United States

Environmental Protection Agency

Acid Rain Program

OMB No. 2060-0258

Approval expires 11/30/2012

Phase II NOx Compliance Plan

For more information, see instructions and refer to 40 CFR 76.9 Page of 

This submission is: New Revised

STEP 1

Indicate plant name, State, 

and ORIS code from NADB, 

if applicable Plant Name State ORIS Code

STEP 2 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 (Revised 12-2009) 
NOx Compliance - Page 2

Page of

Plant Name (from Step 1)

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 Date

EPA Form 7610-28 (Revised 12-2009) 
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 IBM-compatible 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

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.

NOX-affected Units

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 coalfired 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 non-affected 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 nonaffected 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

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). 

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.

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.

STEP 2

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.

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.

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 HOURS

NOX Compliance Plan 10

NOX Averaging Plan 200