140]]

Section 5.0: Action on Applications (Effective 06/01/1997)
Section 6.0: Denial, Suspension or Revocation of Operating Permits 
(Effective 06/11/2006)
Section 7.0: Transfer of Permit/Registration Prohibited (Effective 06/
01/1997)
Section 8.0: Availability of Permit/Registration (Effective 06/01/1997)
Section 9.0: Registration Submittal (Effective 06/01/1997)
Section 10.0: Source Category Permit Application (Effective 06/01/1997)
Section 11.0: Permit Application (Effective 06/11/2006)
Section 12.0: Public Participation (Effective 06/11/2006)
Section 13.0: Department Records (Effective 06/01/1997)
Section 1102: Appendix A (Effective 06/11/2006)

          7 DE Admin. Code 1103: Ambient Air Quality Standards

Section 1.0: General Provisions (Effective 09/11/1999)
Section 2.0: General Restrictions (Effective 02/01/1981)
Section 3.0: Suspended Particulates (Effective 02/01/1981)
Section 4.0: Sulfur Dioxide (Effective 02/01/1981)
Section 5.0: Carbon Monoxide (Effective 02/01/1981)
Section 6.0: Ozone (Effective 09/11/1999)
Section 7.0: Hydrocarbons (Effective 02/01/1981)
Section 8.0: Nitrogen Dioxide (Effective 02/01/1981)
Section 9.0: Hydrogen Sulfide (Effective 02/01/1981)
Section 10.0: Lead (Effective 02/01/1981)
Section 11.0: PM10 and PM2.5 Particulates (Effective 2/11/2003)

7 DE Admin. Code 1104: Particulate Emissions From Fuel Burning Equipment

Section 1.0: General Provisions (Effective 02/01/1981)
Section 2.0: Emission Limits (Effective 02/01/1981)

  7 DE Admin. Code 1105: Particulate Emissions From Industrial Process 
                               Operations

Section 1.0: General Provisions (Effective 02/01/1981)
Section 2.0: General Restrictions (Effective 02/01/1981)
Section 3.0: Restrictions on Hot Mix Asphalt Batching Operations 
(Effective 02/01/1981)
Section 4.0: Restrictions on Secondary Metal Operations (Effective 02/
01/1981)
Section 5.0: Restrictions on Petroleum Refining Operations (Effective 
02/01/1981)
Section 6.0: Restrictions on Prill Tower Operations (Effective 02/01/
1981)
Section 7.0: Control of Potentially Hazardous Particulate Matter 
(Effective 02/01/1981)

   7 DE Admin. Code 1106: Particulate Emissions From Construction and 
                           Materials Handling

Section 1.0: General Provisions (Effective 02/01/1981)
Section 2.0: Demolition (Effective 02/01/1981)
Section 3.0: Grading, Land Clearing, Excavation and Use of Non-Paved 
Roads (Effective 02/01/1981)
Section 4.0: Material Movement (Effective 02/01/1981)
Section 5.0: Sandblasting (Effective 02/01/1981)
Section 6.0: Material Storage (Effective 02/01/1981)

  7 DE Admin. Code 1107: Emissions From Incineration of Noninfectious 
                                  Waste

Section 1.0: General Provisions (Effective 10/13/1989)
Section 2.0: Restrictions (Effective 10/13/1989)

   7 DE Admin. Code 1108: Sulfur Dioxide Emissions From Fuel Burning 
                                Equipment

Section 1.0: General Provisions (Effective 12/08/1983)
Section 2.0: Limit on Sulfur Content of Fuel (Effective 05/09/1985)
Section 3.0: Emission Control in Lieu of Sulfur Content Limits of 2.0 of 
This Regulation (Effective 05/09/1985)

  7 DE Admin. Code 1109: Emissions of Sulfur Compounds From Industrial 
                               Operations

Section 1.0: General Provisions (Effective 05/09/1985)
Section 2.0: Restrictions on Sulfuric Acid Manufacturing Operations 
(Effective 02/01/1981)
Section 3.0: Restriction on Sulfuric Recovery Operations (Effective 02/
01/1981)
Section 4.0: Stack Height Requirements (Effective 02/01/1981)

  7 DE Admin. Code 1110: Emissions of Sulfur Compounds From Industrial 
                               Operations

Section 1.0: Requirements for Existing Sources of Sulfur Dioxide 
(Effective 01/18/1981)
Section 2.0: Requirements for New Sources of Sulfur Dioxide (Effective 
02/01/1981)

7 DE Admin. Code 1111: Carbon Monoxide Emissions From Industrial Process 
                      Operations, New Castle County

Section 1.0: General Provisions (Effective 02/01/1981)
Section 2.0: Restrictions on Petroleum Refining Operations (Effective 
02/01/1981)

[[Page 141]]

       7 DE Admin. Code 1112: Control of Nitrogen Oxide Emissions

Section 1.0: Applicability (Effective 11/24/1993)
Section 2.0: Definitions (Effective 11/24/1993)
Section 3.0: Standards (Effective 11/24/1993)
Section 4.0: Exemptions (Effective 11/24/1993)
Section 5.0: Alternative and Equivalent RACT Determinations (11/24/1993)
Section 6.0: RACT Proposals (11/24/1993)
Section 7.0: Compliance Certification, Recordkeeping, and Reporting 
Requirements (Effective 11/24/1993)

                   7 DE Admin. Code 1113: Open Burning

Section 1.0: Purpose (Effective 04/11/2007)
Section 2.0: Applicability (Effective 04/11/2007)
Section 3.0: Definitions (Effective 04/11/2007)
Section 4.0: Prohibitions and Related Provisions (Effective 04/11/2007)
Section 5.0: Season and Time Restrictions (Effective 04/11/2007)
Section 6.0: Allowable Open Burning (Effective 04/11/2007)
Section 7.0: Exemptions (Effective 04/11/2007)

                7 DE Admin. Code 1114: Visible Emissions

Section 1.0: General Provisions (Effective 07/17/1984)
Section 2.0: Requirements (Effective 07/17/1984)
Section 3.0: Alternate Opacity Requirements (Effective 07/17/1984)
Section 4.0: Compliance With Opacity Standards (Effective 07/17/1984)

      7 DE Admin. Code 1115: Air Pollution Alert and Emergency Plan

Section 1.0: General Provisions (Effective 07/17/1984)
Section 2.0: Stages and Criteria (Effective 03/29/1988)
Section 3.0: Required Actions (Effective 02/01/1981)
Section 4.0: Standby Plans (Effective 02/01/1981)

   7 DE Admin. Code 1116: Sources Having an Interstate Air Pollution 
                                Potential

Section 1.0: General Provisions (Effective 02/01/1981)
Section 2.0: Limitations (Effective 02/01/1981)
Section 3.0: Requirements (Effective 02/01/1981)

  7 DE Admin. Code 1117: Source Monitoring, Recordkeeping and Reporting

Section 1.0: Definitions and Administrative Principals (Effective 01/11/
1993)
Section 2.0: Sampling and Monitoring (Effective 07/17/1984)
Section 3.0: Minimum Emissions Monitoring Requirements For Existing 
Sources (Effective 07/17/1984)
Section 4.0: Performance Specifications (Effective 07/17/1984)
Section 5.0: Minimum Data Requirements (Effective 07/17/1984)
Section 6.0: Data Reduction (Effective 07/17/1984)
Section 7.0: Emission Statement (Effective 01/11/1993)

         7 DE Admin. Code 1120: New Source Performance Standards

Section 1.0: General Provisions (Effective 12/07/1988)
Section 2.0: Standards of Performance for Fuel Burning Equipment 
(Effective 04/18/1983)
Section 3.0: Standards of Performance for Nitric Acid Plants (Effective 
04/18/1983)
Section 5.0: Standards of Performance for Asphalt Concrete Plants 
(Effective 04/18/1983)
Section 6.0: Standards of Performance for Incinerators (Effective 04/18/
1983)
Section 7.0: Standards of Performance for Sewage Treatment Plants 
(Effective 04/18/1983)
Section 8.0: Standards of Performance for Sulfuric Acid Plants 
(Effective 04/18/1983)
Section 9.0: Standards of Performance for Electric Utility Steam 
Generating Units for Which Construction is Commenced After September 18, 
1978 (Effective 04/18/1983)
Section 10.0: Standards of Performance for Stationary Gas Turbines 
(Effective 11/27/1985)
Section 11.0: Standards of Performance for Petroleum Refineries 
(Effective 11/27/1985)
Section 12.0: Standards of Performance for Steel Plants: Electric Arc 
Furnaces (Effective 11/27/1985)
Section 20.0: Standards of Performance for Bulk Gasoline Terminals 
(Effective 11/27/1985)
Section 22.0: Standards of Performance for Equipment Leaks at Petroleum 
Refineries (Effective 11/27/1985)
Section 27.0: Standards of Performance for Volatile Organic Liquid 
Storage Vessels (Including Petroleum Liquid Storage Vessels) for Which 
Construction, Reconstruction, or Modification Commenced after July 23, 
1984 (Effective 12/07/1988)
Section 29.0: Standards of Performance for Hospital/Medical/Infectious 
Waste Incinerators (Effective 09/11/1998)

 7 DE Admin. Code 1122: Restriction on Quality of Fuel in Fuel Burning 
                                Equipment

Section 1.0: Prohibition of Waste Oil (Effective 11/27/1985)

[[Page 142]]

      7 DE Admin. Code 1124: Control of Volatile Organic Compounds

Section 1.0: General Provisions (Effective 01/11/1993)
Section 2.0: Definitions (Effective 01/11/2002)
Section 3.0: Applicability (Effective 01/11/1993)
Section 4.0: Compliance, Certification, Recordkeeping, and Reporting 
Requirements for Coating Sources (Effective 11/29/1994)
Section 5.0: Compliance, Certification, Recordkeeping, and Reporting 
Requirements for Non-Coating Sources (Effective 01/11/1993)
Section 6.0: General Recordkeeping (Effective 01/11/1993)
Section 7.0: Circumvention (Effective 01/11/1993)
Section 8.0: Handling, Storage, and Disposal of Volatile Organic 
Compounds (VOCs) (Effective 11/29/1994)
Section 9.0: Compliance, Permits, Enforceability (Effective 01/11/1993)
Section 10.0: Aerospace Coatings (Effective 08/11/2002)
Section 11.0: Mobile Equipment Repair and Refinishing (Effective 11/11/
2001)
Section 12.0: Surface Coating of Plastic Parts (Effective 11/29/1994)
Section 13.0: Automobile and Light-Duty Truck Coating Operations 
(Effective 01/11/1993)
Section 14.0: Can Coating (Effective 01/11/1993)
Section 15.0: Coil Coating (Effective 01/11/1993)
Section 16.0: Paper Coating (Effective 01/11/1993)
Section 17.0: Fabric Coating (Effective 01/11/1993)
Section 18.0: Vinyl Coating (Effective 01/11/1993)
Section 19.0: Coating of Metal Furniture (Effective 01/11/1993)
Section 20.0: Coating of Large Appliances (Effective 01/11/1993)
Section 21.0: Coating of Magnet Wire (Effective 01/11/1993)
Section 22.0: Coating of Miscellaneous Parts (Effective 01/11/1993)
Section 23.0: Coating of Flat Wood Paneling (Effective 01/11/1993)
Section 24.0: Bulk Gasoline Plants (Effective 01/11/1993)
Section 25.0: Bulk Gasoline Terminals (Effective 11/29/1994)
Section 26.0: Gasoline Dispensing Facility Stage I Vapor Recovery 
(Effective 01/11/2002)
Section 27.0: Gasoline Tank Trucks (Effective 01/11/1993)
Section 28.0: Petroleum Refinery Sources (Effective 01/11/1993)
Section 29.0: Leaks from Petroleum Refinery Equipment (Effective 11/29/
1994)
Section 30.0: Petroleum Liquid Storage in External Floating Roof Tanks 
(Effective 11/29/1994)
Section 31.0: Petroleum Liquid Storage in Fixed Roof Tanks (Effective 
11/29/1994)
Section 32.0: Leaks from Natural Gas/Gasoline Processing Equipment 
(Effective 11/29/1994)
Section 33.0: Solvent Cleaning and Drying (Effective 11/11/2001)
Section 34.0: Cutback and Emulsified Asphalt (Effective 01/11/1993)
Section 35.0: Manufacture of Synthesized Pharmaceutical Products 
(Effective 11/29/1994)
Section 36.0: Stage II Vapor Recovery (Effective 01/11/2002)
Section 37.0: Graphic Arts Systems (Effective 11/29/1994)
Section 38.0: Petroleum Solvent Dry Cleaners (Effective 01/11/1993)
Section 40.0: Leaks from Synthetic Organic Chemical, Polymer, and Resin 
Manufacturing Equipment (Effective 01/11/1993)
Section 41.0: Manufacture of High-Density Polyethylene, Polypropylene, 
and Polystyrene Resins (Effective 01/11/1993)
Section 42.0: Air Oxidation Processes in the Synthetic Organic Chemical 
Manufacturing Industry (Effective 01/11/1993)
Section 43.0: Bulk Gasoline Marine Tank Vessel Loading Facilities 
(Effective 08/08/1994)
Section 44.0: Batch Processing Operations (Effective 11/29/1994)
Section 45.0: Industrial Cleaning Solvents (Effective 11/29/1994)
Section 46.0: Crude Oil Lightering Operations (Effective 05/11/2007)
Section 47.0: Offset Lithographic Printing (Effective 11/29/1994)
Section 48.0: Reactor Processes and Distillation Operations in the 
Synthetic Organic Chemical Manufacturing Industry (Effective 11/29/1994)
Section 49.0: Control of Volatile Organic Compound Emissions from 
Volatile Organic Liquid Storage Vessels (Effective 11/29/1994)
Section 50.0: Other Facilities that Emit Volatile Organic Compounds 
(VOCs) (Effective 11/29/1994)

      7 DE Admin. Code 1124: Control of Organic Compound Emissions

Appendix A: General Provisions: Test Methods and Compliance Procedures 
(Effective 11/29/1994)
Appendix B: Determining the Volatile Organic Compound (VOC) Content of 
Coatings and Inks (Effective 11/29/1994)
Appendix C: Alternative Compliance Methods for Surface Coating 
(Effective 11/29/1994)
Appendix D: Emission Capture and Destruction or Removal Efficiency and 
Monitoring Requirements (Effective 11/29/1994)

[[Page 143]]

Method 30: Criteria for and Verification of a Permanent or Temporary 
Total Enclosure (Effective 11/29/1994)
Method 30A: Volatile Organic Compounds Content in Liquid Input Stream 
(Effective 11/29/1994)
Method 30B: Volatile Organic Compounds Emissions in Captured Stream 
(Effective 11/29/1994)
Method 30C: Volatile Organic Compounds Emissions in Captured Stream 
(Dilution Technique) (Effective 11/29/1994)
Method 30D: Volatile Organic Compounds Emissions in Fugitive Stream from 
Temporary Total Enclosure (Effective 11/29/1994)
Method 30E: Volatile Organic Compounds Emissions in Fugitive Stream from 
Building Enclosure (Effective 11/29/1994)
Appendix E: Determining the Destruction or Removal Efficiency of a 
Control Device (Effective 11/29/1994)
Appendix F: Leak Detection Methods for Volatile Organic Compounds (VOCs) 
(Effective 11/29/1994)
Appendix G: Performance Specifications for Continuous Emissions 
Monitoring of Total Hydrocarbons (Effective 11/29/1994)
Appendix H: Quality Control Procedures for Continuous Emission 
Monitoring Systems (CEMS) (Effective 11/29/1994)
Appendix I: Method to Determine Length of Rolling Period for Liquid/
Liquid Material Balance (Effective 11/29/1994)
Appendix K: Emissions Estimation Methodologies (Effective 11/29/1994)
Appendix L: Method to Determine Total Organic Carbon for Offset 
Lithographic Solutions (Effective 11/29/1994)
Appendix M: Test Method for Determining the Performance of Alternative 
Cleaning Fluids (Effective 11/29/1994)

     7 DE Admin. Code 1125: Requirements for Preconstruction Review

Section 1.0: General Provisions (Effective 08/11/2005)
Section 2.0: Emission Offset Provisions (EOP) (Effective 08/11/2005)
Section 3.0: Prevention of Significant Deterioration of Air Quality 
(Effective 08/11/2005)
Section 4.0: Minor New Source Review (MNSR) (Effective 08/11/2005)

                  7 DE Admin. Code 1127: Stack Heights

Section 1.0: General Provisions (Effective 07/06/1982)
Section 2.0: Definitions Specific to this Regulation (Effective 12/07/
1988)
Section 3.0: Requirements for Existing and New Sources (Effective 02/18/
1987)
Section 4.0: Public Notification (Effective 02/18/1987)

 7 DE Admin. Code 1129: Emissions From Incineration of Infectious Waste

Section 1.0: General Provisions (10/13/1989)
Section 2.0: Exemptions (Effective 10/13/1989)
Section 3.0: Permit Requirements (Effective 10/13/1989)
Section 4.0: Methods of Treatment and Disposal (Effective 10/13/1989)
Section 5.0: Recordkeeping and Reporting Requirements (Effective 10/13/
1989)
Section 6.0: Evidence of Effectiveness of Treatment (Effective 10/13/
1989)
Section 7.0: Incineration (Effective 10/13/1989)

      7 DE Admin. Code 1130: Title V State Operating Permit Program

Section 1.0: Program Overview (Effective 11/15/1993)
Section 2.0: Definitions (Effective 11/15/1993)
Section 3.0: Applicability (Effective 11/15/1993)
Section 5.0: Permit Applications (Effective 11/15/1993)
Section 6.0: Permit Contents (Effective 12/11/2000)
Section 7.0: Permit Issuance, Renewal, Reopening, And Revisions 
(Effective 12/11/2000)
Section 8.0: Permit Review by EPA and Affected States (Effective 11/15/
1993)
Section 9.0: Permit Fees (Effective 11/15/1993)
Appendix A: Insignificant Activities (Effective 11/15/1993)

            7 DE Admin. Code 1132: Transportation Conformity

Section 1.0: Purpose (Effective 11/11/2007)
Section 2.0: Definitions (Effective 11/11/2007)
Section 3.0: Consultation (Effective 11/11/2007)
Section 4.0: Written Commitments for Control and Mitigation Measures 
(Effective 11/11/2007)

       7 DE Admin Code 1134: Emission Banking and Trading Program

Section 1.0: Program Overview (Effective 10/06/1997)
Section 2.0: Definitions (Effective 10/06/1997)
Section 3.0: Applicability (Effective 10/06/1997)
Section 4.0: Generating an Emission Reduction (Effective 10/06/1997)
Section 5.0: Application for Certification of an Emission Reduction as 
an ERC (Effective 10/06/1997)
Section 6.0: Source Baseline (Effective 10/06/1997)
Section 7.0: Post-Reduction Emission rate (Effective 10/06/1997)
Section 8.0: Certification of an Emission Reduction (Effective 10/06/
1997)
Section 9.0: Trading and Use of ERCs (Effective 10/06/1997)
Section 10.0: Record Keeping Requirements (Effective 10/06/1997)

[[Page 144]]

Section 11.0: ERC Banking System (Effective 10/06/1997)
Section 12.0: Fees (Effective 10/06/1997)
Section 13.0: Enforcement (Effective 10/06/1997)
Section 14.0: Program Evaluation and Individual Audits (Effective 10/06/
1997)

  7 DE Admin. Code 1135: Conformity of General Federal Actions to the 
                       State Implementation Plans

Section 1.0: Purpose (Effective 08/14/1996)
Section 2.0: Definitions (Effective 08/14/1996)
Section 3.0: Applicability (Effective 08/14/1996)
Section 4.0: Conformity Analysis (Effective 08/14/1996)
Section 5.0: Reporting Requirements (Effective 08/14/1996)
Section 6.0: Public Participation and Consultation (Effective 08/14/
1996)
Section 7.0: Frequency of Conformity Determinations (Effective 08/14/
1996)
Section 8.0: Criteria for Determining Conformity of General Federal 
Actions (Effective 08/14/1996)
Section 9.0: Procedures for Conformity Determinations of General Federal 
Actions (Effective 08/14/1996)
Section 10.0: Mitigation of Air Quality Impacts (Effective 08/14/1996)
Section 11.0: Savings Provisions (Effective 08/14/1996)

 7 DE Admin. Code 1139: Nitrogen Oxides (NOX) Budget Trading 
                                 Program

Section 1.0: Purpose (Effective 12/11/2000)
Section 2.0: Emission Limitation (Effective 12/11/2000)
Section 3.0: Applicability (Effective 12/11/2000)
Section 4.0: Definitions (Effective 12/11/2000)
Section 5.0: General Provisions (Effective 12/11/2000)
Section 6.0: NOX Authorized Account Representative for 
NOX Budget Sources (Effective 12/11/2000)
Section 7.0: Permits (Effective 12/11/2000)
Section 8.0: Monitoring and Reporting (Effective 12/11/2000)
Section 9.0: NATS (Effective 12/11/2000)
Section 10.0: NOX Allowance Transfers (Effective 12/11/2000)
Section 11.0: Compliance Certification (Effective 12/11/2000)
Section 12.0: End-of-Season Reconciliation (Effective 12/11/2000)
Section 13.0: Failure to Meet Compliance Requirements (Effective 12/11/
2000)
Section 14.0: Individual Units Opt-Ins (Effective 12/11/2000)
Section 15.0: General Accounts (Effective 12/11/2000)
Appendix A: Allowance Allocations to NOX Budget Units under 
3.1.1.1 and 3.1.1.2 of DE Admin. Code 1139 (Effective 02/11/2000)
Appendix B: 7 DE Admin. Code 1137--7 DE Admin. Code 1139 Program 
Transition (Effective 02/11/2000)

 7 DE Admin. Code 1140: Delaware's National Low Emission Vehicle (NLEV) 
                               Regulation

Section 1.0: Applicability (Effective 09/11/1999)
Section 2.0: Definitions (Effective 09/11/1999)
Section 3.0: Program Participation (Effective 09/11/1999)

      7 DE Admin. Code 1142: Specific Emission Control Requirements

Section 1.0: Control of NOX Emissions from Industrial Boilers 
(Effective 12/12/2001)

        7 DE Admin. Code 1143: Heavy Duty Diesel Engine Standards

Section 1.0: On Road Heavy Duty Diesel Requirements for Model Years 2005 
and 2006 (Effective 02/11/2005)
Section 2.0: On Road Heavy Duty Diesel Requirements for Model Year 2007 
and Later (Effective 02/11/2005)

  7 DE Admin. Code 1144: Control of Stationary Generator Emissions \1\
---------------------------------------------------------------------------

    \1\ All sections for 7 DE Admin. Code 1144: Control of Stationary 
Generator Emissions shall be incorporated by reference into 40 CFR part 
55 except for all references to Carbon Dioxide (CO2).
---------------------------------------------------------------------------

Section 1.0: General (Effective 01/11/2006)
Section 2.0: Definitions (Effective 01/11/2006)
Section 3.0: Emissions (Effective 01/11/2006)
Section 4.0: Operating Requirements (Effective 01/11/2006)
Section 5.0: Fuel Requirements (Effective 01/11/2006)
Section 7.0: Emissions Certification, Compliance, and Enforcement 
(Effective 01/11/2006)
Section 8.0: Credit for Concurrent Emissions Reductions (Effective 01/
11/2006)
Section 9.0: DVFA Member Companies (Effective 01/11/2006)

     7 DE Admin. Code 1145: Excessive Idling of Heavy Duty Vehicles

Section 1.0: Applicability (Effective 04/11/2005)
Section 2.0: Definitions (Effective 04/11/2005)
Section 3.0: Severability (Effective 04/11/2005)
Section 4.0: Operational Requirements for Heavy Duty Motor Vehicles 
(Effective 04/11/2005)
Section 5.0: Exemptions (Effective 04/11/2005)
Section 6.0: Enforcement and Penalty (Effective 04/11/2005)

 7 DE Admin. Code 1146: Electric Generating Unit (EGU) Multi-Pollutant 
                               Regulation

Section 1.0: Preamble (Effective 12/11/2006)

[[Page 145]]

Section 2.0: Applicability (Effective 12/11/2006)
Section 3.0: Definitions (Effective 12/11/2006)
Section 4.0: NOX Emissions Limitations (Effective 12/11/2006)
Section 5.0: SO2 Emissions Limitations (Effective 12/11/2006)
Section 6.0: Mercury Emissions Limitations (Effective 12/11/2006)
Section 7.0: Recordkeeping and Reporting (Effective 12/11/2006)
Section 8.0: Compliance Plan (Effective 12/11/2006)
Section 9.0: Penalties (Effective 12/11/2006)

7 DE Admin. Code 1148: Control of Stationary Combustion Turbine Electric 
                        Generating Unit Emissions

Section 1.0: Purpose (Effective 07/11/2007)
Section 2.0: Applicability (Effective 07/11/2007)
Section 3.0: Definitions (Effective 07/11/2007)
Section 4.0: NOX Emissions Limitations (Effective 07/11/2007)
Section 5.0: Monitoring and Reporting (Effective 07/11/2007)
Section 6.0: Recordkeeping (Effective 07/11/2007)
Section 7.0: Penalties (Effective 07/11/2007)
(2) [Reserved]

                                 Florida

    (a) State requirements.
    (1) The following requirements are contained in State of Florida 
Requirements Applicable to OCS Sources, January 2, 2008: Florida 
Administrative Code--Department of Environmental Protection. The 
following sections of Chapter 62:

                          CHAPTER 62-4 PERMITS

62-4.001 Scope of Part I (Effective 10/1/07)
62-4.020 Definitions (Effective 4/3/03)
62-4.021 Transferability of Definitions (Effective 8/31/88)
62-4.030 General Prohibition (Effective 8/31/88)
62-4.040 Exemptions (Effective 8/31/88)
62-4.050 Procedure to Obtain Permits and other Authorizations; 
          Applications (Effective 10/31/07)
62-4.055 Permit Processing (Effective 8/16/98)
62-4.060 Consultation (Effective 8/31/88)
62-4.070 Standards of Issuing or Denying Permits; Issuance; Denial 
          (Effective 3/28/91)
62-4.080 Modification of Permit Conditions (Effective 3/19/90)
62-4.090 Renewals (Effective 3/16/08)
62-4.100 Suspension and Revocation (Effective 8/31/88)
62-4.110 Financial Responsibility (Effective 8/31/88)
62-4.120 Transfer of Permits (Effective 4/16/01)
62-4.130 Plant Operation--Problems (Effective 8/31/88)
62-4.150 Review (Effective 8/31/88)
62-4.160 Permit Conditions (Effective 7/11/93)
62-4.200 Scope of Part II (Effective 10/1/07)
62-4.210 Construction Permits (Effective 8/31/88)
62-4.220 Operation Permit for New Sources (Effective 8/31/88)
62-4.249 Preservation of Rights (Effective 8/31/88)
62-4.510 Scope of Part III (Effective 10/1/07)
62-4.520 Definition (Effective 7/11/90)
62-4.530 Procedures (Effective 3/19/90)
62-4.540 General Conditions for All General Permits (Effective 8/31/88)

        CHAPTER 62-204 AIR POLLUTION CONTROL--GENERAL PROVISIONS

62-204.100 Purpose and Scope (Effective 3/13/96)
62-204.200 Definitions (Effective 2/12/06)
62-204.220 Ambient Air Quality Protection (Effective 3/13/96)
62-204.240 Ambient Air Quality Standards (Effective 3/13/96)
62-204.260 Prevention of Significant Deterioration Maximum Allowable 
          Increases (PSD Increments) (Effective 2/12/06)
62-204.320 Procedures for Designation and Redesignation of Areas 
          (Effective 3/13/96)
62-204.340 Designation of Attainment, Nonattainment, and Maintenance 
          Areas (Effective 3/13/96)
62-204.360 Designation of Prevention of Significant Deterioration Areas 
          (Effective 3/13/96)
62-204.400 Public Notice and Hearing Requirements for State 
          Implementation Plan Revisions (Effective 11/30/94)
62-204.500 Conformity (Effective 9/1/98)
62-204.800 Federal Regulations Effective by Reference (Effective 7/1/08)

         CHAPTER 62-210 STATIONARY SOURCES--GENERAL REQUIREMENTS

62-210.100 Purpose and Scope (Effective 1/10/07)
62-210.200 Definitions (Effective 3/16/08)
62-210.220 Small Business Assistance Program (Effective 2/11/99)
62-210.300 Permits Required (Effective 3/16/08)
62-210.310 Air General Permits (Effective 5/9/07)
62-210.350 Public Notice and Comment (Effective 2/2/06)
62-210.360 Administrative Permit Corrections (Effective 3/16/08)
62-210.370 Emissions Computation and Reporting (Effective 7/3/08)
62-210.550 Stack Height Policy (Effective 11/23/94)
62-210.650 Circumvention (Effective 8/26/1981)
62-210.700 Excess Emissions (Effective 11/23/94)

[[Page 146]]

62-210.900 Forms and Instructions (Effective 7/3/08)
62-210.920 Registration Forms for Air General Permits (Effective 5/9/07)

        CHAPTER 62-212 STATIONARY SOURCES--PRECONSTRUCTION REVIEW

62-212.100 Purpose and Scope (Effective5/20/97)
62-212.300 General Preconstruction Review Requirements (Effective 2/2/
          06)
62-212.400 Prevention of Significant Deterioration (PSD) (Effective 7/
          16/07)
62-212.500 Preconstruction Review for Nonattainment Areas (Effective 2/
          2/06)
62-212.600 Sulfur Storage and Handling Facilities (Effective 8/17/00)
62-212.710 Air Emissions Bubble (Effective 5/20/97)
62-212.720 Actuals Plantwide Applicability Limits (PALs) (Effective 7/
          16/07)

   CHAPTER 62-213 OPERATION PERMITS FOR MAJOR SOURCES OF AIR POLLUTION

62-213.100 Purpose and Scope (Effective 3/13/96)
62-213.202 Responsible Official (Effective 6/02/02)
62-213.205 Annual Emissions Fee (Effective 3/16/08)
62-213.300 Title V Air General Permits (Effective 4/14/03)
62-213.400 Permits and Permit Revisions Required (Effective 3/16/08)
62-213.405 Concurrent Processing of Permit Applications (Effective 6/02/
          02)
62-213.410 Changes Without Permit Revision (Effective 6/02/02)
62-213.412 Immediate Implementation Pending Revision Process (Effective 
          6/02/02)
62-213.413 Fast-Track Revisions of Acid Rain Parts (Effective 6/02/02)
62-213.415 Trading of Emissions Within a Source (Effective 4/16/01)
62-213.420 Permit Applications (Effective 3/16/08)
62-213.430 Permit Issuance, Renewal, and Revision (Effective 3/16/08)
62-213.440 Permit Content (Effective 3/16/08)
62-213.450 Permit Review by EPA and Affected States (Effective 1/03/01)
62-213.460 Permit Shield (Effective 3/16/08)
62-213.900 Forms and Instructions (Effective 4/14/03)

CHAPTER 62-214 REQUIREMENTS FOR SOURCES SUBJECT TO THE FEDERAL ACID RAIN 
                                 PROGRAM

62-214.100 Purpose and Scope (Effective 3/16/08)
62-214.300 Applicability (Effective 3/16/08)
62-214.320 Applications (Effective 3/16/08)
62-214.330 Acid Rain Compliance Plan and Compliance Options (Effective 
          3/16/08)
62-214.340 Exemptions (Effective 3/16/08)
62-214.350 Certification (Effective 12/10/97)
62-214.360 Department Action on Applications (Effective 3/16/08)
62-214.370 Revisions and Administrative Corrections (Effective 4/16/01)
62-214.420 Acid Rain Part Content (Effective 3/16/08)
62-214.430 Implementation and Termination of Compliance Options 
          (Effective 3/16/08)

                  CHAPTER 62-252 GASOLINE VAPOR CONTROL

62-252.100 Purpose and Scope (Effective 2/2/93)
62-252.200 Definitions (Effective 5/9/07)
62-252.300 Gasoline Dispensing Facilities--Stage I Vapor Recovery 
          (Effective 5/9/07)
62-252.400 Gasoline Dispensing Facilities--Stage II Vapor Recovery 
          (Effective 5/9/07)
62-252.500 Gasoline Tanker Trucks or Trailers (Effective 5/9/07)
62-252.900 Form. (Effective 5/9/07)

         CHAPTER 62-256 OPEN BURNING AND FROST PROTECTION FIRES

62-256.200 Definitions (Effective 7/6/05)
62-256.300 Prohibitions (Effective 7/6/05)
62-256.700 Open Burning Allowed (Effective 7/6/05)

          CHAPTER 62-296 STATIONARY SOURCES-EMISSION STANDARDS

62-296.100 Purpose and Scope (Effective 3/13/96)
62-296.320 General Pollutant Emission Limiting Standards (Effective 3/
          13/96)
62-296.340 Best Available Retrofit Technology (Effective 1/31/07)
62-296.341 Regional Haze--Reasonable Progress Control Technology 
          (Effective 2/7/08)
62-296.401 Incinerators (Effective 1/10/07)
62-296.402 Sulfuric Acid Plants (Effective 3/13/96)
62-296.403 Phosphate Processing (Effective 3/13/96)
62-296.404 Kraft (Sulfate) Pulp Mills and Tall Oil Plants (Effective 3/
          13/96)
62-296.405 Fossil Fuel Steam Generators with More Than 250 Million Btu 
          Per Hour Heat Input (Effective 3/2/99)
62-296.406 Fossil Fuel Steam Generators with Less Than 250 Million Btu 
          Per Hour Heat Input, New and Existing Emissions Units 
          (Effective 3/2/99)
62-296.407 Portland Cement Plants (Effective 1/1/96)
62-296.408 Nitric Acid Plants (Effective 1/1/96)
62-296.409 Sulfur Recovery Plants (Effective 1/1/96)
62-296.410 Carbonaceous Fuel Burning Equipment (Effective 1/1/96)
62-296.411 Sulfur Storage and Handling Facilities (Effective 1/1/96)

[[Page 147]]

62-296.412 Dry Cleaning Facilities (Effective 10/7/96)
62-296.413 Synthetic Organic Fiber Production (Effective 2/12/06)
62-296.414 Concrete Batching Plants (Effective 1/10/07)
62-296.415 Soil Thermal Treatment Facilities (Effective 3/13/96)
62-296.416 Waste-to-Energy Facilities (Effective 10/20/96)
62-296.417 Volume Reduction, Mercury Recovery and Mercury Reclamation 
          (Effective 3/2/99)
62-296.418 Bulk Gasoline Plants (Effective 5/9/07)
62-296.470 Implementation of Federal Clean Air Interstate Rule 
          (Effective 4/1/07)
62-296.480 Implementation of Federal Clean Air Mercury Rule (Effective 
          9/6/06)
62-296.500 Reasonably Available Control Technology (RACT)--Volatile 
          Organic Compounds (VOC) and Nitrogen Oxides (NOX) 
          Emitting Facilities (Effective 1/1/96)
62-296.501 Can Coating (Effective 1/1/96)
62-296.502 Coil Coating (Effective 1/1/96)
62-296.503 Paper Coating (Effective 1/1/96)
62-296.504 Fabric and Vinyl Coating (Effective 1/1/96)
62-296.505 Metal Furniture Coating (Effective 1/1/96)
62-296.506 Surface Coating of Large Appliances (Effective 1/1/96)
62-296.507 Magnet Wire Coating (Effective 1/1/96)
62-296.508 Petroleum Liquid Storage (Effective 1/1/96)
62-296.510 Bulk Gasoline Terminals (Effective 1/1/96)
62-296.511 Solvent Metal Cleaning (Effective 10/7/96)
62-296.512 Cutback Asphalt (Effective 1/1/96)
62-296.513 Surface Coating of Miscellaneous Metal Parts and Products 
          (Effective 1/1/96)
62-296.514 Surface Coating of Flat Wood Paneling (Effective 1/1/96)
62-296.515 Graphic Arts Systems (Effective 1/1/96)
62-296.516 Petroleum Liquid Storage Tanks with External Floating Roofs 
          (Effective 1/1/96)
62-296.570 Reasonably Available Control Technology (RACT)--Requirements 
          for Major VOC and NOX-Emitting Facilities 
          (Effective 3/2/99)
62-296.600 Reasonably Available Control Technology (RACT) Lead 
          (Effective 3/13/96)
62-296.601 Lead Processing Operations in General (Effective 1/1/96)
62-296.602 Primary Lead-Acid Battery Manufacturing Operations (Effective 
          3/13/96)
62-296.603 Secondary Lead Smelting Operations (Effective 1/1/96)
62-296.604 Electric Arc Furnace Equipped Secondary Steel Manufacturing 
          Operations. (Effective 1/1/96)
62-296.605 Lead Oxide Handling Operations (Effective 8/8/1994)
62-296.700 Reasonably Available Control Technology (RACT) Particulate 
          Matter (Effective 1/1/96)
62-296.701 Portland Cement Plants (Effective 1/1/96)
62-296.702 Fossil Fuel Steam Generators (Effective 1/1/96)
62-296.703 Carbonaceous Fuel Burners (Effective 1/1/96)
62-296.704 Asphalt Concrete Plants (Effective 1/1/96)
62-296.705 Phosphate Processing Operations (Effective 1/1/96)
62-296.706 Glass Manufacturing Process (Effective 1/1/96)
62-296.707 Electric Arc Furnaces (Effective 1/1/96)
62-296.708 Sweat or Pot Furnaces (Effective 1/1/96)
62-296.709 Lime Kilns (Effective 1/1/96)
62-296.710 Smelt Dissolving Tanks (Effective 1/1/96)
62-296.711 Materials Handling, Sizing, Screening, Crushing and Grinding 
          Operations (Effective 1/1/96)
62-296.712 Miscellaneous Manufacturing Process Operations (Effective 1/
          1/96)

          CHAPTER 62-297 STATIONARY SOURCE EMISSIONS MONITORING

62-297.100 Purpose and Scope (Effective 3/13/96)
62-297.310 General Compliance Test Requirements (Effective 3/2/99)
62-297.320 Standards for Persons Engaged in Visible Emissions 
          Observations (Effective 2/12/04)
62-297.401 Compliance Test Methods (Effective 3/2/99)
62-297.440 Supplementary Test Procedures (Effective 10/22/02)
62-297.450 EPA VOC Capture Efficiency Test Procedures (Effective 3/2/99)
62-297.520 EPA Continuous Monitor Performance Specifications (Effective 
          3/2/99)
62-297.620 Exceptions and Approval of Alternate Procedures and 
          Requirements (Effective 11/23/94)

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

                              Massachusetts

    (a) State requirements.
    (1) The following Commonwealth of Massachusetts requirements are 
applicable to OCS Sources, May 20, 2010, Commonwealth of Massachusetts--
Department of Environmental Protection.
    The following sections of 310 CMR 4.00, 310 CMR 6.00, 310 CMR 7.00 
and 310 CMR 8.00:

[[Page 148]]

         310 CMR 4.00: Timely Action Schedule and Fee Provisions

Section 4.01: Purpose, Authority and General Provisions (Effective 9/4/
2009)
Section 4.02: Definitions (Effective 9/4/2009)
Section 4.03: Annual Compliance Assurance Fee (Effective 9/4/2009)
Section 4.04: Permit Application Schedules and Fee (Effective 9/4/2009)
Section 4.10: Appendix: Schedules for Timely Action and Permit 
Application Fees (Effective 9/4/2009)

  310 CMR 6.00: Ambient Air Quality Standards for the Commonwealth of 
                              Massachusetts

Section 6.01: Definitions (Effective 4/2/2010)
Section 6.02: Scope (Effective 4/2/2010)
Section 6.03: Reference Conditions (Effective 4/2/2010)
Section 6.04: Standards (Effective 4/2/2010)

                   310 CMR 7.00: Air Pollution Control

Section 7.00: Statutory Authority; Legend; Preamble; Definitions 
(Effective 4/2/2010)
Section 7.01: General Regulations to Prevent Air Pollution (Effective 4/
2/2010)
Section 7.02: U Plan Approval and Emission Limitations (Effective 4/2/
2010)
Section 7.03: U Plan Approval Exemptions: Construction Requirements 
(Effective 4/2/2010)
Section 7.04: U Fossil Fuel Utilization Facilities (Effective 4/2/2010)
Section 7.05: U Fuels All Districts (Effective 4/2/2010)
Section 7.06: U Visible Emissions (Effective 4/2/2010)
Section 7.07: U Open Burning (Effective 4/2/2010)
Section 7.08: U Incinerators (Effective 4/2/2010)
Section 7.09: U Dust, Odor, Construction and Demolition (Effective 4/2/
2010)
Section 7.11: U Transportation Media (Effective 4/2/2010)
Section 7.12: U Source Registration (Effective 4/2/2010)
Section 7.13: U Stack Testing (Effective 4/2/2010)
Section 7.14: U Monitoring Devices and Reports (Effective 4/2/2010)
Section 7.15: U Asbestos (Effective 4/2/2010)
Section 7.18: U Volatile and Halogenated Organic Compounds (Effective 4/
2/2010)
Section 7.19: U Reasonably Available Control Technology (RACT) for 
Sources of Oxides of Nitrogen (NOX) (Effective 4/2/2010)
Section 7.21: Sulfur Dioxide Emissions Limitations (Effective 4/2/2010)
Section 7.22: Sulfur Dioxide Emissions Reductions for the Purpose of 
Reducing Acid Rain (Effective 4/2/2010)
Section 7.24: U Organic Material Storage and Distribution (Effective 4/
2/2010)
Section 7.25: U Best Available Controls for Consumer and Commercial 
Products (Effective 4/2/2010)
Section 7.26: Industry Performance Standards (Effective 4/2/2010)
Section 7.32: Massachusetts Clean Air Interstate Rule (Mass CAIR) 
(Effective 4/2/2010)
Section 7.60: U Severability (Effective 4/2/2010)
Section 7.70: Massachusetts CO2 Budget Trading Program (Effective 4/2/
2010)
Section 7.71: Reporting of Greenhouse Gas Emissions (Effective 4/2/2010)
Section 7.00: Appendix A (Effective 4/2/2010)
Section 7.00: Appendix B (Effective 4/2/2010)
Section 7.00: Appendix C (Effective 4/2/2010)

 310 CMR 8.00: The Prevention and/or Abatement of Air Pollution Episode 
                 and Air Pollution Incident Emergencies

Section 8.01: Introduction (Effective 4/2/2010)
Section 8.02: Definitions (Effective 4/2/2010)
Section 8.03: Air Pollution Episode Criteria (Effective 4/2/2010)
Section 8.04: Air Pollution Episode Potential Advisories (Effective 4/2/
2010)
Section 8.05: Declaration of Air Pollution Episodes and Incidents 
(Effective 4/2/2010)
Section 8.06: Termination of Air Pollution Episodes and Incident 
Emergencies (Effective 4/2/2010)
Section 8.07: Emission Reductions Strategies (Effective 4/2/2010)
Section 8.08: Emission Reduction Plans (Effective 4/2/2010)
Section 8.15: Air Pollution Incident Emergency (Effective 4/2/2010)
Section 8.30: Severability (Effective 4/2/2010)
(2) [Reserved]

                               New Jersey

    (a) State requirements.
    (1) The following State of New Jersey requirements are applicable to 
OCS Sources, as of August 13, 2009. New Jersey State Department of 
Environmental Protection--New Jersey Administrative Code. The following 
sections of Title 7:

    Chapter 27 Subchapter 2--Control and Prohibition of Open Burning 
                           (Effective 6/20/94)

N.J.A.C. 7:27-2.1. Definitions
N.J.A.C. 7:27-2.2. Open burning for salvage operations
N.J.A.C. 7:27-2.3. Open burning of refuse
N.J.A.C. 7:27-2.4. General provisions
N.J.A.C. 7:27-2.6. Prescribed burning
N.J.A.C. 7:27-2.7. Emergencies
N.J.A.C. 7:27-2.8. Dangerous material
N.J.A.C. 7:27-2.12. Special permit
N.J.A.C. 7:27-2.13. Fees

[[Page 149]]

     Chapter 27 Subchapter 3--Control and Prohibition of Smoke From 
                  Combustion of Fuel (Effective 2/4/02)

N.J.A.C. 7:27-3.1. Definitions
N.J.A.C. 7:27-3.2. Smoke emissions from stationary indirect heat 
exchangers
N.J.A.C. 7:27-3.3. Smoke emissions from marine installations
N.J.A.C. 7:27-3.4. Smoke emissions from the combustion of fuel in mobile 
sources
N.J.A.C. 7:27-3.5. Smoke emissions from stationary internal combustion 
engines and stationary turbine engines
N.J.A.C. 7:27-3.6. Stack test
N.J.A.C. 7:27-3.7. Exceptions

   Chapter 27 Subchapter 4--Control and Prohibition of Particles From 
                 Combustion of Fuel (Effective 4/20/09)

N.J.A.C. 7:27-4.1. Definitions
N.J.A.C. 7:27-4.2. Standards for the emission of particles
N.J.A.C. 7:27-4.3. Performance test principle
N.J.A.C. 7:27-4.4. Emissions tests
N.J.A.C. 7:27-4.6. Exceptions

 Chapter 27 Subchapter 5--Prohibition of Air Pollution (Effective 10/12/
                                   77)

N.J.A.C. 7:27-5.1. Definitions
N.J.A.C. 7:27-5.2. General provisions

   Chapter 27 Subchapter 6--Control and Prohibition of Particles From 
               Manufacturing Processes (Effective 6/12/98)

N.J.A.C. 7:27-6.1. Definitions
N.J.A.C. 7:27-6.2. Standards for the emission of particles
N.J.A.C. 7:27-6.3. Performance test principles
N.J.A.C. 7:27-6.4. Emissions tests
N.J.A.C. 7:27-6.5. Variances
N.J.A.C. 7:27-6.7. Exceptions

           Chapter 27 Subchapter 7--Sulfur (Effective 3/1/67)

N.J.A.C. 7:27-7.1. Definitions
N.J.A.C. 7:27-7.2. Control and prohibition of air pollution from sulfur 
compounds

 Chapter 27 Subchapter 8--Permits and Certificates for Minor Facilities 
 (and Major Facilities Without an Operating Permit) (Effective 4/20/09)

N.J.A.C. 7:27-8.1. Definitions
N.J.A.C. 7:27-8.2. Applicability
N.J.A.C. 7:27-8.3. General provisions
N.J.A.C. 7:27-8.4. How to apply, register, submit a notice, or renew
N.J.A.C. 7:27-8.5. Air quality impact analysis
N.J.A.C. 7:27-8.6. Service fees
N.J.A.C. 7:27-8.7. Operating certificates
N.J.A.C. 7:27-8.8. General permits
N.J.A.C. 7:27-8.9. Environmental improvement pilot tests
N.J.A.C. 7:27-8.11. Standards for issuing a permit
N.J.A.C. 7:27-8.12. State of the art
N.J.A.C. 7:27-8.13. Conditions of approval
N.J.A.C. 7:27-8.14. Denials
N.J.A.C. 7:27-8.15. Reporting requirements
N.J.A.C. 7:27-8.16. Revocation
N.J.A.C. 7:27-8.17. Changes to existing permits and certificates
N.J.A.C. 7:27-8.18. Permit revisions
N.J.A.C. 7:27-8.19. Compliance plan changes
N.J.A.C. 7:27-8.20. Seven-day notice changes
N.J.A.C. 7:27-8.21. Amendments
N.J.A.C. 7:27-8.22. Changes to sources permitted under batch plant, 
pilot plant, dual plant, or laboratory operating permitting procedures
N.J.A.C. 7:27-8.23. Reconstruction
N.J.A.C. 7:27-8.24. Special provisions for construction but not 
operation
N.J.A.C. 7:27-8.25. Special provisions for pollution control equipment 
or pollution prevention process modifications
N.J.A.C. 7:27-8.26. Civil or criminal penalties for failure to comply
N.J.A.C. 7:27-8.27. Special facility-wide permit provisions
N.J.A.C. 7:27-8.28. Delay of testing
Appendix I

      Chapter 27 Subchapter 9--Sulfur in Fuels (Effective 4/19/00)

N.J.A.C. 7:27-9.1. Definitions
N.J.A.C. 7:27-9.2. Sulfur content standards
N.J.A.C. 7:27-9.3. Exemptions
N.J.A.C. 7:27-9.4. Waiver of air quality modeling
N.J.A.C. 7:27-9.5. Incentive for conversion to coal or other solid fuel

  Chapter 27 Subchapter 10--Sulfur in Solid Fuels (Effective 04/20/09)

N.J.A.C. 7:27-10.1. Definitions
N.J.A.C. 7:27-10.2. Sulfur contents standards
N.J.A.C. 7:27-10.3. Expansion, reconstruction or construction of solid 
fuel burning units
N.J.A.C. 7:27-10.4. Exemptions
N.J.A.C. 7:27-10.5. SO2 emission rate determinations

        Chapter 27 Subchapter 11--Incinerators (Effective 5/4/98)

N.J.A.C. 7:27-11.1. Definitions
N.J.A.C. 7:27-11.2. Construction standards
N.J.A.C. 7:27-11.3. Emission standards
N.J.A.C. 7:27-11.4. Permit to construct; certificate to operate
N.J.A.C. 7:27-11.5. Operation
N.J.A.C. 7:27-11.6. Exceptions

   Chapter 27 Subchapter 12--Prevention and Control of Air Pollution 
                     Emergencies (Effective 3/19/74)

N.J.A.C. 7:27-12.1. Definitions
N.J.A.C. 7:27-12.2. Emergency criteria
N.J.A.C. 7:27-12.3. Criteria for emergency termination
N.J.A.C. 7:27-12.4. Standby plans

[[Page 150]]

N.J.A.C. 7:27-12.5. Standby orders
Table I Emission Reduction Objectives
Table II Emission Reduction Objectives
Table III Emission Reduction Objectives

 Chapter 27 Subchapter 16--Control and Prohibition of Air Pollution by 
             Volatile Organic Compounds (Effective 04/20/09)

N.J.A.C. 7:27-16.1. Definitions
N.J.A.C. 7:27-16.1A. Purpose, scope, applicability, and severability
N.J.A.C. 7:27-16.2. VOC stationary storage tanks
N.J.A.C. 7:27-16.3. Gasoline transfer operations
N.J.A.C. 7:27-16.4. VOC transfer operations, other than gasoline
N.J.A.C. 7:27-16.5. Marine tank vessel loading and ballasting operations
N.J.A.C. 7:27-16.6. Open top tanks and solvent cleaning operations
N.J.A.C. 7:27-16.7. Surface coating and graphic arts operations
N.J.A.C. 7:27-16.8. Boilers
N.J.A.C. 7:27-16.9. Stationary combustion turbines
N.J.A.C. 7:27-16.10. Stationary reciprocating engines
N.J.A.C. 7:27-16.12. Surface coating operations at mobile equipment 
repair and refinishing facilities
N.J.A.C. 7:27-16.13. Flares
N.J.A.C. 7:27-16.16. Other source operations
N.J.A.C. 7:27-16.17. Alternative and facility-specific VOC control 
requirements
N.J.A.C. 7:27-16.18. Leak detection and repair
N.J.A.C. 7:27-16.19. Application of cutback and emulsified asphalts
N.J.A.C. 7:27-16.21. Natural gas pipelines
N.J.A.C. 7:27-16.22. Emission information, recordkeeping and testing
N.J.A.C. 7:27-16.23. Procedures for demonstrating compliance
N.J.A.C. 7:27-16.26. Variances
N.J.A.C. 7:27-16.27. Exceptions
APPENDIX I
APPENDIX II

Chapter 27 Subchapter 18--Control and Prohibition of Air Pollution From 
 New or Altered Sources Affecting Ambient Air Quality (Emission Offset 
                       Rules) (Effective 12/1/08)

N.J.A.C. 7:27-18.1. Definitions
N.J.A.C. 7:27-18.2. Facilities subject to this subchapter
N.J.A.C. 7:27-18.3. Standards for issuance of permits
N.J.A.C. 7:27-18.4. Air quality impact analysis
N.J.A.C. 7:27-18.5. Standards for use of emission reductions as emission 
offsets
N.J.A.C. 7:27-18.6. Emission offset postponement
N.J.A.C. 7:27-18.7. Determination of a net emission increase or a 
significant net emission increase
N.J.A.C. 7:27-18.8. Banking of emission reductions
N.J.A.C. 7:27-18.9. Secondary emissions
N.J.A.C. 7:27-18.10. Exemptions
N.J.A.C. 7:27-18.12. Civil or criminal penalties for failure to comply

Chapter 27 Subchapter 19--Control and Prohibition of Air Pollution From 
                 Oxides of Nitrogen (Effective 04/20/09)

N.J.A.C. 7:27-19.1. Definitions
N.J.A.C. 7:27-19.2. Purpose, scope and applicability
N.J.A.C. 7:27-19.3. General provisions
N.J.A.C. 7:27-19.4. Boilers serving electric generating units
N.J.A.C. 7:27-19.5. Stationary combustion turbines
N.J.A.C. 7:27-19.6. Emissions averaging
N.J.A.C. 7:27-19.7. Industrial/commercial/institutional boilers and 
other indirect heat exchangers
N.J.A.C. 7:27-19.8. Stationary reciprocating engines
N.J.A.C. 7:27-19.11. Emergency generators--recordkeeping
N.J.A.C. 7:27-19.13. Alternative and facility-specific NOX 
emission limits
N.J.A.C. 7:27-19.14. Procedures for obtaining approvals under this 
subchapter
N.J.A.C. 7:27-19.15. Procedures and deadlines for demonstrating 
compliance
N.J.A.C. 7:27-19.16. Adjusting combustion processes
N.J.A.C. 7:27-19.17. Source emissions testing
N.J.A.C. 7:27-19.18. Continuous emissions monitoring
N.J.A.C. 7:27-19.19. Recordkeeping and recording
N.J.A.C. 7:27-19.20. Fuel switching
N.J.A.C. 7:27-19.21. Phased compliance--repowering
N.J.A.C. 7:27-19.23. Phased compliance--use of innovative control 
technology
N.J.A.C. 7:27-19.24. MEG alerts
N.J.A.C. 7:27-19.25. Exemption for emergency use of fuel oil
N.J.A.C. 7:27-19.26. Penalties

    Chapter 27 Subchapter 20--Used Oil Combustion (Effective 6/19/06)

N.J.A.C. 7:27-20.1. Definitions
N.J.A.C. 7:27-20.2. General provisions
N.J.A.C. 7:27-20.3. Burning of on-specification used oil in space 
heaters covered by a registration
N.J.A.C. 7:27-20.4. Burning of on-specification used oil in space 
heaters covered by a permit
N.J.A.C. 7:27-20.5. Demonstration that used oil is on-specification
N.J.A.C. 7:27-20.6. Burning of on-specification oil in other combustion 
units
N.J.A.C. 7:27-20.7. Burning of off-specification used oil
N.J.A.C. 7:27-20.8. Ash standard

[[Page 151]]

N.J.A.C. 7:27-20.9. Exception

    Chapter 27 Subchapter 21--Emission Statements (Effective 4/20/09)

N.J.A.C. 7:27-21.1. Definitions
N.J.A.C. 7:27-21.2. Applicability
N.J.A.C. 7:27-21.3. General provisions
N.J.A.C. 7:27-21.4. Procedures for submitting an emission statement
N.J.A.C. 7:27-21.5. Required contents of an emission statement
N.J.A.C. 7:27-21.6 Methods to be used for quantifying actual emissions
N.J.A.C. 7:27-21.7. Recordkeeping requirements
N.J.A.C. 7:27-21.8. Certification of information
N.J.A.C. 7:27-21.9. Request for extensions
N.J.A.C. 7:27-21.10. Notification of non-applicability
N.J.A.C. 7:27-21.11. Severability

     Chapter 27 Subchapter 22--Operating Permits (Effective 12/1/08)

N.J.A.C. 7:27-22.1. Definitions
N.J.A.C. 7:27-22.2. Applicability
N.J.A.C. 7:27-22.3. General provisions
N.J.A.C. 7:27-22.4. General application procedures
N.J.A.C. 7:27-22.5. Application procedures for initial operating permits
N.J.A.C. 7:27-22.6. Operating permit application contents
N.J.A.C. 7:27-22.7. Application shield
N.J.A.C. 7:27-22.8. Air quality simulation modeling and risk assessment
N.J.A.C. 7:27-22.9. Compliance plans
N.J.A.C. 7:27-22.10. Completeness reviews
N.J.A.C. 7:27-22.11. Public comment
N.J.A.C. 7:27-22.12. EPA comment
N.J.A.C. 7:27-22.13. Final action on an application
N.J.A.C. 7:27-22.14. General operating permits
N.J.A.C. 7:27-22.15. Temporary facility operating permits
N.J.A.C. 7:27-22.16. Operating permit contents
N.J.A.C. 7:27-22.17. Permit shield
N.J.A.C. 7:27-22.18. Source emissions testing and monitoring
N.J.A.C. 7:27-22.19. Recordkeeping, reporting and compliance 
certification
N.J.A.C. 7:27-22.20. Administrative amendments
N.J.A.C. 7:27-22.21. Changes to insignificant source operations
N.J.A.C. 7:27-22.22. Seven-day-notice changes
N.J.A.C. 7:27-22.23. Minor modifications
N.J.A.C. 7:27-22.24. Significant modifications
N.J.A.C. 7:27-22.24A. Reconstruction
N.J.A.C. 7:27-22.25. Department initiated operating permit modifications
N.J.A.C. 7:27-22.26. MACT and GACT standards
N.J.A.C. 7:27-22.27. Operating scenarios
N.J.A.C. 7:27-22.28A. Emissions trading
N.J.A.C. 7:27-22.28B. Facility-specific emissions averaging programs
N.J.A.C. 7:27-22.29. Facilities subject to acid deposition control
N.J.A.C. 7:27-22.30. Renewals
N.J.A.C. 7:27-22.31. Fees
N.J.A.C. 7:27-22.32. Hearings and appeals
N.J.A.C. 7:27-22.33. Preconstruction review
N.J.A.C. 7:27-22.34. Early reduction of HAP emissions
N.J.A.C. 7:27-22.35. Advances in the art of air pollution
APPENDIX
TABLE A
TABLE B

       Chapter 27 Subchapter 30--Clean Air Interstate Rule (CAIR) 
           NOX Trading Program (Effective 8/17/07)

N.J.A.C. 7:27-30.1. Purpose and scope
N.J.A.C. 7:27-30.2. Definitions
N.J.A.C. 7:27-30.3. Allocation of CAIR NOX annual allowances 
& CAIR NOX ozone season allowances
N.J.A.C. 7:27-30.4. The compliance supplement pool
N.J.A.C. 7:27-30.5. Claims for incentive allowances
N.J.A.C. 7:27-30.6. Reporting requirements

 Chapter 27 Subchapter 31--NOX Budget Program (Effective 4/5/
                                   04)

N.J.A.C. 7:27-31.1. Purpose and scope
N.J.A.C. 7:27-31.2. Definitions
N.J.A.C. 7:27-31.3. Applicability and general provisions
N.J.A.C. 7:27-31.4. Opt-in provisions
N.J.A.C. 7:27-31.5. Interface with the emission offset program
N.J.A.C. 7:27-31.6. Use of allowances by former users of DER credits
N.J.A.C. 7:27-31.7. Annual allowance allocation
N.J.A.C. 7:27-31.8. Claims for incentive allowances
N.J.A.C. 7:27-31.9. Permits
N.J.A.C. 7:27-31.10. Allowance use, transfer and retirement
N.J.A.C. 7:27-31.11. Allowance banking
N.J.A.C. 7:27-31.12. Early reductions
N.J.A.C. 7:27-31.13. NOX allowance tracking system (NATS)
N.J.A.C. 7:27-31.14. Emission monitoring
N.J.A.C. 7:27-31.15. Recordkeeping
N.J.A.C. 7:27-31.16. Reporting
N.J.A.C. 7:27-31.17. End-of-season reconciliation
N.J.A.C. 7:27-31.18. Compliance certification
N.J.A.C. 7:27-31.19. Excess emissions deduction
N.J.A.C. 7:27-31.20. Program audit
N.J.A.C. 7:27-31.21. Guidance documents and sources incorporated by 
reference

[[Page 152]]

    Chapter 27B Subchapter 1--Sampling and Analytical Procedures for 
Determining Emissions of Particles From Manufacturing Processes and From 
                 Combustion of Fuels (Effective 6/1/76)

N.J.A.C. 7:27B-1.1. Definitions
N.J.A.C. 7:27B-1.2. Acceptable test methods
N.J.A.C. 7:27B-1.3. Operating conditions during the test
N.J.A.C. 7:27B-1.4. Sampling facilities to be provided by the person 
responsible for emissions
N.J.A.C. 7:27B-1.5. Sampling train
N.J.A.C. 7:27B-1.6. Performance test principle
N.J.A.C. 7:27B-1.7. General testing requirements
N.J.A.C. 7:27B-1.8. Required test data
N.J.A.C. 7:27B-1.9. Preparation for sampling
N.J.A.C. 7:27B-1.10. Sampling
N.J.A.C. 7:27B-1.11. Sample recovery
N.J.A.C. 7:27B-1.12. Analysis
N.J.A.C. 7:27B-1.13. Calculations
N.J.A.C. 7:27B-1.14. Validation of test

  Chapter 27B Subchapter 2--Procedures for Visual Determination of the 
    Opacity (Percent) and Shade or Appearance (Ringelmann Number) of 
               Emissions From Sources (Effective 6/21/76)

N.J.A.C. 7:27B-2.1. Definitions
N.J.A.C. 7:27B-2.2. Acceptable observation methods
N.J.A.C. 7:27B-2.3. Observation principle
N.J.A.C. 7:27B-2.4. General observation requirements
N.J.A.C. 7:27B-2.5. Required observation data
N.J.A.C. 7:27B-2.6. Certification
REFERENCES
APPENDIX

  Chapter 27B Subchapter 3--Air Test Method 3: Sampling and Analytical 
  Procedures for the Determination of Volatile Organic Compounds From 
                  Source Operations (Effective 12/1/08)

N.J.A.C. 7:27B-3.1. Definitions
N.J.A.C. 7:27B-3.2. Sampling and analytical protocol: acceptable test 
methods
N.J.A.C. 7:27B-3.3. Operating conditions during the test
N.J.A.C. 7:27B-3.4. Sampling facilities
N.J.A.C. 7:27B-3.5. Source operations and applicable test methods
N.J.A.C. 7:27B-3.6. Procedures for the determinations of vapor pressures 
of a single known VOC or mixtures of known and/or unknown VOC
N.J.A.C. 7:27B-3.7. Procedures for the direct measurement of volatile 
organic compounds using a flame ionization detector (FID), a 
photoionization detector (PID) or a non-dispersive infrared analyzer 
(NDIR)
N.J.A.C. 7:27B-3.8. Procedures for the direct measurement of volatile 
organic compounds using a gas chromatograph (GC) with a flame ionization 
detector (FID) or other suitable detector
N.J.A.C. 7:27B-3.9. Procedures for the sampling and remote analysis of 
known volatile organic compounds using a gas chromatograph (GC) with a 
flame ionization detector (FID) or other suitable detector
N.J.A.C. 7:27B-3.10. Procedures for the determination of volatile 
organic compounds in surface coating formulations
N.J.A.C. 7:27B-3.11. Procedures for the determination of volatile 
organic compounds emitted from transfer operations using a flame 
ionization detector (FID) or non-dispersive infrared analyzer (NDIR)
N.J.A.C. 7:27B-3.12. Procedures for the determination of volatile 
organic compounds in cutback and emulsified asphalts
N.J.A.C. 7:27B-3.13. Procedures for the determination of leak tightness 
of gasoline delivery vessels
N.J.A.C. 7:27B-3.14. Procedures for the direct detection of fugitive 
volatile organic compound leaks
N.J.A.C. 7:27B-3.15. Procedures for the direct detection of fugitive 
volatile organic compound leaks from gasoline tank trucks and vapor 
collection systems using a combustible gas detector
N.J.A.C. 7:27B-3.18. Test methods and sources incorporated by reference.

                                New York

    (a) State requirements.
    (1) The following State of New York requirements are applicable to 
OCS Sources, October 20, 2007. New York Environmental Conservation Law--
Department of Environmental Conservation. The following sections of 
Title 6, Chapter III:

                      Part 200. General Provisions

6 NYCRR 200.1. Definitions (effective 8/9/06)
6 NYCRR 200.2. Safeguarding Information (effective 1/16/92)
6 NYCRR 200.3. False Statement (effective 6/16/72)
6 NYCRR 200.4. Severability (effective 8/9/84)
6 NYCRR 200.5. Sealing (effective 2/22/79)
6 NYCRR 200.6. Acceptable Ambient Air Quality (effective 4/6/83)
6 NYCRR 200.7. Maintenance of Equipment (effective 2/22/79)
6 NYCRR 200.8. Conflict of Interest (effective 1/12/75)
6 NYCRR 200.9. Referenced Material (effective 1/271/07)
6 NYCRR 200.10. Federal Standards and Requirements (effective 10/20/07)

                   Part 201. Permits and Certificates

6 NYCRR 201-1. General Provisions (effective 7/7/96)
6 NYCRR 201-2. Definitions (effective 11/21/98)
6 NYCRR 201-3. Exemptions and Trivial Activities (effective 5/7/03)

[[Page 153]]

6 NYCRR 201-4. Minor Facility Registrations (effective 7/7/96)
6 NYCRR 201-5. State Facility Permits (effective 7/7/96)
6 NYCRR 201-6. Title V Facility Permits (effective 1/18/02)
6 NYCRR 201-7. Federally Enforceable Emission Caps (effective 7/7/96)
6 NYCRR 201-8. General Permits (effective 7/7/96)

                    Part 202. Emissions Verification

6 NYCRR 202-1. Emissions Testing, Sampling and Analytical Determinations 
(effective 5/29/05)
6 NYCRR 202-2. Emission Statements (effective 5/29/05)

             Part 204. NOX Budget Trading Program

6 NYCRR 204-1. General Provisions (effective 2/25/00)
6 NYCRR 204-2. Authorized Account Representative for NOX 
Budget Sources (effective 2/25/00)
6 NYCRR 204-3. Permits (effective 2/25/00)
6 NYCRR 204-4. Compliance Certification (effective 2/25/00)
6 NYCRR 204-5. Allowance Allocations (effective 2/25/00)
6 NYCRR 204-6. Allowance Tracking System (effective 2/25/00)
6 NYCRR 204-7. NOX Allowance Transfers (effective 2/25/00)
6 NYCRR 204-8. Monitoring and Reporting (effective 2/25/00)
6 NYCRR 204-9. Individual Unit Opt-ins (effective 2/25/00)

Part 207--Control Measures for Air Pollution Episode (Effective 2/22/79)

                Part 210--Emissions and Labeling Require-
                    ments for Personal Watercraft En-
                                  gines

6 NYCRR 210-1. Applicability and Definitions (effective 8/8/03)
6 NYCRR 210-2. Certification and Prohibitions (effective 8/8/03)
6 NYCRR 210-3. Family Emission Limits (effective 8/8/03)
6 NYCRR 210-4. In-Use Testing and Recall (effective 8/8/03)
6 NYCRR 210-5. Warranty (effective 8/8/03)
6 NYCRR 210-6. Production-Line Testing (effective 8/8/03)
6 NYCRR 210-7. Severability (effective 8/8/03)

           Part 211--General Prohibitions (Effective 8/11/83)

     Part 212--General Process Emission Sources (Effective 9/22/94)

                Part 215--Open Fires (Effective 6/16/72)

                         Part 219--Incinerators

6 NYCRR 219-1. Incineration--General Provisions (effective 10/30/02)
6 NYCRR 219-2. Municipal and Private Solid Waste Incineration Facilities 
(effective 5/21/05)
6 NYCRR 219-3. Infectious Waste Incineration Facilities (effective 12/
31/88)
6 NYCRR 219-5. Existing Incinerators (effective 12/31/88)
6 NYCRR 219-6. Existing Incinerators--New York City, Nassau and 
Westchester Counties (effective 12/31/88)
6 NYCRR 219-7. Mercury Emission Limitations for Large Municipal Waste 
Combustors Constructed On or Before September 20, 1994 (effective 5/21/
05)
6 NYCRR 219-8. Emission Guidelines and Compliance Times for Small 
Municipal Waste Combustion Units Constructed On or Before August 30, 
1999 (effective 10/18/02)

                   Part 225--Fuel Consumption and Use

6 NYCRR 225-1. Fuel Composition and Use--Sulfur Limitations (effective 
1/29/86)
6 NYCRR 225-2. Fuel Composition and Use--Waste Fuel (effective 11/5/84)
6 NYCRR 225-3. Fuel Composition and Use--Gasoline (effective 11/4/01)
6 NYCRR 225-4. Motor Vehicle Diesel Fuel (effective 5/8/05)

      Part 226--Solvent Metal Cleaning Processes (Effective 5/7/03)

              Part 227--Stationary Combustion Installations

6 NYCRR 227-1. Stationary Combustion Installations (effective 2/25/00)
6 NYCRR 227-2. Reasonably Available Control Technology (RACT) for Oxides 
of Nitrogen (NOX) (effective 2/11/04)
6 NYCRR 227-3. Pre-2003 Nitrogen Oxides Emissions Budget and Allowance 
Program (effective 3/15/99)

         Part 228--Surface Coating Processes (Effective 7/23/03)

  Part 229--Petroleum and Volatile Organic Liquid Storage and Transfer 
                           (Effective 4/4/93)

 Part 231--New Source Review in Nonattainment Areas and Ozone Transport 
                                 Region

6 NYCRR 231-1. Requirements for Emission Sources Subject to the 
Regulation Prior to November 15, 1992 (effective 10/15/94)

[[Page 154]]

6 NYCRR 231-2. Requirements for Emission Sources Subject to the 
Regulation On or After November 15, 1992 (effective 5/3/00)

Part 240--Conformity to State or Federal Implementation Plans (Effective 
                                10/22/04)

       Part 243--CAIR NOX Ozone Season Trading Program

6 NYCRR 243-1. CAIR NOX Ozone Season Trading Program General 
Provisions (effective 10/19/07)
6 NYCRR 243-2. CAIR Designated Representative for CAIR NOX 
Ozone Season Sources (effective 10/19/07)
6 NYCRR 243-3. Permits (effective 10/19/07)
6 NYCRR 243-5. CAIR NOX Ozone Season Allowance Allocations 
(effective 10/19/07)
6 NYCRR 243-6. CAIR NOX Ozone Season Allowance Tracking 
System (effective 10/19/07)
6 NYCRR 243-7. CAIR NOX Ozone Season Allowance Transfers 
(effective 10/19/07)
6 NYCRR 243-8. Monitoring and Reporting (effective 10/19/07)
6 NYCRR 243-9. CAIR NOX Ozone Season Opt-in Units (effective 
10/19/07)

          Part 244--CAIR NOX Annual Trading Program

6 NYCRR 244-1. CAIR NOX Annual Trading Program General 
Provisions (effective 10/19/07)
6 NYCRR 244-2. CAIR Designated Representative for CAIR NOX 
Sources (effective 10/19/07)
6 NYCRR 244-3. Permits (effective 10/19/07)
6 NYCRR 244-5. CAIR NOX Allowance Allocations (effective 10/
19/07)
6 NYCRR 244-6. CAIR NOX Allowance Tracking System (effective 
10/19/07)
6 NYCRR 244-7. CAIR NOX Allowance Transfers (effective 10/19/
07)
6 NYCRR 244-8. Monitoring and Reporting (effective 10/19/07)
6 NYCRR 244-9. CAIR NOX Opt-in Units (effective 10/19/07)

              Part 245--CAIR SO2 Trading Program

6 NYCRR 245-1. CAIR SO2 Trading Program General Provisions 
(effective 10/19/07)
6 NYCRR 245-2. CAIR Designated Representative for CAIR SO2 
Sources (effective 10/19/07)
6 NYCRR 245-3. Permits (effective 10/19/07)
6 NYCRR 245-6. CAIR SO2 Allowance Tracking System (effective 
10/19/07)
6 NYCRR 245-7. CAIR SO2 Allowance Transfers (effective 10/19/
07)
6 NYCRR 245-8. Monitoring and Reporting (effective 10/19/07)
6 NYCRR 245-9. CAIR SO2 Opt-in Units (effective 10/19/07)

                             North Carolina

    (a) State requirements.
    (1) The following requirements are contained in State of North 
Carolina Air Pollution Control Requirements Applicable to OCS Sources, 
January 2, 2008: The following sections of subchapter 2D, 2H and 2Q.

       15A NCAC SUBCHAPTER 2D--AIR POLLUTION CONTROL REQUIREMENTS

                SECTION .0100--DEFINITIONS AND REFERENCES

2D.0101 Definitions (Effective 12/01/2005)
2D.0104 Incorporation by reference (Effective 07/01/1998)

                  SECTION .0200--AIR POLLUTION SOURCES

2D.0201 Classification of air pollution sources (Effective 07/01/1984)
2D.0202 Registration of air pollution sources (Effective 07/01/1998)

                SECTION .0300--AIR POLLUTION EMERGENCIES

2D.0301 Purpose (Effective 02/01/1976)
2D.0302 Episode criteria (Effective 07/01/1998)
2D.0303 Emission reduction plans (Effective 07/01/1984)
2D.0304 Preplanned abatement program (Effective 07/01/1998)
2D.0305 Emission reduction plan: Alert Level (Effective 07/01/1984)
2D.0306 Emission reduction plan: Warning Level (Effective 07/01/1984)
2D.0307 Emission reduction plan: Emergency Level (Effective 07/01/1984)

              SECTION .0400--AMBIENT AIR QUALITY STANDARDS

2D.0401 Purpose (Effective 12/01/1992)
2D.0402 Sulfur oxides (Effective 07/01/1984)
2D.0403 Total suspended particulates (Effective 07/01/1988)
2D.0404 Carbon monoxide (Effective 10/01/1989)
2D.0405 Ozone (Effective 04/01/1999)
2D.0407 Nitrogen dioxide (Effective 10/01/1989)
2D.0408 Lead (Effective 07/01/1984)
2D.0409 PM10 particulate matter (Effective 04/01/1999)
2D.0410 PM2.5 particulate matter (Effective 04/01/1999)

                SECTION .0500--EMISSION CONTROL STANDARDS

2D.0501 Compliance with emission control standards (Effective 06/01/
2008)
2D.0502 Purpose (Effective 06/01/1981)
2D.0503 Particulates from fuel burning indirect heat exchangers 
(Effective 04/01/1999)
2D.0504 Particulates from wood burning indirect heat exchangers 
(Effective 08/01/2002)
2D.0506 Particulates from hot mix asphalt plants (Effective 08/01/2004)

[[Page 155]]

2D.0507 Particulates from chemical fertilizer manufacturing plants 
(Effective 04/01/2003)
2D.0508 Particulates from pulp and paper mills (Effective 07/10/1998)
2D.0509 Particulates from MICA or FELDSPAR processing plants (Effective 
04/01/2003)
2D.0510 Particulates from sand, gravel, or crushed stone operations 
(Effective 07/01/1998)
2D.0511 Particulates from lightweight aggregate processes (Effective 07/
01/1998)
2D.0512 Particulates from wood products finishing plants (Effective 01/
01/1985)
2D.0513 Particulates from portland cement plants (Effective 07/01/1998)
2D.0514 Particulates from ferrous jobbing foundries (Effective 07/01/
1998)
2D.0515 Particulates from miscellaneous industrial processes (Effective 
04/01/2003)
2D.0516 Sulfur dioxide emissions from combustion sources (Effective 07/
01/2007)
2D.0517 Emissions from plants producing sulfuric acid (Effective 01/01/
1985)
2D.0519 Control of nitrogen dioxide and nitrogen oxides emissions 
(Effective 07/01/2007)
2D.0521 Control of visible emissions (Effective 07/01/2007)
2D.0524 New Source Performance Standards (Effective 07/01/2007)
2D.0527 Emissions from spodumene ore roasting (Effective 01/01/1985)
2D.0528 Total reduced sulfur from kraft pulp mills (Effective 07/01/
1988)
2D.0529 Fluoride emissions from primary aluminum reduction plants 
(Effective 06/01/2008)
2D.0530 Prevention of significant deterioration (Effective 05/01/2008)
2D.0531 Sources in nonattainment areas (Effective 05/01/2008)
2D.0532 Sources contributing to an ambient violation (Effective (07/01/
1994)
2D.0533 Stack height (Effective 07/01/1994)
2D.0534 Fluoride emissions from phosphate fertilizer industry (Effective 
11/01/1982)
2D.0535 Excess emissions reporting and malfunctions (Effective 06/01/
2008)
2D.0536 Particulate emissions from electric utility boilers (Effective 
06/10/2008)
2D.0537 Control of mercury emissions (Effective 07/01/1996)
2D.0538 Control of ethylene oxide emissions (Effective 06/01/2004)
2D.0539 Odor control of feed ingredient manufacturing plants (Effective 
04/01/2001)
2D.0540 Particulates from fugitive dust emission sources (Effective 08/
01/2007)
2D.0541 Control of emissions from abrasive blasting (Effective 07/01/
2000)
2D.0542 Control of particulate emissions from cotton ginning operations 
(Effective 06/01/2008)
2D.0543 Best Available Retrofit Technology (Effective 05/01/2007)

           SECTION .0600--MONITORING: RECORDKEEPING: REPORTING

2D.0601 Purpose and scope (Effective 04/01/1999)
2D.0602 Definitions (Effective 04/01/1999)
2D.0604 Exceptions to monitoring and reporting requirements (Effective 
04/01/1999)
2D.0605 General recordkeeping and reporting requirements (Effective 01/
01/2007)
2D.0606 Sources covered by appendix P of 40 CFR part 51 (Effective 06/
01/2008)
2D.0607 Large wood and wood-fossil fuel combination units (Effective 07/
01/1999)
2D.0608 Other large coal or residual oil burners (Effective 06/01/2008)
2D.0610 Federal monitoring requirements (Effective 04/01/1999)
2D.0611 Monitoring emissions from other sources (Effective 04/01/1999)
2D.0612 Alternative monitoring and reporting procedures (Effective 04/
01/1999)
2D.0613 Quality assurance program (Effective 04/01/1999)
2D.0614 Compliance assurance monitoring (Effective 04/01/1999)
2D.0615 Delegation (Effective 04/01/1999)

                SECTION .0900--VOLATILE ORGANIC COMPOUNDS

2D.0901 Definitions (Effective 06/01/2008)
2D.0902 Applicability (Effective 07/01/2007)
2D.0903 Recordkeeping: reporting: monitoring (Effective 04/01/1999)
2D.0906 Circumvention (Effective 01/01/1985)
2D.0909 Compliance schedules for sources in nonattainment areas 
(Effective 07/01/2007)
2D.0912 General provisions on test methods and procedures (Effective 06/
01/2008)
2D.0917 Automobile and light-duty truck manufacturing (Effective 07/01/
1996)
2D.0918 Can coating (Effective 07/01/1996)
2D.0919 Coil coating (Effective 07/01/1996)
2D.0920 Paper coating (Effective 07/01/1996)
2D.0921 Fabric and vinyl coating (Effective 07/01/1996)
2D.0922 Metal furniture coating (Effective 07/01/1996)
2D.0923 Surface coating of large appliances (Effective 07/01/1996)
2D.0924 Magnet wire coating (Effective 07/01/1996)
2D.0925 Petroleum liquid storage in fixed roof tanks (03/01/1991)
2D.0926 Bulk gasoline plants (Effective 07/01/1996)
2D.0927 Bulk gasoline terminals (Effective 01/01/2007)
2D.0928 Gasoline service stations stage I (Effective 07/01/1996)
2D.0930 Solvent metal cleaning (Effective 03/01/1991)
2D.0931 Cutback asphalt (Effective 12/01/1989)
2D.0932 Gasoline truck tanks and vapor collection systems (Effective 08/
01/2008)

[[Page 156]]

2D.0933 Petroleum liquid storage in external floating roof tanks 
(Effective 06/01/2004)
2D.0934 Coating of miscellaneous metal parts and products (Effective 07/
01/1996)
2D.0935 Factory surface coating of flat wood paneling (Effective 07/01/
1996)
2D.0936 Graphic arts (Effective 12/01/1993)
2D.0937 Manufacture of pneumatic rubber tires (Effective 07/01/1996)
2D.0943 Synthetic organic chemical and polymer manufacturing (Effective 
06/01/2008)
2D.0944 Manufacture of polyethylene: polypropylene and polystyrene 
(Effective 05/01/1985)
2D.0945 Petroleum dry cleaning (Effective 06/01/2008)
2D.0947 Manufacture of synthesized pharmaceutical products (Effective 
07/01/1994)
2D.0948 VOC emissions from transfer operations (Effective 07/01/2000)
2D.0949 Storage of miscellaneous volatile organic compounds (Effective 
07/01/2000)
2D.0951 Miscellaneous volatile organic compound emissions (Effective 07/
01/2000)
2D.0952 Petition for alternative controls for RACT (Effective 04/01/
2003)
2D.0953 Vapor return piping for stage II vapor recovery (Effective 07/
01/1998)
2D.0954 Stage II vapor recovery (Effective 04/01/2003)
2D.0955 Thread bonding manufacturing (Effective 05/01/1995)
2D.0956 Glass Christmas ornament manufacturing (Effective 05/01/1995)
2D.0957 Commercial bakeries (Effective 05/01/1995)
2D.0958 Work practices for sources of volatile organic compounds 
(Effective 07/01/2000)
2D.0959 Petition for superior alternative controls (Effective 04/01/
2003)
2D.0960 Certification of leak tightness tester (Effective 07/01/2007)

             SECTION .1100--CONTROL OF TOXIC AIR POLLUTANTS

2D.1101 Purpose (Effective 05/01/1990)
2D.1102 Applicability (Effective 07/01/1998)
2D.1103 Definition (Effective 04/01/2001)
2D.1104 Toxic air pollutant guidelines (Effective 06/01/2008)
2D.1105 Facility reporting, recordkeeping (Effective 04/01/1999)
2D.1106 Determination of ambient air concentration (Effective 07/01/
1998)
2D.1107 Multiple facilities (Effective 07/01/1998)
2D.1108 Multiple pollutants (Effective 05/01/1990)
2D.1109 112(j) case-by-case maximum achievable control technology 
(Effective 02/01/2004)
2D.1110 National Emission Standards for Hazardous Air Pollutants 
(Effective 06/01/2008)
2D.1111 Maximum Achievable Control Technology (Effective 01/01/2007)
2D.1112 112(g) case by case maximum achievable control technology 
(Effective 07/01/1998)

          SECTION .1200--CONTROL OF EMISSIONS FROM INCINERATORS

2D.1201 Purpose and scope (Effective 07/01/2007)
2D.1202 Definitions (Effective 07/01/2007)
2D.1203 Hazardous waste incinerators (Effective 06/01/2008)
2D.1204 Sewage sludge and sludge incinerators (Effective 06/01/2008)
2D.1205 Municipal waste combustors (Effective 04/01/2004)
2D.1206 Hospital, medical, and infectious waste incinerators (Effective 
06/01/2008)
2D.1207 Conical incinerators (Effective 07/01/2000)
2D.1208 Other incinerators (Effective 08/01/2008)
2D.1210 Commercial and industrial solid waste incineration units 
(Effective 06/01/2008)
2D.1211 Other solid waste incineration units (Effective 07/01/2007)

               SECTION .1300--OXYGENATED GASOLINE STANDARD

2D.1301 Purpose (Effective 09/01/1996)
2D.1302 Applicability (Effective 09/01/1996)
2D.1303 Definitions (Effective 09/01/1992)
2D.1304 Oxygen content standard (Effective 09/01/1996)
2D.1305 Measurement and enforcement (Effective 07/01/1998)

                     SECTION .1400--NITROGEN OXIDES

2D.1401 Definitions (Effective 07/18/2002)
2D.1402 Applicability (Effective 06/01/2008)
2D.1403 Compliance schedules (Effective 07/01/2007)
2D.1404 Recordkeeping: Reporting: Monitoring: (Effective 12/01/2005)
2D.1405 Circumvention (Effective 04/01/1995)
2D.1407 Boilers and indirect-fired process heaters (Effective 06/01/
2008)
2D.1408 Stationary combustion turbines (Effective 06/01/2008)
2D.1409 Stationary internal combustion engines (Effective 06/01/2008)
2D.1410 Emissions averaging (Effective 07/18/2002)
2D.1411 Seasonal fuel switching (Effective 06/01/2008)
2D.1412 Petition for alternative limitations (Effective 06/01/2008)
2D.1413 Sources not otherwise listed in this section (Effective 07/18/
2002)
2D.1414 Tune-up requirements (Effective 07/18/2002)
2D.1415 Test methods and procedures (Effective 07/18/2002)

[[Page 157]]

2D.1416 Emission allocations for utility companies (Effective 06/01/
2004)
2D.1417 Emission allocations for large combustion sources (Effective 06/
01/2004)
2D.1418 New electric generating units, large boilers, and large I/C 
engines (Effective 06/01/2004)
2D.1419 Nitrogen oxide budget trading program (Effective 06/01/2004)
2D.1420 Periodic review and reallocations (Effective 07/18/2002)
2D.1421 Allocations for new growth of major point sources (Effective 07/
18/2002)
2D.1422 Compliance supplement pool credits (Effective 06/01/2004)
2D.1423 Large internal combustion engines (Effective 07/18/2002)

                    SECTION .1600--GENERAL CONFORMITY

2D.1601 Purpose, scope and applicability (Effective 04/01/1999)
2D.1602 Definitions (Effective 04/01/1995)
2D.1603 General conformity determination (Effective 07/01/1998)

                       SECTION .1900--OPEN BURNING

2D.1901 Open burning: Purpose: Scope (Effective 07/01/2007)
2D.1902 Definitions (Effective 07/01/2007)
2D.1903 Open burning without an air quality permit (Effective 07/01/
2007)
2D.1904 Air curtain burners (Effective 07/01/2007)
2D.1905 Regional office locations (Effective 12/01/2005)
2D.1906 Delegation to county governments (Effective 12/01/2005)
2D.1907 Multiple violations arising from a single episode (Effective 07/
01/2007)

                SECTION .2000--TRANSPORTATION CONFORMITY

2D.2001 Purpose, scope and applicability (Effective 12/01/2005)
2D.2002 Definitions (Effective 04/01/1999)
2D.2003 Transportation conformity determination (Effective 04/01/1999)
2D.2004 Determining transportation-related emissions (Effective 04/01/
1999)
2D.2005 Memorandum of agreement (Effective 04/01/1999)

                 SECTION .2100--RISK MANAGEMENT PROGRAM

2D.2101 Applicability (Effective 07/01/2000)
2D.2102 Definitions (Effective 07/01/2000)
2D.2103 Requirements (Effective 07/01/2000)
2D.2104 Implementation (Effective 07/01/2000)

                      SECTION .2200--SPECIAL ORDERS

2D.2201 Purpose (Effective 04/01/2004)
2D.2202 Definitions (Effective 04/01/2004)
2D.2203 Public notice (Effective 04/01/2004)
2D.2204 Final action on consent orders (Effective 04/01/2004)
2D.2205 Notification of right to contest special orders issued without 
(Effective 04/01/2004)

            SECTION .2300--BANKING EMISSION REDUCTION CREDITS

2D.2301 Purpose (Effective 12/01/2005)
2D.2302 Definitions (Effective 12/01/2005)
2D.2303 Applicability and eligibility (Effective 07/01/2007)
2D.2304 Qualification of emission reduction credits (Effective 12/01/
2005)
2D.2305 Creating and banking emission reduction credits (Effective 12/
01/2005)
2D.2306 Duration of emission reduction credits (Effective 12/01/2005)
2D.2307 Use of emission reduction credits (Effective 12/01/2005)
2D.2308 Certificates and registry (Effective 12/01/2005)
2D.2309 Transferring emission reduction credits (Effective 12/01/2005)
2D.2310 Revocation and changes of emission reduction credits (Effective 
12/01/2005)
2D.2311 Monitoring (Effective 12/01/2005)

                SECTION .2400--CLEAN AIR INTERSTATE RULES

2D.2401 Purpose and applicability (Effective 05/01/2008)
2D.2402 Definitions (Effective 05/01/2008)
2D.2403 Nitrogen oxide emissions (Effective 05/01/2008)
2D.2404 Sulfur dioxide (Effective 05/01/2008)
2D.2405 Nitrogen oxide emissions during ozone season (Effective 05/01/
2008)
2D.2406 Permitting (Effective 07/01/2006)
2D.2407 Monitoring, reporting, and recordkeeping (Effective 05/01/2008)
2D.2408 Trading program and banking (Effective 07/01/2006)
2D.2409 Designated representative (Effective 05/01/2008)
2D.2410 Computation of time (Effective 07/01/2006)
2D.2411 Opt-in provisions (Effective 07/01/2006)
2D.2412 New unit growth (Effective 05/01/2008)
2D.2413 Periodic review and reallocations (Effective 07/01/2006)

          SECTION .2500--MERCURY RULES FOR ELECTRIC GENERATORS

2D.2501 Purpose and applicability (Effective 01/01/2007)
2D.2502 Definitions (Effective 01/01/2007)
2D.2503 Mercury emission (Effective 01/01/2007)
2D.2504 Permitting (Effective 01/01/2007)
2D.2505 Monitoring, Reporting, and Recordkeeping (Effective 01/01/2007)
2D.2506 Designated representative (Effective 01/01/2007)

[[Page 158]]

2D.2507 Computation of time time periods shall be determined as 
described in 40 CFR 60.4107 (Effective 01/01/2007)
2D.2508 New source growth (Effective 01/01/2007)
2D.2509 Periodic review and reallocations (Effective 01/01/2007)
2D.2510 Trading program and banking (Effective 01/01/2007)
2D.2511 Mercury emission limits (Effective 01/01/2007)

                      SECTION .2600--SOURCE TESTING

2D.2601 Purpose and scope (Effective 06/01/2008)
2D.2602 General provisions on test methods and procedures (Effective 07/
01/2008)
2D.2603 Testing protocol (Effective 07/01/2008)
2D.2604 Number of test points (Effective 06/01/2008)
2D.2605 Velocity and volume flow rate (Effective 06/01/2008)
2D.2606 Molecular weight (Effective 06/01/2008)
2D.2607 Determination of moisture content (Effective 06/01/2008)
2D.2608 Number of runs and compliance determination (Effective 06/01/
2008)
2D.2609 Particulate testing methods (Effective 06/01/2008)
2D.2610 Opacity (Effective 06/01/2008)
2D.2611 Sulfur dioxide testing methods (Effective 06/01/2008)
2D.2612 Nitrogen oxide testing methods (Effective 06/01/2008)
2D.2613 Volatile organic compound testing methods (Effective 06/01/2008)
2D.2614 Determination of voc emission control system efficiency 
(Effective 06/01/2008)
2D.2615 Determination of leak tightness and vapor leaks (Effective 06/
01/2008)
2D.2616 Fluorides (Effective 06/01/2008)
2D.2617 Total reduced sulfur (Effective 06/01/2008)
2D.2618 Mercury (Effective 06/01/2008)
2D.2619 Arsenic, beryllium, cadmium, hexavalent chromium (Effective 06/
01/2008)
2D.2620 Dioxins and furans (Effective 06/01/2008)
2D.2621 Determination of fuel heat content using f-factor (Effective 06/
01/2008)

             SUBCHAPTER 02Q--AIR QUALITY PERMITS PROCEDURES

                    SECTION .0100--GENERAL PROVISIONS

2Q.0101 Required air quality permits (Effective 12/01/2005)
2Q.0102 Activities exempted from permit requirements (Effective 07/01/
2007)
2Q.0103 Definitions (Effective 12/01/2005)
2Q.0104 Where to obtain and file permit applications (Effective 08/01/
2002)
2Q.0105 Copies of referenced documents (Effective 12/01/2005)
2Q.0106 Incorporation by reference (Effective 07/01/1994)
2Q.0107 Confidential information (Effective 04/01/1999)
2Q.0108 Delegation of authority (Effective 07/01/1998)
2Q.0109 Compliance schedule for previously exempted activities 
(Effective 04/01/2001)
2Q.0110 Retention of permit at permitted facility (Effective 07/01/1994)
2Q.0111 Applicability determinations (Effective 07/01/1994)
2Q.0112 Applications requiring professional engineer seal (Effective 02/
01/1995)
2Q.0113 Notification in areas without zoning (Effective 04/01/2004)

                       SECTION .0200--PERMIT FEES

2Q.0201 Applicability (Effective 07/01/1998)
2Q.0202 Definitions (Effective 04/01/2004)
2Q.0203 Permit and application fees (Effective 03/01/2008)
2Q.0204 Inflation adjustment (Effective 03/01/2008)
2Q.0205 Other adjustments (Effective 07/01/1994)
2Q.0206 Payment of fees (Effective 07/01/1994)
2Q.0207 Annual emissions reporting (Effective 07/01/2007)

            SECTION .0300--CONSTRUCTION AND OPERATION PERMITS

2Q.0301 Applicability (Effective 12/01/2005)
2Q.0302 Facilities not likely to contravene demonstration (Effective 07/
01/1998)
2Q.0303 Definitions (Effective 07/01/1994)
2Q.0304 Applications (Effective 12/01/2005)
2Q.0305 Application submittal content (Effective 12/01/2005)
2Q.0306 Permits requiring public participation (Effective 07/01/2007)
2Q.0307 Public participation procedures (Effective 07/01/1998)
2Q.0308 Final action on permit applications (Effective 07/01/1994)
2Q.0309 Termination, modification and revocation of permits (Effective 
07/01/1999)
2Q.0310 Permitting of numerous similar facilities (Effective 07/01/1994)
2Q.0311 Permitting of facilities at multiple temporary sites (Effective 
07/01/1996)
2Q.0312 Application processing schedule (Effective 07/01/1998)
2Q.0313 Expedited application processing schedule (Effective 07/01/1998)
2Q.0314 General permit requirements (Effective 07/01/1999)
2Q.0315 Synthetic minor facilities (Effective 07/01/1999)
2Q.0316 Administrative permit amendments (Effective 04/01/2001)
2Q.0317 Avoidance conditions (Effective 04/01/2001)
2Q.0401 Purpose and applicability (Effective 04/01/2001)
2Q.0402 Acid rain permitting procedures (Effective 04/01/1999)

[[Page 159]]

                    SECTION .0500--TITLE V PROCEDURES

2Q.0501 Purpose of section and requirement for a permit (Effective 07/
01/1998)
2Q.0502 Applicability (Effective 07/01/2000)
2Q.0503 Definitions (Effective 01/01/2007)
2Q.0504 Option for obtaining construction and operation permit 
(Effective 07/01/1994)
2Q.0505 Application submittal content (Effective 04/01/2004)
2Q.0507 Application (Effective 04/01/2004)
2Q.0508 Permit content (Effective 08/01/2008)
2Q.0509 Permitting of numerous similar facilities (Effective 07/01/1994)
2Q.0510 Permitting of facilities at multiple temporary sites (Effective 
07/01/1994)
2Q.0512 Permit shield and application shield (Effective 07/01/1997)
2Q.0513 Permit renewal and expiration (Effective 07/01/1994)
2Q.0514 Administrative permit amendments (Effective 01/01/2007)
2Q.0515 Minor permit modifications (Effective 07/01/1997)
2Q.0516 Significant permit modification (Effective 07/01/1994)
2Q.0517 Reopening for cause (Effective 07/01/1997)
2Q.0518 Final action (Effective 02/01/1995)
2Q.0519 Termination, modification, revocation of permits (Effective 07/
01/1994)
2Q.0520 Certification by responsible official (Effective 07/01/1994)
2Q.0521 Public participation (Effective 07/01/1998)
2Q.0522 Review by EPA and affected states (Effective 07/01/1994)
2Q.0523 Changes not requiring permit revisions (Effective 06/01/2008)
2Q.0524 Ownership change (Effective 07/01/1994)
2Q.0525 Application processing schedule (Effective 07/01/1998)
2Q.0526 112(j) case-by-case MACT procedures (Effective 02/01/2004)
2Q.0527 Expedited application processing schedule (Effective 07/01/1998)
2Q.0528 112(g) case-by-case MACTt procedures (Effective 07/01/1998)

            SECTION .0600--TRANSPORTATION FACILITY PROCEDURES

2Q.0601 Purpose of section and requirement for a permit (Effective 07/
01/1994)
2Q.0602 Definitions (Effective 07/01/1994)
2Q.0603 Applications (Effective 02/01/2005)
2Q.0604 Public participation (Effective 07/01/1994)
2Q.0605 Final action on permit applications (Effective 02/01/2005)
2Q.0606 Termination, modification and revocation of permits (Effective 
07/01/1994)
2Q.0607 Application processing schedule (Effective 07/01/1998)

              SECTION .0700--TOXIC AIR POLLUTANT PROCEDURES

2Q.0701 Applicability (Effective 02/01/2005)
2Q.0702 Exemptions (Effective 04/01/2005)
2Q.0703 Definitions (Effective 04/01/2001)
2Q.0704 New facilities (Effective 07/01/1998)
2Q.0705 Existing facilities and sic calls (Effective 07/01/1998)
2Q.0706 Modifications (Effective 12/01/2005)
2Q.0707 Previously permitted facilities (Effective 07/01/1998)
2Q.0708 Compliance schedule for previously unknown toxic air pollutant 
emissions (Effective 07/01/1998)
2Q.0709 Demonstrations (Effective 02/01/2005)
2Q.0710 Public notice and opportunity for public hearing (Effective 07/
01/1998)
2Q.0711 Emission rates requiring a permit (Effective 06/01/2008)
2Q.0712 Calls by the director (Effective 07/01/1998)
2Q.0713 Pollutants with otherwise applicable federal standards or 
requirements (Effective 07/01/1998)

                    SECTION .0800--EXCLUSIONARY RULES

2Q.0801 Purpose and scope (Effective 04/01/1999)
2Q.0802 Gasoline service stations and dispensing facilities (Effective 
08/01/1995)
2Q.0803 Coating, solvent cleaning, graphic arts operations (Effective 
04/01/2001)
2Q.0804 Dry cleaning facilities (Effective 08/01/1995)
2Q.0805 Grain elevators (Effective 04/01/2001)
2Q.0806 Cotton gins (Effective 06/01/2004)
2Q.0807 Emergency generators (Effective 04/01/2001)
2Q.0808 Peak shaving generators (Effective 12/01/2005)
2Q.0809 Concrete batch plants (Effective 06/01/2004)
2Q.0810 Air curtain burners (Effective 12/01/2005)

                    SECTION .0900--PERMIT EXEMPTIONS

2Q.0901 Purpose and scope (Effective 01/01/2005)
2Q.0902 Portable crushers (Effective 01/01/2005)
2Q.0903 Emergency generators (Effective 06/01/2008)

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

[57 FR 40806, Sept. 4, 1992]

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

    Effective Date Note: At 76 FR 37279, June 27, 2011, appendix A to 
part 55 was amended by revising paragraph (a)(1) under the heading 
``Alaska'', effective July 27, 2011. For the

[[Page 160]]

convenience of the user, the revised text is set forth as follows:



  Sec. APPENDIX A TO PART 55--LISTING OF STATE AND LOCAL REQUIREMENTS 
            INCORPORATED BY REFERENCE INTO PART 55, BY STATE

                                * * * * *

                                 Alaska

    (a) * * *
    (1) The following State of Alaska requirements are applicable to OCS 
Sources, December 9, 2010, Alaska Administrative Code--Department of 
Environmental Conservation. The following sections of Title 18, Chapter 
50:

                Article 1. Ambient Air Quality Management

18 AAC 50.005. Purpose and Applicability of Chapter (effective 10/01/
2004)
18 AAC 50.010. Ambient Air Quality Standards (effective 04/01/2010)
18 AAC 50.015. Air Quality Designations, Classification, and Control 
Regions (effective 12/09/2010) except (b)(1), (b)(3) and (d)(2)

                  Table 1. Air Quality Classifications

18 AAC 50.020. Baseline Dates and Maximum Allowable Increases (effective 
07/25/2008)

                         Table 2. Baseline Dates

                  Table 3. Maximum Allowable Increases

18 AAC 50.025. Visibility and Other Special Protection Areas (effective 
06/21/1998)
18 AAC 50.030. State Air Quality Control Plan (effective 10/29/2010)
18 AAC 50.035. Documents, Procedures, and Methods Adopted by Reference 
(effective 04/01/2010)
18 AAC 50.040. Federal Standards Adopted by Reference (effective12/09/
2010) except (h)(2)
18 AAC 50.045. Prohibitions (effective 10/01/2004)
18 AAC 50.050. Incinerator Emissions Standards (effective 07/25/2008)

         Table 4. Particulate Matter Standards for Incinerators

18 AAC 50.055. Industrial Processes and Fuel-Burning Equipment 
(effective 12/09/2010) except (a)(3) through (a)(9), (b)(2)(A), (b)(3) 
through (b)(6), (e) and (f)
18 AAC 50.065. Open Burning (effective 01/18/1997)
18 AAC 50.070. Marine Vessel Visible Emission Standards (effective 06/
21/1998)
18 AAC 50.075. Wood-Fired Heating Device Visible Emission Standards 
(effective 05/06/2009)
18 AAC 50.080. Ice Fog Standards (effective 01/18/1997)
18 AAC 50.085. Volatile Liquid Storage Tank Emission Standards 
(effective 01/18/1997)
18 AAC 50.090. Volatile Liquid Loading Racks and Delivery Tank Emission 
Standards (effective 07/25/2008)
18 AAC 50.100. Nonroad Engines (effective 10/01/2004)
18 AAC 50.110. Air Pollution Prohibited (effective 05/26/1972)

                    Article 2. Program Administration

18 AAC 50.200. Information Requests (effective 10/01/2004)
18 AAC 50.201. Ambient Air Quality Investigation (effective 10/01/2004)
18 AAC 50.205. Certification (effective 10/01/2004) except (b)
18 AAC 50.215. Ambient Air Quality Analysis Methods (effective 10/29/
2010)

                Table 5. Significant Impact Levels (SILs)

18 AAC 50.220. Enforceable Test Methods (effective 10/01/2004)
18 AAC 50.225 Owner-Requested Limits (effective 12/09/2010) except (c) 
through (g)
18 AAC 50.230. Preapproved Emission Limits (effective 07/01/2010) except 
(d)
18 AAC 50.235. Unavoidable Emergencies and Malfunctions (effective 10/
01/2004)
18 AAC 50.240. Excess Emissions (effective 10/01/2004)
18 AAC 50.245. Air Episodes and Advisories (effective 10/01/2004)

            Table 6. Concentrations Triggering an Air Episode

               Article 3. Major Stationary Source Permits

18 AAC 50.301. Permit Continuity (effective 10/01/2004) except (b)
18 AAC 50.302. Construction Permits (effective 12/09/2010)
18 AAC 50.306. Prevention of Significant Deterioration (PSD) Permits 
(effective 12/09/2010) except (c) and (e)
18 AAC 50.311. Nonattainment Area Major Stationary Source Permits 
(effective 10/01/2004) except (c)
18 AAC 50.316. Preconstruction Review for Construction or Reconstruction 
of a Major Source of Hazardous Air Pollutants (effective 12/01/2004) 
except (c)
18 AAC 50.321. Case-By-Case Maximum Achievable Control Technology 
(effective 12/01/04)
18 AAC 50.326. Title V Operating Permits (effective12/01/2004) except 
(c)(1), (h), (i)(3), (j)(5), (j)(6), (k)(1), (k)(3), (k)(5), and (k)(6)
18 AAC 50.345. Construction, Minor and Operating Permits: Standard 
Permit Conditions (effective 11/09/2008)

[[Page 161]]

18 AAC 50.346. Construction and Operating Permits: Other Permit 
Conditions (effective 12/09/2010)

              Table 7. Standard Operating Permit Condition

                          Article 4. User Fees

18 AAC 50.400. Permit Administration Fees (effective 07/01/2010) except 
(a)(2), (a)(5), (j)(2) through (j)(5), (j)(8), and (j)(13)
18 AAC 50.403. Negotiated Service Agreements (effective 07/01/2010)
18 AAC 50.410. Emission Fees (effective 07/10/2010)
18 AAC 50.499. Definition for User Fee Requirements (effective 01/29/
2005)

                        Article 5. Minor Permits

18 AAC 50.502. Minor Permits for Air Quality Protection (effective 12/
09/2010) except (b)(1) through (b)(3), (b)(5), (d)(1)(A) and (d)(2)(A)
18 AAC 50.508. Minor Permits Requested by the Owner or Operator 
(effective 12/07/2010)
18 AAC 50.510. Minor Permit--Title V Permit Interface (effective 12/09/
2010)
18 AAC 50.540. Minor Permit: Application (effective 12/09/2010)
18 AAC 50.542. Minor Permit: Review and Issuance (effective 12/09/2010) 
except (a), (b), (c), and (d)
18 AAC 50.544. Minor Permits: Content (effective 12/09/2010)
18 AAC 50.560. General Minor Permits (effective 10/01/2004) except (b)

                      Article 9. General Provisions

18 AAC 50.990. Definitions (effective 12/09/2010)

                                * * * * *



PART 56_REGIONAL CONSISTENCY--Table of Contents



Sec.
56.1 Definitions.
56.2 Scope.
56.3 Policy.
56.4 Mechanisms for fairness and uniformity--Responsibilities of 
          Headquarters employees.
56.5 Mechanisms for fairness and uniformity--Responsibilities of 
          Regional Office employees.
56.6 Dissemination of policy and guidance.
56.7 State agency performance audits.

    Authority: Sec. 301(a)(2) of the Clean Air Act as amended (42 U.S.C. 
7601).

    Source: 45 FR 85405, Dec. 24, 1980, unless otherwise noted.



Sec. 56.1  Definitions.

    As used in this part, all terms not defined herein have the meaning 
given them in the Clean Air Act.
    Act means the Clean Air Act as amended (42 U.S.C. 7401 et seq.).
    Administrator, Deputy Administrator, Assistant Administrator, 
General Counsel, Associate General Counsel, Deputy Assistant 
Administrator, Regional Administrator, Headquarters, Staff Office, 
Operational Office, and Regional Office are described in part 1 of this 
title.
    Mechanism means an administrative procedure, guideline, manual, or 
written statement.
    Program directive means any formal written statement by the 
Administrator, the Deputy Administrator, the Assistant Administrator, a 
Staff Office Director, the General Counsel, a Deputy Assistant 
Administrator, an Associate General Counsel, or a division Director of 
an Operational Office that is intended to guide or direct Regional 
Offices in the implementation or enforcement of the provisions of the 
act.
    Responsible official means the EPA Administrator or any EPA employee 
who is accountable to the Administrator for carrying out a power or duty 
delegated under section 301(a)(1) of the act, or is accountable in 
accordance with EPA's formal organization for a particular program or 
function as described in part 1 of this title.



Sec. 56.2  Scope.

    This part covers actions taken by:
    (a) Employees in EPA Regional Offices, including Regional 
Administrators, in carrying out powers and duties delegated by the 
Administrator under section 301(a)(1) of the act; and
    (b) EPA employees in Headquarters to the extent that they are 
responsible for developing the procedures to be employed or policies to 
be followed by Regional Offices in implementing and enforcing the act.



Sec. 56.3  Policy.

    It is EPA's policy to:
    (a) Assure fair and uniform application by all Regional Offices of 
the criteria, procedures, and policies employed in implementing and 
enforcing the act;

[[Page 162]]

    (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 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

[[Page 163]]

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.

           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.

[[Page 164]]



                            Subpart A_General



Sec. 57.101  Purpose and scope.

    (a) Applicability of the regulations. The regulations in subparts A 
through H govern:
    (1) The eligibility of smelters for a Primary Nonferrous Smelter 
Order (NSO) under section 119 of the Clean Air Act;
    (2) The procedures through which an NSO can be approved or issued by 
EPA; and
    (3) The minimum contents of each NSO required for EPA issuance or 
approval under section 119. Subpart I et seq., will contain NSOs in 
effect for individual smelters.
    (b) State authority to adopt more stringent requirements. Nothing in 
this part shall preclude a State from imposing more stringent 
requirements, as provided by section 116 of the Clean Air Act.



Sec. 57.102  Eligibility.

    (a) A primary copper, lead, zinc, molybdenum, or other nonferrous 
smelter is eligible for an NSO if it meets the following conditions:
    (1) The smelter was in existence and operating on August 7, 1977;
    (2) The smelter is subject to an approved or promulgated sulfur 
dioxide (SO2) State Implementation Plan (SIP) emission 
limitation which is adequate to ensure that National Ambient Air Quality 
Standards (NAAQS) for SO2 are achieved without the use of any 
unauthorized dispersion techniques; and
    (3) The Administrator determines, based on a showing by the smelter 
owner, that no means of emission limitation applicable to the smelter 
which would enable it to comply with its SIP stack emission limitation 
for SO2 has been adequately demonstrated to be reasonably 
available (taking into account the cost of compliance, nonair quality 
health and environmental impact, and energy considerations) in 
accordance with Sec. 57.201(d)(1).
    (b) For the purposes of these regulations:
    (1) The following means of emission limitation shall be considered 
adequately demonstrated for nonferrous smelters. (Taking into account 
nonair quality health and environmental impact and energy 
considerations, but not the cost of compliance).
    (i) Retrofit control technologies. (A) Sulfuric acid plant in 
conjunction with an adequately demonstrated replacement technology or 
process modification;
    (B) Magnesium oxide (concentration) scrubbing;
    (C) Lime/limestone scrubbing; and
    (D) Ammonia scrubbing.
    (ii) Replacement or process modifications. (A) Flash smelting;
    (B) Oxygen enrichment;
    (C) Supplemental sulfur burning in conjunction with acid plant;
    (D) Electric Furnace;
    (E) Noranda process;
    (F) Fluid bed roaster;
    (G) Continuous smelting (Mitsubishi) process; and
    (H) Strong stream/weak stream gas blending.
    (2) Each adequately demonstrated means of emission limitation which 
would enable a smelter to comply with its SIP emission limitation for 
SO2 shall be considered applicable to the smelter unless the 
smelter operator demonstrates that the use of a particular system at 
that smelter is technically unreasonable, for reasons specific to that 
site.
    (3) An applicable means of emission limitation which would enable a 
smelter to comply with its SIP emission limitation for SO2 
shall be considered adequately demonstrated to be reasonably available 
to the smelter (taking into account the cost of compliance) if the 
information submitted under Sec. Sec. 57.107(a) and 57.203(b) (plus any 
necessary supplemental information) shows, according to the criteria, 
procedures, and tests contained in appendix A to this part and in 
accordance with Sec. 57.201(d)(1), that both of the following two tests 
are met.
    (i) The rate of return test. The present value of the smelter's 
future net cash flow (during and after investment in constant control 
technology) is more than book value of the smelter's net investment in 
constant dollars.
    (ii) The profit protection test. The constant control technology 
expenditure reduces the present value of the smelter's forecast pretax 
profits by less than 50%.

[[Page 165]]

    (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.
    (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.

[[Page 166]]

    (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 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,

[[Page 167]]

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 NSO be modified such that the NSO will be adequately enforced.



Sec. 57.108  Comparable existing SIP provisions.

    Notwithstanding any other provision of this part, an NSO may contain 
provisions to which the affected smelter is subject under the applicable 
EPA-approved State Implementation Plan (SIP) for sulfur dioxide in lieu 
of the corresponding provisions which would otherwise be required under 
this part if the Administrator determines that those SIP provisions are 
substantially equivalent to the corresponding NSO provisions which would 
otherwise be required, and if the Administrator determines that the 
smelter is in substantial compliance with those SIP provisions. For the 
purposes of this section, provisions to which the affected smelter is 
subject under the applicable EPA-approved State Implementation Plan are 
those which became effective before the smelter owner applied for the 
NSO.



Sec. 57.109  Maintenance of pay.

    The Administrator will not approve or issue an NSO for any smelter 
unless he has approved or promulgated SIP provisions which are 
applicable to the smelter and which satisfy the requirements of section 
110(a)(6) of the Clean Air Act.



Sec. 57.110  Reimbursement of State or local agency.

    As a condition of issuing an NSO, any issuing agency may require the 
smelter operator to pay a fee to the State or local agency sufficient to 
defray the issuing agency's expenses in issuing and enforcing the NSO.



Sec. 57.111  Severability of provisions.

    The provisions promulgated in this part and the various applications 
thereof are distinct and severable. If any provision of this part or the 
application thereof to any person or circumstances is held invalid, such 
invalidity shall not affect other provisions, or the application of such 
provisions to other persons or circumstances, which can be given effect 
without the invalid provision of application.

[[Page 168]]



              Subpart B_The Application and the NSO Process



Sec. 57.201  Where to apply.

    Any eligible smelter may apply for an NSO to the appropriate EPA 
Regional Office or to the appropriate State or local air pollution 
control agency.
    (a) When application is made to EPA, all parts of the application 
required to be submitted under this subpart shall be sent directly to 
the Director, Stationary Source Compliance Division (EN-341), U.S. 
Environmental Protection Agency, 1200 Pennsylvania Ave., NW., 
Washington, DC 20460, Attention: Confidential Information Unit. In 
addition, the smelter owner shall send a copy of the application, except 
that part required to be submitted under Sec. 57.203(b) (eligibility), 
directly to the appropriate EPA Regional Office.
    (b) When application is made to the appropriate State or local 
agency, the smelter owner shall submit one complete copy of all parts of 
the application required to be submitted under this subpart to that 
agency, in addition to the application requirements contained in 
paragraph (a) of this section. If the smelter owner is requesting an 
advance eligibility determination pursuant to Sec. 57.203(b), such 
request must be made in writing and shall accompany the copy of the 
application being sent to the Director of the Stationary Source 
Compliance Division of the Environmental Protection Agency.
    (c) If the smelter owner is requesting a waiver of the interim 
constant control requirement of Sec. 57.301, such request must be sent 
directly to the Director, Stationary Source Compliance Division, at the 
time of application, in accordance with Sec. 57.802.
    (d) The NSO Process. (1) A smelter desiring an NSO shall apply for 
an NSO by submitting an application under subpart B including the 
financial information required in appendix A and including the 
information necessary to make the determinations required by this 
subparagraph and Sec. 57.201(d)(2). The issuing agency shall analyze 
the financial information according to the financial eligibility test 
prescribed by subpart A and described in appendix A. The issuing Agency 
shall then determine whether the smelter is able to comply with its SIP 
on or before the date required in the SIP by installing adequately 
demonstrated technology which is reasonably available. See also Sec. 
57.102(a)(3). If the test demonstrates that adequately demonstrated 
technology is not reasonably available to the smelter to allow it to 
comply with the SIP by the required compliance date, the smelter is 
eligible for an NSO.
    (2)(i) If the smelter is determined to be eligible for an NSO under 
paragraph (d)(1) of this section, the issuing Agency shall apply the 
appendix A financial eligibility tests again before issuing an NSO in 
order to determine if the smelter can comply with its SIP requirements 
on or before January 1, 1988 by installing adequately demonstrated 
technology which is reasonably available.
    (ii) If application of the tests shows that the smelter could comply 
by or before January 1, 1988, the issuing agency shall notify the 
smelter of this determination, and shall not issue an NSO to the smelter 
unless the NSO contains a SIP compliance schedule meeting the 
requirements of Sec. 57.705. Such a compliance schedule must provide 
for compliance with the smelter's SO2 SIP as expeditiously as 
practicable and in no case later than January 1, 1988. A smelter must 
submit to the issuing agency information necessary to determine a 
compliance schedule meeting the requirements of Sec. 57.705. This 
information shall be submitted by a smelter within thirty days after the 
smelter is notified by the issuing agency that a SIP compliance schedule 
is required. The Administrator may consider an NSO application to be 
withdrawn for SIP enforcement purposes if a smelter fails to submit such 
information within the time required under this paragraph.
    (iii) If no adequately demonstrated technology is found to be 
reasonably available to enable a smelter to comply by January 1, 1988, 
it would be excused from the compliance schedule requirement in Sec. 
57.201(d)(2)(ii), but it would be subject to reevaluation of its ability 
to comply by that date at any time during the term of the NSO. (See 
Sec. 57.201(d)(3)).

[[Page 169]]

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



Sec. 57.202  How to apply.

    (a) Letter of intent. To initiate an application for an NSO, the 
owner or operator of a smelter shall send a letter of intent to an 
appropriate air pollution control agency. The letter of intent shall 
contain a statement of the owner's intent to apply for an NSO, and an 
agreement to provide any information required under this part. The 
letter of intent shall be signed by a corporate official authorized to 
make such commitments. Upon receipt of any letter of intent by the 
issuing agency, the SIP emission limitation for sulfur dioxide, as to 
that applicant, shall be deemed suspended for 60 days. The 60 day 
suspension may be extended for good cause at the discretion of the 
Administrator.
    (b) Complete application. (1) Within the period referred to in 
paragraph (a) of this section, the smelter owner shall submit its 
completed application pursuant to Sec. 57.201. Receipt of all parts of 
a substantially complete application postmarked within the original or 
extended application period shall be deemed to continue the suspension 
of the SIP emission limitation for SO2 until the issuing 
agency issues or declines to issue an NSO. This suspension shall in all 
cases terminate, however, 90 days after receipt of the substantially 
completed application, unless extended for good cause at the discretion 
of the Administrator. If, in the Administrator's judgment, good faith 
effort has been made to submit a complete application, additional time 
may be granted to allow for correction of minor deficiencies.
    (2) If an issuing agency transmits an NSO to EPA for approval before 
the expiration of the suspension of the Federal SIP emission limitation, 
the suspension shall continue until EPA approves or disapproves the NSO.



Sec. 57.203  Contents of the application.

    (a) Claim of confidentiality. The smelter owner may make a business 
confidentiality claim covering all or part

[[Page 170]]

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

[[Page 171]]

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



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

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



Sec. 57.205  Submission of supplementary information upon relaxation of 

an SO[bdi2] SIP emission limitation.

    (a) In the event an SO2 SIP limit is relaxed subsequent 
to EPA approval or issuance of a second period NSO, the smelter issued 
the NSO shall submit to the issuing agency and EPA such supplementary 
information that EPA considers appropriate for purposes of determining 
whether the means of compliance with the new SIP limit are adequately 
demonstrated to be reasonably available under the financial eligibility 
tests specified in Sec. 57.102(b)(3). The smelter shall submit such 
information within sixty days of notification by EPA. This time limit 
may be extended by EPA for good cause.
    (b) Upon receipt of any supplementary information required under 
paragraph (a), the issuing agency shall promptly reevaluate the 
availability of the means of compliance with the new SIP limit under the 
NSO eligibility tests specified in Sec. 57.102(b)(3). If the issuing 
agency determines that the demonstrated control technology necessary to 
attain the new SO2 SIP limit is adequately demonstrated to be 
reasonably available under the eligibility tests, so as to permit the 
smelter to comply with the new SIP limit on or before January 1, 1988, 
the NSO shall be amended within the time contemplated

[[Page 172]]

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



          Subpart C_Constant Controls and Related Requirements



Sec. 57.301  General requirements.

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



Sec. 57.302  Performance level of interim constant controls.

    (a) Maximum feasible efficiency. Each NSO shall require: that the 
smelter operate its interim constant control systems at their maximum 
feasible efficiency, including the making of any improvements necessary 
to correct the effects of any serious deficiencies; that the process and 
control equipment be maintained in the way best designed to ensure such 
operation; and that process operations be scheduled and coordinated to 
facilitate treatment of process gas streams to the maximum possible 
extent. Maximum feasible efficiency shall be expressed in the NSO in the 
form of a limitation on the concentration of SO2 in the tail 
gas of each individual control system in combination with an appropriate 
averaging period, as provided below in paragraphs (b) and (c) of this 
section.
    (b) The limitation level for SO2 concentration in the 
control system tail gas. The level at which the concentration limitation 
is set shall take into account fluctuations in the strength and volume 
of process off-gases to the extent that those fluctuations affect the 
SO2 content of the tail gas and cannot be avoided by improved 
scheduling and coordination of process operations. The limitation shall 
exclude the effect of any increase in emissions caused by process or 
control equipment malfunction. The limitation shall take into account 
unavoidable catalyst deterioration in sulfuric acid plants, but may 
prescribe the frequency of catalyst screening or replacement. The NSO 
shall also prohibit the smelter owner from using dilution air to meet 
the limitation.
    (c) Averaging period. (1) The averaging period shall be derived in 
combination with the concentration limitation and shall take into 
account the same factors described in paragraph (b). The averaging 
period established under this paragraph should generally not exceed the 
following:
    (i) For sulfuric acid plants on copper smelters, 12-hour running 
average;

[[Page 173]]

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



Sec. 57.303  Total plantwide emission limitation.

    (a) Calculation of the emission limitation. Each NSO shall contain a 
requirement limiting the total allowable emissions from the smelter to 
the level which would have been associated with production at the 
smelter's maximum production capacity (as defined in Sec. 57.103(r)) as 
of August 7, 1977. This limitation shall be expressed in units of mass 
per time and shall be calculated as the sum of uncontrolled process and 
fugitive emissions, and emissions from any control systems (operating at 
the efficiency prescribed under Sec. 57.302). These emission rates may 
be derived from either direct measurements or appropriately documented 
mass balance calculations.
    (b) Compliance with the emission limitation. Each NSO shall require 
the use of specific, enforceable testing methods and measurement periods 
for determining compliance with the limitation established under 
paragraph (a) of this section.



Sec. 57.304  Bypass, excess emissions and malfunctions.

    (a) Definition of excess emissions. For the purposes of this 
subpart, any emissions greater than those permitted by the NSO 
provisions established under Sec. 57.302 (performance level of interim 
constant controls) or Sec. 57.303 (plantwide emission limitation) of 
this subpart shall constitute excess emissions. Emission of any gas 
stream identified under Sec. 57.301 (a), (b), (c), (d) or (e) of

[[Page 174]]

this subpart that is not treated by a sulfur dioxide constant control 
system shall also constitute an excess emission under this subpart.
    (b) The excess emission report. Each NSO shall require the smelter 
to report all excess emissions to the issuing agency, as provided in 
Sec. 57.305(b). The report shall include the following:
    (1) Identity of the stack or other emission points where the excess 
emissions occurred;
    (2) Magnitude of the excess emissions expressed in the units of each 
applicable emission limitation, as well as the operating data, 
documents, and calculations used in determining the magnitude of the 
excess emissions;
    (3) Time and duration of the excess emissions;
    (4) Identity of the equipment causing the excess emissions;
    (5) Nature and cause of such excess emissions;
    (6) Steps taken to limit the excess emissions, and when those steps 
were commenced;
    (7) If the excess emissions were the result of a malfunction, the 
steps taken to remedy the malfunction and to prevent the recurrence of 
such malfunction; and
    (8) At the smelter owner's election, the demonstration specified in 
paragraph (c) of this section.
    (c) Malfunction demonstration. Except as provided in Sec. 
57.302(e)(2) or in paragraph (d) or (e) of this section, any excess 
emission shall be a violation of the NSO unless the owner demonstrates 
in the excess emissions report required under paragraph (b) of this 
section that the excess emission resulted from a malfunction (or an 
unavoidable start up and shut down resulting from a malfunction) and 
that:
    (1) The air pollution control systems, process equipment, or 
processes were at all times maintained and operated, to the maximum 
extent practicable, in a manner consistent with good practice for 
minimizing emissions;
    (2) Repairs were made as expeditiously as practicable, including the 
use of off-shift labor and overtime;
    (3) The amount and duration of the excess emissions were minimized 
to the maximum extent practicable during periods of such emissions; and
    (4) The excess emissions were not part of a recurring pattern 
indicative of serious deficiencies in, or inadequate operation, design, 
or maintenance of, the process or control equipment.
    (d) Scheduled maintenance exception. Excess emissions occurring 
during scheduled maintenance shall not constitute violations of the NSO 
to the extent that:
    (1) The expected additional annual sulfur dioxide removal by any 
control system (including associated process changes) for which 
construction had not commenced (as defined in 40 CFR 60.2 (g) and (i)) 
as of August 7, 1977 and which the smelter owner agrees to install and 
operate under subpart F, would have offset such excess emissions if the 
system had been in operation throughout the year in which the 
maintenance was performed;
    (2) The system is installed and operated as provided in the NSO 
provisions established under subpart F; and
    (3) The system performs at substantially the expected efficiency and 
reliability subsequent to its initial break-in period.
    (e) An NSO may provide that excess emissions which occur during acid 
plant start-up as the result of the cooling of acid plant catalyst due 
to the unavailability of process gas to an acid plant during a prolonged 
SCS curtailment or scheduled maintenance are not excess emissions. If 
the NSO does so provide, it shall also require the use of techniques or 
practices designed to minimize these excess emissions, such as the 
sealing of the acid plant during prolonged curtailments, the use of 
auxiliary heat or SO2 injected during the curtailment, or the 
preheating of the acid plant before start-up of the process equipment it 
serves.
    (f) Requirements for a smelter with constant controls that applies 
for a waiver.
    (1) If a smelter that has some interim constant controls applies for 
a waiver in accordance with subpart H, the following requirements shall 
apply pending action on the waiver application and following final 
action granting or approving a waiver:
    (i) The NSO shall require the smelter to implement maintenance and 
operation measures designed to reduce to

[[Page 175]]

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



Sec. 57.305  Compliance monitoring and reporting.

    (a) Monitoring. (1) Each NSO shall require compliance with the 
control system performance requirements established pursuant to this 
subpart to be determined through the use of continuous monitors for 
measuring SO2 concentration.
    (i) Such monitors must be installed, operated and maintained in 
accordance with the performance specifications and other requirements 
contained in appendix D to 40 CFR part 52 or part 60. The monitors must 
take and record at least one measurement of SO2 concentration 
from the effluent of each control system in each 15-minute period. 
Failure of the monitors to record at least 95% of the 15-minute periods 
in any 30-day period shall constitute a violation of the NSO.
    (ii) The sampling point shall be located at least 8 stack diameters 
(diameter measured at sampling point) downstream and 2 diameters 
upstream from any flow disturbance such as a bend, expansion, 
constriction, or flame, unless another location is approved by the 
Administrator.
    (iii) The sampling point for monitoring emissions shall be in the 
duct at the centroid of the cross section if the cross sectional area is 
less than 4.645m\2\ (50 ft\2\) or at a point no closer to the wall than 
0.914m (3 ft) if the cross sectional area is 4.645m\2\ (50 ft\2\) or 
more. The monitor sample point shall be in an area of small spatial 
concentration gradient and shall be representative of the concentration 
in the duct.
    (iv) The measurement system(s) installed and used pursuant to this 
paragraph shall be subject to the manufacturer's recommended zero 
adjustment and calibration procedures at least once per 24-hour 
operating period unless the manufacturer specifies or recommends 
calibration at shorter intervals, in which case such specifications or 
recommendations shall be followed. Records of these procedures shall be 
made which clearly show instrument readings before and after zero 
adjustment and calibration.
    (2) Each NSO shall require the monitoring of any ducts or flues used 
to bypass gases, required under this subpart to be treated by constant 
controls, around the smelter's sulfur dioxide constant control system(s) 
for ultimate discharge to the atmosphere. Such monitoring shall be 
adequate to disclose the time of the bypass, its duration, and the 
approximate volume and SO2 concentration of gas bypassed.
    (b) Reporting. (1) Each NSO shall require that the smelter maintain 
a record of all measurements required under paragraph (a) of this 
section. Results shall be summarized monthly and shall be submitted to 
the issuing agency within 15 days after the end of each month. The 
smelter owner shall retain a record of such measurements for one year 
after the NSO period terminates.
    (2) Each NSO shall require that the smelter maintain a record of all 
measurements and calculations required under Sec. 57.303(b). Results 
shall be summarized on a monthly basis and shall be submitted to the 
issuing agency at 6-month intervals. The smelter owner shall retain a 
record of such measurements and calculations for at least one year after 
the NSO terminates.

[[Page 176]]

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



           Subpart D_Supplementary Control System Requirements



Sec. 57.401  General requirements.

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



Sec. 57.402  Elements of the supplementary control system.

    Each supplementary control system shall contain the following 
elements:
    (a) Air quality monitoring network. An approvable SCS shall include 
the use of appropriate ambient air quality monitors to continuously 
measure the concentration of sulfur dioxide in the air in the smelter's 
DLA.
    (1) The monitors shall be located at all points of expected 
SO2 concentrations necessary to anticipate and prevent 
possible violations of NAAQS anywhere in the smelter's DLA. The 
determination of the locations where such concentrations may occur shall 
take into account all recorded or probable meteorological and operating 
conditions (including bypassing of control equipment), as well as the 
presence of other sources of SO2 significantly affecting 
SO2 concentrations in the DLA.
    (2) The number and location of sites shall be based on dispersion 
modeling, measured ambient air quality data, meteorological information, 
and the results of the continuing review required by paragraph (f) of 
this section. The system shall include the use of at least 7 fixed 
monitors unless the issuing agency determines, on the basis of a 
demonstration by the smelter owner, that the use of fewer monitors would 
not limit coverage of points of high SO2 concentration or 
otherwise reduce the capability of the smelter owner to prevent any 
violations of the NAAQS in the smelter's DLA.
    (3) All monitors shall be continuously operated and maintained and 
shall meet the performance specifications contained in 40 CFR part 53. 
The monitors shall be capable of routine real time measurement of 
maximum expected SO2 concentrations for the averaging times 
of SO2 NAAQS.
    (b) Meteorological network. The SCS must have a meteorological 
assessment capability adequate to predict and identify local conditions 
requiring emission curtailment to prevent possible violations of the 
NAAQS. The meteorological assessment capability shall provide all 
forecast and current information necessary for successful use of the SCS 
operational manual required by paragraph (e) of this section.
    (c) Designated liability area. The system shall be required to 
prevent all violations of the NAAQS within the smelter's DLA. The DLA of 
any smelter is the area within which the smelter's emissions may cause 
or significantly contribute to violations of the NAAQS for 
SO2 when the smelter is operating at its maximum production 
capacity under any recorded or probable meterological conditions. The 
boundaries of that area shall be specified in the NSO.
    (1) Unless an acceptable demonstration is made under paragraph 
(c)(2) of this section, the DLA shall be a circle with a center point at 
the smelter's tallest stack and a minimum radius as given in the 
following table:

       Radius for SO2 Emissions at Maximum Production Capacity \1\
------------------------------------------------------------------------
                                         Emission rate in      Radius in
   Emissions rate in tons per hour        grains per Sec.    kilometers
------------------------------------------------------------------------
16 or less..........................  4,000 or less.........         11
24..................................  6,000.................         16

[[Page 177]]

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

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

Such plans may, but need not, include the operation of a joint SCS 
system. Each NSO shall require adherence by the NSO applicant owner to 
the joint plan for emission curtailment and allocation of liability, 
unless the issuing agency determines, pursuant to the provisions of 
paragraph (c)(2) of this section, that the NSO applicant's DLA does not 
overlap with that of any other smelter.
    (2) In the case of any NSO applicant that would have a DLA which 
would overlap with the DLA of any other smelter whose owner has not 
applied for an NSO (and does not have an NSO in effect), the NSO 
applicant's submittal shall contain a written consent, signed by a 
corporate official empowered to do so. The consent shall state that if, 
at any time thereafter, the owner of the other smelter applies for an 
NSO, and the other smelter's DLA would overlap with the NSO applicant's 
DLA, the NSO applicant will negotiate and submit an enforceable joint 
plan for emission curtailment and allocation of liability (as described 
in paragraph (d)(1) of this section). In determining whether it is 
necessary to submit such a consent, each smelter's DLA shall be 
calculated according to the table set forth in paragraph (c)(1) of this 
section. The consent shall state that a joint plan shall be submitted 
within 90 days of the issuing agency's

[[Page 178]]

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



Sec. 57.403  Written consent.

    (a) The consent. The NSO shall include a written consent, signed by 
a corporate official empowered to do so, in the following form:

    As a condition of receiving a Primary Nonferrous Smelter Order (NSO) 
under Section 119 of the Clean Air Act, for the smelter operated by 
(name of company) at (location),

[[Page 179]]

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

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



Sec. 57.404  Measurements, records, and reports.

    (a) Measurements. Each NSO shall require the smelter owner to 
install, operate, and maintain a measurement system(s) for continuously 
monitoring sulfur dioxide emissions and stack gas volumetric flow rates 
in each stack (except a stack used exclusively for bypassing control 
equipment) which could emit 5 percent or more of the smelter's total 
potential (uncontrolled) hourly sulfur dioxide emissions.
    (1) Such monitors shall be installed, operated, and maintained in 
accordance with the performance specifications and other requirements 
contained in appendices D and E to 40 CFR part 52. The monitors must 
take and record at least one measurement of sulfur dioxide concentration 
and stack gas flow rate from the effluent of each affected stack in each 
fifteen-minute period. (The NSO shall require the smelter operator to 
devise and implement any procedures necessary for compliance with these 
performance specifications.)
    (2) The sampling point shall be located at least eight stack 
diameters (diameter measured at sampling point) downstream and two 
diameters upstream from any flow disturbance such as a bend, expansion, 
constriction, or flame, unless another location is approved by the 
Administrator.
    (3) The sampling point for monitoring emissions shall be in the duct 
at the centroid of the cross section if the cross sectional area is less 
than 4.645 m\2\ (50 ft \2\) or at a point no closer to the wall than 
0.914m (3 ft) if the cross sectional area is 4.645 m\2\ (50 ft\2\) or 
more. The monitor sample point shall be in an area of small spatial 
concentration gradient and shall provide a sample which is 
representative of the concentration in the duct.
    (4) The measurement system(s) installed and used pursuant to this 
paragraph shall be subject to the manufacturer's recommended zero 
adjustment and calibration procedures at least once per 24-hour 
operating period unless the manufacturer specifies or recommends 
calibration at shorter intervals, in which case such specifications or 
recommendations shall be followed. Records of these procedures shall be 
made which clearly show instrument readings before and after zero 
adjustment and calibration.
    (5) The results of such monitoring, calibration, and maintenance 
shall be submitted in the form and with the frequency specified in the 
NSO.
    (b) Records. Each NSO shall require the smelter owner to maintain 
records of the air quality measurements made, meteorological information 
acquired, emission curtailment ordered (including the identity of the 
persons making such decisions), and calibration and maintenance 
performed on SCS monitors during the operation of the SCS. These records 
shall be maintained for the duration of the NSO.
    (c) Reports. Each NSO shall require the smelter owner to:
    (1) Submit a monthly summary indicating all places and times at 
which the NAAQS for SO2 were violated in the smelter's DLA, 
and stating the SO2 concentrations at such times;
    (2) Immediately notify EPA and the State agency any time 
concentrations of SO2 in the ambient air in the smelter's DLA 
reaches 0.3 part per million (800 micrograms/cubic meter), 24-hour

[[Page 180]]

average, or exceed the warning stage in any more stringent emergency 
plan in the applicable State Implementation Plan; and
    (3) Make such other reports as may be specified in the NSO.



Sec. 57.405  Formulation, approval, and implementation of requirements.

    (a) SCS content of the application. The requirements of Sec. 
57.203(d) shall be satisfied with respect to this subpart as follows:
    (1) Each NSO application shall include a complete description of any 
supplementary control system in operation at the smelter at the time of 
application and a copy of any SCS operational manual in use with that 
system.
    (2) Each NSO application shall contain proposed NSO provisions for 
compliance with the requirements of Sec. Sec. 57.401, 57.402 (c), (d), 
and (f), 57.403, 57.404, and 57.405 (b)(2).
    (3) Each NSO application shall include a specific plan for the 
development of a system fulfilling the requirements of Sec. 57.402(a), 
(b), and (e) (covering air quality monitoring network, meteorological 
network, and the SCS operational manual).
    (b) SCS content of the order. (1) Each NSO shall include an approved 
version of the plan described in paragraph (a)(3) of this section and 
shall provide increments of progress towards its completion. Each NSO 
shall require, upon completion of the measures specified in the approved 
plan, submission of a report which describes each element of the SCS and 
explains why the elements satisfy the requirements of the plan and 
submission of a copy of the SCS operational manual developed under the 
plan.
    (2) Each NSO shall require the submission of a final report, within 
6 months of the required date for completion of the measures specified 
in the approved plan evaluating the performance and adequacy of the SCS 
developed pursuant to the approved plan. The report shall include:
    (i) A detailed description of how the criteria that form the basis 
for particular curtailment decisions were derived;
    (ii) A complete description of each SCS element listed in Sec. 
57.402 (a) through (d) (covering monitoring, meteorology, and the DLA), 
and an explanation of why the elements fulfill the requirements of those 
sections;
    (iii) A reliability study demonstrating that the SCS will prevent 
violations of the NAAQS in the smelter's DLA at all times. The 
reliability study shall include a comprehensive analysis of the system's 
operation during one or more three-month seasonal periods when 
meteorological conditions creating the most serious risk of NAAQS 
violations are likely to occur. Where it is impossible, because of time 
restraints, to include in such a study and analysis of the three month 
seasonal period with meteorological conditions creating the most serious 
risk of NAAQS violations, the study shall analyze the system's operation 
on the basis of all available information. The NSO shall provide that in 
such case, a supplemental reliability study shall be submitted after the 
end of the worst case three-month period as a part of the next semi-
annual report required under Sec. 57.402(f).
    (iv) A copy of the current SCS operational manual.
    (c) Amendment of the NSO. Each NSO shall be amended, if necessary, 
within 3 months of completion of the measures required under the SCS 
development plan and also, if necessary, within three months of 
submission of the final report or any supplement to the final report 
required under paragraph (b)(2) of this section, to reflect the most 
current approved elements of the SCS and, as appropriate, to fulfill all 
other requirements of this subpart. Each NSO shall also be subsequently 
amended (as provided in Sec. 57.104) whenever necessary as a result of 
the program required by Sec. 57.402(f) or to reflect improved SCS 
operating procedures or other system requirements.



           Subpart E_Fugitive Emission Evaluation and Control



Sec. 57.501  General requirements.

    (a) Each NSO shall require the smelter owner to use such control 
measures as may be necessary to ensure that the

[[Page 181]]

smelter's fugitive emissions do not result in violations of the NAAQS 
for SO2 in the smelter's DLA.
    (b) A smelter which is operating under an NSO containing a SIP 
compliance schedule established in accordance with Sec. 57.705 is 
required to be making progress toward compliance with any fugitive 
control requirements contained in its respective SIP and need not meet 
the other requirements contained in this subpart.
    (c) A smelter which is subject to an NSO which does not contain a 
SIP compliance schedule must meet the provisions of Sec. Sec. 57.502 
and 57.503.



Sec. 57.502  Evaluation.

    (a) Evaluation at the time of application. Any smelter owner may 
demonstrate at the time of application for an NSO that the smelter's 
SO2 fugitive emissions will not cause or significant 
contribute to violations of the NAAQS in the smelter's DLA. If such 
demonstration is not made, the smelter owner shall submit the design and 
workplan for a study adequate to assess the sources of significant 
fugitive emissions from the smelter and their effects upon ambient air 
quality.
    (b) Evaluation during the first 6 months of the NSO. The design and 
workplan of the study shall be approved, if adequate, by the issuing 
agency and included in the NSO. The study shall commence no later than 
the date when the NSO becomes effective and an analysis of its results 
shall be submitted to the issuing agency within 6 months of the 
effective date of the NSO. The study shall include an appropriate period 
during which the ambient air shall be monitored to determine the impact 
of fugitive emissions of sulfur dioxide, arsenic (at copper smelters 
only), lead (at lead and zinc smelters only), and total suspended 
particulates on the ambient air quality in the smelter's DLA.



Sec. 57.503  Control measures.

    The NSO of any smelter subject to the requirements of Sec. 
57.502(b) shall be amended, if necessary, within 6 months of EPA's 
receipt of the analysis specified in Sec. 57.502(b), as provided in 
Sec. 57.704(c) to implement the requirement of Sec. 57.501. Measures 
required to be implemented may include:
    (a) Additional supplementary control. The use of the supplementary 
control system, if the additional use of the system does not interfere 
with the smelter owner's ability to meet the requirements of subpart D; 
and
    (b) Engineering and maintenance techniques. The use of engineering 
and maintenance techniques to detect and prevent leaks and capture and 
vent fugitive emissions through appropriate stacks. These techniques 
include but are not limited to:
    (1) For reactors, installation and proper operation of primary 
hoods;
    (2) For roasters, installation and proper operation of primary hoods 
on all hot calcine transfer points;
    (3) For furnaces, installation and proper operation of primary hoods 
on all active matte tap holes, matte launders, slag skim bays, and 
transfer points;
    (4) For converters, installation and proper operation of primary 
hoods for blowing operations, and where appropriate, secondary hoods for 
charging and pouring operations;
    (5) For sintering machines, installation and proper operation of 
primary hoods on the sinter bed, all hot sinter ignition points, all 
concentrate laydown points, and all hot sinter transfer points;
    (6) For blast furnaces, installation and proper operation of primary 
hoods on all active slag and lead bullion furnace tap holes and transfer 
points;
    (7) For dross reverberatory furnaces, installation and proper 
operation of primary hoods on all active charging and discharging 
points;
    (8) Maintenance of all ducts, flues and stacks in a leak-free 
condition to the maximum extent possible;
    (9) Maintenance of all process equipment under normal operating 
conditions in such a fashion that out-leakage of fugitive gases will be 
prevented to the maximum extent possible;
    (10) Secondary or tertiary hooding on process equipment where 
necessary; and
    (11) Partial or complete building evacuation as appropriate.

[[Page 182]]



Sec. 57.504  Continuing evaluation of fugitive emission control measures.

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



Sec. 57.505  Amendments of the NSO.

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



             Subpart F_Research and Development Requirements



Sec. 57.601  General requirements.

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



Sec. 57.602  Approval of proposal.

    (a) The smelter owner's proposal. The smelter owner's NSO 
application shall include a proposed NSO provision for implementing the 
requirement of Sec. 57.601, a fully documented supporting analysis of 
the proposed program, and an evaluation of the consistency of the 
proposed program with the criteria listed in Sec. 57.603. The 
application shall also specify:
    (1) The design and substantive elements of the research and 
development program, including the expected amount of time required for 
their implementation;
    (2) The annual expected capital, operating, and other costs of each 
element in the program;
    (3) The smelter's current production processes, pollution control 
equipment, and emissions which are likely to be affected by the program;
    (4) Potential or expected benefits of the program;
    (5) The basis upon which the results of the program will be 
evaluated; and
    (6) The names, positions, and qualifications of the individuals 
responsible for conducting and supervising the project.
    (b) EPA approval. (1) If the issuing agency will not be EPA, the 
smelter owner or the issuing agency may also submit to EPA the 
information specified in paragraph (a) of this section at the same time 
the information is submitted to the issuing agency. As soon as possible 
after the receipt of the information described in paragraph (a) of this 
section, EPA shall certify to the issuing agency and to the applicant 
whether or not in the judgment of the Administrator the smelter owner's 
final proposals are approvable. If EPA does not receive an advance copy 
of the proposal, the ultimate approval will occur when the NSO is 
approved rather than in advance of receipt of the NSO.
    (2) A prerequisite for approval of an R&D proposal by EPA and any 
issuing agency is that the planned work must yield the most cost 
effective technology possible.
    (c) Optional preproposal. The smelter owner may, at its option, 
submit to EPA for its approval and comment a preproposal generally 
describing the project the owner intends to propose

[[Page 183]]

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



Sec. 57.603  Criteria for approval.

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



Sec. 57.604  Evaluation of projects.

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



Sec. 57.605  Consent.

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



Sec. 57.606  Confidentiality.

    The provisions of section 114 of the Act and 40 CFR part 2 shall 
govern the confidentiality of any data or information provided to EPA 
under this subpart.



               Subpart G_Compliance Schedule Requirements



Sec. 57.701  General requirements.

    This section applies to all smelters applying for an NSO. Each NSO 
shall require the smelter owner to meet all of the requirements within 
the NSO as expeditiously as practicable but in no case later than the 
deadlines contained in this subpart or any other section of these 
regulations. For requirements not immediately effective, the NSO shall 
provide increments of progress and a schedule for compliance. Each 
schedule must reflect the extent to

[[Page 184]]

which any required equipment or systems are already in place and the 
extent to which any required reports or studies have already been 
completed. Requirements for smelters to submit compliance schedules and 
the procedures which they must follow are outlined below.



Sec. 57.702  Compliance with constant control emission limitation.

    (a) This section applies to all smelters which receive an NSO, but 
only to the extent this section is compatible with any SIP compliance 
schedule required by Sec. Sec. 57.201(d)(2) and 57.705.
    (b) Any NSO issued to a smelter not required to immediately comply 
with the requirements of subpart G under Sec. 57.701 shall contain a 
schedule for compliance with those requirements as expeditiously as 
practicable but in no case later than 6 months from the effective date 
of the NSO, except as follows: Where a waiver is requested in accordance 
with subpart H, an NSO may be issued without a schedule for compliance 
with the requirements for which a waiver is being considered consistent 
with subpart H, pending a final decision on the request under subpart H. 
If a waiver is requested in accordance with subpart H, compliance with 
the requirements of subpart C which were deferred as a result of such 
request shall be achieved as expeditiously as practicable after, but in 
no case later than 6 months from a final decision by the issuing agency 
to deny a waiver under subpart H or disapproval by EPA of a waiver 
granted by the issuing agency. The time limits specified herein may be 
extended only if a smelter operator demonstrates that special 
circumstances warrant more time, in which case the compliance schedule 
shall require compliance as expeditiously as practicable. An NSO which 
does not contain a schedule for compliance with all the requirements of 
subpart C because a waiver has been requested in accordance with subpart 
H shall be amended in accordance with Sec. 57.104 within three months 
after a final decision under subpart H so as to either grant a waiver of 
any remaining requirements of subpart C, or deny such a waiver and place 
the smelter on a compliance schedule for meeting those requirements. If 
the issuing agency grants a waiver and such waiver is disapproved by 
EPA, the issuing agency shall promptly amend the NSO so as to place the 
smelter on a compliance schedule meeting any remaining requirements of 
subpart C.
    (c) Any schedule required under this section shall contain the 
following information and increments of progress to the extent 
applicable:
    (1) Description of the overall design of the SO2 control 
system(s) to be installed;
    (2) Descriptions of specific process hardware to be used in 
achieving compliance with interim SO2 constant controls 
including gas capacity values;
    (3) The date by which contracts will be let or purchase orders 
issued to accomplish any necessary performance improvements;
    (4) The date for initiating on-site construction or installation of 
necessary equipment;
    (5) The date by which on-site construction or installation of 
equipment is to be completed; and
    (6) The date for achievement of final compliance with interim 
emission limitations.



Sec. 57.703  Compliance with the supplementary control system requirements.

    This section applies to all nonferrous smelters applying for an NSO.
    (a) Schedules for smelters with existing SCS. Each NSO shall require 
immediately upon issuance of the NSO operation of any existing 
supplementary control system and immediately upon the effective date of 
the NSO the assumption of liability for all violations of the NAAQS 
detected by any monitor in the SCS system. Each NSO shall require that 
within six months of the effective date of the NSO the smelter complete 
any measures specified in the smelter's approved SCS development plan 
not implemented at the time the NSO is issued, and assume liability for 
all violations of the NAAQS detected anywhere in the DLA (except as 
provided in subpart D of these regulations). Other requirements of 
subpart D such as the requirements for submission of reports records, 
and for ongoing

[[Page 185]]

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



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

    This section applies only to smelters not required to submit SIP 
Compliance Schedules under Sec. 57.705. Each NSO shall require that 
smelters satisfy each of the requirements of subpart E as expeditiously 
as practicable, taking into account the extent to which those 
requirements have already been satisfied, and in any event, within any 
deadlines specified below.
    (a) Plan for fugitive emission control. The NSO shall provide that 
within a reasonable period after the submission of the report on the 
fugitive emission control study required by Sec. 57.502, but within a 
period allowing sufficient time for compliance with the requirement of 
Sec. 57.503 for amendment of the NSO, the smelter owner shall submit to 
the issuing agency for its approval a proposed fugitive emission control 
plan, including increments of progress, for compliance with the 
requirements of Sec. Sec. 57.501 and 57.503.
    (b) SCS Report. If the fugitive emission control plan submitted 
under paragraph (a) of this section proposes to meet the requirements of 
Sec. Sec. 57.501 and 57.503 through the additional use of a 
supplementary control system, the plan shall demonstrate that the use of 
supplementary controls at that smelter to prevent violations of the 
NAAQS resulting from fugitive emissions is practicable, adequate, 
reliable, and enforceable. The plan shall contain increments of progress 
providing for completion of the implementation of each additional 
measure, and for corresponding compliance with the requirements of 
paragraphs (b) and (c) of Sec. 57.404, within four months of approval 
of the plan by the issuing agency. The plan shall also provide that 
within three months after completion of implementation of those 
additional measures, the smelter shall fully comply with the 
requirements of Sec. Sec. 57.401 and 57.501 (including the assumption 
of liability for violations of NAAQS within its designated liability 
area), and shall submit and additional SCS report for the approval of 
the issuing agency. This additional final report shall correspond to 
that submitted under Sec. 57.405(b)(2), except that it need not contain 
the 3-month study described in Sec. 57.405(b)(2)(iii).
    (c) NSO amendment. The amendments of the NSO required under Sec. 
57.503 shall be affected by the issuing agency as follows:
    (1) With respect to the additional use of SCS, upon approval or 
promulgation of the plan submitted under paragraph (a) of this section 
and upon approval or promulgation of the requirements for the system 
described in the additional SCS Report under paragraph (b) of this 
section;
    (2) With respect to the additional use of engineering techniques, 
upon approval or promulgation of the compliance schedule required by 
paragraph (a) of this section.

[[Page 186]]



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

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



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



Sec. 57.801  Purpose and scope.

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



Sec. 57.802  Request for waiver.

    (a) General. (1) Each smelter owner requesting a waiver shall 
complete, sign, and submit appendix A (Test for Eligibility for Interim 
Waiver). Copies of appendix A may be obtained from any EPA Regional 
Administrator, or from the Director, Stationary Source Compliance 
Division (EN-341), U.S. Environmental Protection Agency, 1200 
Pennsylvania Ave., NW., Washington, DC 20460. Claims of confidentiality 
shall be made as provided in Sec. 57.203.
    (2) The smelter owner shall append to the completed and signed 
appendix A full copies of all documents, test results, studies, reports, 
scientific literature and assessments required by appendix A. To the 
extent that the material consists of generally available published 
material, the smelter owner may cite to the material in lieu of 
appending it to appendix A. The smelter owner shall specifically 
designate those portions of any documents relied upon and the facts or 
conclusions in appendix A to which they relate.
    (b) Effect of submitting incomplete application. (1) The 
Administrator, or a person designated by him to review applications for 
waivers, may advise the smelter owner in writing whenever he determines 
that additional information is needed in order to make the waiver 
eligibility determinations required by section 119(d)(2) of the Act. The 
smelter owner shall promptly supply such information. All additional 
information requested under this paragraph and filed in the manner 
required by paragraph (d) shall be deemed part of appendix A.
    (2) Failure to comply with the requirements of paragraphs (a) and 
(b)(1) of this section shall be grounds for denial of the requested 
waiver.
    (c) Time for requesting waivers. Any request for a waiver must be 
submitted to the Administrator by the smelter owner at the time of the 
application for an NSO from the State or the Administrator, as the case 
may be. Where a smelter was issued a second period NSO by a State before 
these regulations went into effect, a request for a waiver shall be made 
and a completed appendix A shall be submitted, within sixty days of the 
effective date of these regulations, unless an extension is granted by 
the Administrator, or his designee, for good cause.
    (d) Submission of request. A copy of appendix A (plus attachments) 
which has

[[Page 187]]

been completed for the purpose of requesting a waiver of constant 
control requirements shall be filed with the Administrator, addressed as 
follows: Director, Stationary Source Compliance Division (EN-341), U.S. 
Environmental Protection Agency, 1200 Pennsylvania Ave., NW., 
Washington, DC 20460, Attn: Confidential Information Unit.
    (e) Eligibility. A smelter shall be eligible for consideration under 
this subpart only if it establishes that (1) its existing strong stream 
controls, if any, lack the capacity while in full operation to treat all 
strong stream sulfur dioxide emissions and (2) bypass of strong stream 
controls due to excess strong stream sulfur dioxide emissions cannot be 
avoided with improved operation and maintenance of existing strong 
stream controls and process equipment.
    (f) Criteria for decision. The Administrator shall grant or approve 
a waiver, whichever is appropriate, for any eligible smelter as to which 
he finds, in accordance with the methods and procedures specified in 
appendix A, that:
    (1) The higher of the two net present values of future cash flows 
completed under the two alternative sets of assumptions set forth in the 
instructions to schedule D.6 in appendix A in less than liquidation 
(salvage) value; or
    (2) The smelter's average variable costs at all relevant levels of 
production (after installation of interim constant control equipment) 
would exceed the weighted average price of smelter output for one year 
or more.



Sec. 57.803  Issuance of tentative determination; notice.

    (a) Tentative determination. (1) The EPA staff shall formulate and 
prepare:
    (i) A ``Staff Computational Analysis,'' using the financial 
information submitted by the smelter owner under Sec. 57.802 to 
evaluate the economic circumstances of the smelter for which the waiver 
is sought;
    (ii) A tentative determination as to whether an interim requirement 
for the use of constant controls would be so costly as to necessitate 
permanent or prolonged temporary cessation of operations at the smelter 
for which the waiver is requested. The tentative determination shall 
contain a ``Proposed Report and Findings'' summarizing the conclusions 
reached in the Staff Computational Analysis, discussing the estimated 
cost of interim controls, and assessing the effect upon the smelter of 
requiring those controls. The tentative determination shall also contain 
a proposed recommendation that the waiver be granted or denied, based 
upon the Proposed Report and Findings, and stating any additional 
considerations supporting the proposed recommendation. This tentative 
determination shall be a public document.
    (2) In preparing the Proposed Report and Findings, the EPA staff 
shall attempt to the maximum extent feasible to avoid revealing 
confidential information which, if revealed, might damage the legitimate 
business interests of the applicant. The preceding sentence 
notwithstanding, the tentative determination shall be accompanied by a 
listing of all materials considered by EPA staff in developing the 
tentative determination. Subject to the provisions of Sec. 57.814(a), 
full copies of all such materials shall be included in the 
administrative record under Sec. 57.814, except that, to the extent the 
material consists of published material which is generally available, 
full citations to that material may be given instead.
    (b) Public notice. Public notice of EPA's tentative determination to 
grant or deny an application for a waiver shall be given by:
    (1) Publication at least once in a daily newspaper of general 
circulation in the area in which the smelter is located; and
    (2) Posting in the principal office of the municipality in which the 
smelter is located.
    (c) Individual notice. Individual notice of EPA's tentative 
determination to grant or deny an application for a waiver shall be 
mailed to the smelter owner by certified mail, return receipt requested, 
and to the air pollution control agency for the State in which the 
smelter is located.

[[Page 188]]

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



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

    (a) Request for hearing. Within 30 days of the date of publication 
or receipt of the notice required by Sec. 57.803, any person may 
request the Administrator to hold a hearing on the tentative 
determination by submitting a written request containing the following:
    (1) Identification of the person requesting the hearing and his 
interest in the proceeding;
    (2) A statement of any objections to the tentative determination; 
and
    (3) A statement of the issues which such person proposes to raise 
for consideration at such hearing.
    (b) Grant or denial of hearing; notification. Whenever (1) the 
Administrator has received a written request satisfying the requirements 
of paragraph (a) of this section which presents genuine issues as to the 
effect on the smelter of the requirement for use of constant controls, 
or (2) the Administrator determines in his discretion that a hearing is 
necessary or appropriate the Administrator shall give written notice of 
his determination to each person requesting such hearing and the smelter 
owner, and shall provide public notice of his determination in 
accordance with Sec. 57.803(b). If the Administrator determines that a 
request filed under paragraph (a) of this section does not comply with 
the requirements of paragraph (a) or does not present genuine issues, he 
shall be given written notice of his decision to deny a hearing to the 
person requesting the hearing.
    (c) Form of notice of hearing. Each notice of hearing disseminated 
under paragraph (b) of this section shall contain:
    (1) A statement of the time and place of the hearing;
    (2) A statement identifying the place at which the official record 
on the application for waiver is located, the hours during which it will 
be open for public inspection, and the documents contained in the record 
as of the date of the notice of hearing;
    (3) The due date for filing a written request to participate in the 
hearing under paragraph (d) of this section;
    (4) The due date for making written submissions under 57.805; and
    (5) The name, address, and office telephone number of the hearing 
Clerk for the hearing.
    (d) Request to participate in hearing. Each person desiring to 
participate in any hearing granted under this section, including any 
person requesting such a

[[Page 189]]

hearing, shall file a written request to participate with the Hearing 
Clerk by the deadline set forth in the notice of hearing. The request 
shall include:
    (1) A brief statement of the interest of the person in the 
proceeding;
    (2) A brief outline of the points to be addressed;
    (3) An estimate of the time required; and
    (4) If the request is submitted by an organization, a nonbinding 
list of the persons to take part in the presentation. As soon as 
practicable, but in no event later than two weeks before the scheduled 
date of the hearing, the Hearing Clerk shall make available to the 
public and shall mail to each person who asked to participate in the 
hearing a hearing schedule.
    (e) Effect of denial of or absence of request for hearing. If no 
request for a hearing is made under this section, or if all such 
requests are denied under paragraph (b) of this section, the tentative 
determination issued under Sec. 57.803 shall be treated procedurally as 
if it were a recommended decision issued under Sec. 57.811(b)(2), 
except that for purposes of Sec. Sec. 57.812 and 57.813 the term 
``hearing participant'' shall be construed to mean the smelter owner and 
any person who submitted comments under Sec. 57.803(e)(4).



Sec. 57.805  Submission of written comments on tentative determination.

    (a) Main comments. Each person who has filed a request to 
participate in the hearing shall file with the Hearing Clerk no later 
than 30 days before the scheduled start of the hearing (or such other 
date as may be set forth in the notice of hearing) any comments which he 
has on the request for waiver and EPA's tentative determination, based 
on information which is or reasonably could have been available to that 
person at the time.
    (b) Reply comments. Not later than two weeks after a full transcript 
of the hearing becomes available (or such other date as may be set forth 
in the notice of hearing), each person who has filed a request to 
participate in the hearing shall file with the Hearing Clerk any 
comments he may have on:
    (1) Written comments submitted by other participants pursuant to 
paragraph (a) of this section;
    (2) Written comments submitted in response to the notice of hearing;
    (3) Material in the hearing record; and
    (4) Material which was not and could not reasonably have been 
available prior to the deadline for submission of main comments under 
paragraph (a) of this section.
    (c) Form of comments. All comments should be submitted in 
quadruplicate and shall include any affidavits, studies, tests or other 
materials relied upon for making any factual statements in the comments.
    (d) Use of comments. (1) Written comments filed under this section 
shall constitute the bulk of the evidence submitted at the hearing. Oral 
statements at the hearing should be brief, and restricted either to 
points that could not have been made in written comments, or to 
emphasizing points which are made in the comments, but which the 
participant believes can be more forcefully urged in the hearing 
context.
    (2) Notwithstanding the foregoing, within two weeks prior to either 
deadline specified by paragraph (a) of this section for the filing of 
main comments, any person who has filed a request to participate in the 
hearing may file a request with the Presiding Officer to submit all or 
part of his main comments orally at the hearing in lieu of submitting 
written comments. The Presiding Officer shall, within one week, grant 
such request if he finds that such person will be prejudiced if he is 
required to submit such comments in written form.



Sec. 57.806  Presiding Officer.

    (a) Assignment of Presiding Officer. (1) The Administrator shall, as 
soon as practicable after the granting of a request for hearing under 
Sec. 57.803, request that the Chief Administrative Law Judge assign an 
Administrative Law Judge as Presiding Officer. The Chief Administrative 
Law Judge shall thereupon make the assignment.
    (2) If the parties to the hearing waive their right to have the 
Agency or an Administrative Law Judge preside at

[[Page 190]]

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

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



Sec. 57.807  Hearing.

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



Sec. 57.808  Opportunity for cross-examination.

    (a) Request for cross-examination. After the close of the panel 
hearing conducted under this part, any participant in that hearing may 
submit a written request for cross-examination. The request shall be 
received by EPA within one week after a full transcript of the hearing 
becomes available and shall specify:
    (1) The disputed issue(s) of material fact as to which cross-
examination is requested. This shall include an explanation of why the 
questions at issue are factual, rather than of an analytical or policy 
nature; the extent to which they are in dispute in the light of the 
record made thus far, and the extent to which and why they can 
reasonably be considered material to the decision on the application for 
a waiver; and
    (2) The person(s) the participant desires to cross-examine, and an 
estimate

[[Page 191]]

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



Sec. 57.809  Ex parte communications.

    (a) General. (1) No interested person outside the Agency or member 
of the Agency trial staff shall make or knowingly cause to be made to 
any member of the decisional body an ex parte communication relevant to 
the merits of the proceedings.
    (2) No member of the decisional body shall make or knowingly cause 
to be made to any interested person outside the Agency or member of the 
Agency trial staff an ex parte communication relevant to the merits of 
the proceedings.
    (b) Effect of receipt of ex parte communication. (1) A member of the 
decisional body who receives or who makes or knowingly causes to be made 
a communication prohibited by this subsection shall place in the record 
all written communications or memoranda stating the substance of all 
oral communications together with all written responses and memoranda 
stating the substance of all responses.
    (2) Upon receipt by any member of the decisionmaking body of an ex 
parte communication knowingly made or knowingly caused to be made by a 
party or representative of a party in violation of this section, the 
person

[[Page 192]]

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

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



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

    Unless otherwise ordered by the Presiding Officer, each hearing 
participant may, within 20 days after reply comments are submitted under 
Sec. 57.805(b), or if a supplementary hearing for the purpose of cross-
examination has been held under Sec. 57.808(c), within 20 days after 
the transcript of such supplemental hearing becomes available or if 
alternative methods of clarifying the record have been used under Sec. 
57.808(d), within 20 days after the alternative methods have been 
employed, file with the Hearing Clerk and serve upon all other hearing 
participants proposed findings and proposed recommendations to replace 
in whole or in part the findings and recommendations contained in the 
tentative determination. Any such person may also file, at the same 
time, a brief in support of his proposals, together with references to 
relevant pages of transcript and to relevant exhibits. Within 10 days 
thereafter each participant may file a reply brief concerning 
alternative proposals. Oral argument may be held at the discretion of 
the Presiding Officer on motion of any hearing participant or sua 
sponte.



Sec. 57.811  Recommended decision.

    As soon as practicable after the conclusion of the hearing, one or 
more responsible employees of the Agency shall evaluate the record for 
preparation of a recommended decision and shall prepare and file a 
recommended decision with the Hearing Clerk. The employee(s) preparing 
the decision will generally be members of the hearing panel and may 
include the Presiding

[[Page 193]]

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



Sec. 57.812  Appeal from or review of recommended decision.

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



Sec. 57.813  Final decision.

    (a) After review. As soon as practicable after all appeal or other 
review proceedings have been completed, the Administrator shall issue 
his final decision. Such a final decision shall include the same 
elements as the recommended decision, as well as any additional reasons 
supporting his decisions on exceptions filed by hearing participants. 
The final decision may accept or reject all or part of the recommended 
decision. The Administrator may consult with the Presiding Officer, 
members of the hearing panel or any other EPA employee in preparing his 
final decision. The Hearing Clerk shall file a copy of the decision on 
all hearing participants.
    (b) In the absence of review. If no party appeals a recommended 
decision to the Administrator and if the Administrator does not review 
it sua sponte, he shall be deemed to have adopted the recommended 
decision as the final decision of the Agency upon the expiration of the 
time for filing any exceptions under Sec. 57.812(a).
    (c) Timing of judicial review. For purposes of judicial review, 
final Agency action on a request for a waiver of the

[[Page 194]]

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



Sec. 57.814  Administrative record.

    (a) Establishment of record. (1) Upon receipt of request for a 
waiver, an administrative record for that request shall be established, 
and a Record and Hearing Clerk appointed to supervise the filing of 
documents in the record and to carry out all other duties assigned to 
him under this subpart.
    (2) All material required to be included in the record shall be 
added to the record as soon as feasible after its receipt by EPA. All 
material in the record shall be appropriately indexed. The Hearing Clerk 
shall make appropriate arrangements to allow members of the public to 
copy all nonconfidential record materials during normal EPA business 
hours.
    (3) Confidential record material shall be indexed under paragraph 
(a)(2). Confidential record material shall, however, be physically 
maintained in a separate location from public record material.
    (4) Confidential record material shall consist of the following:
    (i) Any material submitted pursuant to Sec. 57.802 for which a 
proper claim of confidentiality has been made under section 114(c) of 
the Act and 40 CFR part 2; and
    (ii) The Staff Computational Anaylsis prepared under Sec. 57.803
    (b) Record for issuing tentative determination. The administrative 
record for issuing the tentative determination required by Sec. 57.803 
shall consist of the material submitted under Sec. 57.802 and any 
additional materials supporting the tentative determination.
    (c) Record for acting on requests for cross-examination. The 
administrative record for acting on requests for cross-examination under 
Sec. 57.808 shall consist of the record for issuing the tentative 
determination, all comments timely submitted under Sec. Sec. 
57.803(e)(4) and 57.805, the transcript of the hearing, and any 
additional material timely submitted under Sec. 57.807(d).
    (d) Record for preparation of recommended decision. The 
administrative record for preparation of the recommended decision 
required by Sec. 57.811 shall consist of the record for acting on 
request for cross-examination, the transcript of any supplementary 
hearing held under Sec. 57.808(c), any materials timely submitted in 
lieu of or in addition to cross-examination under Sec. 57.808(d), and 
all briefs, proposed findings of fact and proposed recommendations 
timely submitted under Sec. 57.810.
    (e) Record for issuance of final decision. (1) Where no hearing has 
been held, the administrative record for issuance of the Administrator's 
final decision shall consist of the record for issuing the tentative 
determination, any comments timely submitted under Sec. 57.803(e)(4), 
any briefs or reply briefs timely submitted under Sec. 57.812 (a) 
through (c), and the transcript of any oral argument granted under Sec. 
57.812(d).
    (2) Where a hearing has been held, the administrative record for 
issuance of the Administrator's final decision shall consist of the 
record of preparation of the recommended decision, any briefs or reply 
briefs submitted under Sec. 57.812 (a) through (c), and the transcript 
of any oral argument granted under Sec. 57.812(d).



Sec. 57.815  State notification.

    The Administrator shall give notice of the final decision in writing 
to the air pollution control agency of the State in which the smelter is 
located.



Sec. 57.816  Effect of negative recommendation.

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



   Sec. Appendix A to Part 57--Primary Nonferrous Smelter Order (NSO) 
                               Application

                              Instructions

1. General Instructions
1.1 Purpose of the Application
1.2 NSO Financial Tests

[[Page 195]]

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

                 Detailed Instructions for Each Schedule

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

                         1. General Instructions

    1.1 Purpose of the application. This application provides financial 
reporting schedules and the accompanying instructions for EPA's 
determination of eligibility for a nonferrous smelter order (NSO), and 
for a waiver of the interim constant controls requirement of an NSO. 
Although the determination of eligibility for an NSO is prerequisite for 
the determination of a waiver, appendix A, as a matter of convenience to 
applicants, includes both the NSO and waiver tests and reporting 
schedules.
    In order to support an NSO eligibility determination, the applicant 
must submit operating and financial data as specified by the schedules 
included in this application. Specific instructions for completing each 
schedule are provided in subsequent sections of the instructions. In 
general, applicants must provide:
    (a) Annual income statements, balance sheets and supporting data 
covering the five most recent fiscal years for the smelter for which the 
NSO requested.
    (b) Forecasts of operating revenues, operating costs, net income 
from operations and capital investments for the firm's smelter 
operations subject to this application, on the basis of anticipated 
smelter operations without any sulfur dioxide air pollution control 
facilities that have not been installed as of the NSO application date.
    (c) Forecasts of operating revenues, operating costs, net income 
from operations and capital investments for the firm's smelter 
operations subject to this application, on the basis of anticipated 
smelter operations with expected additional sulfur dioxide control 
facilities required to comply with the smelter's SIP emission 
limitation.
    (d) For smelters applying for a waiver of interim constant controls, 
forecasts of operating revenues, operating costs, and capital 
investments for the firm's smelter operations prepared on the basis of 
two alternative assumptions: (1) Installation of additional pollution 
control facilities required to comply with interim constant control 
requirements, no installation of any additional SO2 controls 
that the smelter would otherwise be required to install but for the 
issuance of an NSO, and closure of the smelter after January 1, 1988; 
and (2) installation of additional pollution control facilities required 
to comply with interim constant control requirements, installation of 
any additional SO2 controls required to comply with the 
smelter's SIP emission limitation by January 2, 1988, and continued 
operation of the smelter after January 1, 1988.
    1.2 NSO financial tests. EPA will use separate tests to determine 
eligibility for an NSO and to evaluate applications for a waiver of the 
interim constant control requirement. The two tests for NSO eligibility 
employ a present value approach for determining the reasonable 
availability of constant control technology that will enable an 
applicant to achieve full compliance with its SIP sulfur dioxide 
emission limitation. The tests for the waiver of the interim constant 
control requirements employ variable costing and discounted cash flow 
standards for evaluating an applicant's economic capability to implement 
those requirements.
    1.2.1 NSO Eligibility Tests. Each applicant must establish that the 
system of production and/or constant control technology that will enable 
the smelter to achieve full compliance with its SIP SO2 
emission limitation

[[Page 196]]

standard is not reasonably available. An applicant will determine 
financial eligibility for an NSO by passing at least one of the 
following two tests.
    (a) Profit Protection Test. The smelter will experience a reduction 
in pre-tax profits of 50 percent or more after undertaking the required 
installation of constant controls.
    (b) Rate of Return Test. The smelter will earn a rate of return on 
historical net investment, expressed in constant dollars, below the 
industry average cost of capital after undertaking the required 
installation of constant controls.
    1.2.2 Temporary Waiver from Interim Controls. Applicants that do not 
have an existing constant control system or whose constant controls are 
not sufficient when in operation and optimally maintained to treat all 
strong streams in accordance with subpart C, may apply for a waiver of 
the requirements of subpart C with respect to any interim constant 
controls not already installed. Applicants will be eligible for a 
temporary waiver of the requirement for interim constant controls not 
already installed, if they can establish pursuant to the procedures in 
this application that the imposition of such control requirements would 
economically necessitate closure of the smelter facility for a period of 
one year or longer. The economic justification for a non-permanent 
closure under this temporary waiver test is defined as a situation in 
which the smelter's projected operating revenues for one or more years 
during which the NSO is in effect are inadequate to cover variable 
operating costs anticipated after installing the required interim 
control technology. Temporary waivers will be granted for only the 
period of time over which applicants can establish an inability by the 
firm to cover its variable operating costs. Interim control waiver 
requests based on the smelter's projected inability to earn adequate 
income after installation of interim pollution control equipment will be 
subject to the permanent waiver test.
    1.2.3 Permanent Waiver from Interim Controls. Applicants that do not 
have an existing constant control system or whose constant controls are 
not sufficient when in operation and optimally maintained to treat all 
strong streams in accordance with subpart C, may apply for a waiver of 
the requirements of subpart C with respect to any interim constant 
controls not already installed. Applicants will be eligible for a 
permanent waiver of the requirement for interim constant controls not 
already installed, if they can establish pursuant to the procedures in 
this application that an imposition of such control requirements would 
necessitate permanent closure of the smelter. Economic justification for 
a permanent closure is defined as a situation in which the present value 
of future cash flows anticipated from the smelter after installing the 
required interim control technology is less than the smelter's current 
salvage value under an orderly plan of liquidation. Future cash flows 
are determined under two alternative assumptions. The higher present 
value of cash flows computed under these assumptions is then compared to 
salvage value.
    1.2.4 EPA Contact for NSO Inquiries. Inquiries concerning this 
portion of the requirements for NSO application should be addressed to 
Laxmi M. Kesari, Environmental Protection Agency, EN 341, 1200 
Pennsylvania Ave., NW., Washington, DC 20460.
    1.2.5 Certification. The NSO Certification Statement must be signed 
by an authorized officer of the applicant firm.
    1.3 Confidentiality. Applicants may request that information 
contained in this application be treated as confidential. Agency 
regulations concerning claims of confidentiality of business information 
are contained in 40 CFR part 2, subpart B (41 FR 36902 et seq., 
September 1, 1976, as amended by 43 FR 39997 et seq., September 8, 
1978). The regulations provide that a business may, if it desires, 
assert a business confidentiality claim covering part or all of the 
information furnished to EPA. The claim must be made at the same time 
the applicable information is submitted. The manner of asserting such 
claims is specified in 40 CFR 2.203(b). Information covered by such a 
claim will be handled by the Agency in accordance with procedures set 
forth in the subpart B regulations. EPA will not disclose information on 
a business that has made a claim of confidentiality, except to the 
extent of and in accordance with 40 CFR part 2, subpart B. However, if 
no claim of confidentiality is made when information is furnished to 
EPA, the information may be made available to the public without notice 
to the business.

                   2. NSO Financial Reporting Overview

    2.1 Revenue and Cost Assignment. The amounts assigned to operations 
of the smelter subject to this NSO application should include (1) 
revenues and costs directly attributable to the smelter's operating 
activities and (2) indirect operating costs shared with other segments 
of the firm to the extent that a specific causal and beneficial 
relationship can be identified for the allocation of such costs to the 
smelter. Do not allocate revenues and costs associated with central 
administrative activities for which specific causal and beneficial 
relationships to the activities of the smelter cannot be established. 
Nonallocable items include, but are not restricted to, amounts such as 
dividend and interest income on centrally administered portfolio 
investments, central corporate administrative office expenses and, 
except for schedules supporting the Profit Protection

[[Page 197]]

Test, interest on long-term debt financing arrangements. Provide a 
detailed explanation of amounts classified as nontraceable on a separate 
schedule and attach as part of Exhibit B.
    2.2 Transfer Prices on Affiliated Part Transactions. Certain 
transactions by the smelter subject to an NSO application may reflect 
sales to or purchases from ``affiliated'' customers or suppliers with 
whom the smelter has a common bond of ownership and/or managerial 
control. In preparing this application, affiliated party transactions 
shall be defined as transactions with any entity that the firm, or its 
owners, controls directly or indirectly either through an ownership of 
10 percent or more of the entity's voting interests or through an 
exercise of managerial responsibility. Applicants must attach as part of 
Exhibit B supporting schedules explaining the pricing policies 
established on affiliated party transactions incorporated in the 
financial reporting schedules.
    Prices on inter-segment material and product transfers within a 
firm, or on external purchases from and sales to other affiliated 
suppliers and customers, may differ from the prices on comparable 
transactions with unaffiliated suppliers and customers. In this event, 
applicants also must present in the Exhibit B supporting schedules and 
incorporate in the NSO financial reporting schedules appropriate 
adjustments for restating affiliated party transactions. Affiliated 
party transactions must be restated at either (a) equivalent prices on 
comparable transactions with unaffiliated parties if such price 
quotations can be obtained or (b) prices that provide the selling entity 
with a normal profit margin above its cost of sales if a meaningful 
comparison with unaffiliated transaction prices cannot be established.
    A ``normal'' profit margin is defined as the gross operating profit 
per dollar of operating revenue that will provide an average after-tax 
rate of return on permanent capital (total assets less current 
liabilities). This average rate of return is defined differently for the 
historical and forecast periods. The applicant must use a rate of return 
of 8.0 percent for the historical period. This figure is based on a 
historical average earned rate of return for the nonferrous metals 
industry. \1\ EPA may update this figure periodically. The updates will 
be available in the rulemaking docket or from the INFORMATION CONTACT 
noted in the Federal Register. For the forecast period, the applicant 
must use a rate of return equal to the current weighted average cost of 
capital for the nonferrous metals industry, as computed in Section 2.6.
---------------------------------------------------------------------------

    \1\ The derivation of this figure is explained in two memoranda to 
EPA (Item Nos. II-A-1 and IV-A-6a in EPA Docket No. A-82-35).
---------------------------------------------------------------------------

    Forecast smelting charges for integrated smelters can be computed 
from forecast market smelting charges. Integrated copper smelters may 
use as the basis of their forecast revenues the forecast copper smelting 
charges provided by EPA, adjusted as described in Section 2.4.1. An 
applicant may submit other forecasts, providing the forecast methodology 
is in accordance with the guidelines in Section 2.5 and fully documented 
as part of Exhibit B.
    2.3 Forecasting Requirements. NSO applicants must provide the Agency 
with financial forecasts in Schedules B.1 through B.6 and C.1 through 
C.2. Applicants requesting either a temporary or permanent waiver from 
interim constant control requirements also must provide an additional 
set of financial forecasts in Schedules D.1 through D.4.
    2.3.1 Forecast Period. The forecast period must include at least two 
full years following completion and startup of the required pollution 
control system. The forecast period shall be from 1984 through 1990 for 
an NSO application filed in 1984. If an application is filed in a later 
year, the 1984 through 1990 period should be adjusted accordingly. All 
references in this appendix to the period 1984 through 1990 should be 
interpreted accordingly.
    2.3.2 Forecast Adjustment by Control Case. Some line items that have 
the same title in several schedules may contain different information 
because they are based on different assumptions regarding pollution 
controls. Production interruptions or curtailments due to the 
installation of pollution control facilities may require adjustments to 
certain revenue and cost estimates in the respective control cases. For 
example, production curtailments associated with supplementary control 
systems may be the basis for the pre-control case, yet are eliminated 
when constant controls replace supplementary control systems in the 
constant controls case. The application of pollution control techniques 
that involve process changes in the smelter's operations (e.g., 
conversion to flash smelting) also may require specific forecasts by 
applications of associated impacts on incremental operating revenues and 
costs.
    2.3.3 Nominal Dollar Basis. Applicants must make their financial 
forecasts in terms of nominal dollars. Forecasts of selected parameters 
provided by EPA will furnish guidelines to an applicant in preparing the 
required cost and revenue estimates. In particular, copper smelting 
charges provided in nominal-dollar terms must be used directly by the 
applicant as given; i.e., the stipulated charge estimates should not be 
inflated.
    2.3.4 Tolling Service Equivalent Basis. Applicants must express all 
revenue forecasts on a tolling service equivalent basis. Thus,

[[Page 198]]

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

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

    2.4.1 Copper smelting charge. EPA will supply a forecast of 
reference copper smelting charges. These charges, which are f.o.b. U.S. 
mine, are based on an estimate of export smelting charges and on the 
differential value of copper in the U.S. and the world market. They must 
be used in forecasting unaffiliated party revenues for the period 
following the expiration of existing contracts and in forecasting 
affiliated party revenues for the entire forecast period. The applicant 
may submit its own smelting charge forecast for the post-contract 
period, provided that such forecast is in accordance with the guidelines 
in Section 2.5 and fully documented and substantiated as part of Exhibit 
B.
    The EPA forecast export charge represents the world market copper 
smelting charge with copper valued at the London Metal Exchange (LME) 
copper price. This charge serves as the reference charge for the 
applicant copper smelter in calculating its smelting charges. Applicant 
copper smelters must derive their smelting charges from this world 
market charge as described in paragraph (a) below.
    The applicant may adjust the derived smelter-specific smelting 
charge to account for other factors, provided the adjustments are fully 
documented as part of Exhibit B. An example of such a factor is the unit 
deduction for metallurgical losses in smelting. Adjustment for this 
factor is discussed in paragraph (b) below.
    (a) The derivation of a smelter-specific smelting charge from the 
world market charge is based on assumptions regarding transportation 
costs and the U.S. producer-world copper price differential. The EPA 
forecast export charge is the forecast smelting charge available at a 
Japanese smelter, with copper valued at the London Metal Exchange copper 
price. The charge includes no freight costs, which must be paid by the 
mine. A U.S. smelter determines its smelting charge to a mine by meeting 
the combined world market smelting charge, adjusted to reflect copper 
valued at the U.S. producer price, and the transportation charge from 
the mine to the Japanese smelter. This combined price is the highest 
that a mine is willing to pay for smelting.
    The smelter's net smelting charge is equal to the combined world 
smelting charge, adjusted to the U.S. producer price for copper (i.e., 
the export forecast charge plus the U.S. producer price premium), and 
the transportation cost between the mine and a Far East smelter, minus 
the cost of transporting the concentrate between the mine and the 
applicant smelter.
    The applicant smelter's net smelting charge for concentrate from an 
individual mine is computed by first adding the U.S. producer Price-LME 
world price differential to the EPA-supplied forecast. The cost of 
transporting copper from the U.S. mine to the Far East is then added to 
this figure. The

[[Page 199]]

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

[[Page 200]]

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

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

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

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

---------------------------------------------------------------------------
R = (0.65xE)+(0.182xI)

where

R = weighted average cost of capital
E = return on equity
I = interest rate.

The components are calculated as follows.
    (a) Return on equity for the nonferrous metals industry. The 20 year 
Treasury bond yield to maturity plus a risk premium of 8.6 percent.
    (b) Interest Rate. The 20 year Treasury bond yield to maturity plus 
a risk premium of 3.0 percent.
    (c) Source of the 20 Year Treasury bond yield. Federal Reserve 
Bulletin, most recent monthly issue. Use the average yield for the most 
recent full month.
    2.6.2 Discount Factor. The discount factor corresponding to the 
weighted average cost of capital for any forecast year is computed 
according to the following equation:
[GRAPHIC] [TIFF OMITTED] TC09NO91.029

where

DF = discount factor
R = weighted average cost of capital
N = the number of years in the future (e.g., for the applicant applying 
in 1984, N = for the forecast year 1985).

    The horizon value, which is described in Section 2.7, is computed as 
of 1990, the end of the detailed forecast period. The discount factor to 
be applied to the horizon value is

[[Page 201]]

the same as for any other 1990 figure. For example, if the application 
is made in 1984, the value of N is 7.
    2.7 Horizon Value. The horizon value is the present value of a 
stream of cash flows or net income for 15 years beyond the last forecast 
year. Applicants must compute the horizon value by capitalizing the 
average forecast value of the last two forecast years using the current 
real weighted cost of capital. The line item instructions for schedules 
having a horizon value entry will specify the values to be capitalized.
    The applicant averages the values of the last two years after 
expressing both values in terms of the last year's dollars. The two-year 
average value is then multiplied by 9.6. This is the factor associated 
with capitalizing a 15 year value stream at the current real weighted 
cost of capital of 6.2 percent.
    Applicants must use a separate schedule to calculate the horizon 
value for the Rate of Return Test and the Interim Controls Test 
(Schedule C.5 and D.7, respectively). These separate schedules adjust 
for potential overstatements in the horizon value cash flows that may be 
caused by control equipment depreciation reported for tax purposes.
    2.8 Data Entry
    2.8.1 Rounding. All amounts (including both dollar values and 
physical units) reported in the schedules and exhibits accompanying this 
application must be rounded to the nearest thousand and expressed in 
thousands of dollars or units unless otherwise indicated in the 
instructions.
    2.8.2 Estimates. Where an applicant's records cannot produce the 
specific data required by this application, the use of estimates will be 
allowed if a meaningful estimate can be made without significant 
distortion of the reported results. Data estimates must be supported by 
attaching on a separate sheet of paper as a part of Exhibit B an 
explanation identifying where such estimates are used and showing 
explicitly how the estimates were made.
    2.8.3 Missing Data. Applicants must provide, where applicable, all 
operating and financial data requested by this application. Only 
substantially complete applications can be accepted for processing by 
the Agency. Questions concerning data entries for which information is 
not provided by or cannot reasonably be estimated from the applicant's 
existing accounting records should be addressed to the EPA Contact for 
NSO Inquiries.
    2.8.4 Historical Period. The annual data requested in the historical 
schedules, Schedules A.1 through A.4, must be reported for each of the 
five fiscal years immediately preceding the year in which this 
application is filed. The historical period shall be from fiscal years 
1979 through 1983 for an NSO application filed in 1984. If an 
application is filed in a later year, the references in this appendix to 
the period 1979 through 1983 should be interpreted accordingly.
    2.9 Use of schedules. All applicants must complete Schedules A.1 
through A.4, which record historical revenues, cost, and capital 
investment data. These schedules will be used by EPA to assist in 
evaluating forecast data. Completion of the remaining schedules depends 
on the test required of the applicant.
    2.9.1 NSO Eligibility. An NSO applicant must pass one of the 
following two tests and complete the corresponding schedules.
    (a) Profit Protection Test. The applicant must complete Schedules 
B.1 through B.7 to determine eligibility under the Profit Protection 
Test. Schedules B.1 and B.2 report the base case (without constant 
controls) revenue and cost forecast, respectively, and Schedule B.3 
summarizes Schedules B.1 and B.2. Base case production forecasts should 
reflect any production curtailments associated with interim controls 
currently (preforecast) installed on smelters. Schedules B.4 and B.5 
report the revenue and cost forecast, respectively, for the constant 
controls case, and Schedule B.6 summarizes Schedules B.4 and B.5 for the 
Profit Protection Test.
    Schedule B.7 presents the calculations for the Profit Protection 
Test. The applicant enters the forecast profits from Schedules B.3 and 
B.6. The present value of the forecast profits is then computed for each 
case. If the present value of forecast pre-tax profits with constant 
controls is less than 50 percent of the present value of forecast pre-
tax profits without controls (base case) the smelter passes the test and 
is eligible for an NSO. The smelter also passes the test if the present 
value of forecast pre-tax profits without controls (base case) is 
negative.
    (b) Rate of Return Test. The applicant must complete Schedules B.4, 
B.5, and C.1 through C.5 to determine eligibility under the Rate of 
Return Test. Schedules B.4 and B.5 report the revenue and cost forecast, 
respectively, for the constant controls case, and Schedule C.1 
summarizes Schedules B.4 and B.5 for the Rate of Return Test. Schedule 
C.2 reports forecast sustaining capital investment for the constant 
controls case. Schedule C.3 reports historical net investment for the 
most recent fiscal year expressed in constant dollars, i.e., dollars of 
the year in which the application is made.
    Schedule C.4 presents the calculations for the Rate of Return Test. 
The applicant reports in Schedule C.4 the forecast cash flows from 
Schedules C.1 and C.2 and the horizon value from Schedule C.5, computes 
their present value, and subtracts the value of invested capital in 
constant dollars (taken from Schedule C.3) to yield net present value. 
If the net present value is less than zero, the smelter passes the test 
and is eligible to receive an NSO. This result indicates that the 
smelter is expected to earn a rate of

[[Page 202]]

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

[[Page 203]]

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

                  Schedule A.1--Historical Revenue Data

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

    Lines 01, 14, 27 and 40--Primary Nonferrous Product Sales. Report 
for each year the total quantity of copper, lead, zinc and molybdenum or 
other nonferrous metal product sales.
    Lines 02, 15, 28 and 41--Unaffiliated Customer Sales. Report for 
each year the respective quantities of copper, lead, zinc and molybdenum 
or other nonferrous metal product sales to unaffiliated customers.
    Lines 03, 16, 29 and 42--Unaffiliated Customer Revenues. Report for 
each year the total operating revenues derived from smelter sales of 
copper, lead, zinc and molybdenum or other nonferrous metals to 
unaffiliated customers.
    Lines 04, 17, 30 and 43--Unaffiliated Customer Prices. Report for 
each year the average unit price received on smelter sales of copper, 
lead, zinc and molybdenum or other nonferrous metals to unaffiliated 
customers. The prices are computed as operating revenues reported on 
Lines 03, 16, 29 and 42 divided by the quantities reported on Lines 02, 
15, 28 and 41, respectively.
    Lines 05, 18, 31 and 44--Average Product Quality Grade. Report for 
each year the average quality rating assigned to copper, lead, zinc and 
molybdenum or other nonferrous metal products purchased by the smelter's 
unaffiliated customers.
    Lines 06, 19, 32 and 45--Affiliated Customers Sales. Report for each 
year the respective quantities of copper, lead, zinc and molybdenum or 
other nonferrous metal product sales to affiliated customers.
    Lines 07, 20, 33 and 46--Affiliated Customer Revenues. Report for 
each year the total operating revenues derived from smelter sales of 
copper, lead, zinc and molybdenum or other nonferrous metals to 
affiliated customers. These revenues should be stated at prices 
equivalent to those received on comparable sales to unaffiliated 
customers as described in Section 2.2. Attach as part of Exhibit B an 
explanation of the methodology used to state affiliated customer 
revenues.
    Lines 08, 21, 34 and 47--Affiliated Customer Prices. Report for each 
year the average unit price received on smelter sales of copper, lead, 
zinc and molybdenum or other nonferrous metals to affiliated customers. 
The prices are computed as operating revenues reported on Lines 07, 20, 
33 and 46 divided by the quantities reported on Lines 06, 19, 32 and 45, 
respectively.
    Lines 09, 22, 35 and 48--Average Product Quality Grade. Report for 
each year the average quality rating assigned to copper, lead, zinc and 
molybdenum or other nonferrous metal products purchased by the smelter's 
affiliated customers.
    Lines 10, 23, 36 and 49--Total Primary Product Revenues. Report for 
each year total operating revenues derived from the smelter's sales to 
unaffiliated and affiliated customers of copper (Lines 03+07), lead 
(Lines 16+20), zinc (Lines 29+33) and molybdenum or other nonferrous 
metals (Lines 42+46).
    Lines 11, 24, 37 and 50--Transfer Price Adjustments. Report for each 
year operating revenue adjustments required to equate affiliated 
customer transfer prices with unaffiliated customer market prices on 
smelter sales of copper, lead, zinc and molybdenum or other nonferrous 
metals. Attach as part of Exhibit B an explanation of the method used 
for restating transfer prices where such adjustments are necessary.
    Lines 12, 25, 38 and 51--Other Revenue Adjustments. Report for each 
year sales returns and allowances and other adjustments applicable to 
the smelter's revenues derived from copper, lead, zinc and molybdenum or 
other nonferrous metal product sales. Attach as

[[Page 204]]

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

                   Schedule A.2--Historical Cost Data

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

    Line 01--Total Quantity Purchased. Report for each year the total 
quantity of concentrates purchased by the smelter. This will be sum of 
Lines 02 and 06. Do not include the quantity of toll concentrates.
    Line 02--Quantity Purchased. Report for each year the total quantity 
of concentrates purchased from unaffiliated suppliers by the smelter. 
Attach as a part of Exhibit B a description of the types and grades of 
these concentrates. Do not include the quantity of toll concentrates.
    Line 03--Concentrate Cost. Report for each year the outlays paid to 
unaffiliated suppliers for concentrates. Attach as part of Exhibit B an 
explanation of the method(s) used in determining these outlays and 
relationship between concentrate prices and the types and grades of 
concentrates purchased from unaffiliated suppliers.
    Line 04--Average Unit Price. Report for each year the average unit 
price paid for purchases of concentrates from unaffiliated suppliers. 
Generally, this value will be equivalent to Line 03 divided by Line 02. 
If this equivalency does not hold, attach as a part of Exhibit B an 
explanation of the variance.
    Line 05--Average Concentrate Grade. Report for each year the average 
concentrate grade of concentrates purchased from unaffiliated suppliers. 
Attach as part of Exhibit B an explanation of this average. The average 
should correspond to the average price reported in Line 04.
    Line 06--Quantity Purchased. Report for each year the total quantity 
of concentrates purchased from affiliated suppliers by the smelter. 
Attach as part of Exhibit B a description of the types and grades of 
these concentrates. Do not include the quantity of toll concentrates.
    Line 07--Concentrate Cost. Report for each year the actual outlays 
paid to affiliated

[[Page 205]]

suppliers for concentrates. Attach as part of Exhibit B an explanation 
of the method(s) used in determining these outlays and relationship 
between concentrate prices and the types and grades of concentrates 
purchased from affiliated suppliers. Do not reflect any adjustments to 
market prices here.
    Line 08--Average Unit Price. Report for each year the average unit 
price paid for purchases of concentrates from affiliated suppliers. 
Generally, this value will be equivalent to Line 07 divided by Line 06. 
If this equivalency does not hold, attach as part of Exhibit B an 
explanation of the variance.
    Line 09--Average Concentrate Grade. Report for each year the average 
concentrate grade of concentrates purchased from affiliated suppliers. 
Attach as part of Exhibit B an explanation of this average. The average 
should correspond to the average price reported in Line 08.
    Line 10--Total Concentrate Cost. Enter for each year the sum of 
Lines 03 and 07.
    Line 11--Transfer Price Adjustments. Enter for each year the amounts 
required to adjust outlays paid to affiliated suppliers to market value. 
Refer to Section 2.2 for instructions on the restatement of affiliated 
party transactions. Attach as part of Exhibit B a description and the 
computations of any required cost adjustments.
    Line 12--Other Cost Adjustments. Enter for each year the amounts of 
any other cost adjustments required such as freight or allowances. 
Attach as part of Exhibit B the identification and the derivation of 
these adjustments.
    Line 13--Adjusted Concentrate Cost. Enter for each year the adjusted 
concentrate cost reflecting the adjustments reported in Lines 11 and 12.
    Line 14--Direct Labor Hours. Report for each year the quantity of 
direct labor hours required to support the processing levels previously 
reported. Attach as part of Exhibit B an explanation of the labor 
productivity factor involved.
    Line 15--Average Hourly Wage Rate. Report for each year the average 
wage rate paid per unit of direct labor input. Attach as part of Exhibit 
B a description of direct labor costs factors under existing labor 
contracts and an explanation of the method(s) used to determine wage 
rates.
    Line 16--Total Wage Payments. Enter for each year the product of 
Lines 14 and 15.
    Line 17--Supplemental Employee Benefits. Report adjustments required 
to direct labor costs for other employee compensation under supplemental 
benefit plans. Attach as part of Exhibit B a description of such plans 
and their costs and an explanation of the method(s) used to determine 
such costs.
    Line 18--Total Production Labor Cost. Enter for each year the total 
of Lines 16 and 17.
    Lines 19, 22, 25, 28 and 31--Energy Quantities. Report for each year 
the quantity of energy by type required to support the processing levels 
reported in the smelter's revenue. Attach as part of Exhibit B, an 
explanation of energy use factors and qualities considered in 
determining the smelter's energy requirements.
    Lines 20, 23, 26, 29 and 32--Unit Prices. Report for each year a 
price paid per unit of energy input by type of energy. Attach as part of 
Exhibit B, a description of the energy price factors under existing 
energy contracts and an explanation of the method(s) used to determine 
unit energy prices.
    Lines 21, 24, 27, 30 and 33--Total Payments. Enter for each year the 
products of quantity and prices paid for electricity (Lines 19x20), 
natural gas (Lines 22x23), coal (Lines 25x26), fuel oil (Lines 28x29), 
and other (Lines 31x32).
    Line 34--Total Energy Costs. Enter for each year the total of Lines 
21, 24, 27, 30 and 33.

            Schedule A.3--Historical Profit and Loss Summary

    General. Use Schedule A.3 to report annual revenues, cost and income 
taxes assignable to operation of the smelter subject to this NSO 
application for fiscal years 1979 through 1983. Assignable revenues and 
costs should include only the results of transactions either (1) 
directly associated with smelter operations or (2) for which the 
applicant can establish a causal and beneficial relationship with 
smelter operations pursuant to instructions in Section 2.1. The line 
items in Schedule A.3 are explained in the following instructions.
    Line 01--Primary Metal Sales. Enter the totals reported in Schedule 
A.1, Line 40.
    Line 02--Co-Product and By-Product Sales. Report for each year 
annual revenues, net or returns and allowances, derived from smelter 
sales and/or transfers of co-products and by-products to both 
unaffiliated and affiliated customers. Attach as part of Exhibit B a 
supporting schedule for each major co-product and by-product component 
of smelter revenues. Segregate the revenues reported by major co-product 
and by-product components into their unaffiliated customer and 
affiliated customer elements. Report for each component's unaffiliated 
and affiliated customer revenue elements the (1) average grade of 
product sold, (2) actual quantity sold, (3) average price per unit, and 
(4) total smelter revenues. Also show for each product line any 
adjustments required to restate transfer prices and explain the basis 
for such adjustments. Refer to Section 2.2 for instructions on the 
restatement of affiliated customer revenues.
    Line 03--Tolling Service Revenues. Enter the totals reported in 
Schedule A.1, Line 53.
    Line 04--Other Operating Revenues. Report for each year annual 
revenues directly associated with smelter operations that have not 
previously been reported on Lines 01 through 03. Attach as part of 
Exhibit B a schedule

[[Page 206]]

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

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

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

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

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

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

    Line 08--Production Labor Costs. Report for each year total direct 
labor costs incurred by the smelter for processing purchased and toll 
concentrates, Schedule A.2, Line 18. Include in Exhibit B supporting 
schedules showing the:

Manhours and wage rates for major labor classifications.
Potential impact on wage rates of provision in the smelter's current 
labor contracts.
Explanation of major variances observed in direct labor costs over the 
five-year period as a result of factors such as strikes or new labor 
contracts.

    Line 09--Energy Costs. Enter the totals reported in Schedule A.2, 
Line 34.
    Line 10--Pollution Control Costs. Report for each year expenses 
incurred for operating and maintaining pollution control facilities. All 
by-product credits associated with pollution control facility operations 
should be eliminated and reported on Line 02. Depreciation and 
amortization charges against the smelter's pollution control facilities 
should be reported separately on Line 18. Attach as part of Exhibit B 
supporting schedules showing the:

Major pollution control cost elements with their values classified 
according to direct and indirect cost factors.
Techniques used to allocate indirect pollution control costs to major 
cost pools.

    Line 11--Production Overhead. Report for each year the total costs 
for indirect labor, indirect materials and other production overhead 
costs associated with the smelter. Attach as part of Exhibit B a 
schedule showing annual overhead costs by major cost components 
associated with the smelter's operations. For each cost component, where 
appropriate, identify the quantity and unit price element of overhead 
costs.
    Line 12--Other Production Costs. Report for each year annual smelter 
overhead and other production costs not previously reported on Lines 06 
through 11. By-product credits, if any, should be eliminated and 
reported on

[[Page 207]]

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

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

    Line 13--Total Cost of Sales. Enter for each year the total of Lines 
06 through 12.
    Line 14--Gross Operating Profit. Enter for each year the difference 
between Lines 05 and 13.
    Line 15--Selling, General & Administrative (SG&A) Expenses. Report 
for each year SG&A expenses attributable to the smelter's annual 
operating activities. Exclude those operating costs to be reported 
separately on Lines 16 through 21 and those costs for which causal and 
beneficial relationships to the smelter cannot be established. Attach as 
part of Exhibit B supporting schedules (1) segregating SG&A expenses by 
major expense components, (2) classifying the major expense components 
according to those costs incurred directly by smelter operations and 
costs allocated to the smelter from indirect cost pools, and (3) 
explaining the basis used for indirect cost allocations.
    Line 16--Taxes, Other Than Income Tax. Report for each year all 
taxes (exclusive of Federal, State, local and foreign income taxes) 
assignable to the smelter's operations. Attach as part of Exhibit B, a 
schedule that (1) segregates these operating taxes by major component, 
(2) classifies each component according to direct and indirect cost 
elements, and (3) explains the basis used for indirect cost allocations.
    Line 17--Research Costs. Report for each year research costs 
(exclusive of capitalized costs reported in Schedule A.4) that are 
assignable to the smelter's annual operations. Attach as part of Exhibit 
B a schedule (1) segregating exploration and research costs by major 
expense components, (2) classifying each expense component according to 
direct and indirect cost elements, and (3) explaining the basis used for 
indirect cost allocations.
    Line 18--Pollution Control Depreciation and Amortization. Report for 
each year annual depreciation and amortization charges attributable to 
the smelter's investment in pollution control facilities and equipment. 
Reported charges should be computed in accordance with depreciation and 
amortization methods adopted for tax reporting purposes by the firm. 
Attach explanatory supporting schedules as part of Exhibit B.
    Line 19--Other Facility Depreciation and Amortization. Report for 
each year annual depreciation and amortization charges (exclusive of 
charges reported on Line 18) assignable to the smelter's operations. 
Attach explanatory supporting schedules as part of Exhibit B.
    Line 20--Interest on Short-Term Debt. Report for each year interest 
expense and associated financial charges on current liabilities in 
accordance with the assignment instructions in Section 2.1. Do not 
include interest on the portion of long-term debt due within the current 
year for each reporting period.
    Line 21--Miscellaneous Operating Expenses. Report for each year any 
additional expenses assignable to the smelter's annual operations. 
Attach as part of Exhibit B a schedule (1) segregating these additional 
expenses into major expense components, (2) classifying each expense 
component according to costs incurred directly by the smelter and costs 
allocated to the smelter from indirect cost pools, and (3) explaining 
the basis used for indirect cost allocations.
    Line 22--Total Other Operating Expenses. Enter for each year the 
total of Lines 15 through 21.
    Line 23--Income from Operations. Enter for each year the difference 
between Lines 14 and 22.
    Line 24--Gain/(Loss) from Disposition of Property. Report net gains 
or losses recognized during each year from disposition of property, 
plant and equipment. Report such gains or losses in accordance with the 
firm's normal practice for certified financial statement reporting. If 
such gains or losses are not significant and are classified otherwise, 
no reclassification need be made. A note to this effect must be included 
in Exhibit B.
    Line 25--Miscellaneous Income and Expenses. Report minority interest 
in income, foreign currency translation effects, and other non-operating 
income and expenses directly assignable to the smelter and not 
recognized elsewhere on this schedule. Report such items in accordance 
with the accounting methods used for certified financial reporting 
purposes.
    Line 26--Total Other Income and Expenses. Enter for each year the 
sum of Lines 24 and 25.
    Line 27--Net Taxable Income. Enter for each year the difference 
between Lines 23 and 26.

           Schedule A.4--Historical Capital Investment Summary

    General. Use Schedule A.4 to report annual end-of-period asset 
investments and current liabilities for fiscal years 1979 through 1983. 
These figures must correspond with the revenues and costs associated 
with operation of the smelter subject to this NSO application as 
reported in Schedule A.3.

[[Page 208]]

    The amounts assigned to the subject smelter should include both (1) 
investments and liabilities directly identifiable with the smelter's 
operating activities and (2) asset investments shared with other 
segments to the extent that a specific causal and beneficial 
relationship can be established for the intersegment allocation of such 
investments. Do not allocate to the smelter the costs of assets 
maintained for general corporate purposes. Provide a detailed 
explanation of amounts classified as nontraceable on a separate schedule 
and attach as part of Exhibit B.
    Applicants shall also restate trade receivables and payables for 
transfer price adjustments on the smelter's transactions with affiliated 
customers. The line items in Schedule A.4 are explained in the following 
instructions.
    Line 01--Cash on Hand and Deposit. Report for each year total cash 
balances assignable to the smelter's operations at the end of each year 
on the basis of causal and beneficial relationships with total corporate 
activities. Attach as part of Exhibit B in explanation of the basis used 
for allocation.
    Line 02--Temporary Cash Investments. Report for each year temporary 
cash investments in time deposits or other short-term securities. 
Include only those investments either held by the smelter to meet 
current-period tax payments or other budgeted expenditures specifically 
identifiable with the smelter's continued operation. Exclude any 
temporary cash investments for which no specific future outlay 
requirement can be identified.
    Attach as part of Exhibit B a schedule classifying temporary cash 
investments according to identifiable budgeted expenditure requirements.
    Lines 03 and 04--Net Trade Receivables. Report for each year trade 
accounts and notes, net of reserves for uncollectible items, assignable 
to the smelter in relation to its unaffiliated (Line 03) and affiliated 
(Line 04) customer sales and transfers. Trade receivables reported by 
the smelter as due from affiliated customers should be stated or, if 
necessary, restated on credit terms equivalent to those received by 
unaffiliated customers on a sale of comparable products. Attach as part 
of Exhibit B a schedule showing adjustments in the smelter's receivables 
investments required to equate trade credit terms extended to affiliated 
and unaffiliated customers.
    Lines 05 and 06--Inventory Investments. Report for each year 
respective end-of-period investments in raw material, work-in-process 
and finished good inventories held to support the smelter's production 
and sale of products (Line 05) and associated inventories of other 
materials and supplies (Line 06). These inventories must be valued at 
current market prices. Inventory purchases from affiliated suppliers 
should also be stated at current market prices or, if necessary, 
restated at current market prices prevailing on purchases from 
unaffiliated suppliers. Attach explanatory supporting schedules as part 
of Exhibit B.
    Line 07--Other Current Assets. Report for each year prepaid 
expenses, deferred charges, non-trade notes and accounts receivable, and 
other assets classified as current for certified financial statement 
reporting purposes that are assignable to the smelter's operations. 
Attach as part of Exhibit B a schedule classifying these other current 
assets according to their types and amounts.
    Line 08--Total Current Assets. Enter for each year the total of 
Lines 01 through 07.
    Lines 09 to 14--Property, Plant and Equipment. Report for each year 
by individual line item property, plant and equipment investments 
assignable to smelter operations. Include in gross facility investments 
at the end of each period both (1) property, plant and equipment 
directly associated with the smelter's operations and (2) facilities 
shared with other operating segments to the extent that a causal and 
beneficial relationship can be established for the inter-segment 
allocation of such facility investments.
    Attach as part of Exhibit B a schedule reporting by individual line 
item the annual capital expenditures on additional property, plant and 
equipment investments in the smelter's operations. Further classify 
these annual capital expenditures into both (1) investments required to 
maintain the smelter versus investments in smelter expansion and 
improvement and (2) direct facility versus joint-use facility 
investments. Explain the method used for allocating capital expenditures 
on joint-use facilities to the smelter's operations. Refer to Line 17 
instructions for additional reporting requirements on the smelter's 
facility investments.
    Line 15--Total Smelter Investment. Enter for each year the total of 
Lines 09 through 14.
    Line 16--Accumulated Depreciation and Amortization. Report for each 
year accumulated depreciation, amortization and other valuation charges 
recorded for certified financial statement reporting purposes in 
relation to smelter investment as reported on Line 15. Other valuation 
charges are defined in Financial Accounting Standards Board (FASB) 
Statement No. 19 as losses recognized in connection with an impairment 
in the value of an unimproved property below its acquisition cost. Refer 
to Line 17 instructions for additional reporting requirements on smelter 
facility investments.
    Line 17--Net Smelter Investment. Enter for each year the difference 
between Lines 15 and 16. Attach as part of Exhibit B a schedule 
classifying gross facility investments, accumulated depreciation, 
amortization charges, and net facility investments by major pollution 
control and non-pollution

[[Page 209]]

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

               Schedule B.1--Pre-Control Revenue Forecast

    General. Use Schedule B.1 to report annual forecasts of operating 
revenues anticipated during the years 1984 through 1990 from operation 
of the smelter subject to this NSO application. These pre-control 
revenue projections should be based on revenues and production 
associated with operating the smelter without any SO2 air 
pollution controls that have not been installed as of the NSO 
application date. Forecast smelter revenues should be expressed on a 
tolling service equivalent basis as described in Section 2.3.4.
    Copper smelters that will process concentrates containing an average 
of 1,000 pounds per hour or more of arsenic during the forecast period 
should assume that they will use best engineering techniques to control 
fugitive emissions of arsenic. All smelters should also assume that they 
will be required to meet all other regulatory requirements in effect at 
the time the application is made.
    The line items in Schedule B.1 are explained in the following 
instructions. Attach as part of Exhibit B schedules to (1) explain the 
methods used to make the required forecasts, (2) explain differences, if 
any, between historical trends and the forecasts and (3) provide data 
and information to support the forecasts.
    Lines 01 and 05--Concentrates Processed. Report for each year the 
forecast quantity of concentrates processed for unaffiliated parties 
(Line 01) and affiliated parties (Line 05).
    Lines 02 and 06--Smelting Charge. Report for each year the forecast 
smelting charge for unaffiliated parties (Line 02) and affiliated 
parties (Line 06). See Section 2.4 for forecast copper smelting charges 
furnished by EPA.
    Lines 03 and 07--Total Smelter Revenues. Report for each year the 
forecast total operating revenues derived from processing concentrates. 
The total for unaffiliated parties (Line 03) is equal to the product of 
Lines 01, 02, and 04, and for affiliated parties (Line 07), the product 
of Lines 05, 06, and 08.
    Lines 04 and 08--Average Product Grade. Report for each year the 
forecast average quality rating assigned to concentrates processed for 
unaffiliated parties (Line 04) and affiliated parties (Line 08).
    Line 09--Total Co-Product Revenues. Report for each year the 
forecast net revenues from sales of co-products derived from the 
smelter's operations. Attach as part of Exhibit B a schedule showing by 
individual type of co-product, the forecast quantity produced and sold, 
forecast market price per unit of sales, and forecast total revenues 
derived from the co-product sales.
    Line 10--Total By-product Revenues From Pollution Control 
Facilities. Report for each year forecast revenues from the sale of by-
products derived from operation of the smelter's pollution control 
facilities, excluding any SO2 air pollution controls that 
have not been installed as of the NSO application date. Attach as part 
of Exhibit B a schedule showing by type of by-product produced (e.g., 
sulfuric acid) the forecast quantity of output, forecast market price 
per unit of output sold, and forecast total revenue derived from the by-
product sales.
    Line 11--Total By-product Revenues From Other Smelter Processing. 
Report forecast revenues from the sales of gold, silver, and

[[Page 210]]

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

                 Schedule B.2--Pre-Control Cost Forecast

    General. Use Schedule B.2 to report annual forecasts of operating 
costs anticipated during the years 1984 through 1990 from operation of 
the smelter subject to this NSO application. These pre-control cost 
projections should be based on costs and production associated with 
operating the smelter without any SO2 air pollution controls 
that have not been installed as of the NSO application date.
    Copper smelters that will process concentrates containing an average 
of 1,000 pounds per hour or more of arsenic during the forecast period 
should assume that they will use best engineering techniques to control 
fugitive emissions of arsenic. All smelters should also assume that they 
will be required to meet all other regulatory requirements in effect at 
the time the application is made.
    The line items in Schedule B.2 are explained in the following 
instructions. Attach as part of Exhibit B schedules to (1) explain the 
methods used to make the required forecasts, (2) explain differences, if 
any, between historical trends and the forecasts, and (3) provide data 
and information to support the forecasts.
    Line 01--Direct Labor Hours. Report for each year the quantity of 
direct labor hours required to support the processing levels previously 
reported. Attach as part of Exhibit B an explanation of the labor 
productivity factors involved.
    Line 02--Average Hourly Wage Rate. Report for each year the forecast 
average wage rate per unit of direct labor input. Attach as part of 
Exhibit B a description of direct labor cost factors under any existing 
labor contracts that extend to the forecast period and an explanation of 
the methodology used to forecast wage rates. EPA-provided forecast wage 
indices are reported in Section 2.4.
    Line 03--Total Wage Payments. Enter for each year the product of 
Lines 01 and 02.
    Line 04--Supplemental Employee Benefits. Report for each year 
adjustments required to direct labor costs for other employee 
compensation under supplemental benefit plans. Attach as part of Exhibit 
B a description of such plans and their costs and an explanation of the 
methodology used to forecast such costs. EPA-provided forecast wage 
indices are reported in Section 2.4.
    Line 05--Total Production Labor Cost. Enter for each year the total 
of Lines 03 and 04.
    Lines 06, 09, 12, 15 and 18--Energy Quantities. Report for each year 
the quantity of energy by type required to support the processing levels 
reported in the smelter's revenue. Attach as part of Exhibit B an 
explanation of energy characteristics and use factors considered in 
forecasting the smelter's future energy requirements.
    Lines 07, 10, 13, 16, and 19--Unit Prices. Report for each year the 
forecast price per unit of energy input by type of energy. Attach as 
part of Exhibit B a description of the energy price factors under any 
existing energy contracts that extend to the forecast period and an 
explanation of the methodology used to forecast unit energy prices. EPA-
provided forecast energy indices are reported in Section 2.4.
    Lines 08, 11, 14, 17, and 20--Total Payments. Enter for each year 
the products of quantity and prices paid for electricity (Lines 06x07), 
natural gas (Lines 09x10), coal (Lines 12x13), fuel oil (Lines 15x16), 
and other (Lines 18x19).
    Line 21--Total Energy Costs. Enter for each year the total of Lines 
08, 11, 14, 17, and 20.

       Schedule B.3--Pre-Control Forecast Profit and Loss Summary

    General. Use Schedule B.3 to report annual forecasts of operating 
revenues and operating costs derived in Schedules B.1 and B.2 for the 
years 1984 through 1990. The transfer of line items from Schedules B.1 
and B.2 to this Schedule is explained in the following instructions.
    Line 01--Smelter Revenues-Unaffiliated Parties. Enter the totals 
reported in Schedule B.1, Line 03.
    Line 02--Smelter Revenues-Affiliated Parties. Enter the totals 
reported in Schedule B.1, Line 07.
    Line 03--Co-product and By-product Sales Revenues. Enter the totals 
reported in Schedule B.1, Line 12.
    Line 04--Other Operating Revenues. Report operating revenues 
anticipated from sources not accounted for under Lines 01 through 03. 
Refer to instructions for Line 04 of Schedule A.3 for items that should 
not be included in ``Other Operating Revenues.'' Attach as part of 
Exhibit B a schedule showing annual amounts forecast by individual 
revenue component for ``other'' operating revenues associated with the 
smelter's forecast pre-control operations. Identify in the supporting 
schedule any differences in the ``other'' revenue components reported in 
this Schedule and Schedule A.3 and explain the reasons for such 
differences.
    Line 05--Total Operating Revenues. Enter for each year the total of 
Lines 01 through 04.
    Line 06--Material Costs. Report total costs forecast for flux, 
refractories, coke and other materials directly associated with the 
smelter's processing of concentrates. Attach as part of Exhibit B a 
schedule showing the annual amounts forecast by major material cost 
components. For each cost component, identify the forecast quantity and 
unit price

[[Page 211]]

elements of material cost and explain the basis for forecasting these 
quantity and price elements. Identify in the supporting schedule any 
differences in the ``other'' material cost components shown in this 
Schedule and Schedule A.3 and explain the reasons for such differences.
    Line 07--Production Labor Costs. Enter the totals reported in 
Schedule B.2, Line 05.
    Line 08--Energy Costs. Enter the totals reported in Schedule B.2, 
Line 21.
    Line 09--Pollution Control Costs. Report the total costs forecast 
for expenses identifiable with operation and maintenance of all 
pollution control equipment and facilities except any SO2 air pollution 
controls that have not been installed as of the NSO application date. 
By-product credits associated with operation of the pollution control 
facilities should be eliminated from the cost accounts, reclassified to 
Schedule B.1, Line 10 and included in Line 03 of this Schedule. Attach a 
schedule as part of Exhibit B classifying pollution control costs by 
major cost components. Explain the basis used for estimating each of the 
cost components.
    Line 10--Production Overhead Costs. Report the total costs forecast 
for indirect labor, indirect materials and other production overhead 
costs associated with the smelter's operations. Attach as part of 
Exhibit B a schedule showing annual overhead costs projected by major 
cost components associated with the smelter's operations. For each cost 
component, where appropriate, identify the forecast quantity and unit 
price elements of overhead costs and explain the basis for estimating 
these quantity and price elements. Also identify in the supporting 
schedule any differences in production overhead cost classifications 
used in this Schedule and Schedule A.3 and explain the reasons for such 
differences.
    Line 11--Other Production Costs. Report other forecast production 
costs not previously reported on Lines 06 through 10. Attach as part of 
Exhibit B supporting schedules showing the basis of the forecasts.
    Line 12--Total Cost of Sales. Enter for each year the sum of 
operating costs reported on Lines 06 through 11.
    Line 13--Gross Operating Profit. Enter for each year the difference 
between Lines 05 and 12.
    Line 14--Selling, General and Administrative Expenses. Report the 
total costs forecast for administrative, marketing and general corporate 
overhead functions that directly or indirectly support the smelter's 
operations. Refer to the NSO Financial Reporting Overview for a general 
discussion of indirect cost allocations from overhead cost pools. Attach 
as part of Exhibit B a schedule classifying selling, general and 
administrative expenses into major cost components. Indicate whether 
each component represents costs directly assignable to the smelter or 
indirect costs allocated from other business segments to the smelter. 
Explain the basis used for estimating the amount of expected costs 
included in each component and the basis used for allocating indirect 
cost elements to the smelter. Identify and explain any differences 
between the selling, general and administrative cost classification used 
in this Schedule and that used in Line 15 of Schedule A.3.
    Line 15--Taxes, Other than Income Taxes. Report the total costs 
forecast for property taxes and associated levies paid to governmental 
units by or for the benefits of the smelter operation. Attach as part of 
Exhibit B a schedule classifying operating taxes by major component. 
Indicate whether each component represents taxes directly assignable to 
the smelter or taxes that have been allocated among more than one 
facility. Explain the basis used for estimating taxes and the basis for 
any allocation of taxes to the smelter. Identify and explain any 
differences between the component classifications used in this Schedule 
and those used in Line 16 of Schedule A.3.
    Line 16--Research Costs. Report the estimates of research costs 
incurred directly by or for the benefit of the smelter operations. 
Attach as part of Exhibit B a schedule classifying the costs by major 
direct and indirect assigned components. Explain the basis for 
estimating the costs assigned to each component. Identify and explain 
any differences between classifications used in this Schedule and those 
used in Line 17 of Schedule A.3.
    Line 17--Pollution Control Facility Depreciation and Amortization. 
Report the estimates of depreciation and amortization charges associated 
with the smelter's actual and forecast investment in all pollution 
control equipment and facilities except any SO2 air pollution 
controls that have not been installed as of the NSO application date. 
Reported charges should be computed in accordance with depreciation and 
amortization methods adopted for certified financial statement reporting 
purposes by the firm. Attach explanatory supporting schedules as part of 
Exhibit B.
    Line 18--Other Smelter Facility Depreciation and Amortization. 
Report the pro forma estimates of depreciation and amortization charges 
associated with the smelter's investment in equipment and facilities 
other than those classified as pollution control facilities. Attach 
explanatory supporting schedules as part of Exhibit B.
    Line 19--Interests. Report the estimates of interest and other 
financing charges on the smelter's current and long-term liabilities. 
Attach as part of Exhibit B a schedule showing the interest-bearing debt 
contracts identifiable with the smelter's operations, the interest rate 
projected for these contracts, and the estimated annual interest 
charges.

[[Page 212]]

    Line 20--Miscellaneous Operating Expenses. Report only the total 
operating expenses associated with or allocated to the smelter that 
cannot be appropriately classified in one of the preceding line items. 
Attach as part of Exhibit B a schedule showing the classification of 
these residual operating expenses into major cost components. Explain 
the basis used for forecasting the cost under each component. Identify 
each cost component in terms of direct or indirect cost and explain the 
basis used for allocating the indirect costs to smelter operations. 
Identify and explain any differences between cost classifications 
included in this Schedule and those used in Line 21 of Schedule A.3.
    Line 21--Total Other Operating Expenses. Enter for each year the sum 
of operating costs reported on Lines 14 through 20.
    Line 22--Income From Operations. Enter for each year the difference 
between Lines 21 and 13.

            Schedule B.4--Constant Controls Revenue Forecast

    General. Use Schedule B.4 to report annual forecasts of operating 
revenues anticipated during the years 1984 through 1990 from operation 
of the smelter subject to this NSO application. These constant controls 
revenue forecasts should be based on an assumption that the applicant 
immediately implements a program of additional pollution control 
facility investments sufficient to achieve full compliance with the 
smelter's SIP stack emission limitations for sulfur dioxide. Forecast 
smelter revenues should be expressed on a tolling service equivalent 
basis as described in Section 2.3.4.
    The assumed investment program should be based on whichever 
adequately demonstrated system, applicable to the smelter, that would be 
most economically beneficial subsequent to installation of the system. 
For this purpose, adequately demonstrated systems include those 
specified in Section 57.102(b)(1).
    Copper smelters that will process concentrates containing an average 
of 1,000 pounds per hour or more of arsenic during the forecast period 
should assume that they will use best engineering techniques to control 
fugitive emissions of arsenic. All smelters should also assume that they 
will be required to meet all other regulatory requirements in effect at 
the time the application is made.
    The line items in Schedule B.4 are explained in the following 
instructions. Attach as part of Exhibit B schedules to (1) explain the 
methods used to make the required forecasts, (2) explain differences, if 
any, between historical trends and the forecasts, and (3) provide data 
and information to support the forecasts.
    Lines 01 and 05--Concentrates Processed. Report for each year the 
forecast quantity of concentrates processed for unaffiliated parties 
(Line 01) and affiliated parties (Line 05).
    Lines 02 and 06--Smelting Charge. Report for each year the forecast 
smelting charge for unaffiliated parties (Line 02) and affiliated 
parties (Line 06). See Section 2.4 for forecast copper smelting charges 
furnished by EPA.
    Lines 03 and 07--Total Smelter Revenues. Report for each year the 
forecast total operating revenues derived from processing concentrates. 
The total for unaffiliated parties (Line 03) is equal to the product of 
Lines 01, 02, and 04, and for affiliated parties (Line 07), the product 
of Lines 05, 06, and 08.
    Lines 04 and 08--Average Product Grade. Report for each year the 
forecast average quality rating assigned to concentrates processed for 
unaffiliated parties (Line 04) and affiliated parties (Line 08).
    Line 09--Total Co-Product Revenues. Report for each year the 
forecast net revenues from sales of co-products derived from the 
smelter's operations. Attach as part of Exhibit B a schedule showing by 
individual type of co-product, the forecast quantity produced and sold, 
forecast market price per unit of sales, and forecast total revenues 
derived from the co-product sales.
    Line 10--Total By-product Revenues From Pollution Control 
Facilities. Report for each year forecast revenues from the sale of by-
products derived from operation of the smelter's pollution control 
facilities. Attach as part of Exhibit B a schedule showing by type of 
by-product produced (e.g., sulfuric acid) the forecast quantity of 
output, forecast market price per unit of output sold, and forecast 
total revenue derived from the by-product sales.
    Line 11--Total By-product Revenues From Other Smelter Processing. 
Report forecast revenues from the sales of gold, silver, and other by-
products derived from the smelter's operations. Attach as part of 
Exhibit B a schedule providing additional documentation as specified in 
the instructions for Line 10.
    Line 12--Total Co-product and By-product Revenues. Enter for each 
year the total of Lines 09 through 11.

              Schedule B.5--Constant Controls Cost Forecast

    General. Use Schedule B.5 to report annual forecasts of operating 
costs anticipated during the years 1984 through 1990 from operation of 
the smelter subject to this NSO application. These constant controls 
cost forecasts should be based on an assumption that the applicant 
immediately implements a program of additional pollution control 
facility investments sufficient to achieve full compliance with the 
smelter's SIP stack emission limitations for sulfur dioxide.
    The assumed investment program should be based on whichever 
adequately demonstrated system, applicable to the smelter,

[[Page 213]]

would be most economically beneficial subsequent to installation of the 
system. For this purpose, adequately demonstrated systems include those 
specified in Sec. 57.102(b)(1).
    Copper smelters that will process concentrates containing an average 
of 1,000 pounds per hour or more of arsenic during the forecast period 
should assume that they will use best engineering techniques to control 
fugitive emissions of arsenic. All smelters should also assume that they 
will be required to meet all other regulatory requirements in effect at 
the time the application is made.
    The line items in Schedule B.5 are explained in the following 
instructions. Attach as part of Exhibit B schedules to (1) explain the 
methods used to make the required forecasts, (2) explain differences, if 
any, between historical trends and the forecasts, and (3) provide data 
and information to support the forecasts.
    Line 01--Direct Labor Hours. Report for each year the quantity of 
direct labor hours required to support the processing levels previously 
reported. Attach as part of Exhibit B an explanation of the labor 
productivity factors involved.
    Line 02--Average Hourly Wage Rate. Report for each year the forecast 
average wage rate per unit of direct labor input. Attach as part of 
Exhibit B a description of direct labor cost factors under any existing 
labor contracts that extend to the forecast period and an explanation of 
the methodology used to forecast wage rates. EPA-provided forecast wage 
indices are reported in Section 2.4.
    Line 03--Total Wage Payments. Enter for each year the product of 
Lines 01 and 02.
    Line 04--Supplemental Employee Benefits. Report for each year 
adjustments required to direct labor costs for other employee 
compensation under supplemental benefit plans. Attach as part of 
Exhibits B a description of such plans and their costs and an 
explanation of the methodology used to forecast such costs. EPA-provided 
forecast wage indices are reported in Section 2.4.
    Lines 05--Total Production Labor Cost. Enter for each year the total 
of Lines 03 and 04.
    Lines 06, 09, 12, 15 and 18--Energy Quantities. Report for each year 
the quantity of energy by type required to support the processing levels 
reported in the smelter's revenue. Attach as part of Exhibit B an 
explanation of energy characteristics and use factors considered in 
forecasting the smelter's future energy requirements.
    Lines 07, 10, 13, 16, and 19--Unit Prices. Report for each year the 
forecast price per unit of energy input by type of energy. Attach as 
part of Exhibit B a description of the energy price factors under any 
existing energy contracts that extend to the forecast period and an 
explanation of the methodology used to forecast unit energy prices. EPA-
provided forecast energy indices are reported in Section 2.4.
    Lines 08, 11, 14, 17, and 20--Total Payments. Enter for each year 
the products of quantity and prices paid for electricity (Lines 06x07), 
natural gas (Lines 09x10), coal (Lines 12x13), fuel oil (Lines 15x16), 
and other (Lines 18x19).
    Lines 21--Total Energy Costs. Enter for each year the total of Lines 
08, 11, 14, 17, and 20.

Schedule B.6--Constant Controls Forecast Profit and Loss Summary for the 
                         Profit Protection Test

    General. Use Schedule B.6 to report annual forecasts of operating 
revenues and operating costs derived in Schedules B.4 and B.5 for the 
years 1984 through 1990. These constant controls forecasts should be 
based on an assumption that the applicant immediately implements a 
program of additional pollution control facility investments sufficient 
to achieve full compliance with the smelter's SIP stack emission 
limitations for sulfur dioxide. The transfer of line items from 
Schedules B.4 and B.5 to this Schedule is explained in the following 
instructions.
    Line 01--Smelter Revenues-Unaffiliated Parties. Enter the totals 
reported in Schedule B.4, Line 03.
    Line 02--Smelter Revenues-Affiliated Parties. Enter the totals 
reported in Schedule B.4, Line 07.
    Line 03--Co-product and By-product Sales Revenues. Enter the totals 
reported in Schedule B.4, Line 12.
    Line 04--Other Operating Revenues. Report operating revenues 
anticipated from sources not accounted for under Lines 01 through 03. 
Refer to instructions for Line 04 of Schedule A.3 for items that should 
not be included in ``Other Operating Revenues.'' Attach as part of 
Exhibit B a schedule showing annual amounts forecast by individual 
revenue component for ``other'' operating revenues associated with the 
smelter's forecast constant controls operations. Identify in the 
supporting schedule any differences in the ``other'' revenue components 
reported in this Schedule and Schedule A.3 and explain the reasons for 
such differences.
    Line 05--Total Operating Revenues. Enter for each year the total of 
Lines 01 through 04.
    Line 06--Material Costs. Report total costs forecast for flux, 
refractories, coke and other materials directly associated with the 
smelter's processing of concentrates. Attach as part of Exhibit B a 
schedule showing the annual amounts forecast by major material cost 
components. For each cost component, identify the forecast quantity and 
unit price elements of material cost and explain the basis for 
forecasting these quantity and price elements. Identify in the 
supporting schedule any differences in the ``other'' material cost 
components shown in this Schedule and Schedule A.3 and explain the 
reasons for such differences.

[[Page 214]]

    Line 07--Production Labor Costs. Enter the totals reported in 
Schedule B.5, Line 05.
    Line 08--Energy Costs. Enter the totals reported in Schedule B.5, 
Line 21.
    Line 09--Pollution Control Costs. Report the total costs forecast 
for expenses identifiable with operation and maintenance of all 
pollution control equipment and facilities. By-product credits 
associated with operation of the pollution control facilities should be 
eliminated from the cost accounts, reclassified to Schedule B.4, Line 10 
and included in Line 03 of this Schedule. Attach a schedule as part of 
Exhibit B classifying pollution control costs by major cost components. 
Explain the basis used for estimating each of the cost components.
    Line 10--Production Overhead Costs. Report the total costs forecast 
for indirect labor, indirect materials and other production overhead 
costs associated with the smelter's constant controls forecasts. Attach 
as part of Exhibit B a schedule showing annual overhead costs projected 
by major cost components associated with the smelter's operations. For 
each cost component, where appropriate, identify the forecast quantity 
and unit price elements of overhead costs and explain the basis for 
estimating these quantity and price elements. Also identify in the 
supporting schedule any differences in production overhead cost 
classifications used in this Schedule and Schedule A.3 and explain the 
reasons for such differences.
    Line 11--Other Production Costs. Report other forecast production 
costs not previously reported on Lines 06 through 10. Attach as part of 
Exhibit B supporting schedules showing the basis of the forecasts.
    Line 12--Total Cost of Sales. Enter for each year the sum of 
operating costs reported on Lines 06 through 11.
    Line 13--Gross Operating Profit. Enter for each year the difference 
between Lines 05 and 12.
    Line 14--Selling, General and Administrative Expenses. Report the 
total costs forecast for administrative, marketing and general corporate 
overhead functions that directly or indirectly support the smelter's 
operations. Refer to the NSO financial Reporting Overview for a general 
discussion of indirect cost allocations from overhead cost pools. Attach 
as part of Exhibit B a schedule classifying selling, general and 
administrative expenses into major cost components. Indicate whether 
each component represents costs directly assignable to the smelter or 
indirect costs allocated from other business segments to the smelter. 
Explain the basis used for estimating the amount of expected costs 
included in each component and the basis used for allocating indirect 
cost elements to the smelter. Identify and explain any differences 
between the selling, general and administrative cost classification used 
in this Schedule and that used in Line 15 of Schedule A.3.
    Line 15--Taxes, Other than Income Taxes. Report the total costs 
forecast for property taxes and associated levies paid to governmental 
units by or for the benefit of the smelter operation. Attach as part of 
Exhibit B a schedule classifying operating taxes by major component. 
Indicate whether each component represents taxes directly assignable to 
the smelter or taxes that have been allocated among more than one 
facility. Explain the basis used for estimating taxes and the basis for 
any allocation of taxes to the smelter. Identify and explain any 
differences between the component classifications used in this Schedule 
and those used in Line 16 of Schedule A.3.
    Line 16--Research Costs. Report the estimates of research costs 
incurred directly by or for the benefit of the smelter operations. 
Attach as part of Exhibit B a schedule classifying the costs by major 
direct and indirect cost components. Explain the basis for estimating 
the costs assigned to each component. Identify and explain any 
differences between classifications used in this Schedule and those used 
in Line 17 of Schedule A.3.
    Line 17--Pollution Control Facility Depreciation and Amortization. 
Report the estimates of depreciation and amortization charges associated 
with the smelter's actual and forecast investment in all pollution 
control equipment and facilities. Reported charges should be completed 
in accordance with depreciation and amortization methods adopted for 
certified financial statement reporting purposes by the firm. Attach 
explanatory supporting schedules as part of Exhibit B.
    Line 18--Other Smelter Facility Depreciation and Amortization. 
Report the pro forma estimates of depreciation and amortization charges 
associated with the smelter's investment in equipment and facilities 
other than those classified as pollution control facilities. Attach 
explanatory supporting schedules as part of Exhibit B.
    Line 19--Interest. Report the estimates of interest and other 
financing charges on the smelter's current and long-term liabilities. 
Attach as part of Exhibit B a schedule showing the interest-bearing debt 
contracts identifiable with the smelter's operations, the interest rate 
projected for these contracts, and the estimated annual interest 
charges.
    Line 20--Miscellaneous Operating Expenses. Report only the total 
operating expenses associated with or allocated to the smelter that 
cannot be appropriately classified in one of the preceding line items. 
Attach as part of Exhibit B a schedule showing the classification of 
these residual operating expenses into major cost components. Explain 
the basis used for forecasting the cost under each component. Identify 
each cost component in terms of direct or indirect cost and explain the 
basis used for allocating the indirect costs to smelter operations. 
Identify and

[[Page 215]]

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

                  Schedule B.7--Profit Protection Test

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

Schedule C.1--Constant Controls Forecast Profit and Loss Summary for the 
                           Rate of Return Test

    General. Use Schedule C.1 to report forecast revenue and cost 
information derived in Schedules B.4 and B.5 for the years 1984 through 
1990. These constant controls forecasts should be based on an assumption 
that the applicant immediately implements a program of additional 
pollution control facility investments sufficient to achieve full 
compliance with the smelter's SIP stack emission limitations for sulfur 
dioxide. The transfer of line items from Schedules B.4 and B.5 to this 
Schedule is explained in the following instructions.
    Line 01--Smelter Revenues-Unaffiliated Parties. Enter the totals 
reported in Schedule B.4, Line 03.
    Line 02--Smelter Revenues-Affiliated Parties. Enter the totals 
reported in Schedule B.4, Line 07.
    Line 03--Co-product and By-product Sales Revenues. Enter the totals 
reported in Schedule B.4, Line 12.
    Line 04--Other Operating Revenues. Report operating revenues 
anticipated from sources not accounted for under Lines 01 through 03. 
Refer to instructions for Line 04 of Schedule A.3 for items that should 
not be included in ``Other Operating Revenues.'' Attach as part of 
Exhibit B a schedule showing annual amounts forecast by individual 
revenue component for ``other'' operating revenues associated with the 
smelter's forecast constant controls operations. Identify in the 
supporting schedule any differences in the ``other'' revenue components 
reported in this Schedule and Schedule A.3 and explain the reasons for 
such differences.
    Line 05--Total Operating Revenues. Enter for each year the total of 
Lines 01 through 04.
    Line 06--Material Costs. Report total costs forecast for flux, 
refractories, coke and other materials directly associated with the 
smelter's processing of concentrates. Attach as part of Exhibit B a 
schedule showing the annual amounts forecast by major material cost 
components. For each cost component, identify the forecast quantity and 
unit price elements of material cost and explain the basis for 
forecasting these quantity and price elements. Identify in the 
supporting schedule

[[Page 216]]

any differences in the ``other'' material cost components shown in this 
Schedule and Schedule A.3 and explain the reasons for such differences.
    Line 07--Production Labor Costs. Enter the totals reported in 
Schedule B.5, Line 05.
    Line 08--Energy Costs. Enter the totals reported in Schedule B.5, 
Line 21.
    Line 09--Pollution Control Costs. Report the total costs forecast 
for expenses identifiable with operation and maintenance of all 
pollution control equipment and facilities. By-product credits 
associated with operation of the pollution control facilities should be 
eliminated from the cost accounts, reclassified to Schedule B.4, Line 10 
and included in Line 03 of this Schedule. Attach a schedule as part of 
Exhibit B classifying pollution control costs by major cost components. 
Explain the basis used for estimating each of the cost components.
    Line 10--Production Overhead Costs. Report the total costs forecast 
for indirect labor, indirect materials and other production overhead 
costs associated with the smelter's constant controls forecasts. Attach 
as part of Exhibit B a schedule showing annual overhead costs projected 
by major cost components associated with the smelter's operations. For 
each cost component, where appropriate, identify the forecast quantity 
and unit price elements of overhead costs and explain the basis for 
estimating these quantity and price elements. Also identify in the 
supporting schedule any differences in production overhead cost 
classifications used in this Schedule and Schedule A.3 and explain the 
reasons for such differences.
    Line 11--Other Production Costs. Report other forecast production 
costs not previously reported on Lines 06 through 10. Attach as part of 
Exhibit B supporting schedules showing the basis of the forecasts.
    Line 12--Total Cost of Sales. Enter for each year the sum of 
operating costs reported on Lines 06 through 10.
    Line 13--Gross Operating Profit. Enter for each year the difference 
between Lines 05 and 12.
    Line 14--Selling, General and Administrative Expenses. Report the 
total costs forecast for administrative, marketing and general corporate 
overhead functions that directly or indirectly support the smelter's 
operations. Refer to the NSO Financial Reporting Overview for a general 
discussion of indirect cost allocations from overhead cost pools. Attach 
as part of Exhibit B a schedule classifying selling, general and 
administrative expenses into major cost components. Indicate whether 
each component represents costs directly assignable to the smelter or 
indirect costs allocated from other business segments to the smelter. 
Explain the basis used for estimating the amount of expected costs 
included in each component and the basis used for allocating indirect 
cost elements to the smelter. Identify and explain any differences 
between the selling, general and administrative cost classification used 
in this Schedule and that used in Line 15 of Schedule A.3.
    Line 15--Taxes, Other than Income Taxes. Report the total costs 
forecast for property taxes and associated levies paid to governmental 
units by or for the benefit of the smelter operation. Attach as part of 
Exhibit B a schedule classifying operating taxes by major component. 
Indicate whether each component represents taxes directly assignable to 
the smelter or taxes that have been allocated among more than one 
facility. Explain the basis used for estimating taxes and the basis for 
any allocation of taxes to the smelter. Identify and explain any 
differences between the component classifications used in this Schedule 
and those used in Line 16 of Schedule A.3.
    Line 16--Research Costs. Report the estimates of research costs 
incurred directly by or for the benefit of the smelter operations. 
Attach as part of Exhibit B a schedule classifying the costs by major 
direct and indirect costs components. Explain the basis for estimating 
the costs assigned to each component. Identify and explain any 
differences between classifications used in this Schedule and those used 
in Line 17 of Schedule A.3.
    Line 17--Pollution Control Facility Depreciation and Amortization. 
Report the estimates of depreciation and amortization charges associated 
with the smelter's actual and forecast investment in all pollution 
control equipment and facilities. Reported charges should be computed in 
accordance with depreciation and amortization methods adopted for tax 
reporting purposes by the firm. Attach explanatory supporting schedules 
as part of Exhibit B.
    Line 18--Other Smelter Facility Depreciation and Amortization. 
Report the pro forma estimates of depreciation and amortization charge 
associated with the smelter's investment in equipment and facilities 
other than those classified as pollution control facilities. Attach 
explanatory supporting schedules as part of Exhibit B.
    Line 19--Interest on Short-Term Debt. Report the estimates of 
interest and other financing charges on forecast short-term obligations 
as classified in the smelter's current liabilities on Schedule A.4. 
Interest and associated financing charges on long-term debt should not 
be included as an expense identifiable with the smelter's operations. 
Attach as part of Exhibit B a schedule showing the interest-bearing, 
short-term debt contracts identifiable with the smelter's operations, 
the interest rate projected for these contracts, and the estimated 
annual interest charges. Identify and explain any differences between 
the classifications used in this Schedule and those used in Line 20 of 
Schedule A.3.

[[Page 217]]

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

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

    General. The applicant should estimate and report, in Schedule C.2, 
yearly sustaining capital outlays for maintenance of the smelter's 
existing productive capability. These estimates should be forecast under 
the assumption that full compliance with SIP emission limitations for 
SO2 will be achieved. Major elements of these outlays should 
be disclosed, as well as the total of such outlays. Estimates shall be 
restricted to those items that will be capitalized for tax purposes. 
These outlays shall primarily be for plant replacement, although outlays 
for improvements and expansion may be included to the extent that 
improvements and/or expansion, exclusive of required pollution control 
outlays, can be justified as economically feasible. Estimates of 
sustaining capital shall exclude any incremental investment for constant 
control requirements. Sustaining capital investments in facilities 
shared with other operating segments shall be allocated in accordance 
with the instructions given below.
    Estimates of sustaining capital shall be compatible with productive 
capacity and pollution control requirements underlying the operating 
revenue and cost forecasts incorporated in Schedule C.1.
    Lines 01 to 06--Sustaining Capital. Report for each year by 
individual line item property, plant and equipment sustaining capital 
investments assignable to smelter operations. Include both (1) property, 
plant and equipment directly associated with the smelter's operations 
and (2) facilities shared with other operating segments to the extent 
that a causal and beneficial relationship can be established for the 
intersegment allocations of such facility investments.
    Attach as part of Exhibit B an explanatory schedule disclosing and 
supporting by individual line item the major elements of annual capital 
expenditures for sustaining capital. Further classify these annual 
capital expenditures into both (1) investments required to maintain the 
smelter versus investments in smelter expansion and improvements and (2) 
direct facility versus joint-use facility investments. Explain the 
method used for allocating capital expenditures on joint-use facilities 
to the smelter's operations.
    Line 07--Total Smelter Sustaining Capital. Enter for each year the 
total of Lines 01 through 06. Transfer the reported total for each year 
to Schedule C.4, Line 06.

     Schedule C.3--Historical Capital Investment In Constant Dollars

    General. Use Schedule C.3 to report the end-of-period asset 
investments and current liabilities for the most recent fiscal year: (a) 
expressed in nominal dollars as of the date of the original transaction, 
and (b) expressed in the current year's dollars, i.e. 1984 dollars. The 
value of net investment in constant dollars (1984 dollars for smelters 
applying for an NSO in 1984) is used in Schedule C.4 as the benchmark of 
the Rate of Return Test.
    Applicants should complete Schedule C.3 according to the following 
instructions. Transfer into the first column of Schedule C.3 the 
historical cost figures that are reported in the last (1983) column of 
Table A.4. In the second column of Schedule C.3, report the figures from 
the first column of Schedule C.3, expressed in constant (1984) dollars.
    Convert each nominal dollar figure of the first column into constant 
(1984) dollars in accordance with the historical cost/constant dollar 
accounting method defined in Financial Accounting Standards Board (FASB) 
Statement No. 33 (Docket Item No. IV-A-6d), with the following 
exception: the applicant must not report the lower recoverable amount as 
required by FASB No. 33. Attach explanatory supporting schedules as part 
of Exhibit B.

                    Schedule C.4--Rate of Return Test

    General. Applicants must complete this Schedule and/or Schedule B.7 
and the accompanying schedules if they seek eligibility for an NSO. The 
line items in Schedule C.4 are explained in the following instructions.
    Line 01--Net Income from Operations. Enter for each year the amounts 
reported in Schedule C.1, Line 24.

[[Page 218]]

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

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

    General. The applicant should use Schedule C.5 to calculate the 
horizon value of net cash flow projections for the Rate of Return Test. 
This horizon value is used in Schedule C.4. The computation of the 
horizon value is different for this test than for the Profit Protection 
Test because this test requires the reporting of depreciation for tax 
purposes.
    In Schedule C.5, the applicant removes the tax savings of constant 
controls depreciation from the cash flows for the last two forecast 
years. A depreciation-free horizon value is then calculated from these 
depreciation-free cash flows. The tax savings of constant controls 
depreciation during the horizon years are then calculated separately. 
The final horizon value is equal to the sum of the depreciation-free 
horizon value and the tax savings from depreciation of constant controls 
accruing over the horizon years. The line items in Schedule C.5 are 
explained in the following instructions.
    Line 01--Net Cash Flow Projections. Enter for each of the final two 
forecast years the values in Schedule C.4, Line 08, for the 
corresponding years.
    Line 02--Depreciation and Amortization. Enter for each of the final 
two forecast years the value in Schedule C.4, Line 02, for the 
corresponding years.
    Line 03--Marginal Tax Rate. Enter for each of the final two forecast 
years the marginal income tax rate applicable to the smelter. This rate 
should incorporate both Federal and State tax liability.
    Line 04--Tax Savings. Enter for each of the final two forecast years 
the product of Lines 02 and 03.
    Line 05--Nominal Dollar Values. Enter for each of the final two 
forecast years the difference between Lines 01 and 04.
    Line 06--1990 Dollar Values. For each of the final two forecast 
years the nominal dollar values must be expressed in the last forecast 
year's dollars (1990 dollars). Transfer the 1990 amount in Line 05 
directly to Line 06. Inflate the 1989 amount to 1990 dollars using the 
forecast GNP price deflator.
    Line 07--Average. Enter under the Total column the average of the 
two values in Line 06.
    Line 08--Horizon Factor. Enter under the Total column the horizon 
factor provided in Section 2.7.
    Line 09--Depreciation-free Horizon Value. Enter under the Total 
column the product of Lines 07 and 08.
    Line 10--Depreciation and Amortization. Enter for each year of the 
horizon period depreciation charges associated with the smelter's 
investment in equipment and facilities related to pollution controls. 
These investments should include those actually made and those required 
to be made by the end of the forecast period. Reported charges should be 
computed in accordance with depreciation and amortization methods 
adopted for tax reporting purposes by the firm. Attach as part of 
Exhibit B supporting schedules consistent with those supporting Line 17 
in Schedule C.1.

[[Page 219]]

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

             Schedule D.1--Interim Controls Revenue Forecast

    General. Use Schedule D.1 to report annual forecasts of operating 
revenues anticipated during the years 1984 through 1990 from operation 
of the smelter applying for an interim controls waiver. The applicant 
applying for a permanent waiver should complete Schedule D.1 twice, with 
revenue and production projections based on two alternative assumptions: 
(1) Installation of interim constant control equipment, no installation 
of any additional SO2 controls that the smelter would 
otherwise be required to install but for the issuance of an NSO, and 
closure after January 1, 1988, and (2) installation of interim constant 
control equipment and any additional SO2 controls required to 
comply with the smelter's SIP emission limitation by January 2, 1988, so 
that the smelter will remain open through the horizon period. The 
applicant applying for a temporary waiver should use only the first 
assumption. For a smelter that has no continuous emission controls, the 
assumed interim control investment program should be based on the 
installation and operation of a well-designed sulfuric acid plant to 
treat all strong gas streams. For a smelter that already has some 
continuous emission controls, the assumed interim constant control 
investment should be based on the installation and operation of any 
additional acid plant capacity that would be necessary for treatment of 
all strong streams with interim constant controls. The interim controls 
projections should account for other regulatory requirements on the same 
basis as provided for in the NSO eligibility tests.
    Forecast smelter revenues should be expressed on a tolling service 
equivalent basis as described in Section 2.3.4. The line items in 
Schedule D.1 are explained in the following instructions. Attach as part 
of Exhibit B schedules to (1) explain the methods used to make the 
required forecasts, (2) explain differences, if any, between historical 
trends and the forecasts, and (3) provide data and information to 
support the forecasts.
    Lines 01 and 05--Concentrates Processed. Report for each year the 
forecast quantity of concentrates processed for unaffiliated parties 
(Line 01) and affiliated parties (Line 05).
    Lines 02 and 06--Smelting Charge. Report for each year the forecast 
smelting charge for unaffiliated parties (Line 02) and affiliated 
parties (Line 06). See Section 2.4 for forecast copper smelting charges 
furnished by EPA.
    Lines 03 and 07--Total Smelter Revenues. Report for each year the 
forecast total operating revenues derived from processing concentrates. 
The total for unaffiliated parties (Line 03) is equal to the product of 
Lines 01, 02, and 04, and for affiliated parties (Line 07), the product 
of Lines 05, 06, and 08.
    Lines 04 and 08--Average Product Grade. Report for each year the 
forecast average quality rating assigned to concentrates processed for 
unaffiliated parties (Line 04) and affiliated parties (Line 08).
    Line 09--Total Co-Product Revenues. Report for each year the 
forecast net revenues from sales of co-products derived from the 
smelter's operations. Attach as part of Exhibit B a schedule showing by 
individual type of co-product the forecast quantity produced and sold, 
forecast market price per unit of sales, and forecast total revenues 
derived from the co-product sales.
    Line 10--Total By-product Revenues From Pollution Control 
Facilities. Report for each year forecast revenues from the sale of by-
products derived from operation of the smelter's pollution control 
facilities. Attach as part of Exhibit B a schedule showing by type of 
by-product produced (e.g., sulfuric acid) the forecast quantity of 
output, forecast market price per unit of output sold, and forecast 
total revenue derived from the by-product sales.
    Line 11--Total By-product Revenues From Other Smelter Processing. 
Report forecast revenues from the sales of gold, silver, and other by-
products derived from the smelter's operations. Attach as part of 
Exhibit B a schedule providing additional documentation as specified in 
the instructions for Line 10.
    Line 12--Total Co-product and By-product Revenues. Enter for each 
year the total of Lines 09 through 11.

              Schedule D.2--Interim Controls Cost Forecast

    General. Use Schedule D.2 to report annual forecasts of operating 
costs anticipated during the years 1984 through 1990 from operation of 
the smelter applying for an interim controls waiver. The applicant 
applying for a

[[Page 220]]

permanent waiver should complete Schedule D.2 twice, with cost and 
production projections based on two alternative assumptions: (1) 
Installation of interim constant control equipment, no installation of 
any additional SO2 controls that the smelter would otherwise 
be required to install but for the issuance of an NSO, and closure after 
January 1, 1988, and (2) installation of interim constant control 
equipment and any additional SO2 controls required to comply 
with the smelter's SIP emission limitation by January 2, 1988, so that 
the smelter will remain open through the horizon period. For a smelter 
that has no continuous emission controls, the assumed interim control 
investment program should be based on the installation and operation of 
a well-designed sulfuric acid plant to treat all strong gas streams. For 
a smelter that already has some continuous emission controls, the 
assumed interim constant control investment should be based on the 
installation and operation of any additional acid plant capacity that 
would be necessary for treatment of all strong streams with interim 
constant controls. The interim controls projections should account for 
other regulatory requirements on the same basis as provided for in the 
NSO eligibility tests.
    The line items in Schedule D.2 are explained in the following 
instructions. Attach as part of Exhibit B schedules to (1) explain the 
methods used to make the required forecasts, (2) explain differences, if 
any, between historical trends and the forecasts, and (3) provide data 
and information to support the forecasts.
    Line 01--Direct Labor Hours. Report for each year the quantity of 
direct labor hours required to support the processing levels previously 
reported. Attach as part of Exhibit B an explanation of the labor 
productivity factors involved.
    Line 02--Average Hourly Wage Rate. Report for each year the forecast 
average wage rate per unit of direct labor input. Attach as part of 
Exhibit B a description of direct labor cost factors under any existing 
labor contracts that extend to the forecast period and an explanation of 
the methodology used to forecast wage rates. EPA-provided forecast wage 
indices are reported in Section 2.4.
    Line 03--Total Wage Payments. Enter for each year the product of 
Lines 01 and 02.
    Line 04--Supplemental Employee Benefits. Report for each year 
adjustments required to direct labor costs for other employee 
compensation under supplemental benefit plans. Attach as part of Exhibit 
B a description of such plans and their costs and an explanation of the 
methodology used to forecast such costs. EPA-provided forecast wage 
indices are reported in Section 2.4.
    Line 05--Total Production Labor Costs. Enter for each year the total 
of Lines 03 and 04.
    Lines 06, 09, 12, 15, and 18--Energy Quantities. Report for each 
year the quantity of energy by type required to support the processing 
levels reported in the smelter's revenue. Attach as part of Exhibit B an 
explanation of energy characteristics and use factors considered in 
forecasting the smelter's future energy requirements.
    Lines 07, 10, 13, 16, and 19--Unit Prices. Report for each year the 
forecast price per unit of energy input by type of energy. Attach as 
part of Exhibit B a description of the energy price factors under any 
existing energy contracts that extend to the forecast period and an 
explanation of the methodology used to forecast unit energy prices. EPA-
provided forecast energy indices are reported in Section 2.4.
    Lines 08, 11, 14, 17, and 20--Total Payments. Enter for each year 
the products of quantity and prices paid for electricity (Lines 06x07), 
natural gas (Lines 09x10), coal (Lines 12x13), fuel oil (Lines 15x16), 
and other (Lines 18x19).
    Line 21--Total Energy Costs. Enter for each year the total of Lines 
08, 11, 14, 17, and 20.

     Schedule D.3--Interim Controls Forecast Profit and Loss Summary

    General. Use Schedule D.3 to report forecast revenue and cost 
information summed in Schedules D.1 and D.2 for the years 1984 through 
1990. Applicants applying for a permanent waiver must complete Schedule 
D.3 twice. Forecast revenues and costs in Schedule D.3 shall be 
compatible with productive capacity and pollution control assumptions 
underlying the operating revenue and cost forecasts incorporated into 
each set of Schedules D.1 and D.2. Applicants applying for a temporary 
waiver should use only the first assumption: installation of interim 
constant control equipment and no installation of any additional SO2 
controls that the smelter would otherwise be required to install but for 
the issuance of an NSO. The transfer of line items from Schedules D.1 
and D.2 to this Schedule is explained in the following instructions.
    Line 01--Smelter Revenues--Unaffiliated Parties. Enter the totals 
reported in Schedule D.1, Line 03.
    Line 02--Smelter Revenues-Affiliated Parties. Enter the totals 
reported in Schedule D.1, Line 07.
    Line 03--Co-product and By-product Sales Revenues. Enter the totals 
reported in Schedule D.1, Line 12.
    Line 04--Other Operating Revenues. Report operating revenues 
anticipated from sources not accounted for under Lines 01 through 03. 
Refer to instructions for Line 04 of Schedule A.3 for items that should 
not be included in ``Other Operating Revenues.'' Attach as part of 
Exhibit B a schedule showing annual


[[Page 221]]

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. 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.

[[Page 222]]

    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 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

[[Page 223]]

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.
    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

[[Page 224]]

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.
    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

[[Page 225]]

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 formula represents the number of years in the future, 
counting from the last forecast year. For example, N=1 for the first 
year of the horizon period.
    Line 14--Present Value of Tax Savings. Enter for each year of the 
horizon period the product of Lines 12 and 13.
    Line 15--Total Present Value of Tax Savings. Enter under the Total 
column the sum of values on Line 14 for the horizon years.
    Line 16--Horizon Value. Enter under the Total column the sum of 
Lines 09 and 15.

                     Environmental Protection Agency

              Primary Nonferrous Smelter Order Application

                   Part I--Identification Information

1. Firm name____________________________________________________________
2. Street/Box/RFD_______________________________________________________
3. City_________________________________________________________________
4. State________________________________________________________________
5. Zip Code_____________________________________________________________
6. IRS Employer Identification No.______________________________________
7. SEC 1934 Act Registration No.________________________________________
8. Smelter Name_________________________________________________________
9. Street/Box/RFD_______________________________________________________
10. City________________________________________________________________
11. State_______________________________________________________________
12. Zip Code____________________________________________________________
13. Contact Person______________________________________________________
14. Title_______________________________________________________________
15. Street/Box/RFD______________________________________________________
16. City________________________________________________________________
17. State_______________________________________________________________
18. Zip Code____________________________________________________________
19. Telephone___________________________________________________________

                         Part II--Certification

    I certify that the information provided herein and appended hereto 
is true and accurate to the best of my knowledge. I understand that this 
information is being required, in part, under the authority of Section 
114 of the Clean Air Act, 42 U.S.C. 7414.

Name____________________________________________________________________
Title___________________________________________________________________
Signature_______________________________________________________________
Date

[[Page 226]]

________________________________________________________________________

                                      Schedule A.1--Historical Revenue Data
                                            [Smelter identification]
----------------------------------------------------------------------------------------------------------------
                                                              Line     1979     1980     1981     1982     1983
----------------------------------------------------------------------------------------------------------------
A. Copper product sales:
    1. Total quantity sold................................       01  .......  .......  .......  .......  .......
    2. Unaffiliated customer sales:
        a. Quantity sold..................................        2  .......  .......  .......  .......  .......
        b. Operating revenue..............................       03  .......  .......  .......  .......  .......
        c. Average unit price.............................       04  .......  .......  .......  .......  .......
        d. Average product grade..........................       05  .......  .......  .......  .......  .......
    3. Affiliated customers sales:
        a. Quantity sold..................................       06  .......  .......  .......  .......  .......
        b. Operating revenue..............................       07  .......  .......  .......  .......  .......
        c. Average unit price.............................       08  .......  .......  .......  .......  .......
        d. Average product grade..........................       09  .......  .......  .......  .......  .......
    4. Adjusted copper revenues:
        a. Total copper revenues..........................       10  .......  .......  .......  .......  .......
        b. Transfer price adjustment......................       11  .......  .......  .......  .......  .......
        c. Other revenue adjustments......................       12  .......  .......  .......  .......  .......
        d. Adjusted copper revenues.......................       13  .......  .......  .......  .......  .......
B. Lead product sales:
    1. Total quantity sold................................       14  .......  .......  .......  .......  .......
    2. Unaffiliated customer sales:
        a. Quantity sold..................................       15  .......  .......  .......  .......  .......
        b. Operating revenue..............................       16  .......  .......  .......  .......  .......
        c. Average unit price.............................       17  .......  .......  .......  .......  .......
        d. Average product grade..........................       18  .......  .......  .......  .......  .......
    3. Affiliated customer sales:
        a. Quantity sold..................................       19  .......  .......  .......  .......  .......
        b. Operating revenue..............................       20  .......  .......  .......  .......  .......
        c. Average unit price.............................       21  .......  .......  .......  .......  .......
        d. Average product grade..........................       22  .......  .......  .......  .......  .......
    4. Adjusted lead revenues:
        a. Total lead revenues............................       23  .......  .......  .......  .......  .......
        b. Transfer price adjustment......................       24  .......  .......  .......  .......  .......
        c. Other revenue adjustments......................       25  .......  .......  .......  .......  .......
        d. Adjusted lead revenues.........................       26  .......  .......  .......  .......  .......
C. Zinc product sales:
    1. Total quantity sold................................       27  .......  .......  .......  .......  .......
    2. Unaffiliated customer sales:
        a. Quantity sold..................................       28  .......  .......  .......  .......  .......
        b. Operating revenue..............................       29  .......  .......  .......  .......  .......
        c. Average unit price.............................       30  .......  .......  .......  .......  .......
        d. Average product grade..........................       31  .......  .......  .......  .......  .......
    3. Affiliated customer sales:
        a. Quantity sold..................................       32  .......  .......  .......  .......  .......
        b. Operating revenue..............................       33  .......  .......  .......  .......  .......
        c. Average unit price.............................       34  .......  .......  .......  .......  .......
        d. Average product grade..........................       35  .......  .......  .......  .......  .......
    4. Adjusted zinc revenues:
        a. Total zinc revenues............................       36  .......  .......  .......  .......  .......
        b. Transfer price adjustment......................       37  .......  .......  .......  .......  .......
        c. Other revenue adjustments......................       38  .......  .......  .......  .......  .......
        d. Adjusted zinc revenues.........................       39  .......  .......  .......  .......  .......
D. Molybdenum or other nonferrous metal sales:
    1. Total quantity sold................................       40  .......  .......  .......  .......  .......
    2. Unaffiliated customer sales:
        a. Quantity sold..................................       41  .......  .......  .......  .......  .......
        b. Operating revenue..............................       42  .......  .......  .......  .......  .......
        c. Average unit price.............................       43  .......  .......  .......  .......  .......
        d. Average product grade..........................       44  .......  .......  .......  .......  .......
    3. Affiliated customer sales:
        a. Quantity sold..................................       45  .......  .......  .......  .......  .......
        b. Operating revenue..............................       46  .......  .......  .......  .......  .......
        c. Average unit price.............................       47  .......  .......  .......  .......  .......
        d. Average product grade..........................       48  .......  .......  .......  .......  .......
    4. Adjusted molybdenum or other nonferrous metal
     revenues:
        a. Total molybdenum or other nonferrous metal            49  .......  .......  .......  .......  .......
         revenues.........................................
        b. Transfer price adjustment......................       50  .......  .......  .......  .......  .......
        c. Other revenue adjustments......................       51  .......  .......  .......  .......  .......
        d. Adjusted molybdenum or other nonferrous metal         52  .......  .......  .......  .......  .......
         revenues.........................................

[[Page 227]]

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


                                       Schedule A.2--Historical Cost Data
                                            [Smelter identification]
----------------------------------------------------------------------------------------------------------------
                                                              Line     1979     1980     1981     1982     1983
----------------------------------------------------------------------------------------------------------------
A. Concentrate costs:
    1. Total quantity purchased...........................       01  .......  .......  .......  .......  .......
    2. Unaffiliated purchases:
        a. Quantity purchased.............................       02  .......  .......  .......  .......  .......
        b. Concentrate cost...............................       03  .......  .......  .......  .......  .......
        c. Average unit price.............................       04  .......  .......  .......  .......  .......
        d. Average concentrate grade......................       05  .......  .......  .......  .......  .......
    3. Affiliated purchases:
        a. Quantity purchased.............................       06  .......  .......  .......  .......  .......
        b. Concentrate cost...............................       07  .......  .......  .......  .......  .......
        c. Average unit price.............................       08  .......  .......  .......  .......  .......
        d. Average concentrate grade......................       09  .......  .......  .......  .......  .......
    4. Adjusted concentrate costs:
        a. Total concentrate costs........................       10  .......  .......  .......  .......  .......
        b. Transfer price adjustment......................       11  .......  .......  .......  .......  .......
        c. Other cost adjustments.........................       12  .......  .......  .......  .......  .......
        d. Adjusted concentrate cost......................       13  .......  .......  .......  .......  .......
B. Production labor cost:
    1. Direct labor hours.................................       14  .......  .......  .......  .......  .......
    2. Average hourly wage rate...........................       15  .......  .......  .......  .......  .......
    3. Total wage payments................................       16  .......  .......  .......  .......  .......
    4. Supplemental employee benefits.....................       17  .......  .......  .......  .......  .......
    5. Total production labor cost........................       18  .......  .......  .......  .......  .......
C. Energy costs:
    1. Electricity:
        a. Quantity in kilowatt hours.....................       19  .......  .......  .......  .......  .......
        b. Price per kwh..................................       20  .......  .......  .......  .......  .......
        c. Total electricity payments.....................       21  .......  .......  .......  .......  .......
    2. Natural gas:
        a. Quantity in mcf................................       22  .......  .......  .......  .......  .......
        b. Price per mcf..................................       23  .......  .......  .......  .......  .......
        c. Total natural gas payments.....................       24  .......  .......  .......  .......  .......
    3. Coal:
        a. Quantity in tons...............................       25  .......  .......  .......  .......  .......
        b. Price per ton..................................       26  .......  .......  .......  .......  .......
        c. Total coal payments............................       27  .......  .......  .......  .......  .......
    4. Fuel oil:
        a. Quantity in gallons............................       28  .......  .......  .......  .......  .......
        b. Price per gallon...............................       29  .......  .......  .......  .......  .......
        c. Total fuel oil payments........................       30  .......  .......  .......  .......  .......

[[Page 228]]

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


                                Schedule A.3--Historical Profit and Loss Summary
                                            [Smelter identification]
----------------------------------------------------------------------------------------------------------------
                                                              Line     1979     1980     1981     1982     1983
----------------------------------------------------------------------------------------------------------------
A. Operating revenues:
    1. Primary metal sales................................       01  .......  .......  .......  .......  .......
    2. Coproduct and byproduct sales......................       02  .......  .......  .......  .......  .......
    3. Tolling service revenues...........................       03  .......  .......  .......  .......  .......
    4. Other operating revenues...........................       04  .......  .......  .......  .......  .......
    5. Total operating revenues...........................       05  .......  .......  .......  .......  .......
B. Cost of sales:
    1. Concentrates processed.............................       06  .......  .......  .......  .......  .......
    2. Other materials....................................       07  .......  .......  .......  .......  .......
    3. Production labor...................................       08  .......  .......  .......  .......  .......
    4. Energy costs.......................................       09  .......  .......  .......  .......  .......
    5. Pollution control cost.............................       10  .......  .......  .......  .......  .......
    6. Production overhead................................       11  .......  .......  .......  .......  .......
    7. Other production costs.............................       12  .......  .......  .......  .......  .......
    8. Total cost of sales................................       13  .......  .......  .......  .......  .......
C. Gross operating profit.................................       14  .......  .......  .......  .......  .......
D. Other operating expenses:
    1. Selling general and administrative.................       15  .......  .......  .......  .......  .......
    2. Taxes, other than income tax.......................       16  .......  .......  .......  .......  .......
    3. Research costs.....................................       17  .......  .......  .......  .......  .......
    4. Depreciation and amortization:
        a. Pollution control facilities...................       18  .......  .......  .......  .......  .......
        b. Other smelter facilities.......................       19  .......  .......  .......  .......  .......
    5. Interest on short term debt........................       20  .......  .......  .......  .......  .......
    6. Miscellaneous operating expenses...................       21  .......  .......  .......  .......  .......
    7. Total other operating expenses.....................       22  .......  .......  .......  .......  .......
E. Income from operations.................................       23  .......  .......  .......  .......  .......
F. Other income and (expense):
    1. Gain/(loss) on disposition of property.............       24  .......  .......  .......  .......  .......
    2. Miscellaneous other income and (expense)...........       25  .......  .......  .......  .......  .......
    3. Total other income and (expense)...................       26  .......  .......  .......  .......  .......
G. Net taxable income.....................................       27  .......  .......  .......  .......  .......
----------------------------------------------------------------------------------------------------------------


                               Schedule A.4--Historical Capital Investment Summary
                                            [Smelter identification]
----------------------------------------------------------------------------------------------------------------
                                                              Line     1979     1980     1981     1982     1983
----------------------------------------------------------------------------------------------------------------
A. Current assets:
    1. Cash on hand and deposit...........................       01  .......  .......  .......  .......  .......
    2. Temporary cash investments.........................       02  .......  .......  .......  .......  .......
    3. Trade receivables, net:
        a. Unaffiliated customers.........................       03  .......  .......  .......  .......  .......
        b. Affiliated customers...........................       04  .......  .......  .......  .......  .......
    4. Inventories:
        a. Raw materials and products.....................       05  .......  .......  .......  .......  .......
        b. Other materials and supplies...................       06  .......  .......  .......  .......  .......
    5. Other current assets...............................       07  .......  .......  .......  .......  .......
    6. Total current assets...............................       08  .......  .......  .......  .......  .......
B. Property, plant and equipment:
    1. Land...............................................       09  .......  .......  .......  .......  .......
    2. Buildings and improvements.........................       10  .......  .......  .......  .......  .......
    3. Machinery and equipment............................       11  .......  .......  .......  .......  .......
    4. Transportation equipment...........................       12  .......  .......  .......  .......  .......
    5. Pollution control facilities.......................       13  .......  .......  .......  .......  .......
    6. Other fixed assets.................................       14  .......  .......  .......  .......  .......
    7. Total smelter investment...........................       15  .......  .......  .......  .......  .......
    8. Less: Accumulated depreciation and amortization....       16  .......  .......  .......  .......  .......

[[Page 229]]

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


                                    Schedule B--Pre-Control Revenue Forecast
                                            [Smelter identification]
----------------------------------------------------------------------------------------------------------------
                                            Line     1984     1985     1986     1987     1988     1989     1990
----------------------------------------------------------------------------------------------------------------
A. Forecast smelter revenues--
 unaffiliated parties:
    1. Concentrates processed...........       01  .......  .......  .......  .......  .......  .......  .......
    2. Smelting charge..................       02  .......  .......  .......  .......  .......  .......  .......
    3. Total smelter revenues...........       03  .......  .......  .......  .......  .......  .......  .......
    4. Average product grade............       04  .......  .......  .......  .......  .......  .......  .......
B. Forecast smelter revenues--affiliated
 parties:
    1. Concentrates processed...........       05  .......  .......  .......  .......  .......  .......  .......
    2. Smelting charge..................       06  .......  .......  .......  .......  .......  .......  .......
    3. Total smelter revenues...........       07  .......  .......  .......  .......  .......  .......  .......
    4. Average product grade............       08  .......  .......  .......  .......  .......  .......  .......
C. Forecast co-product and by-product
 sales:
    1. Total co-product revenues........       09  .......  .......  .......  .......  .......  .......  .......
    2. Total by-product revenues from:
        a. Pollution control facilities.       10  .......  .......  .......  .......  .......  .......  .......
        b. Other smelter processing.....       11  .......  .......  .......  .......  .......  .......  .......
    3. Total co-product and by-product         12  .......  .......  .......  .......  .......  .......  .......
     revenues...........................
----------------------------------------------------------------------------------------------------------------


                                     Schedule B.2--Pre-Control Cost Forecast
                                            [Smelter identification]
----------------------------------------------------------------------------------------------------------------
                                            Line     1984     1985     1986     1987     1988     1989     1990
----------------------------------------------------------------------------------------------------------------
A. Forecast production labor cost:
    1. Direct labor hours...............       01  .......  .......  .......  .......  .......  .......  .......
    2. Average hourly wage rate.........       02  .......  .......  .......  .......  .......  .......  .......
    3. Total wage payments..............       03  .......  .......  .......  .......  .......  .......  .......
    4. Supplemental employee benefits...       04  .......  .......  .......  .......  .......  .......  .......
    5. Total production labor cost......       05  .......  .......  .......  .......  .......  .......  .......
B. Forecast energy costs:
    1. Electricity:
        a. Quantity in kilowatt hours...       06  .......  .......  .......  .......  .......  .......  .......
        b. Price per kwh................       07  .......  .......  .......  .......  .......  .......  .......
        c. Total electricity payments...       08  .......  .......  .......  .......  .......  .......  .......
    2. Natural gas:
        a. Quantity in mcf..............       09  .......  .......  .......  .......  .......  .......  .......
        b. Price per mcf................       10  .......  .......  .......  .......  .......  .......  .......
        c. Total natural gas payments...       11  .......  .......  .......  .......  .......  .......  .......
    3. Coal:
        a. Quantity in tons.............       12  .......  .......  .......  .......  .......  .......  .......
        b. Price per ton................       13  .......  .......  .......  .......  .......  .......  .......
        c. Total coal payments..........       14  .......  .......  .......  .......  .......  .......  .......
    4. Fuel oil:
        a. Quantity in gallons..........       15  .......  .......  .......  .......  .......  .......  .......
        b. Price per gallon.............       16  .......  .......  .......  .......  .......  .......  .......
        c. Total fuel oil payments......       17  .......  .......  .......  .......  .......  .......  .......
    5. Other (specify):
        a. Quantity (specific units)....       18  .......  .......  .......  .......  .......  .......  .......
        b. Price per unit...............       19  .......  .......  .......  .......  .......  .......  .......
        c. Total payments...............       20  .......  .......  .......  .......  .......  .......  .......

[[Page 230]]

 
    6. Total energy costs...............       21  .......  .......  .......  .......  .......  .......  .......
----------------------------------------------------------------------------------------------------------------


                           Schedule B.3--Pre-Control Forecast Profit and Loss Summary
                                            [Smelter identification]
----------------------------------------------------------------------------------------------------------------
                                            Line     1984     1985     1986     1987     1988     1989     1990
----------------------------------------------------------------------------------------------------------------
A. Forecast operating revenues:
    1. Smelter revenues--unaffiliated          01  .......  .......  .......  .......  .......  .......  .......
     parties............................
    2. Smelter revenues--affiliated            02  .......  .......  .......  .......  .......  .......  .......
     parties............................
    3. Co-product and by-product sales..       03  .......  .......  .......  .......  .......  .......  .......
    4. Other operating revenues.........       04  .......  .......  .......  .......  .......  .......  .......
    5. Total operating revenues.........       05  .......  .......  .......  .......  .......  .......
B. Forecast cost of sales:
    1. Material costs...................       06  .......  .......  .......  .......  .......  .......  .......
    2. Production labor costs...........       07  .......  .......  .......  .......  .......  .......
    3. Energy costs.....................       08  .......  .......  .......  .......  .......  .......  .......
    4. Pollution control costs..........       09  .......  .......  .......  .......  .......  .......  .......
    5. Production overhead..............       10  .......  .......  .......  .......  .......  .......  .......
    6. Other production costs...........       11  .......  .......  .......  .......  .......  .......  .......
    7. Total cost of sales..............       12  .......  .......  .......  .......  .......  .......  .......
C. Forecast gross operating profit......       13  .......  .......  .......  .......  .......  .......  .......
D. Forecast other operating expenses:
    1. Selling, general and                    14  .......  .......  .......  .......  .......  .......  .......
     administrative expenses............
    2. Taxes, other than income tax.....       15  .......  .......  .......  .......  .......  .......  .......
    3. Research costs...................       16  .......  .......  .......  .......  .......  .......  .......
    4. Depreciation and amortization:
        a. Pollution control facilities.       17  .......  .......  .......  .......  .......  .......  .......
        b. Other smelter facilities.....       18  .......  .......  .......  .......  .......  .......  .......
    5. Interest.........................       19  .......  .......  .......  .......  .......  .......  .......
    6. Miscellaneous operating expenses.       20  .......  .......  .......  .......  .......  .......  .......
    7. Total other operating expenses...       21  .......  .......  .......  .......  .......  .......  .......
E. Forecast income from operations......       22  .......  .......  .......  .......  .......  .......  .......
----------------------------------------------------------------------------------------------------------------


                                Schedule B.4--Constant Controls Revenue Forecast
                                            [Smelter identification]
----------------------------------------------------------------------------------------------------------------
                                            Line     1984     1985     1986     1987     1988     1989     1990
----------------------------------------------------------------------------------------------------------------
A. Forecast smelter revenues--
 unaffiliated parties:
    1. Concentrates processed...........       01  .......  .......  .......  .......  .......  .......  .......
    2. Smelting charge..................       02  .......  .......  .......  .......  .......  .......  .......
    3. Total smelter revenues...........       03  .......  .......  .......  .......  .......  .......  .......
    4. Average product grade............       04  .......  .......  .......  .......  .......  .......  .......
B. Forecast smelter revenues--affiliated
 parties:
    1. Concentrates processed...........       05  .......  .......  .......  .......  .......  .......  .......
    2. Smelting charge..................       06  .......  .......  .......  .......  .......  .......  .......
    3. Total smelter revenues...........       07  .......  .......  .......  .......  .......  .......  .......
    4. Average product grade............       08
C. Forecast co-product and by-product
 sales:
    1. Total co-product revenues........       09  .......  .......  .......  .......  .......  .......  .......
    2. Total by-product revenues from:
        a. Pollution control facilities.       10  .......  .......  .......  .......  .......  .......  .......
        b. Other smelter processing.....       11  .......  .......  .......  .......  .......  .......  .......
    3. Total co-product and by-product         12  .......  .......  .......  .......  .......  .......  .......
     revenues...........................
----------------------------------------------------------------------------------------------------------------


                                  Schedule B.5--Constant Controls Cost Forecast
                                            [Smelter identification]
----------------------------------------------------------------------------------------------------------------
                                            Line     1984     1985     1986     1987     1988     1989     1990
----------------------------------------------------------------------------------------------------------------
A. Forecast production labor cost:
    1. Direct labor hours...............       01  .......  .......  .......  .......  .......  .......  .......

[[Page 231]]

 
    2. Average hourly wage rate.........       02  .......  .......  .......  .......  .......  .......  .......
    3. Total wage payments..............       03  .......  .......  .......  .......  .......  .......  .......
    4. Supplemental employee benefits...       04  .......  .......  .......  .......  .......  .......  .......
    5. Total production labor cost......       05  .......  .......  .......  .......  .......  .......  .......
B. Forecast energy costs:
    1. Electricity:
        a. Quantity in kilowatt hours...       06  .......  .......  .......  .......  .......  .......  .......
        b. Price per kwh................       07  .......  .......  .......  .......  .......  .......  .......
        c. Total electricity payments...       08  .......  .......  .......  .......  .......  .......  .......
    2. Natural gas:
        a. Quantity in mcf..............       09  .......  .......  .......  .......  .......  .......  .......
        b. Price per mcf................       10  .......  .......  .......  .......  .......  .......  .......
        c. Total natural gas payments...       11  .......  .......  .......  .......  .......  .......  .......
    3. Coal:
        a. Quantity in tons.............       12  .......  .......  .......  .......  .......  .......  .......
        b. Price per ton................       13  .......  .......  .......  .......  .......  .......  .......
        c. Total coal payments..........       14  .......  .......  .......  .......  .......  .......  .......
    4. Fuel oil:
        a. Quantity in gallons..........       15  .......  .......  .......  .......  .......  .......  .......
        b. Price per gallon.............       16  .......  .......  .......  .......  .......  .......  .......
        c. Total fuel oil payments......       17  .......  .......  .......  .......  .......  .......  .......
    5. Other (specify):
        a. Quantity (specific units)....       18  .......  .......  .......  .......  .......  .......  .......
        b. Price per unit...............       19  .......  .......  .......  .......  .......  .......  .......
        c. Total payments...............       20  .......  .......  .......  .......  .......  .......  .......
    6. Total energy costs...............       21  .......  .......  .......  .......  .......  .......  .......
----------------------------------------------------------------------------------------------------------------


             Schedule B.6--Constant Controls Profit and Loss Summary for the Profit Protection Test
                                            [Smelter identification]
----------------------------------------------------------------------------------------------------------------
                                            Line     1984     1985     1986     1987     1988     1989     1990
----------------------------------------------------------------------------------------------------------------
A. Forecast operating revenues:
    1. Smelter revenues--unaffiliated          01  .......  .......  .......  .......  .......  .......  .......
     parties............................
    2. Smelter revenues--affiliated            02  .......  .......  .......  .......  .......  .......  .......
     parties............................
    3. Co-product and by-product sales..       03  .......  .......  .......  .......  .......  .......  .......
    4. Other operating revenues.........       04  .......  .......  .......  .......  .......  .......  .......
    5. Total operating revenues.........       05  .......  .......  .......  .......  .......  .......  .......
B. Forecast cost of sales:
    1. Material costs...................       06  .......  .......  .......  .......  .......  .......  .......
    2. Production labor costs...........       07  .......  .......  .......  .......  .......  .......  .......
    3. Energy costs.....................       08  .......  .......  .......  .......  .......  .......  .......
    4. Pollution control costs..........       09  .......  .......  .......  .......  .......  .......  .......
    5. Production overhead..............       10  .......  .......  .......  .......  .......  .......  .......
    6. Other production costs...........       11  .......  .......  .......  .......  .......  .......  .......
    7. Total cost of sales..............       12  .......  .......  .......  .......  .......  .......  .......
C. Forecast gross operating profit......       13  .......  .......  .......  .......  .......  .......  .......
D. Forecast other operating expenses:
    1. Selling, general and                    14  .......  .......  .......  .......  .......  .......  .......
     administrative expenses............
    2. Taxes, other than income tax.....       15  .......  .......  .......  .......  .......  .......  .......
    3. Research costs...................       16  .......  .......  .......  .......  .......  .......  .......
    4. Depreciation and amortization:
        a. Pollution control facilities.       17  .......  .......  .......  .......  .......  .......  .......
        b. Other smelter facilities.....       18  .......  .......  .......  .......  .......  .......  .......
    5. Interest.........................       19  .......  .......  .......  .......  .......  .......  .......
    6. Miscellaneous operating expenses.       20  .......  .......  .......  .......  .......  .......  .......
    7. Total other operating expenses...       21  .......  .......  .......  .......  .......  .......  .......
E. Forecast income from operations......       22  .......  .......  .......  .......  .......  .......  .......
----------------------------------------------------------------------------------------------------------------


                                      Schedule B.7--Profit Protection Test
                                            [Smelter identification]
----------------------------------------------------------------------------------------------------------------
                                   Line     1984     1985     1986     1987     1988     1989     1990    Total
----------------------------------------------------------------------------------------------------------------
A. Pre-control case:
    1. Net income from                01  .......  .......  .......  .......  .......  .......  .......     XXXX
     operations................

[[Page 232]]

 
    2. Discount factors........       02  .......  .......  .......  .......  .......  .......  .......     XXXX
    3. Present value of future        03  .......  .......  .......  .......  .......  .......  .......     XXXX
     net income................
    4. Horizon value...........       04     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
    5. Discount factor.........       05     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
    6. Present value of horizon       06     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
     value.....................
    7. Present value of future        07     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
     net income................
    8. Total present value.....       08     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
B. Constant controls case:
    1. Net income from                09  .......  .......  .......  .......  .......  .......  .......     XXXX
     operations................
    2. Discount factors........       10  .......  .......  .......  .......  .......  .......  .......     XXXX
    3. Present value of future        11  .......  .......  .......  .......  .......  .......  .......     XXXX
     net income................
    4. Horizon value...........       12     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
    5. Discount factor.........       13     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
    6. Present value of horizon       14     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
     value.....................
    7. Present value of future        15     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
     net income................
    8. Total present value.....       16     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
C. Ratio of total present value       17     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
 of constant controls case to
 total, present value of base
 case..........................
----------------------------------------------------------------------------------------------------------------


               Schedule C.1--Constant Controls Profit and Loss Summary for the Rate of Return Test
                                            [Smelter identification]
----------------------------------------------------------------------------------------------------------------
                                            Line     1984     1985     1986     1987     1988     1989     1990
----------------------------------------------------------------------------------------------------------------
A. Forecast operating revenues:
    1. Smelter revenues--unaffilated           01  .......  .......  .......  .......  .......  .......  .......
     parties............................
    2. Smelter revenues--affiliated            02  .......  .......  .......  .......  .......  .......  .......
     parties............................
    3. Co-product and by-product sales..       03  .......  .......  .......  .......  .......  .......  .......
    4. Other operating revenues.........       04  .......  .......  .......  .......  .......  .......  .......
    5. Total operating revenues.........       05  .......  .......  .......  .......  .......  .......  .......
B. Forecast cost of sales:
    1. Material costs...................       06  .......  .......  .......  .......  .......  .......  .......
    2. Production labor costs...........       07  .......  .......  .......  .......  .......  .......  .......
    3. Energy costs.....................       08  .......  .......  .......  .......  .......  .......  .......
    4. Pollution control costs..........       09  .......  .......  .......  .......  .......  .......  .......
    5. Production overhead..............       10  .......  .......  .......  .......  .......  .......  .......
    6. Other production costs...........       11  .......  .......  .......  .......  .......  .......  .......
    7. Total cost of sales..............       12  .......  .......  .......  .......  .......  .......  .......
C. Forecast gross operating profit......       13  .......  .......  .......  .......  .......  .......  .......
D. Forecast other operating expenses:
    1. Selling, general and                    14  .......  .......  .......  .......  .......  .......  .......
     administrative expenses............
    2. Taxes, other than income tax.....       15  .......  .......  .......  .......  .......  .......  .......
    3. Research costs...................       16  .......  .......  .......  .......  .......  .......  .......
    4. Depreciation and amortization
        a. Pollution control facilities.       17  .......  .......  .......  .......  .......  .......  .......
        b. Other smelter facilities.....       18  .......  .......  .......  .......  .......  .......  .......
    5. Interest on short-term debt......       19  .......  .......  .......  .......  .......  .......  .......
    6. Miscellaneous operating expenses.       20  .......  .......  .......  .......  .......  .......  .......
    7. Total other operating expenses...       21  .......  .......  .......  .......  .......  .......  .......
E. Forecast income from operations......       22  .......  .......  .......  .......  .......  .......  .......
F. Forecast income taxes................       23  .......  .......  .......  .......  .......  .......  .......
G. Forecast net income from operations..       24  .......  .......  .......  .......  .......  .......  .......
----------------------------------------------------------------------------------------------------------------


                     Schedule C.2--Constant Controls Sustaining Capital Investment Forecast
                                            [Smelter identification]
----------------------------------------------------------------------------------------------------------------
           Sustaining capital               Line     1984     1985     1986     1987     1988     1989     1990
----------------------------------------------------------------------------------------------------------------
1. Land.................................       01  .......  .......  .......  .......  .......  .......  .......

[[Page 233]]

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


                         Schedule C.3--Historical Capital Investment in Constant Dollars
                                            [Smelter identification]
----------------------------------------------------------------------------------------------------------------
                                                                                             Nominal    Constant
                         Items from 1983 balance sheet                              Line     dollars    dollars
----------------------------------------------------------------------------------------------------------------
A. Current assets:
    1. Cash on hand and deposit................................................         01  .........  .........
    2. Temporary cash investments..............................................         02  .........  .........
    3. Trade receivables, net:
        a. Unaffiliated customers..............................................         03  .........  .........
        b. Affiliated customers................................................         04  .........  .........
    4. Inventories:
        a. Raw materials and products..........................................         05  .........  .........
        b. Other materials and supplies........................................         06  .........  .........
    5. Other current assets....................................................         07  .........  .........
    6. Total current assets....................................................         08  .........  .........
B. Property, plant and equipment:
    1. Land....................................................................         09  .........  .........
    2. Buildings and improvements..............................................         10  .........  .........
    3. Machinery and equipment.................................................         11  .........  .........
    4. Transportation equipment................................................         12  .........  .........
    5. Pollution control facilities............................................         13  .........  .........
    6. Other fixed assets......................................................         14  .........  .........
    7. Total smelter investments...............................................         15  .........  .........
    8. Less: Accumulated depreciation and amortization.........................         16  .........  .........
    9. Net smelter investment..................................................         17  .........  .........
C. Other noncurrent assets.....................................................         18  .........  .........
D. Total smelter capital investment............................................         19  .........  .........
E. Current liabilities:
    1. Trade accounts and notes payable:
        a. Unaffiliated suppliers..............................................         20  .........  .........
        b. Affiliated suppliers................................................         21  .........  .........
    2. Other expense accruals..................................................         22  .........  .........
    3. Notes payable, current..................................................         23  .........  .........
    4. Other current liabilities...............................................         24  .........  .........
    5. Total current liabilities...............................................         25  .........  .........
F. Net smelter capital investment..............................................         26  .........  .........
----------------------------------------------------------------------------------------------------------------


                                        Schedule C.4--Rate of Return Test
                                            [Smelter identification]
----------------------------------------------------------------------------------------------------------------
                                   Line     1984     1985     1986     1987     1988     1989     1990    Total
----------------------------------------------------------------------------------------------------------------
A. Operating cash flow
 projection:
    1. Net income from                01  .......  .......  .......  .......  .......  .......  .......     XXXX
     operations................
    2. Depreciation and
     amortization:
        a. Pollution control          02  .......  .......  .......  .......  .......  .......  .......     XXXX
         facilities............
        b. Other smelter              03  .......  .......  .......  .......  .......  .......  .......     XXXX
         facilities............
    3. Operating cash flow.....       04  .......  .......  .......  .......  .......  .......  .......     XXXX
    4. Capital expenditure
     projections:
        a. Constant controls...       05  .......  .......  .......  .......  .......  .......  .......     XXXX
        b. Sustaining capital..       06  .......  .......  .......  .......  .......  .......  .......     XXXX
        c. Total...............       07  .......  .......  .......  .......  .......  .......  .......     XXXX
    5. Net cash flow                  08  .......  .......  .......  .......  .......  .......  .......     XXXX
     projections...............
    6. Discount factors........       09  .......  .......  .......  .......  .......  .......  .......     XXXX
    7. Present value of future        10  .......  .......  .......  .......  .......  .......  .......     XXXX
     cash flows................

[[Page 234]]

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