TITLE V PERMIT TO OPERATE

Permit No. SR-ROP 15-01

In accordance with the provisions of Title V of the Clean Air Act and 40 C.F.R. 

Part 71 and applicable rules and regulations,

Salt River Project Agricultural Improvement and Power 

District

Tri-Cities Landfill Energy Facility

is authorized to operate air emission units listed herein and to conduct other air 

pollutant emitting activities in accordance with the permit conditions listed in this permit. 

Terms and conditions not otherwise defined in this permit have the meaning assigned to 

them in the referenced regulations. All terms and conditions of the permit are enforceable 

by EPA and citizens under the Clean Air Act.

If all any control measures and/or equipment are not installed and properly operated 

and maintained, this will be considered a violation of the permit.

This permit is valid for a period of five (5) years and shall expire at midnight on the 

date five years after the date of issuance unless a timely and complete renewal application 

has been submitted at least 6 months but not more than 18 months prior to the date of 

expiration. The permit number cited above should be referenced in future correspondence 

regarding this facility.

 

Date Deborah Jordan

Director, Air Division

EPA Region IX
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Abbreviations and Acronyms

AFS AIRS Facility Subsystem

AIRS Aerometric Information Retrieval System

AR Acid Rain

ARP Acid Rain Program

CAA Clean Air Act [42 U.S.C. Section 7401 et seq.]

CAM Compliance Assurance Monitoring

CFR Code of Federal Regulations

EIP Economic Incentives Program

gal gallon

HAP Hazardous Air Pollutant

hr hour

Id. No. Identification Number

J joule

kg kilogram

lb pound

MACT Maximum Achievable Control Technology

MVAC Motor Vehicle Air Conditioner

Mg megagram

MMBtu million British Thermal Units

mo month

NESHAP National Emission Standards for Hazardous Air Pollutants

NOx Nitrogen Oxides

NSPS New Source Performance Standards

NSR New Source Review

PM Particulate Matter

PM-10 Particulate matter less than 10 microns in diameter

ppmv parts per million by volume

PSD Prevention of Significant Deterioration

PTE Potential to Emit

psia pounds per square inch absolute

RMP Risk Management Plan

SNAP Significant New Alternatives Program

SO2 Sulfur Dioxide

SSM Startup, Shutdown, and Malfunction

TSP Total Suspended Particulate

US EPA United States Environmental Protection Agency

VOC Volatile Organic Compounds
3

TABLE OF CONTENTS

Cover Page

Abbreviations and Acronyms

I. Source Identification

A. General Information

B. Emission Generating Units and Activities

II. Requirements for Specific Units

A. Emission Limits

B. Work Practice and Operational Requirements

C. Monitoring and Testing Requirements

D. Recordkeeping Requirements

E. Compliance Schedule

III. Facility-Wide or Generic Permit Conditions

A. Testing Requirements

B. Recordkeeping Requirements

C. Reporting Requirements

IV. Title V Administrative Requirements

A. Fee Payment

B. Blanket Compliance Statement

C. Compliance Certifications

D. Duty to Provide and Supplement Information

E. Submissions

F. Severability Clause

G. Permit Actions

H. Reopening for Cause

I. Property Rights

J. Inspection and Entry

K. Emergency Provisions

L. Transfer of Ownership or Operation

M. Off Permit Changes

N. Permit Expiration and Renewal
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I. Source Identification

I.A. General Information

Parent Company name: Salt River Project Agricultural Improvement and Power District

Parent Company Mailing Address: P.O. Box 52025, PAB 352

City: Phoenix State: AZ Zip: 85072-2025

Plant Name: Tri-Cities Landfill Energy Facility

Plant Location: 11630 Beeline Highway

City: Scottsdale State: AZ

County: Maricopa

EPA Region: 9

Reservation: Salt River Pima-Maricopa Indian Community 

Tribe: Onk Akimel Au-Authm (Pima) and Xalchidom Pii-pash (Maricopa)

Company Contact: Barbara Sprungl Phone: (602) 236-5374

Plant Manager/Contact: same Phone: same

Responsible Official: Larry Bottolfson Phone: (602) 236-6230

Tribal Contact: Steve Parker Phone: (480) 850-8045

SIC Code: 4911

AFS Plant Identification Number: 04-013-SAL06

Description of Process: electric power generation using landfill gas as a fuel
5

I.B Emission Generating Units and Activities

Table 1 – TCLEF Emission Units

Emission 

Unit I.D. 

No. Unit Description

Associated Control 

Equipment

ENG1 Caterpillar G3516 LE internal combustion 

engine (800 kW, 9.01 MMBtu/hr)

none 

ENG2 Caterpillar G3516 LE internal combustion 

engine (800 kW, 9.01 MMBtu/hr)

none

ENG3 Caterpillar G3516 LE internal combustion 

engine (800 kW, 9.01 MMBtu/hr)

none

ENG4 Caterpillar G3516 LE internal combustion 

engine (800 kW, 9.01 MMBtu/hr)

unit TO1:

John Zinc ZTOF 

10x40 thermal 

oxidizer

ENG5 Caterpillar G3516 LE internal combustion 

engine (800 kW, 9.01 MMBtu/hr)

II. Requirements for Specific Units: 

II.A. Emission Limits

1. The sum of hourly CO emissions from emission units ENG1, ENG2, ENG3 and 

TO1 shall not exceed 20.2 lb/hour. [40 C.F.R. § 49.158(c)(2)(i) ]

2. The sum of annual CO emissions from emission units ENG1, ENG2, ENG3 and 

TO1 shall not exceed 88.3 tons/year. [40 C.F.R. § 49.158(c)(2)(i) ]

II.B. Work Practice and Operational Requirements

1. The permittee shall maintain a thermal oxidizer, unit TO1, on the stack venting 

engines ENG4 and ENG5. TO1 must be continuously operated at all times when 

more than three IC engines are in simultaneous operation. [40 C.F.R. 

§ 49.158(c)(2)(i) ] 

2. The engines at this facility shall be limited to firing on landfill gas collected from 

the Tri-Cities Landfill and the Salt River Landfill. [40 C.F.R. § 49.158(c)(2)(i) ]

3. The permittee must minimize each engine’s time spent at idle during startup and 

minimize each engine’s startup time to a period needed for appropriate and safe 

loading of the engine, not to exceed 30 minutes. [40 C.F.R. § 63.6625(h)] 
6

4. The permittee must operate and maintain engines ENG1, ENG2, ENG3, ENG4, and 

ENG5, as well as the thermal oxidizer, at this facility according to the 

manufacturer’s emission-related written instructions or develop a maintenance plan 

which must provide to the extent practicable for the maintenance and operation of 

the engines in a manner consistent with good air pollution control practice for

minimizing emissions. [40 C.F.R. § 63.6625(e), 40 C.F.R 63.6(e)(1)(i) and (ii)]

5. Ongoing maintenance of ENG1, ENG2, ENG3, ENG4 and ENG5 shall include:

a. Changing oil and filter every 1,440 hours of operation or annually, 

whichever comes first;

b. Inspect spark plugs every 1,440 hours of operation or annually, whichever 

comes first; and

c. Inspect all hoses and belts every 1,440 hours of operation or annually, 

whichever comes first, and replace as necessary 

[ 40 C.F.R.63 § 63.6603(a), Table 2d, item 13, a-c]

6. The permittee must operate and maintain units ENG1, ENG2, ENG3, ENG4 and 

ENG5 and TO1 according to the manufacturer’s emission-related written 

instructions or develop its own maintenance plan which must provide to the extent 

practicable for the maintenance and operation of the engines in a manner consistent 

with good air pollution control practice for minimizing emissions. [40 C.F.R. 

§§ 63.6625(e) and 63.6640(a), Table 6, item 9] 

7. During operation of units ENG1, ENG2, ENG3, ENG4 and ENG5, the permittee 

must minimize the time of each of the units spent at idle during startup and 

minimize the engines’ startup time to a period needed for appropriate and safe 

loading of the engine, not to exceed 30 minutes. [40 C.F.R. § 63.6625(h)] 

8. At all times the permittee must operate and maintain units ENG1, ENG2, ENG3, 

ENG4 and ENG5 and TO1 in a manner consistent with safety and good air 

pollution control practices for minimizing emissions. [40 C.F.R. § 63.6605(b)] 

II.C. Monitoring and Testing Requirements

1. The permittee shall monitor and record the concentration of CO and O2 of TO1, 

ENG1, ENG2 and ENG3 using a portable CO analyzer in accordance with EPA 

Conditional Test Method CTM-030. The permittee shall conduct this monitoring 

on a quarterly basis. Any emission source (i.e., ENG1, ENG2, ENG3, ENG4, 

ENG5, or TO1) that did not operate in a given quarter is exempt from the 

requirement to conduct monitoring during that quarter. [40 CFR § 71.6(a)(3)(i)(B)]

2. The performance tests required by Condition II.C.6 of this permit shall be 

conducted in accordance with the test methods set forth in 40 C.F.R. § 60.8 and 40 

C.F.R. Part 60 - Appendix A. These performance tests shall be conducted using 

EPA Methods 1-4 and 10. [40 C.F.R. § 71.6(a)(3)(i)(B)]
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3. If the CO concentration for ENG1, ENG2, and ENG3 exceeds 265 ppmv @ 15% 

O2, and TO1 exceeds 5 ppmv @ 15% O2,, as measured by a portable CO analyzer, 

the permittee shall take corrective action to return the emissions to below the 

concentration as soon as possible, but no longer than one hour of operation after 

detection, and shall retest with the portable CO analyzer. If the emissions continue 

to exceed emission limits above, after one hour of operation after detection, the 

permittee must shut down the emission unit and not operate it again until the 

problem has been corrected. The permittee must notify EPA of any such event that 

lasts for one hour or longer via electronic mail sent to r9.aeo@epa.gov. Each event 

that equals or exceeds one hour in duration must also be identified in the semiannual monitoring report required by Condition III.C.1 of this permit. [40 CFR 

71.6(a)(3)(i)(B)]

4. If any emission unit is shut down for one hour or longer as a result of a CO reading 

that exceeds 265 ppmv @ 15% O2 for ENG1, ENG2 and ENG3, or 5 ppmv @ 15% 

O2 for TO1, TCLEF shall begin monthly monitoring of CO emissions from TO1, 

ENG1, ENG2 and ENG3 for the next three months. After three months of monthly 

monitoring, TCLEF may resume quarterly monitoring. [40 CFR 71.6(a)(3)(i)(B)]

5. During each monthly or quarterly use of the portable CO analyzer on ENG1, ENG2, 

and ENG3, TCLEF shall monitor and record the engine load in kWs. [40 CFR 

71.6(a)(3)(i)(B)]

6. The permittee shall conduct performance tests for CO emissions from engines 

ENG1, ENG2, and ENG3 and from the thermal oxidizer, TO1. Tests on TO1 shall 

be conducted at the maximum operating capacity of ENG4 and ENG5. [40 C.F.R. 

§ 71.6(a)(3)(i)(B)]

a. The permittee must test emission units ENG1, ENG2, ENG3 and T01 for CO 

emissions once every 16 to 24 months. So long as compliance is demonstrated, 

source testing to measure CO emissions shall be conducted between 16 and 24 

months thereafter during the third and fifth years of the permit term. If 

permittee fails any compliance demonstration for CO emission limits during any 

test required by this condition, the permittee shall test monthly from that point 

on until compliance is demonstrated. Once compliance is demonstrated, the 

permittee shall test not less than once every 12 months thereafter for the rest of 

the permit term. [40 C.F.R. § 71.6(a)(3)(i)(B)] 

b. In addition to CO emissions testing in Condition II.C.6.a, any emission unit that 

was shut down for one hour or longer as a result of a CO reading that exceeds 

265 ppmv @ 15% O2 for ENG1, ENG2 and ENG3, or 5 ppmv @ 15% O2, for 

TO1, shall also be tested during the next scheduled round of performance 

testing. [40 C.F.R. § 71.6(a)(3)(i)(B)] 

II.D. Recordkeeping Requirements. 
8

1. The permittee must keep the following records: a copy of each notification and 

report that you submitted to comply with this subpart; records of the occurrence and 

duration of each malfunction of operation (i.e., process equipment) or the air 

pollution control and monitoring equipment; records of all required maintenance 

performed on the air pollution control and monitoring equipment; and records of 

actions taken during periods of malfunction to minimize emissions in accordance 

with § 63.6605(b), including corrective actions to restore malfunctioning process 

and air pollution control and monitoring equipment to its normal or usual manner of 

operation. [40 C.F.R. § 63.6655(a)] 

2. The pemittee must keep records of the manufacturer’s emission-related operation 

and maintenance instructions or the permittee’s own maintenance plan which must 

provide to the extent practicable for the maintenance and operation of the engines in 

a manner consistent with good air pollution control practice for minimizing 

emissions. [40 C.F.R. § 63.6655(d)]

3. The permittee must keep records of the maintenance conducted according to the

permittee’s own maintenance plan. [40 C.F.R. § 63.6655(e)] 

 

4. The permittee shall maintain a log of the CO monitoring sessions performed with 

the portable analyzer. At a minimum the log shall contain the following records:

a. The date and time of the CO and O2 measurements

b. The measured O2 as a percentage

c. The measured CO concentration corrected to 15% O2

d. engine load in kWs output

e. Manufacturer and model of exhaust gas analyzer

f. Exhaust gas analyzer calibration records

g. A description of any corrective action taken to maintain the emissions 

within the acceptable range [40 C.F.R. § 71.6(a)(3)(i)(B)] 

5. The permittee shall maintain a record of all periods of operation of the equipment 

under this permit. The permittee shall maintain combined operation log of all IC 

engines and thermal oxidizer to document requirement of TO1 operation when 

more than three IC engines (of ENG1, ENG2, ENG3, ENG4 and ENG5) are in 

simultaneous operation. The log shall contain the dates and times of each start-up 

and shutdown of each engine and the thermal oxidizer. [40 C.F.R. 

§ 71.6(a)(3)(i)(B)] 

6. The permittee shall maintain records of the occurrence and duration of any 

malfunction in the operation of the equipment under this permit. [40 C.F.R. 

§ 71.6(a)(3)(i)(B)]

7. Records shall be retained for at least five (5) years following the date of such 

measurement, maintenance, reports, and records, except that the most recent two 
9

years of data do not have to be retained on site. [40 C.F.R. §§ 63.6660, 63.10(b)(1)

and 71.6(a)(3)(ii)(B]

II.E. Compliance Schedule [40 C.F.R. § 71.5(c)(8)(iii) and 71.6(c)(3)]

1. For applicable requirements with which the source is in compliance, the source will 

continue to comply with such requirements.

2. For applicable requirements that will become effective during the permit term, the 

source shall meet such requirements on a timely basis.

III. Facility-Wide or Generic Permit Requirements

Conditions in this section of the permit (Section III) apply to all emissions units located at 

the facility. [40 C.F.R. § 71.6(a)(1)]

III.A. Testing Requirements [40 C.F.R. § 71.6(a)(3)]

In addition to the unit specific testing requirements derived from the applicable 

requirements for each individual unit contained in Section II of this permit, the permittee 

shall comply with the following generally applicable testing requirements as necessary to 

ensure that the required tests are sufficient for compliance purposes:

1. Submit to EPA a source test plan 45 days prior to any required testing. The 

source test plan shall include and address the following elements:

1.0 Purpose of the test

2.0 Source Description and Mode of Operation During Test

3.0 Scope of Work Planned for Test

4.0 Schedule/Dates

5.0 Process Data to be Collected During Test

6.0 Sampling and Analysis Procedures

6.1 Sampling Locations

6.2 Test Methods 

 6.3 Analysis Procedures and Laboratory Identification

7.0 Quality Assurance Plan

7.1 Calibration Procedures and Frequency

7.2 Sample Recovery and Field Documentation

 7.3 Chain of Custody Procedures

 7.4 QA/QC Project Flow Chart

8.0 Data Processing and Reporting

8.1 Description of Data Handling and QC Procedures

 8.2 Report Content
10

2. Unless otherwise specified by an applicable requirement or permit condition 

in Section II, all source tests shall be performed at maximum operating rates 

(90% to 110% of device design capacity). If testing at this operating rate is 

not achievable due to a lack of available landfill gas, an alternative approach 

shall be specified in the test plan submitted in accordance with Condition 

III.A.1

3. Only regular operating staff may adjust the processes or emission control 

device parameters during a compliance source test. No adjustments are to 

be made within two (2) hours of the start of the tests. Any operating 

adjustments made during a source test, that are a result of consultation 

during the tests with source testing personnel, equipment vendors, or 

consultants, may render the source test invalid.

4. During each test run and for two (2) hours prior to the test and two (2) hours 

after the completion of the test, the permittee shall record the following 

information:

a. Fuel characteristics and/or amount of product processed (if 

applicable).

c. All parametric data which is required to be monitored in Section II 

for the emissions unit being tested.

d. Other source specific data identified in Section II such as minimum 

test length (e.g., one hour, 8 hours, 24 hours, etc.), minimum sample 

volume, other operating conditions to be monitored, correction of 

O2, etc.

5. Each source test shall consist of at least three (3) valid test runs and the 

emissions results shall be reported as the arithmetic average of all valid test 

runs and in terms of the emission limit. There must be at least 3 valid test 

runs, unless otherwise specified. 

6. Source test reports shall be submitted to EPA within 60 days of completing 

any required source test.

III.B. Recordkeeping Requirements [40 C.F.R. § 71.6 (a)(3)(ii)]

In addition to the unit specific recordkeeping requirements derived from the 

applicable requirements for each individual unit and contained in Section II, the permittee 

shall comply with the following generally applicable recordkeeping requirements:

1. The permittee shall keep records of required monitoring information that 

include the following:
11

a. The date, place, and time of sampling or measurements;

b. The date(s) analyses were performed;

c. The company or entity that performed the analyses;

d. The analytical techniques or methods used;

e. The results of such analyses; and 

f. The operating conditions as existing at the time of sampling or 

measurement.

2. The permittee shall retain records of all required monitoring data and 

support information for a period of at least 5 years from the date of the 

monitoring sample, measurement, report, or application. Support 

information includes all calibration and maintenance records, all original 

strip-chart recordings for continuous monitoring instrumentation, and copies 

of all reports required by this permit.

III.C. Reporting Requirements [40 C.F.R. § 71.6 (a)(3)(iii)]

1. The permittee shall submit to EPA Region 9 reports of any monitoring 

required under § 71.6(a)(3)(i)(A), (B), or (C) each six month reporting 

period from January 1 to June 30 and from July 1 to December 31. All 

reports shall be submitted to EPA and shall be postmarked by the 30th day 

following the end of the reporting period. All instances of deviations from 

permit requirements must be clearly identified in such reports. All required 

reports must be certified by a responsible official consistent with condition 

IV.E.

a. A monitoring report under this section must include the following:

(1) The company name and address,

(2) The beginning and ending dates of the reporting period,

(3) The emissions unit or activity being monitored

(4) The emissions limitation or standard, including operational 

requirements and limitations (such as parameter ranges), 

specified in the permit for which compliance is being 

monitored.
12

(5) All instances of deviations from permit requirements, 

including those attributable to upset conditions as defined in 

the permit and including excursions or exceedances as 

defined under 40 C.F.R. Part 64, and the date on which each 

deviation occurred.

(6) If the permit requires continuous monitoring of an emissions 

limit or parameter range, the report must include the total 

operating time of the emissions unit during the reporting 

period, the total duration of excess emissions or parameter 

exceedances during the reporting period, and the total 

downtime of the continuous monitoring system during the 

reporting period.

(7) If the permit requires periodic monitoring, visual 

observations, work practice checks, or similar monitoring, 

the report shall include the total time when such monitoring 

was not performed during the reporting period and at the 

source’s discretion either the total duration of deviations 

indicated by such monitoring or the actual records of 

deviations.

(8) All other monitoring results, data, or analyses required to be 

reported by the applicable requirement.

(9) The name, title, and signature of the responsible official who 

is certifying to the truth, accuracy, and completeness of the 

report.

b. Any report required by an applicable requirement that provides the 

same information described in Conditions III.C.1.a(1) through (9) 

above shall satisfy the requirement under Condition III.C.1.a.

c. “Deviation,” means any situation in which an emissions unit fails to 

meet a permit term or condition. A deviation is not always a 

violation. A deviation can be determined by observation or through 

review of data obtained from any testing, monitoring, or record 

keeping established in accordance with § 71.6(a)(3)(i) and (a)(3)(ii). 

For a situation lasting more than 24 hours, each 24-hour period is 

considered a separate deviation. Included in the meaning of 

deviation are any of the following:

(1) A situation when emissions exceed an emission limitation or 

standard;
13

(2) A situation when there is an excursion of a process or control 

device 

(3) A situation in which observations or data collected 

demonstrate noncompliance with an emission limitation or 

standard or any work practice or operating condition required 

by the permit.

(4) A situation in which an exceedance or an excursion, as 

defined in the compliance assurance plan (40 C.F.R. Part 64), 

occurs.

2. The permittee shall promptly report to the EPA Regional Office deviations 

from permit or start-up, shutdown, and malfunction plan requirements, 

including those attributable to upset conditions as defined in this permit, the 

probable cause of such deviations, and any corrective actions or preventive 

measures taken. “Prompt” is defined as follows:

a. Any definition of “prompt” or a specific timeframe for reporting 

deviations provided in an underlying applicable requirement as 

identified in this permit; 

b. Where the underlying applicable requirement does not define prompt 

or provide a timeframe for reporting deviations, reports of deviations 

will be submitted based on the following schedule:

(1) For emissions of a hazardous air pollutant or a toxic air 

pollutant(as identified in the applicable regulation) that 

continue for more than an hour in excess of permit 

requirements, the report must be made within 24 hours of the 

occurrence.

(2) For emissions of any regulated pollutant excluding a 

hazardous air pollutant or a toxic air pollutant that continue 

for more than two hours in excess of permit requirements, the 

report must be made within 48 hours.

(3) For all other deviations from permit requirements, the report 

shall be submitted with the semi-annual monitoring report 

required in Condition III.C.1.a of this permit. 

3. If any of the Conditions in III.C.2.b of this permit are met, the source must 

notify the permitting authority by telephone or facsimile based on the 

timetable listed. A written notice, certified consistent with Condition III.C.4 

of this Section must be submitted within 10 working days of the occurrence. 
14

All deviations reported under this section must also be identified in the 6-

month report required under Condition III.C.1 of this Section. 

4. Any application form, report, or compliance certification required to be 

submitted by this permit shall contain certification by a responsible official 

of truth, accuracy, and completeness. All certifications shall state that, 

based on information and belief formed after reasonable inquiry, the 

statements and information in the document are true, accurate, and 

complete.

IV. Title V Administrative Requirements

IV.A. Fee Payment [40 C.F.R. §§ 71.6(a)(7), 71.9(c)(6), 71.9(h)(3), 71.9(e)(2), 

71.9(c)(5)(i), (ii), and (iii), 71.9(i), 71.9(j)(1) and (2), 71.9(j)(3).]

1. The permittee shall pay an annual permit fee in accordance with the 

procedures outlined below. 

2. The permittee shall pay the annual permit fee by July 17 of each year.

3. The fee payment shall be in United States currency and shall be paid by 

money order, bank draft, certified check, corporate check, or electronic 

funds transfer payable to the order of the U.S. Environmental Protection 

Agency.

4. The permittee shall send fee payment and a completed fee filing form to one 

of the two addresses below:

U.S. Environmental Protection Agency

FOIA and Miscellaneous Payments

Cincinnati Finance Center

P.O. Box 979078

St. Louis, MO 63197-9000

Address for Express Delivery or when a physical address is required:

U.S. Bank

Government Lockbox 979078 

US EPA FOIA and Miscellaneous. Payments

1005 Convention Plaza

Mail Station SL-MO-C2GL

St. Louis, MO 63101

5. The permittee shall send an updated fee calculation worksheet form and a 

photocopy of each fee payment check (or other confirmation of actual fee 

paid) submitted annually by the same deadline as required for fee payment 

to the address listed below:
15

U.S. EPA Region 9

Director, Air Division (Attn: AIR-3)

75 Hawthorne Street

San Francisco, CA 94105

Permittee should note that an annual emissions report, required at the same 

time as the fee calculation worksheet by 40 C.F.R. § 71.9(h), has been 

incorporated into the fee calculation worksheet form as a convenience.

6. Basis for calculating annual fee:

a. The annual emissions fee shall be calculated by multiplying the total 

tons of actual emissions of all “regulated pollutants (for fee 

calculation)” emitted from the source by the presumptive emissions 

fee (in dollars/ton) in effect at the time of calculation.

(1) “Actual emissions” means the actual rate of emissions in tpy of 

any regulated pollutant (for fee calculation) emitted from a part 

71 source over the preceding calendar year. Actual emissions 

shall be calculated using each emissions unit’s actual operating 

hours, production rates, in-place control equipment, and types of 

materials processed, stored, or combusted during the preceding 

calendar year. [40 CFR §71.9(c)(6)]

(2) Actual emissions shall be computed using methods required by 

the permit for determining compliance, such as monitoring or 

source testing data. [40 CFR §71.9(h)(3)]

(3) If actual emissions cannot be determined using the compliance 

methods in the permit, the permittee shall use other federally 

recognized procedures. [40 CFR § 71.9(e)(2)]

(4) The term “regulated pollutant (for fee calculation)” is as defined 

in 40 C.F.R. § 71.2.

(5) The presumptive fee amount is revised each calendar year to 

account for inflation, and it is available from EPA prior to the 

start of each calendar year.

b. The permittee shall exclude the following emissions from the 

calculation of fees:

(1) The amount of actual emissions of each regulated pollutant (for 

fee calculation) that the source emits in excess of 4,000 tons per 

year; [40 CFR §71.9(c)(5)(i)]
16

(2) Actual emissions of any regulated pollutant (for fee calculation) 

already included in the fee calculation [40 CFR §71.9(c)(5)(ii)]; 

and

(3) The quantity of actual emissions (for fee calculation) of 

insignificant activities [defined in 40 C.F.R. § 71.5(c)(11)(i)] or 

of insignificant emissions levels from emissions units identified 

in the permittee’s application pursuant to 40 C.F.R. 

§ 71.5(c)(11)(ii). [40 CFR §71.9(c)(5)(iii)]

7. Fee calculation worksheets shall be certified as to truth, accuracy, and 

completeness by a responsible official. [Permittees should note that the fee 

calculation worksheet form already incorporates a section to help you meet 

this responsibility.]

8. The permittee shall retain fee calculation worksheets and other emissionsrelated data used to determine fee payment for five years following 

submittal of fee payment. Emission-related data include, for example, 

emissions-related forms provided by EPA and used by the permittee for fee 

calculation purposes, emissions-related spreadsheets, and emissions-related 

data, such as records of emissions monitoring data and related support 

information required to be kept in accordance with 40 C.F.R. 

§ 71.6(a)(3)(ii). [40 CFR §71.9(i)]

9. Failure of the permittee to pay fees in a timely manner shall subject the 

permittee to assessment of penalties and interest in accordance with 40 

C.F.R. § 71.9(l).

10. When notified by EPA of underpayment of fees, the permittee shall remit 

full payment within 30 days of receipt of notification. [40 CFR §71.9(j)(1) 

and (2)]

11. A permittee who thinks an EPA assessed fee is in error and who wishes to 

challenge such fee, shall provide a written explanation of the alleged error to 

EPA along with full payment of the EPA assessed fee. [40 CFR §71.9(j)(3)]

IV.B. Blanket Compliance Statement [40 C.F.R. §§ 63.6605(a), 71.6(a)(6)(i) and (ii), 

and Sections 113(a) and 113(e)(1) of the Act, and 40 C.F.R. §§ 60.11(g), and 

63.6605(b)]

1. The permittee must comply with all conditions of this Part 71 permit. Any 

permit noncompliance, including, but not limited to, violation of any 

applicable requirement; any permit term or condition; any fee or filing 

requirement; any duty to allow or carry out inspection, entry, or monitoring 

activities; or any regulation or order issued by the permitting authority 
17

pursuant to this part constitutes a violation of the Clean Air Act and is 

grounds for enforcement action; permit termination, revocation and 

reissuance, or modification; or for denial of a permit renewal application. It 

shall not be a defense for a permittee in an enforcement action that it would 

have been necessary to halt or reduce the permitted activity in order to 

maintain compliance with the conditions of this permit. [40 C.F.R. 

§§ 63.6605(a) and 71.6(a)(6)(i) and (ii)]

2. Determinations of deviations, continuous or intermittent compliance status, 

or violations of this permit, are not limited to the applicable testing or 

monitoring methods required by the underlying regulations or this permit; 

other credible evidence (including any evidence admissible under the 

Federal Rules of Evidence) must be considered in such determinations. 

[Section 113(a) and 113(e)(1) of the Act, 40 C.F.R. §§ 60.11(g), and 

63.6605(b)]

IV.C. Compliance Certifications [40 C.F.R. § 71.6(c)(5)]

1. The permittee shall submit to EPA Region 9 a certification of compliance 

with permit terms and conditions, including emission limitations, standards, 

or work practices, postmarked by January 30 of each year and covering the 

previous calendar year. The compliance certification shall be certified as to 

truth, accuracy, and completeness by the permit-designated responsible 

official consistent with Section IV.E. of this permit and 40 C.F.R. § 71.5(d). 

2. The certification shall include the following:

a. Identification of each permit term or condition that is the basis of the 

certification.

b. Identification of the method(s) or other means used for determining 

the compliance status of each term and condition during the 

certification period. If necessary, the owner or operator also shall 

identify any other material information that must be included in the 

certification to comply with section 113(c)(2) of the Clean Air Act, 

which prohibits knowingly making a false certification or omitting 

material information.

c. The compliance status of each term and condition of the permit for 

the period covered by the certification based on the method or means 

designated above. The certification shall identify each deviation and 

take it into account in the compliance certification.

d. Whether compliance with each permit term was continuous or 

intermittent.
18

IV.D. Duty to Provide and Supplement Information [40 C.F.R. § 71.6(a)(6)(v), 40 

C.F.R. § 71.5(b)]

The permittee shall furnish to EPA, within a reasonable time, any information that 

EPA may request in writing to determine whether cause exists for modifying, revoking and 

reissuing, or terminating the permit, or to determine compliance with the permit. Upon 

request, the permittee shall also furnish to the EPA copies of records that are required to be 

kept pursuant to the terms of the permit, including information claimed to be confidential. 

Information claimed to be confidential should be accompanied by a claim of confidentiality 

according to the provisions of 40 C.F.R. Part 2, Subpart B. The permittee, upon becoming 

aware that any relevant facts were omitted or incorrect information was submitted in the 

permit application, shall promptly submit such supplementary facts or corrected 

information. The permittee shall also provide additional information as necessary to 

address any requirements that become applicable to the facility after this permit is issued.

IV.E. Submissions [40 C.F.R. § 71.5(d), C.F.R. § 71.6 and 40 C.F.R. § 71.9]

Any document required to be submitted with this permit shall be certified by a 

responsible official as to truth, accuracy, and completeness. Such certifications shall state 

that based on information and belief formed after reasonable inquiry, the statements and 

information in the document are true, accurate, and complete. All documents required to 

be submitted, including reports, test data, monitoring data, notifications, compliance 

certifications, fee calculation worksheets, and applications for renewals and permit 

modifications shall be submitted to:

U.S. EPA Region IX 

Director, Air Division (Attn: AIR-3)

75 Hawthorne Street

San Francisco, CA 94105

IV.F. Severability Clause [40 C.F.R. § 71.6(a)(5)]

The provisions of this permit are severable, and in the event of any challenge to any 

portion of this permit, or if any portion is held invalid, the remaining permit conditions 

shall remain valid and in force.

IV.G. Permit Actions [40 C.F.R. § 71.6(a)(6)(iii)]

This permit may be modified, revoked, reopened, and reissued, or terminated for 

cause. The filing of a request by the permittee for a permit modification, revocation and 

reissuance, or termination, or of a notification of planned changes or anticipated 

noncompliance does not stay any permit condition.

IV.H. Reopening for Cause [40 C.F.R. § 71.7(f)]
19

1. EPA shall reopen and revise the permit prior to expiration under any of the 

following circumstances:

a. Additional applicable requirements under the Act become applicable 

to a major Part 71 source with a remaining permit term of 3 or more 

years.

b. Additional requirements (including excess emissions requirements) 

become applicable to an affected source under the acid rain program. 

Upon approval by the Administrator, excess emissions offset plans 

shall be deemed to be incorporated into the permit. 

c. EPA determines that the permit contains a material mistake or that 

inaccurate statements were made in establishing the emissions 

standards or other terms or conditions of the permit.

d. EPA determines that the permit must be revised or revoked to assure 

compliance with the applicable requirements.

IV.I. Property Rights [40 C.F.R. § 71.6(a)(6)(iv)]

This permit does not convey any property rights of any sort, or any exclusive 

privilege.

IV.J. Inspection and Entry [40 C.F.R. § 71.6(c)(2)]

Upon presentation of credentials and other documents as may be required by law, 

the permittee shall allow authorized representatives from EPA to perform the following:

1. Enter upon the permittee’s premises where a Part 71 source is located or 

emissions-related activity is conducted, or where records must be kept under 

the conditions of the permit;

2. Have access to and copy, at reasonable times, any records that must be kept 

under the conditions of the permit;

3. Inspect at reasonable times any facilities, equipment (including monitoring 

and air pollution control equipment), practices, or operations regulated or 

required under the permit; and

4. As authorized by the Clean Air Act, sample or monitor at reasonable times 

substances or parameters for the purpose of assuring compliance with the 

permit or applicable requirements.

IV.K. Reserved
20

IV.L. Transfer of Ownership or Operation [40 C.F.R. § 71.7(d)(1)(iv)]

A change in ownership or operational control of this facility may be treated as an 

administrative permit amendment if the EPA determines no other change in this permit is 

necessary and provided that a written agreement containing a specific date for transfer of 

permit responsibility, coverage, and liability between the current and new permittee has 

been submitted to EPA.

IV.M. Off Permit Changes [40 C.F.R. § 71.6(a)(12)]

The permittee is allowed to make certain changes without a permit revision, 

provided that the following requirements are met:

1. Each change is not addressed or prohibited by this permit;

2. Each change must comply with all applicable requirements and may not 

violate any existing permit term or condition;

3. Changes under this provision may not include changes or activities subject 

to any requirement under Title IV or that are modifications under any 

provision of Title I of the Clean Air Act;

4. The permittee must provide contemporaneous written notice to EPA of each

change, except for changes that qualify as insignificant activities under 

71.5(c)(11). The written notice must describe each change, the date of the 

change, any change in emissions, pollutants emitted, and any applicable 

requirements that would apply as a result of the change;

5. The permit shield does not apply to changes made under this provision; and

6. The permittee must keep a record describing all changes that result in 

emissions of any regulated air pollutant subject to any applicable 

requirement not otherwise regulated under this permit, and the emissions 

resulting from those changes.

IV.N. Permit Expiration and Renewal [40 C.F.R. § 71.5(a)(1)(iii), 40 C.F.R. 

§ 71.6(a)(11), 40 C.F.R. § 71.7(b), 40 C.F.R. 71.7(c)(1)(i) and (ii), 40 C.F.R. 

§ 71.7(c)(3).]

1. This permit shall expire upon the earlier occurrence of the following events:

a. five (5) years elapses from the date of issuance; or

b. the source is issued a part 70 permit by an EPA-approved permitting 

authority.
21

2. Expiration of this permit terminates the permittee’s right to operate unless a 

timely and complete permit renewal application has been submitted on or 

before a date 6 months, but not more than 18 months, prior to the date of 

expiration of this permit.

3. If the permittee submits a timely and complete permit application for 

renewal, consistent with § 71.5(a)(2), but EPA has failed to issue or deny 

the renewal permit, then the permit shall not expire until the renewal permit 

has been issued or denied and any permit shield granted pursuant to § 

71.6(f) may extend beyond the original permit term until renewal.

4. If the permittee submits a timely and complete permit application for 

renewal, consistent with § 71.5(a)(2), the permittee’s failure to have a Part 

71 permit is not a violation until EPA takes final action on the permit 

renewal application. This protection shall cease to apply if, subsequent to 

the completeness determination, the permittee fails to submit any additional 

information identified as being needed to process the application by the 

deadline specified in writing by EPA.

5. Renewal of this permit is subject to the same procedural requirements that 

apply to initial permit issuance, including those for public participation, 

affected State, and tribal review.

6. The application for renewal shall include the current permit number, 

description of permit revisions and off-permit changes that occurred during 

the permit term, any applicable requirements that were promulgated and not 

incorporated into the permit during the permit term, and other information 

required by the application form.

IV.O Administrative Permit Amendments [40 C.F.R. § 71.7(d)]

1. The permittee may request the use of administrative permit amendment 

procedures for a permit revision that:

a. Corrects typographical errors.

b. Identifies a change in the name, address, or phone number of any 

person identified in the permit, or provides a similar minor 

administrative change at the source.

c. Requires more frequent monitoring or reporting by the permittee.

d. Allows for a change in ownership or operational control of a source 

where the EPA determines that no other change in the permit is 

necessary, provided that a written agreement containing a specific 
22

date for transfer of permit responsibility, coverage, and liability 

between the current and new permittee has been submitted to the 

EPA.

e. Incorporates into the part 71 permit the requirements from 

preconstruction review permits authorized under an EPA-approved 

program, provided that such a program meets procedural 

requirements substantially equivalent to the requirements of §§ 71.7 

and 71.8 that would be applicable to the change if it were subject to 

review as a permit modification, and compliance requirements 

substantially equivalent to those contained in § 71.6.

f. Incorporates any other type of change which EPA has determined to 

be similar to those listed above in Conditions IV.O.1.(a) through (e), 

above. 

IV.P. Minor Permit Modifications [40 C.F.R. §§ 71.7(e)(1), 71.7(e)(1)(vi)]

1. The permittee may request the use of minor permit modification procedures 

only for those modifications that:

a. Do not violate any applicable requirement.

b. Do not involve significant changes to existing monitoring, reporting, 

or recordkeeping requirements in the permit.

c. Do not require or change a case-by-case determination of an 

emission limitation or other standard, or a source-specific 

determination for temporary sources of ambient impacts, or a 

visibility or increment analysis.

d. Do not seek to establish or change a permit term or condition for 

which there is no corresponding underlying applicable requirement 

and that the source has assumed to avoid an applicable requirement 

to which the source would otherwise be subject. Such terms and 

conditions include:

(1) A federally enforceable emissions cap assumed to avoid 

classification as a modification under any provision of title I; 

and

(2) An alternative emissions limit approved pursuant to 

regulations promulgated under section 112(i)(5) of the Clean 

Air Act:
23

(i) Are not modifications under any provision of title I of 

the Clean Air Act; and

(ii) Are not required to be processed as a significant 

modification.

2. Notwithstanding the list of changes eligible for minor permit modification 

procedures in Condition IV.P.1 above, minor permit modification 

procedures may be used for permit modifications involving the use of 

economic incentives, marketable permits, emissions trading, and other 

similar approaches, to the extent that such minor permit modification 

procedures are explicitly provided for in an applicable implementation plan 

or in applicable requirements promulgated by EPA.

3. An application requesting the use of minor permit modification procedures 

shall meet the requirements of 40 C.F.R. § 71.5(c) and shall include the 

following:

a. A description of the change, the emissions resulting from the change, 

and any new applicable requirements that will apply if the change 

occurs;

b. The source's suggested draft permit;

c. Certification by a responsible official, consistent with 40 C.F.R. 

§ 71.5(d), that the proposed modification meets the criteria for use of 

minor permit modification procedures and a request that such 

procedures be used; and

d. Completed forms for the permitting authority to use to notify 

affected States as required under 40 C.F.R. § 71.8.

4. The source may make the change proposed in its minor permit modification 

application immediately after it files such application. After the source 

makes the change allowed by the preceding sentence, and until the 

permitting authority takes any of the actions authorized by 40 C.F.R. 

§ 71.7(e)(1)(iv)(A) through (C), the source must comply with both the 

applicable requirements governing the change and the proposed permit 

terms and conditions. During this time period, the source need not comply 

with the existing permit terms and conditions it seeks to modify. However, 

if the source fails to comply with its proposed permit terms and conditions 

during this time period, the existing permit terms and conditions it seeks to 

modify may be enforced against it.

5. The permit shield under 40 C.F.R. § 71.6(f) may not extend to minor permit 

modifications. 
24

IV.Q. Group Processing of Minor Permit Modifications. [40 C.F.R. §§ 71.7(e)(2), 

71.7(e)(1)(vi)].

1. Group processing of modifications by EPA may be used only for those 

permit modifications:

a. That meet the criteria for minor permit modification procedures 

under Condition IV.P of this permit; and

b. That collectively are below the threshold level of 10 percent of the 

emissions allowed by the permit for the emissions unit for which the 

change is requested, 20 percent of the applicable definition of major 

source in 40 C.F.R. § 71.2, or 5 tons per year, whichever is least.

2. An application requesting the use of group processing procedures shall be 

submitted to EPA, shall meet the requirements of 40 C.F.R. § 71.5(c), and 

shall include the following:

a. A description of the change, the emissions resulting from the change, 

and any new applicable requirements that will apply if the change 

occurs.

b. The source's suggested draft permit.

c. Certification by a responsible official, consistent with 40 C.F.R. 

§ 71.5(d), that the proposed modification meets the criteria for use of 

group processing procedures and a request that such procedures be 

used.

d. A list of the source's other pending applications awaiting group 

processing, and a determination of whether the requested 

modification, aggregated with these other applications, equals or 

exceeds the threshold set under subparagraph (a)(ii) above. 

e. Completed forms for the permitting authority to use to notify 

affected States as required under 40 C.F.R. § 71.8.

3. The source may make the change proposed in its minor permit modification 

application immediately after it files such application. After the source 

makes the change allowed by the preceding sentence, and until the 

permitting authority takes any of the actions authorized by 

§ 71.7(e)(1)(iv)(A) through (C), the source must comply with both the 

applicable requirements governing the change and the proposed permit 

terms and conditions. During this time period, the source need not comply 

with the existing permit terms and conditions it seeks to modify. However, 
25

if the source fails to comply with its proposed permit terms and conditions 

during this time period, the existing permit terms and conditions it seeks to 

modify may be enforced against it.

4. The permit shield under § 71.6(f) may not extend to group processing of 

minor permit modifications.

IV.R. Significant Permit Modifications [40 C.F.R. §§ 71.7(e)(3), 

71.7(e)(3)(ii), 71.5(a)(2)]

1. The permittee must request the use of significant permit modification 

procedures for those modifications that:

a. Do not qualify as minor permit modifications or as administrative 

amendments.

b. Are significant changes in existing monitoring permit terms or 

conditions.

c. Are relaxations of reporting or recordkeeping permit terms or 

conditions.

2. Nothing herein shall be construed to preclude the permittee from making 

changes consistent with Part 71 that would render existing permit 

compliance terms and conditions irrelevant.

3. Permittees must meet all requirements of Part 71 for applications for 

significant permit modifications. For the application to be determined 

complete, the permittee must supply all information that is required by 40 

C.F.R. § 71.5(c) for permit issuance and renewal, but only that information 

that is related to the proposed change.