7610-28 Phase II NOx Compliance Plan

United States
Environmental Protection Agency
Acid Rain Program

OMB No. 2060-0258

Phase II NOX Compliance Plan

Page

~ of ~

For more information, see instructions and refer to 40 CFR 76.9
This submission is:

STEP 1
Indicate plant name,
State, and ORIS code
from NADB, if applicable

~ New

~ Revised

Plant Name

STEP 2

State

ORIS Code

Identify each affected Group 1 and Group 2 boiler using the boiler ID# from NADB, if
applicable. Indicate boiler type: “CB” for cell burner, “CY” for cyclone, “DBW” for dry
bottom wall-fired, “T” for tangentially fired, “V” for vertically fired, and“WB” for wet bottom.
Indicate the compliance option selected for each unit.

ID#

ID#

ID#

ID#

ID#

ID#

Type

Type

Type

Type

Type

Type

(a) Standard annual average
emission limitation of 0.50
lb/mmBtu (for Phase I dry
bottom wall-fired boilers)

~

~

~

~

~

~

(b) Standard annual average
emission limitation of 0.45
lb/mmBtu (for Phase I
tangentially fired boilers)

~

~

~

~

~

~

(c) EPA-approved early election
plan under 40 CFR 76.8 through
12/31/07 (also indicate above
emission limit specified in plan)

~

~

~

~

~

~

(d) Standard annual average
emission limitation of 0.46
lb/mmBtu (for Phase II dry
bottom wall-fired boilers)

~

~

~

~

~

~

(e) Standard annual average
emission limitation of 0.40
lb/mmBtu (for Phase II
tangentially fired boilers)

~

~

~

~

~

~

(f) Standard annual average
emission limitation of 0.68
lb/mmBtu (for cell burner
boilers)

~

~

~

~

~

~

(g) Standard annual average
emission limitation of 0.86
lb/mmBtu (for cyclone boilers)

~

~

~

~

~

~

(h) Standard annual average
emission limitation of 0.80
lb/mmBtu (for vertically
fired boilers)

~

~

~

~

~

~

(i) Standard annual average
emission limitation of 0.84
lb/mmBtu (for wet bottom
boilers)

~

~

~

~

~

~

(j) NOx Averaging Plan (include
NOx Averaging form)

~

~

~

~

~

~

(k) Common stack pursuant
to 40 CFR 75.17(a)(2)(i)(A)
(check the standard emission
limitation box above for most
stringent limitation applicable to
any unit utilizing stack)

~

~

~

~

~

~

(l) Common stack pursuant to 40
CFR 75.17(a)(2)(i)(B) with NOx
Averaging (check the NOx
Averaging Plan box and include
NOx Averaging form)

~

~

~

~

~

~

EPA Form 7610-28 (12-03)

NOx Compliance - Page 2
Page

Plant Name (from Step 1)

~ of ~

STEP 2, cont’d.
ID#

ID#

ID#

ID#

ID#

ID#

Type

Type

Type

Type

Type

Type

(m) EPA-approved common
stack apportionment method
pursuant to 40 CFR 75.17
(a)(2)(i)(C), (a)(2)(iii)(B), or (b)(2)

~

~

~

~

~

~

(n) AEL (include Phase II AEL
Demonstration Period, Final
AEL Petition, or AEL Renewal
form as appropriate)

~

~

~

~

~

~

(o) Petition for AEL
demonstration period or final
AEL under review by U.S. EPA or
demonstration period ongoing

~

~

~

~

~

~

(p) Repowering extension plan
approved or under review

~

~

~

~

~

~

STEP 3
Read the standard
requirements and
certification, enter the
name of the designated
representative, sign &

Standard Requirements
General. This source is subject to the standard requirements in 40 CFR 72.9 (consistent with 40 CFR 76.8(e)(1)(i)).
These requirements are listed in this source's Acid Rain Permit.
Special Provisions for Early Election Units
Nitrogen Oxides. A unit that is governed by an approved early election plan shall be subject to an emissions
limitation for NOx as provided under 40 CFR 76.8(a)(2) except as provided under 40 CFR 76.8(e)(3)(iii).
Liability. The owners and operators of a unit governed by an approved early election plan shall be liable for any
violation of the plan or 40 CFR 76.8 at that unit. The owners and operators shall be liable, beginning January 1,
2000, for fulfilling the obligations specified in 40 CFR Part 77.
Termination. An approved early election plan shall be in effect only until the earlier of January 1, 2008 or January
1 of the calendar year for which a termination of the plan takes effect. If the designated representative of the unit
under an approved early election plan fails to demonstrate compliance with the applicable emissions limitation
under 40 CFR 76.5 for any year during the period beginning January 1 of the first year the early election takes
effect and ending December 31, 2007, the permitting authority will terminate the plan. The termination will take
effect beginning January 1 of the year after the year for which there is a failure to demonstrate compliance, and the
designated representative may not submit a new early election plan. The designated representative of the unit
under an approved early election plan may terminate the plan any year prior to 2008 but may not submit a new
early election plan. In order to terminate the plan, the designated representative must submit a notice under 40
CFR 72.40(d) by January 1 of the year for which the termination is to take effect. If an early election plan is
terminated any year prior to 2000, the unit shall meet, beginning January 1, 2000, the applicable emissions limitation for
NOx for Phase II units with Group 1 boilers under 40 CFR 76.7. If an early election plan is terminated on or after 2000,
the unit shall meet, beginning on the effective date of the termination, the applicable emissions limitation for NOx for Phase
II units with Group 1 boilers under 40 CFR 76.7.
Certification
I am authorized to make this submission on behalf of the owners and operators of the affected source or affected
units for which the submission is made. I certify under penalty of law that I have personally examined, and am
familiar with, the statements and information submitted in this document and all its attachments. Based on my
inquiry of those individuals with primary responsibility for obtaining the information, I certify that the statements and
information are to the best of my knowledge and belief true, accurate, and complete. I am aware that there are
significant penalties for submitting false statements and information or omitting required statements and
information, including the possibility of fine or imprisonment.

Name

Signature

EPA Form 7610-28 (12-03)

Date

Acid Rain Program
Instructions for Phase II NOX Compliance
Plan (40 CFR 76.9)
The U.S. Environmental Protection Agency has promulgated regulations designed to substantially reduce the annual
emissions of nitrogen oxides (NOx) from coal-fired electric utilities. The NOX Emission Reduction regulations are found
at 40 CFR part 76 and apply to each existing coal-fired utility unit that is subject to sulfur dioxide (SO2) emission reduction
requirements under Sections 404, 405, or 409 of the Clean Air Act. Under 40 CFR 76.9, the owner or operator of each
affected unit subject to 40 CFR part 76 must include a compliance plan for NOX emissions in the Acid Rain permit
application for that unit. The designated representatives (DRs) of Phase I and Phase II NOx-affected units with Group
1 or Group 2 boilers must submit an initial Phase II NOX compliance plan to the appropriate title V air permitting authority
(in most cases, the State or local air permitting authority) not later than January 1, 1998. A Group 1 boiler is a
tangentially fired boiler or a dry bottom wall-fired boiler. A Group 2 boiler is a cell burner boiler, cyclone boiler, vertically
fired boiler, or a wet bottom boiler. Once the title V permitting authority receives the Phase II NOX compliance plans,
it will in turn review them and incorporate approved plans into the Phase II Acid Rain permits issued by the permitting
authority to Phase II affected sources.

General Instructions
(1)

Please type or print in black ink.

(2)

NADB is the National Allowance Data Base for the
Acid Rain Program. To obtain the database on
diskette, call the Acid Rain Hotline at (202) 343-9620.
This data file is in dBase format for use on an IBMcompatible PC. It requires 2 megabytes of hard drive
memory. If the unit is not listed in NADB, use the
plant name, ORIS code, and boiler ID#(s) listed on the
Certificate of Representation for the affected source.

(3)

If more space is needed, photocopy the pertinent
page. When you have completed the form, indicate
the page order and total number of pages (e.g., 1 of
4, 2 of 4, etc.) in the boxes in the upper right hand
corner of each page.

(4)

Submit one complete set of all forms with original
signatures to:

(a) The appropriate title V permitting authority (for
NOX Averaging Plans, a copy of the plan must be
submitted to any other title V permitting authority
with jurisdiction over any of the units in the plan).
and
One copy to:
(b) U.S. Environmental Protection Agency
Clean Air Markets Division (6204J)
Attn: Phase II NOX
1200 Pennsylvania Ave., NW
Washington, DC 20460

(5)

For assistance, call the Acid Rain Hotline at (202)
343-9620.

NOX Compliance Options
STEP 2
General

NOX-affected Units

Indicate a proposed method of compliance with the NOX
emissions requirements for each unit at the source affected
for NOX during Phase II. A Phase II NOx compliance plan
must account for each year the Phase II acid rain permit will
be effective. Further, a NOX compliance plan is in effect only
through the term of the acid rain permit covering the NOXaffected units. A new NOX compliance plan must be
submitted when an acid rain permit renewal
application is due.

To determine if an affected unit subject to Acid Rain
SO2 requirements is also subject to NOX emission
limitations, see 40 CFR 76.1, the definitions at 40 CFR
76.2, and the emission limitations at 40 CFR 76.5, 76.6, and
76.7. Most existing coal-fired units that are subject to Acid
Rain SO2 requirements and that have a Group 1 or Group 2
boiler are also subject to the NOX emission limitations under
40 CFR part 76.

2
Phase I Group 1 Boilers
Compliance options (a) and (b) are standard annual emission
limitations, one of which may be selected for a Phase I Group
1 boiler. The limits also apply to Phase II Group 1 boilers that
are covered by an early election plan previously approved by
U.S. EPA.
Early Election
Compliance option (c), NOX early election, is available only to
Phase II Group 1 boilers with early election plans submitted
by January 1, 1997 and approved by U.S. EPA. All such
plans terminate no later than December 31, 2007. DRs with
NOX early election units must select option (c) and either (a)
or (b), the Phase I Group 1 standard emissions limit specified
for the unit in the plan. If the termination date of the plan will
be prior to the expiration date of the acid rain permit covering
an early election unit, the DR must indicate an additional
NOX compliance option that will apply to the unit beginning
when the plan terminates through the date by which the acid
rain permit will expire. In such cases the DR must mark
option (c) and either (a) or (b), as well as the additional
box(es) denoting the additional, follow-on NOX compliance
option. For early election units in a common stack, see also
the instructions under Common Stacks.
Phase II Group 1 Boilers
Compliance options (d) and (e) denote standard annual
emission limitations, one of which may be selected for a
Phase II Group 1 boiler.
Phase II Group 2 Boilers
Compliance options (f) through (i) denote standard annual
emission limitations, one of which may be selected for
a Phase II Group 2 boiler.
NOX Averaging
Compliance option (j) denotes the annual emission
limitation under a NOX averaging plan, which may be
selected in lieu of a standard annual emission limit for
Group 1 or Group 2 boilers with the same owner or
operator and the same DR. See instructions below and
include Phase II NOX averaging form.
Common Stacks
A unit that utilizes a common stack and is separately
monitored for NOX (i.e, has its own NOx monitor and diluent
monitor) is treated as the same as a unit that emits only
through its own separate stack.
A unit (other than an early election unit) that utilizes a
common stack and is not monitored separately must select
one of the applicable common stack options. If the unit
shares a common stack with other affected units and no nonaffected units and if each of the units has a NOX emission
limitation, three options are available: comply with the most
stringent NOX emission limitation applicable

to any unit utilizing the common stack (option (k)); include the
units in a NOX averaging plan (option (l)); or use an approved
method for apportioning the combined NOX emission rate in
the common stack (option (m)). If the unit shares a common
stack with at least one other unit that does not have a NOX
emission limitation or with at least one non-affected unit, you
must use an approved method for apportioning the
combined NOX emission rate (option (m)), unless, of
course, the unit is separately monitored. An early election
unit that utilizes a common stack, that is not monitored
separately, and whose early election plan specifies option (k)
or (m) for the unit, must select such option.
If an apportionment option is chosen, check, in addition to
option (m), the box at Step 2 that indicates the applicable
emission limitation and submit to U.S. EPA the
documentation supporting apportionment with the monitoring
plan submission.
Alternative Emissions Limitations
Compliance option (n) must be selected by a Phase II
Group 1 or Group 2 boiler that is applying for an AEL
demonstration period, or final AEL, starting in Phase II.
Compliance option (n) must also be chosen by a boiler
that is renewing for Phase II a final AEL approved by
U.S. EPA (see instructions accompanying Phase II AEL
Demonstration Period, Final AEL Petition, and AEL Renewal
forms and include appropriate form).
Compliance option (o) must be selected by a boiler that
has applied to U.S. EPA for an AEL demonstration
period or final AEL which is undergoing review by U.S.
EPA. If a final AEL is subsequently approved by U.S.
EPA, a revised Phase II NOX compliance plan must be
submitted marking option (o) and attaching an AEL
Renewal form. If an AEL demonstration period or final
AEL is subsequently disapproved by U.S. EPA, a
revised Phase II NOX compliance plan must be
submitted indicating which Phase II NOX compliance
option will be used by the boiler.
Repowering Extension Plans
Compliance option (p) must be selected by a boiler that is
covered by either an approved repowering extension plan or
a plan that is undergoing review. If a repowering extension
plan undergoing review is subsequently disapproved, a
revised Phase II NOX compliance plan must be submitted
indicating which Phase II NOX compliance option will be used
by the boiler. If the termination date of either the repowering
extension plan undergoing review or the approved plan is
prior to the expiration date of the acid rain permit covering the
repowered (or replacement) boiler under the plan, the DR
must indicate an additional NOX compliance option that will
apply to the boiler beginning when the plan terminates
through the date by which the acid rain permit will expire. In
such cases the DR must mark option (p), as well as
additional box(es) denoting the additional, follow-on NOX
compliance option.

3

NOX Averaging Plan
Under 40 CFR 76.11 any affected units under control of the same owner or operator and with the same designated
representative may average their NOX emission rate, rather than each unit complying on an individual-unit basis with the
applicable emission limitation in 40 CFR 76.5, 76.6, or 76.7. Units with no common owner or operator may not average
their emissions. You may submit an averaging plan (or a revision to an approved averaging plan) with the appropriate
title V permitting authority(s) at any time up to and including January 1 of the calendar year for which the averaging plan
will become effective. If the plan is restricted to units located within a single permitting authority's jurisdiction, you may
submit the plan at any time up to and including July 1 of the calendar year for which the plan will become effective.

STEP 1

STEP 2

Each unit identified for inclusion in the averaging plan in
Phase II must be a Group 1 or Group 2 boiler subject to an
emission limitation under 40 CFR 76.5, 76.6, or 76.7. Enter
each unit's applicable emission limitation from 40 CFR 76.5,
76.6, or 76.7 in column (a). If a unit with an alternative
emission limitation demonstration period or a final alternative
emission limitation under 40 CFR 76.10 participates in an
averaging plan, enter the applicable emission limitation from
40 CFR 76.5, 76.6, or 76.7, not the interim or alternative limit,
in column (a).

The entries in Step 2 must demonstrate that the Btu-weighted
annual emission rate averaged over the units in the plan is
less than or equal to the Btu-weighted annual average
emission rate for the same units if they are each operated,
during the same period of time, in compliance with the
applicable emission limitations in 40 CFR 76.5, 76.6, or 76.7.
Use the equation that appears in Step 2 to demonstrate that
the alternative contemporaneous annual emission limitations
and annual heat input values assigned to the units in Step 1
satisfy this criterion. For units with an interim emission
limitation or an alternative emission limitation, the applicable
emission limitation for the equation shall equal the applicable
emissions limitation under 40 CFR 76.5, 76.6, or 76.7.

For units utilizing a common stack that are averaging
pursuant to 40 CFR 75.17(a)(2)(i)(B), the same alternative
contemporaneous emission limitation must be entered in
column (b) for each unit utilizing the common stack.
Different annual heat input limits may be entered for these
units in column (c). Units not utilizing the common stack
may also be included in the averaging plan with the common
stack units.

STEP 3
The second option is included to avoid the need to submit
identical plans each for a different year if you want each plan
to be effective for only one year.

The annual heat input limit entered at column (c) will be a
minimum limit if the value in column (b) is less than the value
in column (a) for that unit. It will be a maximum limit if the
value in column (b) is greater than the value in column (a).
The values entered for each unit at columns (b) and (c) must
satisfy the formula at Step 2.

Paperwork Burden Estimate
The burden on the public for collecting and reporting of information under this request is fixed per response indicated. Send comments regarding this
collection of information, including suggestions for reducing the burden, to: Chief, Information Policy Branch (PM-223), U.S. Environmental Protection
Agency,1200 Pennsylvania Ave. NW, Washington, D.C. 20460; and to: Paperwork Reduction Project (OMB#2060-0258), Office of Information and
Regulatory Affairs, Office of Management and Budget, Washington, D.C. 20503. Do not send your forms to these addresses; see paragraph
(4) of the General Instructions on Page 1 for form submission information.
FORM
NOX Compliance Plan
NOX Averaging Plan

HOURS
10
200