EPA Form 7610-20 (Revised 9-2013) 

United States Environmental Protection Agency OMB Nos. 2060-0258, 2060-0570, and 2060-0667

Acid Rain, CAIR, and Transport Rule Programs Approval Expires 07/31/2014

Retired Unit Exemption

For more information, see instructions and refer to 40 CFR 72.8, 96.105, 96.205, 96.305, 97.405, 97.505, 

97.605, and 97.705, or a comparable state regulation, as applicable.

This submission is: □ New □ Revised

STEP 1

Identify the unit by plant

(source) name, State, 

ORIS/plant code and unit 

ID#. Plant (Source) Name State ORIS/Plant Code Unit ID#

STEP 2

Indicate the program(s) 

that the unit is subject to

□ Acid Rain □ Transport Rule NOx Annual

□ CAIR NOX Annual □ Transport Rule NOx Ozone Season

□ CAIR SO2 □ Transport Rule SO2 Annual

□ CAIR NOx Ozone Season

STEP 3

Identify the date on which 

the unit was (or will be) 

permanently retired.

STEP 4

If the unit is subject to the 

Acid Rain Program, 

identify the first full 

calendar year in which the

unit meets (or will meet) 

the requirements of 40 

CFR 72.8(d).

January 1, ____________________

STEP 5

Read the appropriate 

special provisions.

Acid Rain Program Special Provisions

(1) A unit exempt under 40 CFR 72.8 shall not emit any sulfur dioxide and nitrogen oxides starting on 

the date that the exemption takes effect. The owners and operators of the unit will be allocated 

allowances in accordance with 40 CFR part 73 subpart B.

(2) A unit exempt under 40 CFR 72.8 shall not resume operation unless the designated representative 

of the source that includes the unit submits a complete Acid Rain permit application under 40 CFR 

72.31 for the unit not less than 24 months prior to the date on which the unit is first to resume operation.

(3) The owners and operators and, to the extent applicable, the designated representative of a unit 

exempt under 40 CFR 72.8 shall comply with the requirements of the Acid Rain Program concerning all 

periods for which the exemption is not in effect, even if such requirements arise, or must be complied 

with, after the exemption takes effect.

(4) For any period for which a unit is exempt under 40 CFR 72.8, the unit is not an affected unit under 

the Acid Rain Program and 40 CFR part 70 and 71 and is not eligible to be an opt-in source under 40 

CFR part 74. As an unaffected unit, the unit shall continue to be subject to any other applicable 

requirements under 40 CFR parts 70 and 71.

(5) For a period of 5 years from the date the records are created, the owners and operators of a unit 

exempt under 40 CFR 72.8 shall retain, at the source that includes the unit, records demonstrating that 

the unit is permanently retired. The 5-year period for keeping records may be extended for cause, at 

any time prior to the end of the period, in writing by the Administrator or the permitting authority. The 

owners and operators bear the burden of proof that the unit is permanently retired.

(6) On the earlier of the following dates, a unit exempt under 40 CFR 72.8(b) or (c) shall lose its 

exemption and become an affected unit under the Acid Rain Program and 40 CFR part 70 and 71: (i) 

the date on which the designated representative submits an Acid Rain permit application under 

paragraph (2); or (ii) the date on which the designated representative is required under paragraph (2) to 

submit an Acid Rain permit application. For the purpose of applying monitoring requirements under 40 

CFR part 75, a unit that loses its exemption under 40 CFR 72.8 shall be treated as a new unit that 

commenced commercial operation on the first date on which the unit resumes operation.
EPA Form 7610-20 (Revised 9-2013) 

 Retired Unit Exemption

 Page 2 of 5

 

CAIR NOX Annual Trading Program Special Provisions

(1) A unit exempt under 40 CFR 96.105(a) shall not emit any nitrogen oxides, starting on the date that the 

exemption takes effect. 

(2) The permitting authority will allocate CAIR NOX allowances under 40 CFR 96 subpart EE to a unit exempt 

under 40 CFR 96.105(a). 

(3) For a period of 5 years from the date the records are created, the owners and operators of a unit exempt 

under 40 CFR 96.105(a) shall retain, at the source that includes the unit, records demonstrating that the unit is 

permanently retired. The 5-year period for keeping records may be extended for cause, at any time before the 

end of the period, in writing by the permitting authority or the Administrator. The owners and operators bear the 

burden of proof that the unit is permanently retired.

(4) The owners and operators and, to the extent applicable, the CAIR designated representative of a unit exempt 

under 40 CFR 96.105(a) shall comply with the requirements of the CAIR NOX Annual Trading Program 

concerning all periods for which the exemption is not in effect, even if such requirements arise, or must be 

complied with, after the exemption takes effect.

(5) A unit exempt under 40 CFR 96.105(a) and located at a source that is required, or but for this exemption 

would be required, to have a title V operating permit shall not resume operation unless the CAIR designated 

representative of the source submits a complete CAIR permit application under 40 CFR 96.122 for the unit not 

less than 18 months (or such lesser time provided by the permitting authority) before the later of January 1, 2009 

or the date on which the unit resumes operation.

(6) On the earlier of the following dates, a unit exempt under 40 CFR 96.105(a) shall lose its exemption:

(i) The date on which the CAIR designated representative submits a CAIR permit application for the unit under 40 

CFR 96.105(b)(5); 

(ii) The date on which the CAIR designated representative is required under 40 CFR 96.105(b)(5) to submit a

CAIR permit application for the unit; or

(iii) The date on which the unit resumes operation, if the CAIR designated representative is not required to submit 

a CAIR permit application for the unit.

(7) For the purpose of applying monitoring, reporting, and recordkeeping requirements under 40 CFR 96 subpart 

HH, a unit that loses its exemption under 40 CFR 96.105(a) shall be treated as a unit that commences 

commercial operation on the first date on which the unit resumes operation.

CAIR SO2 Trading Program Special Provisions

(1) A unit exempt under 40 CFR 96.205(a) shall not emit any sulfur dioxide, starting on the date that the 

exemption takes effect.

(2) For a period of 5 years from the date the records are created, the owners and operators of a unit exempt 

under 40 CFR 96.205(a) shall retain, at the source that includes the unit, records demonstrating that the unit is 

permanently retired. The 5-year period for keeping records may be extended for cause, at any time before the 

end of the period, in writing by the permitting authority or the Administrator. The owners and operators bear the 

burden of proof that the unit is permanently retired.

(3) The owners and operators and, to the extent applicable, the CAIR designated representative of a unit exempt 

under 40 CFR 96.205(a) shall comply with the requirements of the CAIR SO2 Trading Program concerning all 

periods for which the exemption is not in effect, even if such requirements arise, or must be complied with, after 

the exemption takes effect.

(4) A unit exempt under 40 CFR 96.205(a) and located at a source that is required, or but for this exemption 

would be required, to have a title V operating permit shall not resume operation unless the CAIR designated 

representative of the source submits a complete CAIR permit application under 40 CFR 96.222 for the unit not 

less than 18 months (or such lesser time provided by the permitting authority) before the later of January 1, 2010 

or the date on which the unit resumes operation.

(5) On the earlier of the following dates, a unit exempt under 40 CFR 96.205(a) shall lose its exemption:

(i) The date on which the CAIR designated representative submits a CAIR permit application for the unit under 40 

CFR 96.205(b)(4); 

(ii) The date on which the CAIR designated representative is required under 40 CFR 96.205(b)(4) to submit a 

CAIR permit application for the unit; or

(iii) The date on which the unit resumes operation, if the CAIR designated representative is not required to submit 

a CAIR permit application for the unit.

(6) For the purpose of applying monitoring, reporting, and recordkeeping requirements under 40 CFR 96 subpart 

HHH, a unit that loses its exemption under 40 CFR 96.205(a) shall be treated as a unit that commences 

commercial operation on the first date on which the unit resumes operation.
EPA Form 7610-20 (Revised 9-2013) 

 Retired Unit Exemption

 Page 3 of 5 

 

CAIR NOX Ozone Season Trading Program Special Provisions

(1) A unit exempt under 40 CFR 96.305(a) shall not emit any nitrogen oxides, starting on the date that the 

exemption takes effect. 

(2) The Administrator or the permitting authority will allocate CAIR NOX Ozone Season allowances under 40 CFR 

96 subpart EEEE to a unit exempt under 40 CFR 96.305(a).

(3) For a period of 5 years from the date the records are created, the owners and operators of a unit exempt 

under 40 CFR 96.305(a) shall retain at the source that includes the unit, records demonstrating that the unit is 

permanently retired. The 5-year period for keeping records may be extended for cause, at any time before the 

end of the period, in writing by the permitting authority or the Administrator. The owners and operators bear the 

burden of proof that the unit is permanently retired.

(4) The owners and operators and, to the extent applicable, the CAIR designated representative of a unit exempt 

under 40 CFR 96.305(a) shall comply with the requirements of the CAIR NOX Ozone Season Trading Program 

concerning all periods for which the exemption is not in effect, even if such requirements arise, or must be 

complied with, after the exemption takes effect.

(5) A unit exempt under 40 CFR 96.305(a) and located at a source that is required, or but for this exemption 

would be required, to have a title V operating permit shall not resume operation unless the CAIR designated 

representative of the source submits a complete CAIR permit application under § 97.322 for the unit not less than 

18 months (or such lesser time provided by the permitting authority) before the later of January 1, 2009 or the 

date on which the unit resumes operation.

(6) On the earlier of the following dates, a unit exempt under paragraph (a) of this section shall lose its 

exemption:(i) The date on which the CAIR designated representative submits a CAIR permit application for the 

unit under paragraph (b)(5) of this section;(ii) The date on which the CAIR designated representative is required 

under paragraph (b)(5) of this section to submit a CAIR permit application for the unit; or (iii) The date on which 

the unit resumes operation, if the CAIR designated representative is not required to submit a CAIR permit 

application for the unit.

(7) For the purpose of applying monitoring, reporting, and recordkeeping requirements under subpart HHHH of 

this part, a unit that loses its exemption under paragraph (a) of this section shall be treated as a unit that 

commences commercial operation on the first date on which the unit resumes operation.

Transport Rule NOX Annual Trading Program Special Provisions

(1) A unit exempt under 40 CFR 97.405 shall not emit any NOX, starting on the date that the exemption takes 

effect.

(2) For a period of 5 years from the date the records are created, the owners and operators of a unit exempt 

under 40 CFR 97.405 shall retain, at the source that includes the unit, records demonstrating that the unit is 

permanently retired. The 5-year period for keeping records may be extended for cause, at any time before the 

end of the period, in writing by the Administrator. The owners and operators bear the burden of proof that the unit 

is permanently retired.

(3) The owners and operators and, to the extent applicable, the designated representative of a unit exempt 40 

CFR 97.405 shall comply with the requirements of the TR NOX Annual Trading Program concerning all periods for 

which the exemption is not in effect, even if such requirements arise, or must be complied with, after the 

exemption takes effect.

(4) A unit exempt under 40 CFR 97.405 shall lose its exemption on the first date on which the unit resumes 

operation. Such unit shall be treated, for purposes of applying allocation, monitoring, reporting, and 

recordkeeping requirements under this subpart, as a unit that commences commercial operation on the first date 

on which the unit resumes operation.

 Transport Rule NOX Ozone Season Trading Program Special Provisions

(1) A unit exempt under 40 CFR 97.505 shall not emit any NOX, starting on the date that the exemption takes 

effect.

(2) For a period of 5 years from the date the records are created, the owners and operators of a unit exempt 

under 40 CFR 97.505 shall retain, at the source that includes the unit, records demonstrating that the unit is 

permanently retired. The 5-year period for keeping records may be extended for cause, at any time before the 

end of the period, in writing by the Administrator. The owners and operators bear the burden of proof that the unit 

is permanently retired.

(3) The owners and operators and, to the extent applicable, the designated representative of a unit exempt under 

40 CFR 97.505 shall comply with the requirements of the TR NOX Ozone Season Trading Program concerning all 

periods for which the exemption is not in effect, even if such requirements arise, or must be complied with, after 

the exemption takes effect.

(4) A unit exempt under 40 CFR 97.505 shall lose its exemption on the first date on which the unit resumes 

operation. Such unit shall be treated, for purposes of applying allocation, monitoring, reporting, and 
EPA Form 7610-20 (Revised 9-2013) 

Retired Unit Exemption

 Page 4 of 5 

 

 

 recordkeeping requirements under this subpart, as a unit that commences commercial operation on the first date 

 on which the unit resumes operation.

Transport Rule SO2 Group 1 Trading Program Special Provisions

(1) A unit exempt under 40 CFR 97.605 shall not emit any SO2, starting on the date that the exemption takes effect.

(2) For a period of 5 years from the date the records are created, the owners and operators of a unit exempt under 40

CFR 97.605 shall retain, at the source that includes the unit, records demonstrating that the unit is permanently 

retired. The 5-year period for keeping records may be extended for cause, at any time before the end of the period, 

in writing by the Administrator. The owners and operators bear the burden of proof that the unit is permanently 

retired.

(3) The owners and operators and, to the extent applicable, the designated representative of a unit exempt under 40 

CFR 97.605 shall comply with the requirements of the TR SO2 Group 1 Trading Program concerning all periods for 

which the exemption is not in effect, even if such requirements arise, or must be complied with, after the exemption 

takes effect.

(4) A unit exempt under 40 CFR 97.605 shall lose its exemption on the first date on which the unit resumes 

operation. Such unit shall be treated, for purposes of applying allocation, monitoring, reporting, and recordkeeping 

requirements under this subpart, as a unit that commences commercial operation on the first date on which the unit 

resumes operation.

Transport Rule SO2 Group 2 Trading Program Special Provisions

(1) A unit exempt under 40 CFR 97.705 shall not emit any SO2, starting on the date that the exemption takes effect.

(2) For a period of 5 years from the date the records are created, the owners and operators of a unit exempt under 40

CFR 97.705 shall retain, at the source that includes the unit, records demonstrating that the unit is permanently 

retired. The 5-year period for keeping records may be extended for cause, at any time before the end of the period, 

in writing by the Administrator. The owners and operators bear the burden of proof that the unit is permanently 

retired.

(3) The owners and operators and, to the extent applicable, the designated representative of a unit exempt under 40 

CFR 97.705 shall comply with the requirements of the TR SO2 Group 2 Trading Program concerning all periods for 

which the exemption is not in effect, even if such requirements arise, or must be complied with, after the exemption 

takes effect.

(4) A unit exempt under 40 CFR 97.705 shall lose its exemption on the first date on which the unit resumes 

operation. Such unit shall be treated, for purposes of applying allocation, monitoring, reporting, and recordkeeping 

requirements under this subpart, as a unit that commences commercial operation on the first date on which the unit 

resumes operation.
EPA Form 7610-20 (Revised 9-2013) 

 Retired Unit Exemption

 Page 5 of 5

 

STEP 6

Read the statement of 

compliance and the 

appropriate certification 

statements and sign 

and date.

Statement of Compliance

I certify that the unit identified above at STEP 1 was (or will be) permanently retired on the date 

identified at STEP 3 and will comply with the appropriate Special Provisions listed at STEP 5.

Certification (for Acid Rain, CAIR, or Transport Rule designated representatives or alternate 

Acid Rain, CAIR, or Transport Rule designated representatives only)

I am authorized to make this submission on behalf of the owners and operators of the source and 

unit 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 Title

 Owner Company Name

Phone Email

Signature Date

Certification (for certifying officials of units subject to the Acid Rain Program only)

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 Title

 Owner Company Name

Phone Email

Signature Date
1

Instructions for Submission of the 

Retired Unit Exemption Notice

 

Please type or print. If you have any questions regarding the submission of the Retired Unit Exemption 

notice, contact Robert Miller at miller.robertl@epa.gov or (202) 343-9077, or contact your local, State, or EPA 

Regional Acid Rain, CAIR, or Transport Rule (TR) contact, as appropriate. You may also call U.S. EPA's 

Acid Rain Hotline at (202) 343-9620.

Any reference in these instructions to the Designated Representative means the Acid Rain Designated 

Representative, CAIR Designated Representative, and/or Transport Rule Designated Representative, as 

applicable. Any reference to the Alternate Designated Representative means the Alternate Acid Rain 

Designated Representative, the Alternate CAIR Designated Representative, and/or the Alternate Transport 

Rule Designated Representative, as applicable. The Acid Rain Designated Representative, the CAIR 

Designated Representative, and the Transport Rule Designated Representative for a facility (source) must be 

the same individual, and the Alternate Acid Rain Designated Representative, the Alternate CAIR Designated 

Representative, and the Alternate Transport Rule Designated Representative for a facility (source) must be 

the same individual.

Submission Deadline: For units subject to CAIR and/or the Transport Rule only, submit the retired unit 

exemption notice no later than 30 days after the date the unit is permanently retired (i.e., within 30 days of the 

date entered at STEP 3). For units subject only to the Acid Rain Program, submit the form by December 31

of the first year the unit is to be exempt. If the unit is subject to the Acid Rain Program and to CAIR and/or 

the Transport Rule, submit the retired unit exemption notice no later than 30 days after the date the unit is 

permanently retired (i.e., within 30 days of the date entered at STEP 3).

STEP 1 Enter the plant name and state where the unit is located, the ORIS/Plant Code for the facility, and 

Unit ID for the unit, consistent with the data listed on the most current Certificate of Representation for the 

facility. A Plant Code is a 4 or 5 digit number assigned by the Department of Energy=s (DOE) Energy 

Information Administration (EIA) to facilities that generate electricity. For older facilities, "Plant Code" is 

synonymous with "ORISPL" and "Facility" codes. If the facility generates electricity but no Plant Code has 

been assigned, or if there is uncertainty regarding what the Plant Code is, contact EIA at (202) 586-1029. For 

facilities that do not produce electricity, use the facility identifier assigned by EPA (beginning with "88"). If the 

facility does not produce electricity and has not been assigned a facility identifier, contact Laurel DeSantis at 

desantis.laurel@epa.gov or (202) 343-9191.

STEP 2 Identify the programs to which the unit is subject.

STEP 3 Enter the date on which the unit was (or will be) permanently retired.

STEP 4 If the unit is subject to the Acid Rain Program, identify the first full calendar year in which the unit 

meets (or will meet) the requirements of 40 CFR 72.8(d).

STEP 5 Read the appropriate special provisions.

STEP 6 Read the appropriate certification statements, sign, and date.

For units subject only to the Acid Rain Program, if no designated representative has been authorized, a 

certifying official for each owner of the unit must read the certification at STEP 6 labeled "for certifying officials 

of Acid Rain affected units only, enter his or her name, title, name of the owner company for which he or she 

is the certifying official, phone number, email address, and then sign and date. A certifying official is not

required to submit a Certificate of Representation. If there is more than one owner of a unit for which no 

designated representative has been authorized, each owner of the unit must have a certifying official sign the 

appropriate certification at STEP 6.
2

Submit the original Retired Unit Exemption notice to the title V permitting authority for the facility, and a copy 

to U.S. EPA:

For regular/certified mail: For overnight mail:

U.S. Environmental Protection Agency U.S. Environmental Protection Agency

Clean Air Markets Division (6204J) Clean Air Markets Division (6204J)

Attention: Retired Unit Exemption Attention: Retired Unit Exemption

1200 Pennsylvania Avenue, NW 1310 L Street, NW

Washington, DC 20460 Second Floor

Washington, DC 20005

(202) 343-9191

Paperwork Burden Estimate

The public reporting and recordkeeping burden for this collection of information is estimated to average 3.5

hours per response annually. Burden means the total time, effort, or financial resources expended by 

persons to generate, maintain, retain, or disclose or provide information to or for a Federal agency. This 

includes the time needed to review instructions; develop, acquire, install, and utilize technology and systems 

for the purposes of collecting, validating, and verifying information, processing and maintaining information, 

and disclosing and providing information; adjust the existing ways to comply with any previously applicable 

instructions and requirements; train personnel to be able to respond to a collection of information; search 

data sources; complete and review the collection of information; and transmit or otherwise disclose the 

information. An agency may not conduct or sponsor, and a person is not required to respond to, a collection 

of information unless it displays a currently valid OMB control number. 

Send comments on the Agency's need for this information, the accuracy of the provided burden estimates, 

and any suggested methods for minimizing respondent burden, including through the use of automated 

collection techniques to the Director, Collection Strategies Division, U.S. Environmental Protection Agency 

(2822T), 1200 Pennsylvania Ave., NW., Washington, D.C. 20460. Include the OMB control number in any 

correspondence. Do not send the completed form to this address.