7620-9 Opt-in Utilization Report

United States
Environmental Protection Agency
Washington, DC 20460
Acid Rain Program

PLEASE TYPE OR PRINT CLEARLY IN BLACK INK
ALL LETTERS IN UPPER-CASE, LEFT JUSTIFY
TEXT, RIGHT JUSTIFY NUMBERS AS SHOWN.
Step 1

OMB No. 2060-0258

Approval expires 11/30/2012

Opt-in Utilization Report
A

B

Plant Name

C

1

State

Facility Account Number

2

3

See instructions for completing this form.

Boiler Identification Number

Compliance Year

Step 2

Baseline (mmBtu)

Step 3

Actual Heat Input (mmBtu)

Step 4

Annual Utilization for Previous Two Years (mmBtu)

Step 5

Reduction from Improved Efficiency (mmBtu)

Step 6

Annual Utilization (mmBtu)

Step 9

Actual Number of Allowances Transferred to
Replacement Units Under a Thermal Energy Plan

Step 11

Date of Shutdown or Reconstruction (if applicable)

A
B
Step 7

Average Utilization (mmBtu)

Step 8

Number of Allowances Allocated for the Calendar Year

Step 10

Allowances to be Deducted for Reduced Utilization

______/______/______
Step 12

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.
I certify that this opt-in source has not become an affected unit under 40 CFR 72.6 for the compliance year.
If governed by a Thermal Energy Plan under 40 CFR 74.47, I certify that this opt-In source operated in compliance with the Thermal
Energy Plan.

Signature

EPA Form 7620-9 (Revised 12-2009)

Date

Page  of 

AAR ID#

Acid Rain Program
Instructions for
Opt-in Utilization Report
(40 CFR 74.43 and 74.44)
The Acid Rain Program regulations require the designated representative to submit an Opt-in Utilization
Report for each opt-in source that is subject to the Acid Rain emission limitations in a calendar year.

STEP 1

Enter the Plant Name, State, Boiler Identification Number, Facility Account Number, and
Compliance Year.
If the opt-in source is covered by an approved Thermal Energy Plan and is permanently retired, go
to Step 8 and complete Steps 8, 9, 10, and 12. Otherwise go to Step 2.

STEP 2

Enter the Baseline (mmBtu) for this opt-in source. The baseline (as calculated in 40 CFR 74.20)
for each opt-in source is listed in the acid rain permit.
Note: If this is the first year that the source is going through annual reconciliation and the source's
permit became effective on a date other than January 1, enter the first year partial baseline (as
calculated in 40 CFR 74.28) that was used to calculate the allowance allocation for the first year.

STEP 3

Enter the source's Actual Heat Input (mmBtu) for the compliance year in accordance with 40 CFR
74.44. This figure must be the actual heat input, as reported in accordance with 40 CFR Part 75.

STEP 4

Enter the source's Annual Utilizations (mmBtu), for the previous two calendar years. Enter the
prior year's number in box A and the two year's prior number in box B. Note: The number in each
box must be the Annual Utilization number used by EPA to determine under 40 CFR 74.44(b) or, if
applicable, 40 CFR 74.44(c)(2), if the source has reduced utilization for the year covered by that
box.
If this is the first year the opt-in source is affected by the Acid Rain Program, leave the boxes
blank.
If this is the second year, enter the Utilization for the first year in box A and leave box B blank.

STEP 5

Skip this step and go to Step 6 if:
●

the unit is not claiming improved efficiency measures; or
Step 3 + Step 4(A) + Step 4(B)
x12 ≥ Step 2
Number of months for which

lesser of 
or 36 
 the opt - in permit is in effect


Otherwise, enter the estimated Reduction from Improved Efficiency (mmBtu) for the compliance
year that is accounted for by the following measures:
- Demand side measures that improve the efficiency of electric consumption;
- Demand side measures that improve the efficiency of steam consumption;
- Improvements in heat rate; and
- Improvement in steam production efficiency.
An Opt-in Reduction from Improved Efficiency Confirmation Report must be submitted by July 1 to
verify any amount of reduced utilization from improved efficiency measures under the plan for the
calendar year. Note that submission of that report by July 1 is mandatory if you entered a number
other than zero in Step 5. EPA may grant an extension of the time for good cause shown.
STEP 6

Enter the Annual Utilization (mmBtu) by adding Step 5 to Step 3.

STEP 7

Enter the Average Utilization (mmBtu) for the calendar year.
If this is the first year the source is affected under the Acid Rain Program:
Step 7 = Step 6
Otherwise:
Step 7 =

Step6 + Step4A + Step4B
x12
Number of months for which

lesser of 
or 36
 the opt - in permit is in effect


Calculate Step 2 - Step 7 (i.e., the Baseline - the Average Utilization during the years covered by
Steps 4 and 6).
If the result is <= 0, then go to Step 11
If the result is > 0, then go to Step 8.
STEP 8

Enter the total number of allowances allocated to the opt-in source for the compliance year.

STEP 9

If the opt-in source has an approved Thermal Energy Plan, enter the total actual number of
transferable allowances for all replacement units from Step 3 Column C of the Thermal Energy
Compliance Report.
Otherwise, leave Step 9 blank.

STEP 10

Enter the number of allowances to be deducted for reduced utilization.
If the opt-in source has an approved Thermal Energy Plan and is permanently retired use the
following formula
Step 10 = Step 8 - Step 9
If the opt-in source has an approved Thermal Energy Plan and is operating use the following
formula
 Step 7 
 − Step 9
Step 10 = Step 8 x1 −
 Step 2 

Note: If this number is negative, enter zero.
Otherwise, use the following formula.
 Step 7 

Step 10 = Step 8 x1 −
 Step 2 

If you want to identify specific allowances to be deducted, you may identify them by using the
Allowance Deduction form. See the instructions for the Allowance Deduction form for more
information.
STEP 11

Under 40 CFR 74.46, if the opt-in source shutdown, qualified as a reconstruction, or became an
affected unit during the compliance year, enter the date of shutdown, reconstruction, or affected
unit status.

STEP 12

Either:
1) Read the Certifications, enter the date, your AAR ID number, and signature; or
2) Submit a cover letter with a certification statement, following the General Instructions.