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51.166 Requirements of 40 CFR 51.166 for a SIP approved PSD program Where included in Rule 

1714 or in 40 CFR 

52.21 as IBR in Rule 

1714(c) 

(a)(1) Plan requirements (1) Plan requirements. In accordance with the policy of section 101(b)(1) of the Act and the purposes of 

section 160 of the Act, each applicable State Implementation Plan and each applicable Tribal 

Implementation Plan shall contain emission limitations and such other measures as may be necessary to 

prevent significant deterioration of air quality.

With this action the 

District would adopt a 

PSD program into the CA 

SIP

(a)(2) Plan revisions (2) Plan revisions. If a State Implementation Plan revision would result in increased air quality 

deterioration over any baseline concentration, the plan revision shall include a demonstration that it will 

not cause or contribute to a violation of the applicable increment(s). If a plan revision proposing less 

restrictive requirements was submitted after August 7, 1977 but on or before any applicable baseline 

date and was pending action by the Administrator on that date, no such demonstration is necessary with 

respect to the area for which a baseline date would be established before final action is taken on the plan 

revision. Instead, the assessment described in paragraph (a)(4) of this section, shall review the expected 

impact to the applicable increment(s).

Not applicable to this 

action. 

(a)(3) Required plan 

revision

(3) Required plan revision. If the State or the Administrator determines that a plan is substantially 

inadequate to prevent significant deterioration or that an applicable increment is being violated, the plan 

shall be revised to correct the inadequacy or the violation. The plan shall be revised within 60 days of 

such a finding by a State or within 60 days following notification by the Administrator, or by such later 

date as prescribed by the Administrator after consultation with the State.

Not applicable to this 

action.

(a)(4) Plan assessment (4) Plan assessment. The State shall review the adequacy of a plan on a periodic basis and within 60 

days of such time as information becomes available that an applicable increment is being violated.

Not applicable to this 

action.

(a)(5) Public 

participation

(5) Public participation. Any State action taken under this paragraph shall be subject to the opportunity 

for public hearing in accordance with procedures equivalent to those established in §51.102.

Public notice 

(10/15/2010) and public 

hearing (11/5/2010) 

were held. 

(a)(6) Amendments (6) Amendments. 

(i) Any State required to revise its implementation plan by reason of an amendment to this section, with 

the exception of amendments to add new maximum allowable increases or other measures pursuant to 

section 166(a) of the Act, shall adopt and submit such plan revision to the Administrator for approval no 

later than 3 years after such amendment is published in theFederal Register.With regard to a revision to 

an implementation plan by reason of an amendment to paragraph (c) of this section to add maximum 

allowable increases or other measures, the State shall submit such plan revision to the Administrator 

for approval within 21 months after such amendment is published in the Federal Register.

Not applicable to this 

action

(ii) Any revision to an implementation plan that would amend the provisions for the prevention of 

significant air quality deterioration in the plan shall specify when and as to what sources and 

modifications the revision is to take effect.

Not applicable to this 

action.

(iii) Any revision to an implementation plan that an amendment to this section required shall take effect 

no later than the date of its approval and may operate prospectively.

Not applicable to this 

action.

(a)(7) Applicability (7) Applicability. Each plan shall contain procedures that incorporate the requirements in paragraphs 

(a)(7)(i) through (vi) of this section.

40 CFR 52.21(a)(2)
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(i) The requirements of this section apply to the construction of any new major stationary source (as 

defined in paragraph (b)(1) of this section) or any project at an existing major stationary source in an 

area designated as attainment or unclassifiable under sections 107(d)(1)(A)(ii) or (iii) of the Act.

40 CFR 52.21(a)(2)(i)

(ii) The requirements of paragraphs (j) through (r) of this section apply to the construction of any new 

major stationary source or the major modification of any existing major stationary source, except as 

this section otherwise provides.

40 CFR 52.21(a)(2)(ii)

(iii) No new major stationary source or major modification to which the requirements of paragraphs (j) 

through (r)(5) of this section apply shall begin actual construction without a permit that states that the 

major stationary source or major modification will meet those requirements.

40 CFR 52.21(a)(2)(iii)

(iv) Each plan shall use the specific provisions of paragraphs (a)(7)(iv)( a ) through ( f ) of this section. 

Deviations from these provisions will be approved only if the State specifically demonstrates that the 

submitted provisions are more stringent than or at least as stringent in all respects as the 

corresponding provisions in paragraphs (a)(7)(iv)( a ) through ( f ) of this section.

40 CFR 52.21(a)(2)(iv)

( a ) Except as otherwise provided in paragraphs (a)(7)(v) and (vi) of this section, and consistent 

with the definition of major modification contained in paragraph (b)(2) of this section, a project is a 

major modification for a regulated NSR pollutant if it causes two types of emissions increases—a 

significant emissions increase (as defined in paragraph (b)(39) of this section), and a significant net 

emissions increase (as defined in paragraphs (b)(3) and (b)(23) of this section). The project is not a 

major modification if it does not cause a significant emissions increase. If the project causes a 

significant emissions increase, then the project is a major modification only if it also results in a 

significant net emissions increase.

40 CFR 

52.21(a)(2)(iv)(a )

( b ) The procedure for calculating (before beginning actual construction) whether a significant 

emissions increase ( i.e. , the first step of the process) will occur depends upon the type of emissions 

units being modified, according to paragraphs (a)(7)(iv)( c ) through ( f ) of this section. The 

procedure for calculating (before beginning actual construction) whether a significant net emissions 

increase will occur at the major stationary source ( i.e. , the second step of the process) is contained 

in the definition in paragraph (b)(3) of this section. Regardless of any such preconstruction 

projections, a major modification results if the project causes a significant emissions increase and a 

significant net emissions increase.

40 CFR 

52.21(a)(2)(iv)(b )

( c ) Actual-to-projected-actual applicability test for projects that only involve existing emissions 

units. A significant emissions increase of a regulated NSR pollutant is projected to occur if the sum of 

the difference between the projected actual emissions (as defined in paragraph (b)(40) of this 

section) and the baseline actual emissions (as defined in paragraphs (b)(47)(i) and (ii) of this section) 

for each existing emissions unit, equals or exceeds the significant amount for that pollutant (as 

defined in paragraph (b)(23) of this section).

40 CFR 

52.21(a)(2)(iv)(c )

( d ) Actual-to-potential test for projects that only involve construction of a new emissions unit(s). A 

significant emissions increase of a regulated NSR pollutant is projected to occur if the sum of the 

difference between the potential to emit (as defined in paragraph (b)(4) of this section) from each 

new emissions unit following completion of the project and the baseline actual emissions (as defined 

in paragraph (b)(47)(iii) of this section) of these units before the project equals or exceeds the 

significant amount for that pollutant (as defined in paragraph (b)(23) of this section).

40 CFR 

52.21(a)(2)(iv)(d )
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( e ) [Reserved] 40 CFR 

52.21(a)(2)(iv)(e )

( f ) Hybrid test for projects that involve multiple types of emissions units. A significant emissions 

increase of a regulated NSR pollutant is projected to occur if the sum of the emissions increases for 

each emissions unit, using the method specified in paragraphs (a)(7)(iv)( c ) through ( d ) of this 

section as applicable with respect to each emissions unit, for each type of emissions unit equals or 

exceeds the significant amount for that pollutant (as defined in paragraph (b)(23) of this section).

40 CFR 

52.21(a)(2)(iv)(f )

(v) The plan shall require that for any major stationary source for a PAL for a regulated NSR pollutant, 

the major stationary source shall comply with requirements under paragraph (w) of this section.

40 CFR 52.21(a)(2)(v)

(b) Definitions (b) Definitions. All State plans shall use the following definitions for the purposes of this section. 

Deviations from the following wording will be approved only if the State specifically demonstrates that the 

submitted definition is more stringent, or at least as stringent, in all respects as the corresponding 

definitions below:

40 CFR 52.21(b)

(b)(1) Major stationary 

source

(1)(i) Major stationary source means: 40 CFR 52.21(b)(1)(i)

( a ) Any of the following stationary sources of air pollutants which emits, or has the potential to 

emit, 100 tons per year or more of any regulated NSR pollutant: Fossil fuel-fired steam electric plants 

of more than 250 million British thermal units per hour heat input, coal cleaning plants (with thermal 

dryers), kraft pulp mills, portland cement plants, primary zinc smelters, iron and steel mill plants, 

primary aluminum ore reduction plants (with thermal dryers), primary copper smelters, municipal 

incinerators capable of charging more than 250 tons of refuse per day, hydrofluoric, sulfuric, and 

nitric acid plants, petroleum refineries, lime plants, phosphate rock processing plants, coke oven 

batteries, sulfur recovery plants, carbon black plants (furnace process), primary lead smelters, fuel 

conversion plants, sintering plants, secondary metal production plants, chemical process plants (which 

does not include ethanol production facilities that produce ethanol by natural fermentation included in 

NAICS codes 325193 or 312140), fossil-fuel boilers (or combinations thereof) totaling more than 250 

million British thermal units per hour heat input, petroleum storage and transfer units with a total 

storage capacity exceeding 300,000 barrels, taconite ore processing plants, glass fiber processing 

40 CFR 52.21(b)(1)(i)(a )

( b ) Notwithstanding the stationary source size specified in paragraph (b)(1)(i)( a ) of this section, 

any stationary source which emits, or has the potential to emit, 250 tons per year or more of a 

regulated NSR pollutant; or

40 CFR 52.21(b)(1)(i)(b )

( c ) Any physical change that would occur at a stationary source not otherwise qualifying under 

paragraph (b)(1) of this section, as a major stationary source if the change would constitute a major 

stationary source by itself.

40 CFR 52.21(b)(1)(i)(c )

(ii) A major source that is major for volatile organic compounds or NOXshall be considered major for 

ozone.

40 CFR 52.21(b)(1)(ii)

(iii) The fugitive emissions of a stationary source shall not be included in determining for any of the 

purposes of this section whether it is a major stationary source, unless the source belongs to one of the 

following categories of stationary sources:

( a ) Coal cleaning plants (with thermal dryers);

( b ) Kraft pulp mills;

( c ) Portland cement plants;

( d ) Primary zinc smelters;

( e ) Iron and steel mills;

40 CFR 52.21(b)(1)(ii)
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( f ) Primary aluminum ore reduction plants;

( g ) Primary copper smelters;

( h ) Municipal incinerators capable of charging more than 250 tons of refuse per day;

( i ) Hydrofluoric, sulfuric, or nitric acid plants;

( j ) Petroleum refineries;

( k ) Lime plants;

( l ) Phosphate rock processing plants;

( m ) Coke oven batteries;

( n ) Sulfur recovery plants;

( o ) Carbon black plants (furnace process);

( p ) Primary lead smelters;

( q ) Fuel conversion plants;

( r ) Sintering plants;

( s ) Secondary metal production plants;

( t ) Chemical process plants—The term chemical processing plant shall not include ethanol 

production facilities that produce ethanol by natural fermentation included in NAICS codes 325193 or 

312140;

( u ) Fossil-fuel boilers (or combination thereof) totaling more than 250 million British thermal units 

per hour heat input;

( v ) Petroleum storage and transfer units with a total storage capacity exceeding 300,000 barrels;

( w ) Taconite ore processing plants;

( x ) Glass fiber processing plants;

( y ) Charcoal production plants;

( z ) Fossil fuel-fired steam electric plants of more that 250 million British thermal units per hour heat 

input;

( aa ) Any other stationary source category which, as of August 7, 1980, is being regulated under 

section 111 or 112 of the Act.

(b)(2) Major modification (2)(i) Major modification means any physical change in or change in the method of operation of a major 

stationary source that would result in: a significant emissions increase (as defined in paragraph (b)(39) of 

this section) of a regulated NSR pollutant (as defined in paragraph (b)(49) of this section); and a 

significant net emissions increase of that pollutant from the major stationary source.

40 CFR 52.21(b)(2)(i)

(ii) Any significant emissions increase (as defined at paragraph (b)(39) of this section) from any 

emissions units or net emissions increase (as defined in paragraph (b)(3) of this section) at a major 

stationary source that is significant for volatile organic compounds or NOXshall be considered significant 

for ozone.

40 CFR 52.21(b)(2)(ii)

(iii) A physical change or change in the method of operation shall not include: 40 CFR 52.21(b)(2)(iii)
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( a ) Routine maintenance, repair and replacement. Routine maintenance, repair and replacement 

shall include, but not be limited to, any activity(s) that meets the requirements of the equipment 

replacement provisions contained in paragraph (y) of this section;

Note to paragraph (b)(2)(iii)( a ): On December 24, 2003, the second sentence of this paragraph 

(b)(2)(iii)( a ) is stayed indefinitely by court order. The stayed provisions will become effective 

immediately if the court terminates the stay. At that time, EPA will publish a document in the 

 Federal Register advising the public of the termination of the stay.

( b ) Use of an alternative fuel or raw material by reason of any order under section 2 (a) and (b) of 

the Energy Supply and Environmental Coordination Act of 1974 (or any superseding legislation) or by 

reason of a natural gas curtailment plan pursuant to the Federal Power Act;

40 CFR 

52.21(b)(2)(iii)(b )

( c ) Use of an alternative fuel by reason of an order or rule under section 125 of the Act; 40 CFR 

52.21(b)(2)(iii)(c )

( d ) Use of an alternative fuel at a steam generating unit to the extent that the fuel is generated 

from municipal solid waste;

40 CFR 

52.21(b)(2)(iii)(d )

( e ) Use of an alternative fuel or raw material by a stationary source which: 40 CFR 

52.21(b)(2)(iii)(e )

( 1 ) The source was capable of accommodating before January 6, 1975, unless such change would 

be prohibited under any federally enforceable permit condition which was established after January 

6, 1975 pursuant to 40 CFR 52.21 or under regulations approved pursuant to 40 CFR subpart I or 

§51.166; or

40 CFR 

52.21(b)(2)(iii)(e )(1 )

( 2 ) The source is approved to use under any permit issued under 40 CFR 52.21 or under 

regulations approved pursuant to 40 CFR 51.166;

40 CFR 

52.21(b)(2)(iii)(e )(2 )

( f ) An increase in the hours of operation or in the production rate, unless such change would be 

prohibited under any federally enforceable permit condition which was established after January 6, 

1975, pursuant to 40 CFR 52.21 or under regulations approved pursuant to 40 CFR subpart I or 

§51.166.

40 CFR 

52.21(b)(2)(iii)(f )

( g ) Any change in ownership at a stationary source. 40 CFR 

52.21(b)(2)(iii)(g )

( h ) [Reserved] 40 CFR 

52.21(b)(2)(iii)(h )

( i ) The installation, operation, cessation, or removal of a temporary clean coal technology 

demonstration project, provided that the project complies with:

40 CFR 52.21(b)(2)(iii)(i )

( 1 ) The State implementation plan for the State in which the project is located; and 40 CFR 

52.21(b)(2)(iii)(i )(1 )

( 2 ) Other requirements necessary to attain and maintain the national ambient air quality 

standards during the project and after it is terminated.

40 CFR 

52.21(b)(2)(iii)(i )(2 )

( j ) The installation or operation of a permanent clean coal technology demonstration project that 

constitutes repowering, provided that the project does not result in an increase in the potential to 

emit of any regulated pollutant emitted by the unit. This exemption shall apply on a pollutant-bypollutant basis.

40 CFR 52.21(b)(2)(iii)(j )

( k ) The reactivation of a very clean coal-fired electric utility steam generating unit. 40 CFR 

52.21(b)(2)(iii)(k )

(iv) This definition shall not apply with respect to a particular regulated NSR pollutant when the major 

stationary source is complying with the requirements under paragraph (w) of this section for a PAL for 

that pollutant. Instead, the definition at paragraph (w)(2)(viii) of this section shall apply.

40 CFR 52.21(b)(2)(iv)

40 CFR 

52.21(b)(2)(iii)(a )
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(v) Fugitive emissions shall not be included in determining for any of the purposes of this section 

whether a physical change in or change in the method of operation of a major stationary source is a 

major modification, unless the source belongs to one of the source categories listed in paragraph 

(b)(1)(iii) of this section.

40 CFR 52.21(b)(2)(v) - 

(b)(3) Net emissions 

increase

(3)(i) Net emissions increase means, with respect to any regulated NSR pollutant emitted by a major 

stationary source, the amount by which the sum of the following exceeds zero:

40 CFR 52.21(b)(3)(i)

( a ) The increase in emissions from a particular physical change or change in the method of 

operation at a stationary source as calculated pursuant to paragraph (a)(7)(iv) of this section; and

40 CFR 52.21(b)(3)(i)(a )

( b ) Any other increases and decreases in actual emissions at the major stationary source that are 

contemporaneous with the particular change and are otherwise creditable. Baseline actual emissions 

for calculating increases and decreases under this paragraph (b)(3)(i)( b ) shall be determined as 

provided in paragraph (b)(47), except that paragraphs (b)(47)(i)( c ) and (b)(47)(ii)( d ) of this 

section shall not apply.

40 CFR 52.21(b)(3)(i)(b )

(ii) An increase or decrease in actual emissions is contemporaneous with the increase from the 

particular change only if it occurs within a reasonable period (to be specified by the State) before the 

date that the increase from the particular change occurs.

40 CFR 52.21(b)(3)(ii)

(iii) An increase or decrease in actual emissions is creditable only if: 40 CFR 52.21(b)(3)(iii)

( a ) It occurs within a reasonable period (to be specified by the reviewing authority); and 40 CFR 

52.21(b)(3)(iii)(a )

( b ) The reviewing authority has not relied on it in issuing a permit for the source under regulations 

approved pursuant to this section, which permit is in effect when the increase in actual emissions 

from the particular change occurs; and

40 CFR 

52.21(b)(3)(iii)(b )

( c ) The increase or decrease in emissions did not occur at a Clean Unit, except as provided in 

paragraphs (t)(8) and (u)(10) of this section.

40 CFR 

52.21(b)(3)(iii)(c )

( d ) As it pertains to an increase or decrease in fugitive emissions (to the extent quantifiable), it 

occurs at an emissions unit that is part of one of the source categories listed in paragraph (b)(1)(iii) 

of this section or it occurs at an emission unit that is located at a major stationary source that belongs 

to one of the listed source categories. Fugitive emission increases or decreases are not included for 

those emissions units located at a facility whose primary activity is not represented by one of the 

source categories listed in paragraph (b)(1)(iii) of this section and that are not, by themselves, part of 

a listed source category.

40 CFR 

52.21(b)(3)(iii)(d ) 

(iv) An increase or decrease in actual emissions of sulfur dioxide, particulate matter, or nitrogen oxides 

that occurs before the applicable minor source baseline date is creditable only if it is required to be 

considered in calculating the amount of maximum allowable increases remaining available.

40 CFR 52.21(b)(3)(iv)

(v) An increase in actual emissions is creditable only to the extent that the new level of actual emissions 

exceeds the old level.

40 CFR 52.21(b)(3)(v)

(vi) A decrease in actual emissions is creditable only to the extent that: 40 CFR 52.21(b)(3)(vi)

( a ) The old level of actual emissions or the old level of allowable emissions, whichever is lower, 

exceeds the new level of actual emissions;

40 CFR 

52.21(b)(3)(vi)(a )
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( b ) It is enforceable as a practical matter at and after the time that actual construction on the 

particular change begins;

40 CFR 

52.21(b)(3)(vi)(b )

( c ) It has approximately the same qualitative significance for public health and welfare as that 

attributed to the increase from the particular change; and

40 CFR 

52.21(b)(3)(vi)(c )

(vii) An increase that results from a physical change at a source occurs when the emissions unit on 

which construction occurred becomes operational and begins to emit a particular pollutant. Any 

replacement unit that requires shakedown becomes operational only after a reasonable shakedown 

period, not to exceed 180 days.

40 CFR 52.21(b)(3)(vii)

(viii) Paragraph (b)(21)(ii) of this section shall not apply for determining creditable increases and 

decreases.

40 CFR 52.21(b)(3)(viii)

(b)(4) Potential to emit (4) Potential to emit means the maximum capacity of a stationary source to emit a pollutant under its 

physical and operational design. Any physical or operational limitation on the capacity of the source to 

emit a pollutant, including air pollution control equipment and restrictions on hours of operation or on the 

type or amount of material combusted, stored, or processed, shall be treated as part of its design if the 

limitation or the effect it would have on emissions is federally enforceable. Secondary emissions do not 

count in determining the potential to emit of a stationary source.

40 CFR 52.21(b)(4)

(b)(5) Stationary source (5) Stationary source means any building, structure, facility, or installation which emits or may emit a 

regulated NSR pollutant.

40 CFR 52.21(b)(5)

(b)(6) Building, 

structure, facility, 

or installation

(6) Building, structure, facility, or installation means all of the pollutant-emitting activities which belong 

to the same industrial grouping, are located on one or more contiguous or adjacent properties, and are 

under the control of the same person (or persons under common control) except the activities of any 

vessel. Pollutant-emitting activities shall be considered as part of the same industrial grouping if they 

belong to the same Major Group ( i.e. , which have the same two-digit code) as described in the 

Standard Industrial Classification Manual, 1972, as amended by the 1977 Supplement (U.S. Government 

Printing Office stock numbers 4101–0066 and 003–005–00176–0, respectively).

40 CFR 52.21(b)(6)

(b)(7) Emissions unit (7) Emissions unit means any part of a stationary source that emits or would have the potential to emit 

any regulated NSR pollutant and includes an electric utility steam generating unit as defined in paragraph 

(b)(30) of this section. For purposes of this section, there are two types of emissions units as described in 

paragraphs (b)(7)(i) and (ii) of this section.

40 CFR 52.21(b)(7)

(i) A new emissions unit is any emissions unit that is (or will be) newly constructed and that has existed 

for less than 2 years from the date such emissions unit first operated.

40 CFR 52.21(b)(7)(i)

(ii) An existing emissions unit is any emissions unit that does not meet the requirements in paragraph 

(b)(7)(i) of this section. A replacement unit, as defined in paragraph (b)(32) of this section, is an 

existing emissions unit.

40 CFR 52.21(b)(7)(ii)

(b)(8) Construction (8) Construction means any physical change or change in the method of operation (including fabrication, 

erection, installation, demolition, or modification of an emissions unit) that would result in a change in 

emissions.

40 CFR 52.21(b)(8)

(b)(9) Commence (9) Commence as applied to construction of a major stationary source or major modification means that 

the owner or operator has all necessary preconstruction approvals or permits and either has:

40 CFR 52.21(b)(9)

(i) Begun, or caused to begin, a continuous program of actual on-site construction of the source, to be 

completed within a reasonable time; or

40 CFR 52.21(b)(9)(i)

(ii) Entered into binding agreements or contractual obligations, which cannot be cancelled or modified 

without substantial loss to the owner or operator, to undertake a program of actual construction of the 

source to be completed within a reasonable time.

40 CFR 52.21(b)(9)(ii)
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(b)(10) Necessary 

preconstruction 

approvals or 

permits

(10) Necessary preconstruction approvals or permits means those permits or approvals required under 

Federal air quality control laws and regulations and those air quality control laws and regulations which 

are part of the applicable State Implementation Plan.

40 CFR 52.21(b)(10)

(b)(11) Begin actual 

construction

(11) Begin actual construction means, in general, initiation of physical on-site construction activities on 

an emissions unit which are of a permanent nature. Such activities include, but are not limited to, 

installation of building supports and foundations, laying of underground pipework, and construction of 

permanent storage structures. With respect to a change in method of operation this term refers to those 

on-site activities, other than preparatory activities, which mark the initiation of the change.

40 CFR 52.21(b)(11)

(b)(12) Best available 

control technology

(12) Best available control technology means an emissions limitation (including a visible emissions 

standard) based on the maximum degree of reduction for each a regulated NSR pollutant which would be 

emitted from any proposed major stationary source or major modification which the reviewing authority, 

on a case-by-case basis, taking into account energy, environmental, and economic impacts and other 

costs, determines is achievable for such source or modification through application of production 

processes or available methods, systems, and techniques, including fuel cleaning or treatment or 

innovative fuel combination techniques for control of such pollutant. In no event shall application of best 

available control technology result in emissions of any pollutant which would exceed the emissions 

allowed by any applicable standard under 40 CFR parts 60 and 61. If the reviewing authority determines 

that technological or economic limitations on the application of measurement methodology to a particular 

emissions unit would make the imposition of an emissions standard infeasible, a design, equipment, work 

practice, operational standard or combination thereof, may be prescribed instead to satisfy the 

requirement for the application of best available control technology. Such standard shall, to the degree 

40 CFR 52.21(b)(12)

(b)(13) Baseline 

concentration

(13)(i) Baseline concentration means that ambient concentration level that exists in the baseline area at 

the time of the applicable minor source baseline date. A baseline concentration is determined for each 

pollutant for which a minor source baseline date is established and shall include:

( a ) The actual emissions, as defined in paragraph (b)(21) of this section, representative of sources 

in existence on the applicable minor source baseline date, except as provided in paragraph (b)(13)(ii) 

of this section;

( b ) The allowable emissions of major stationary sources that commenced construction before the 

major source baseline date, but were not in operation by the applicable minor source baseline date.

(ii) The following will not be included in the baseline concentration and will affect the applicable 

maximum allowable increase(s):

( a ) Actual emissions, as defined in paragraph (b)(21) of this section, from any major stationary 

source on which construction commenced after the major source baseline date; and

( b ) Actual emissions increases and decreases, as defined in paragraph (b)(21) of this section, at any 

stationary source occurring after the minor source baseline date.

(b)(14) Major source 

baseline date

(14)(i) Major source baseline date means:

( a ) In the case of PM10and sulfur dioxide, January 6, 1975;

( b ) In the case of nitrogen dioxide, February 8, 1988; and

( c ) In the case of PM2.5,October 20, 2010.

Paragraph (c)(1) of Rule 

1714 excludes this 

definition, which found in 

40 CFR 52.21(b)(13)(i). 

This definition does not 

pertain to GHGs.

Paragraph (c)(1) of Rule 

1714 excludes this 

definition, which found in 

40 CFR 52.21(b)(14). 

This definition does not 

pertain to GHGs.
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(ii) Minor source baseline date means the earliest date after the trigger date on which a major 

stationary source or a major modification subject to 40 CFR 52.21 or to regulations approved pursuant 

to 40 CFR 51.166 submits a complete application under the relevant regulations. The trigger date is:

( a ) In the case of PM10and sulfur dioxide, August 7, 1977;

( b ) In the case of nitrogen dioxide, February 8, 1988; and

( c ) In the case of PM2.5,October 20, 2011.

(iii) The baseline date is established for each pollutant for which increments or other equivalent 

measures have been established if:

( a ) The area in which the proposed source or modification would construct is designated as 

attainment or unclassifiable under section 107(d)(1)(A)(ii) or (iii) of the Act for the pollutant on the 

date of its complete application under 40 CFR 52.21 or under regulations approved pursuant to 40 

CFR 51.166; and

( b ) In the case of a major stationary source, the pollutant would be emitted in significant amounts, 

or, in the case of a major modification, there would be a significant net emissions increase of the 

pollutant.

(iv) Any minor source baseline date established originally for the TSP increments shall remain in effect 

and shall apply for purposes of determining the amount of available PM–10 increments, except that the 

reviewing authority may rescind any such minor source baseline date where it can be shown, to the 

satisfaction of the reviewing authority, that the emissions increase from the major stationary source, or 

the net emissions increase from the major modification, responsible for triggering that date did not 

result in a significant amount of PM–10 emissions.

(b)(15) Baseline area (15)(i) Baseline area means any intrastate area (and every part thereof) designated as attainment or 

unclassifiable under section 107(d)(1)(A)(ii) or (iii) of the Act in which the major source or major 

modification establishing the minor source baseline date would construct or would have an air quality 

impact for the pollutant for which the baseline date is established, as follows: Equal to or greater than 1 

μg/m3 (annual average) for SO2,NO2, or PM10; or equal or greater than 0.3 μg/m3 (annual average) for 

PM2.5.

(ii) Area redesignations under section 107(d)(1)(A)(ii) or (iii) of the Act cannot intersect or be smaller 

than the area of impact of any major stationary source or major modification which:

( a ) Establishes a minor source baseline date; or

( b ) Is subject to 40 CFR 52.21 or under regulations approved pursuant to 40 CFR 51.166, and 

would be constructed in the same State as the State proposing the redesignation.

(iii) Any baseline area established originally for the TSP increments shall remain in effect and shall apply 

for purposes of determining the amount of available PM–10 increments, except that such baseline area 

shall not remain in effect if the permit authority rescinds the corresponding minor source baseline date 

in accordance with paragraph (b)(14)(iv) of this section.

(b)(16) Allowable 

emissions

(16) Allowable emissions means the emissions rate of a stationary source calculated using the maximum 

rated capacity of the source (unless the source is subject to federally enforceable limits which restrict the 

operating rate, or hours of operation, or both) and the most stringent of the following:

40 CFR 52.21(b)(16)

(i) The applicable standards as set forth in 40 CFR parts 60 and 61; 40 CFR 52.21(b)(16)(i)

Paragraph (c)(1) of Rule 

1714 excludes this 

definition, which found in 

40 CFR 52.21(b)(15). 

This definition does not 

pertain to GHGs.

gp()() 

1714 excludes this 

definition, which found in 

40 CFR 52.21(b)(14). 

This definition does not 

pertain to GHGs.
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(ii) The applicable State Implementation Plan emissions limitation, including those with a future 

compliance date; or

40 CFR 52.21(b)(16)(ii)

(iii) The emissions rate specified as a federally enforceable permit condition. 40 CFR 52.21(b)(16)(iii) - 

also adds the phrase 

"including those with a 

future compliance date". 

The resulting definition is 

at least as stringent than 

the definition in 51.166.

(b)(17) Federally 

enforceable

(17) Federally enforceable means all limitations and conditions which are enforceable by the 

Administrator, including those requirements developed pursuant to 40 CFR parts 60 and 61, requirements 

within any applicable State implementation plan, any permit requirements established pursuant to 40 CFR 

52.21 or under regulations approved pursuant to 40 CFR part 51, subpart I, including operating permits 

issued under an EPA-approved program that is incorporated into the State implementation plan and 

expressly requires adherence to any permit issued under such program.

40 CFR 52.21(b)(17) - 

Rule 1714(c)(2), revises 

the term "Administrator" 

in 40 CFR 52.21(b)(37)(i) 

to mean the "Federal 

Administator" consistent 

with 51.166.

(b)(18) Secondary 

emissions

(18) Secondary emissions means emissions which occur as a result of the construction or operation of a 

major stationary source or major modification, but do not come from the major stationary source or 

major modification itself. For the purposes of this section, secondary emissions must be specific, well 

defined, quantifiable, and impact the same general areas the stationary source modification which causes 

the secondary emissions. Secondary emissions include emissions from any offsite support facility which 

would not be constructed or increase its emissions except as a result of the construction or operation of 

the major stationary source or major modification. Secondary emissions do not include any emissions 

which come directly from a mobile source, such as emissions from the tailpipe of a motor vehicle, from a 

train, or from a vessel.

40 CFR 52.21(b)(18) - 

Wording is slightly 

different, but is at least 

as stringent as the 

definition in 51.166.

(b)(19) Innovative control 

technology

(19) Innovative control technology means any system of air pollution control that has not been 

adequately demonstrated in practice, but would have a substantial likelihood of achieving greater 

continuous emissions reduction than any control system in current practice or of achieving at least 

comparable reductions at lower cost in terms of energy, economics, or nonair quality environmental 

impacts.

40 CFR 52.21(b)(19)

(b)(20) Fugitive emissions (20) Fugitive emissions means those emissions which could not reasonably pass through a stack, 

chimney, vent, or other functionally equivalent opening.

40 CFR 52.21(b)(20)

(b)(21) Actual emissions (21)(i) Actual emissions means the actual rate of emissions of a regulated NSR pollutant from an 

emissions unit, as determined in accordance with paragraphs (b)(21)(ii) through (iv) of this section, 

except that this definition shall not apply for calculating whether a significant emissions increase has 

occurred, or for establishing a PAL under paragraph (w) of this section. Instead, paragraphs (b)(40) and 

(b)(47) of this section shall apply for those purposes.

40 CFR 52.21(b)(21)(i)
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(ii) In general, actual emissions as of a particular date shall equal the average rate, in tons per year, at 

which the unit actually emitted the pollutant during a consecutive 24-month period which precedes the 

particular date and which is representative of normal source operation. The reviewing authority shall 

allow the use of a different time period upon a determination that it is more representative of normal 

source operation. Actual emissions shall be calculated using the unit's actual operating hours, 

production rates, and types of materials processed, stored, or combusted during the selected time 

period.

40 CFR 52.21(b)(21)(ii)

(iii) The reviewing authority may presume that source-specific allowable emissions for the unit are 

equivalent to the actual emissions of the unit.

40 CFR 52.21(b)(21)(iii)

(iv) For any emissions unit that has not begun normal operations on the particular date, actual 

emissions shall equal the potential to emit of the unit on that date.

40 CFR 52.21(b)(21)(iv)

(b)(22) Complete (22) Complete means, in reference to an application for a permit, that the application contains all the 

information necessary for processing the application. Designating an application complete for purposes of 

permit processing does not preclude the reviewing authority from requesting or accepting any additional 

information.

40 CFR 52.21(b)(22) - 

does not include the 

second sentence. 

However, District Rule 

210(b) allows the District 

to request additional 

information while 

processing the 

application. This is an 

existing SIP-approved 

rule applicable to all 

permitting actions.

(b)(23) Significant (23)(i) Significant means, in reference to a net emissions increase or the potential of a source to emit 

any of the following pollutants, a rate of emissions that would equal or exceed any of the following rates:

Pollutant and Emissions Rate

Carbon monoxide: 100 tons per year (tpy)

Nitrogen oxides: 40 tpy

Sulfur dioxide: 40 tpy

Particulate matter: 25 tpy of particulate matter emissions. 15 tpy of PM10emissions

PM2.5: 10 tpy of direct PM2.5emissions; 40 tpy of sulfur dioxide emissions; 40 tpy of nitrogen oxide 

emissions unless demonstrated not to be a PM2.5precursor under paragraph (b)(49) of this section

Ozone: 40 tpy of volatile organic compounds or nitrogen oxides

Lead: 0.6 tpy

Fluorides: 3 tpy

Sulfuric acid mist: 7 tpy

Hydrogen sulfide (H2S): 10 tpy

Total reduced sulfur (including H2S): 10 tpy

Reduced sulfur compounds (including H2S): 10 tpy

40 CFR 52.21(b)(23)(i)
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Municipal waste combustor organics (measured as total tetra-through octa-chlorinated dibenzo-pdioxins and dibenzofurans): 3.2 × 10–−6megagrams per year (3.5 × 10−6tons per year)

Municipal waste combustor metals (measured as particulate matter): 14 megagrams per year (15 

tons per year)

Municipal waste combustor acid gases (measured as sulfur dioxide and hydrogen chloride): 36 

megagrams per year (40 tons per year)

Municipal solid waste landfill emissions (measured as nonmethane organic compounds): 45 

megagrams per year (50 tons per year)

(ii) Significant means, in reference to a net emissions increase or the potential of a source to emit a 

regulated NSR pollutant that paragraph (b)(23)(i) of this section, does not list, any emissions rate.

40 CFR 52.21(b)(23)(ii)

(iii) Notwithstanding paragraph (b)(23)(i) of this section, significant means any emissions rate or any 

net emissions increase associated with a major stationary source or major modification, which would 

construct within 10 kilometers of a Class I area, and have an impact on such area equal to or greater 

than 1 μg/m3 (24-hour average).

40 CFR 52.21(b)(23)(iii)

(b)(24) Federal Land 

Manager

(24) Federal Land Manager means, with respect to any lands in the United States, the Secretary of the 

department with authority over such lands.

40 CFR 52.21(b)(24)

(b)(25) High terrrain (25) High terrain means any area having an elevation 900 feet or more above the base of the stack of a 

source.

40 CFR 52.21(b)(25)

(b)(26) Low terrain (26) Low terrain means any area other than high terrain. 40 CFR 52.21(b)(26)

(b)(27) Indian 

Reservation

(27) Indian Reservation means any federally recognized reservation established by Treaty, Agreement, 

Executive Order, or Act of Congress.

40 CFR 52.21(b)(27)

(b)(28) Indian Governing 

Body

(28) Indian Governing Body means the governing body of any tribe, band, or group of Indians subject to 

the jurisdiction of the United States and recognized by the United States as possessing power of selfgovernment.

40 CFR 52.21(b)(28)

(b)(29) VOC (29) Volatile organic compounds (VOC) is as defined in §51.100(s) of this part. 40 CFR 52.21(b)(30)

(b)(30) Electric utility 

steam generating 

unit

(30) Electric utility steam generating unit means any steam electric generating unit that is constructed 

for the purpose of supplying more than one-third of its potential electric output capacity and more than 

25 MW electrical output to any utility power distribution system for sale. Any steam supplied to a steam 

distribution system for the purpose of providing steam to a steam-electric generator that would produce 

electrical energy for sale is also considered in determining the electrical energy output capacity of the 

affected facility.

40 CFR 52.21(b)(31)

(b)(31) (31) [Reserved]

(b)(32) Replacement unit (32) Replacement unit means an emissions unit for which all the criteria listed in paragraphs (b)(32)(i) 

through (iv) of this section are met. No creditable emission reductions shall be generated from shutting 

down the existing emissions unit that is replaced.

40 CFR 52.21(b)(33)

(i) The emissions unit is a reconstructed unit within the meaning of §60.15(b)(1) of this chapter, or the 

emissions unit completely takes the place of an existing emissions unit.

40 CFR 52.21(b)(33)(i)

(ii) The emissions unit is identical to or functionally equivalent to the replaced emissions unit. 40 CFR 52.21(b)(33)(ii)

(iii) The replacement does not change the basic design parameter(s) (as discussed in paragraph (y)(2) 

of this section) of the process unit.

40 CFR 52.21(b)(33)(iii)
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(iv) The replaced emissions unit is permanently removed from the major stationary source, otherwise 

permanently disabled, or permanently barred from operation by a permit that is enforceable as a 

practical matter. If the replaced emissions unit is brought back into operation, it shall constitute a new 

emissions unit.

40 CFR 52.21(b)(33)(iv)

(b)(33) Clean coal 

technology 

(33) Clean coal technology means any technology, including technologies applied at the precombustion, 

combustion, or post combustion stage, at a new or existing facility which will achieve significant 

reductions in air emissions of sulfur dioxide or oxides of nitrogen associated with the utilization of coal in 

the generation of electricity, or process steam which was not in widespread use as of November 15, 

1990.

40 CFR 52.21(b)(34)

(b)(34) Clean coal 

technology 

demonstration 

project

(34) Clean coal technology demonstration project means a project using funds appropriated under the 

heading ―Department of Energy—Clean Coal Technology‖, up to a total amount of $2,500,000,000 for 

commercial demonstration of clean coal technology, or similar projects funded through appropriations for 

the Environmental Protection Agency. The Federal contribution for a qualifying project shall be at least 20 

percent of the total cost of the demonstration project.

40 CFR 52.21(b)(35)

(b)(35) Temporary clean 

coal technology 

demonstration 

project

(35) Temporary clean coal technology demonstration project means a clean coal technology 

demonstration project that is operated for a period of 5 years or less, and which complies with the State 

implementation plan for the State in which the project is located and other requirements necessary to 

attain and maintain the national ambient air quality standards during and after the project is terminated.

40 CFR 52.21(b)(36)

(b)(36) Repowering (36)(i) Repowering means replacement of an existing coal-fired boiler with one of the following clean coal 

technologies: atmospheric or pressurized fluidized bed combustion, integrated gasification combined 

cycle, magnetohydrodynamics, direct and indirect coal-fired turbines, integrated gasification fuel cells, or 

as determined by the Administrator, in consultation with the Secretary of Energy, a derivative of one or 

more of these technologies, and any other technology capable of controlling multiple combustion 

emissions simultaneously with improved boiler or generation efficiency and with significantly greater 

waste reduction relative to the performance of technology in widespread commercial use as of November 

15, 1990.

40 CFR 52.21(b)(37)(i) - 

Rule 1714(c)(2), revises 

the term "Administrator" 

in 40 CFR 52.21(b)(37)(i) 

to mean the "Federal 

Administator" consistent 

with 51.166.

(ii) Repowering shall also include any oil and/or gas-fired unit which has been awarded clean coal 

technology demonstration funding as of January 1, 1991, by the Department of Energy.

40 CFR 52.21(b)(37)(ii)

(iii) The reviewing authority shall give expedited consideration to permit applications for any source that 

satisfies the requirements of this subsection and is granted an extension under section 409 of the Clean 

Air Act.

40 CFR 52.21(b)(37)(ii)

(b)(37) Reactivation (37) Reactivation of a very clean coal-fired electric utility steam generating unit means any physical 

change or change in the method of operation associated with the commencement of commercial 

operations by a coal-fired utility unit after a period of discontinued operation where the unit:

40 CFR 52.21(b)(38)

(i) Has not been in operation for the two-year period prior to the enactment of the Clean Air Act 

Amendments of 1990, and the emissions from such unit continue to be carried in the permitting 

authority's emissions inventory at the time of enactment;

40 CFR 52.21(b)(38)(i)

(ii) Was equipped prior to shutdown with a continuous system of emissions control that achieves a 

removal efficiency for sulfur dioxide of no less than 85 percent and a removal efficiency for particulates 

of no less than 98 percent;

40 CFR 52.21(b)(38)(ii)

(iii) Is equipped with low-NOXburners prior to the time of commencement of operations following 

reactivation; and

40 CFR 52.21(b)(38)(iii)
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(iv) Is otherwise in compliance with the requirements of the Clean Air Act. 40 CFR 52.21(b)(38)(iv)

(b)(38) Pollution 

prevention

(38) Pollution prevention means any activity that through process changes, product reformulation or 

redesign, or substitution of less polluting raw materials, eliminates or reduces the release of air pollutants 

(including fugitive emissions) and other pollutants to the environment prior to recycling, treatment, or 

disposal; it does not mean recycling (other than certain ―in-process recycling‖ practices), energy 

recovery, treatment, or disposal.

40 CFR 52.21(b)(39)

(b)(39) Significant 

emissions

(39) Significant emissions increase means, for a regulated NSR pollutant, an increase in emissions that is 

significant (as defined in paragraph (b)(23) of this section) for that pollutant.

40 CFR 52.21(b)(4)

(b)(40) Projected actual 

emissions

(40)(i) Projected actual emissions means the maximum annual rate, in tons per year, at which an 

existing emissions unit is projected to emit a regulated NSR pollutant in any one of the 5 years (12-

month period) following the date the unit resumes regular operation after the project, or in any one of 

the 10 years following that date, if the project involves increasing the emissions unit's design capacity or 

its potential to emit that regulated NSR pollutant, and full utilization of the unit would result in a 

significant emissions increase, or a significant net emissions increase at the major stationary source.

40 CFR 52.21(b)(41)(i)

(ii) In determining the projected actual emissions under paragraph (b)(40)(i) of this section (before 

beginning actual construction), the owner or operator of the major stationary source:

40 CFR 52.21(b)(41)(ii)

( a ) Shall consider all relevant information, including but not limited to, historical operational data, 

the company's own representations, the company's expected business activity and the company's 

highest projections of business activity, the company's filings with the State or Federal regulatory 

authorities, and compliance plans under the approved plan; and

40 CFR 

52.21(b)(41)(i)(a )

( b ) Shall include fugitive emissions to the extent quantifiable, and emissions associated with 

startups, shutdowns, and malfunctions; and

40 CFR 

52.21(b)(41)(i)(b )

( c ) Shall exclude, in calculating any increase in emissions that results from the particular project, 

that portion of the unit's emissions following the project that an existing unit could have 

accommodated during the consecutive 24-month period used to establish the baseline actual 

emissions under paragraph (b)(47) of this section and that are also unrelated to the particular 

project, including any increased utilization due to product demand growth; or,

40 CFR 

52.21(b)(41)(i)(c )

( d ) In lieu of using the method set out in paragraphs (b)(40)(ii)( a ) through ( c ) of this section, 

may elect to use the emissions unit's potential to emit, in tons per year, as defined under paragraph 

(b)(4) of this section.

40 CFR 

52.21(b)(41)(i)(d )

(b)(41) (41) [Reserved]
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(b)(42) PSD Program (42) Prevention of Significant Deterioration Program (PSD) program means a major source 

preconstruction permit program that has been approved by the Administrator and incorporated into the 

plan to implement the requirements of this section, or the program in §52.21 of this chapter. Any permit 

issued under such a program is a major NSR permit.

40 CFR 52.21(b)(43) - 

slightly different wording 

but still at least as 

stringent as 51.166 

defintion - In addition, 

Rule 1714(c)(2) revises 

the term "Administrator" 

in 40 CFR 52.21(b)(43) 

to mean the "Federal 

Administator" consistent 

with 51.166.

(b)(43) CEMS (43) Continuous emissions monitoring system (CEMS) means all of the equipment that may be required 

to meet the data acquisition and availability requirements of this section, to sample, condition (if 

applicable), analyze, and provide a record of emissions on a continuous basis.

40 CFR 52.21(b)(44) - 

(b)(44) PEMS (44) Predictive emissions monitoring system (PEMS) means all of the equipment necessary to monitor 

process and control device operational parameters (for example, control device secondary voltages and 

electric currents) and other information (for example, gas flow rate, O2 or CO2 concentrations), and 

calculate and record the mass emissions rate (for example, lb/hr) on a continuous basis.

40 CFR 52.21(b)(45)

(b)(45) CPMS (45) Continuous parameter monitoring system (CPMS) means all of the equipment necessary to meet the 

data acquisition and availability requirements of this section, to monitor process and control device 

operational parameters (for example, control device secondary voltages and electric currents) and other 

information (for example, gas flow rate, O2 or CO2 concentrations), and to record average operational 

parameter value(s) on a continuous basis.

40 CFR 52.21(b)(46)

(b)(46) CERMS (46) Continuous emissions rate monitoring system (CERMS) means the total equipment required for the 

determination and recording of the pollutant mass emissions rate (in terms of mass per unit of time).

40 CFR 52.21(b)(47)

(b)(47) Baseline actual 

emissions

(47) Baseline actual emissions means the rate of emissions, in tons per year, of a regulated NSR 

pollutant, as determined in accordance with paragraphs (b)(47)(i) through (iv) of this section.

40 CFR 52.21(b)(48)

(i) For any existing electric utility steam generating unit, baseline actual emissions means the average 

rate, in tons per year, at which the unit actually emitted the pollutant during any consecutive 24-month 

period selected by the owner or operator within the 5-year period immediately preceding when the 

owner or operator begins actual construction of the project. The reviewing authority shall allow the use 

of a different time period upon a determination that it is more representative of normal source 

operation.

40 CFR 52.21(b)(48)(i)

( a ) The average rate shall include fugitive emissions to the extent quantifiable, and emissions 

associated with startups, shutdowns, and malfunctions.

40 CFR 

52.21(b)(48)(i)(a )

( b ) The average rate shall be adjusted downward to exclude any non-compliant emissions that 

occurred while the source was operating above an emission limitation that was legally enforceable 

during the consecutive 24-month period.

40 CFR 

52.21(b)(48)(i)(b )
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( c ) For a regulated NSR pollutant, when a project involves multiple emissions units, only one 

consecutive 24-month period must be used to determine the baseline actual emissions for the 

emissions units being changed. A different consecutive 24-month period can be used For each 

regulated NSR pollutant.

40 CFR 

52.21(b)(48)(i)(c )

( d ) The average rate shall not be based on any consecutive 24-month period for which there is 

inadequate information for determining annual emissions, in tons per year, and for adjusting this 

amount if required by paragraph (b)(47)(i)( b ) of this section.

40 CFR 

52.21(b)(48)(i)(d )

(ii) For an existing emissions unit (other than an electric utility steam generating unit), baseline actual 

emissions means the average rate, in tons per year, at which the emissions unit actually emitted the 

pollutant during any consecutive 24-month period selected by the owner or operator within the 10-year 

period immediately preceding either the date the owner or operator begins actual construction of the 

project, or the date a complete permit application is received by the reviewing authority for a permit 

required either under this section or under a plan approved by the Administrator, whichever is earlier, 

except that the 10-year period shall not include any period earlier than November 15, 1990.

40 CFR 52.21(b)(48)(ii)

( a ) The average rate shall include fugitive emissions to the extent quantifiable, and emissions 

associated with startups, shutdowns, and malfunctions.

40 CFR 

52.21(b)(48)(ii)(a )

( b ) The average rate shall be adjusted downward to exclude any non-compliant emissions that 

occurred while the source was operating above an emission limitation that was legally enforceable 

during the consecutive 24-month period.

40 CFR 

52.21(b)(48)(ii)(b )

( c ) The average rate shall be adjusted downward to exclude any emissions that would have 

exceeded an emission limitation with which the major stationary source must currently comply, had 

such major stationary source been required to comply with such limitations during the consecutive 24-

month period. However, if an emission limitation is part of a maximum achievable control technology 

standard that the Administrator proposed or promulgated under part 63 of this chapter, the baseline 

actual emissions need only be adjusted if the State has taken credit for such emissions reductions in 

an attainment demonstration or maintenance plan consistent with the requirements of 

§51.165(a)(3)(ii)(G).

40 CFR 

52.21(b)(48)(ii)(c ) - Rule 

1714(c)(2) revises the 

term "Administrator" in 

40 CFR 

52.21(b)(48)(ii)(c ) to 

mean the "Federal 

Administator" consistent 

with 51.166.

( d ) For a regulated NSR pollutant, when a project involves multiple emissions units, only one 

consecutive 24-month period must be used to determine the baseline actual emissions for the 

emissions units being changed. A different consecutive 24-month period can be used For each 

regulated NSR pollutant.

40 CFR 

52.21(b)(48)(ii)(d )

( e ) The average rate shall not be based on any consecutive 24-month period for which there is 

inadequate information for determining annual emissions, in tons per year, and for adjusting this 

amount if required by paragraphs (b)(47)(ii)(b) and (c) of this section.

40 CFR 

52.21(b)(48)(ii)(e )

(iii) For a new emissions unit, the baseline actual emissions for purposes of determining the emissions 

increase that will result from the initial construction and operation of such unit shall equal zero; and 

thereafter, for all other purposes, shall equal the unit's potential to emit.

40 CFR 52.21(b)(48)(iii)
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(iv) For a PAL for a stationary source, the baseline actual emissions shall be calculated for existing 

electric utility steam generating units in accordance with the procedures contained in paragraph 

(b)(47)(i) of this section, for other existing emissions units in accordance with the procedures contained 

in paragraph (b)(47)(ii) of this section, and for a new emissions unit in accordance with the procedures 

contained in paragraph (b)(47)(iii) of this section.

40 CFR 52.21(b)(48)(iv)

(b)(48) Subject to 

regulation

(48) Subject to regulation means, for any air pollutant, that the pollutant is subject to either a provision 

in the Clean Air Act, or a nationally-applicable regulation codified by the Administrator in subchapter C of 

this chapter, that requires actual control of the quantity of emissions of that pollutant, and that such a 

control requirement has taken effect and is operative to control, limit or restrict the quantity of emissions 

of that pollutant released from the regulated activity. Except that:

40 CFR 52.21(b)(49) 

(i) Greenhouse gases (GHGs), the air pollutant defined in §86.1818–12(a) of this chapter as the 

aggregate group of six greenhouse gases: Carbon dioxide, nitrous oxide, methane, hydrofluorocarbons, 

perfluorocarbons, and sulfur hexafluoride, shall not be subject to regulation except as provided in 

paragraphs (b)(48)(iv) through (v) of this section.

40 CFR 52.21(b)(49)(i)

(ii) For purposes of paragraphs (b)(48)(iii) through (v) of this section, the term tpy CO 2 equivalent 

emissions (CO 2 e) shall represent an amount of GHGs emitted, and shall be computed as follows:

40 CFR 52.21(b)(49)(ii)

(a) Multiplying the mass amount of emissions (tpy), for each of the six greenhouse gases in the 

pollutant GHGs, by the gas's associated global warming potential published at Table A–1 to subpart A 

of part 98 of this chapter—Global Warming Potentials. For purposes of this paragraph (b)(48)(ii)(a), 

prior to July 21, 2014, the mass of the greenhouse gas carbon dioxide shall not include carbon 

dioxide emissions resulting from the combustion or decomposition of non-fossilized and biodegradable 

40 CFR 

52.21(b)(49)(ii)(a )

( b ) Sum the resultant value from paragraph (b)(48)(ii)( a ) of this section for each gas to compute 

a tpy CO2e.

40 CFR 

52.21(b)(49)(ii)(b )

(iii) The term emissions increase as used in paragraphs (b)(48)(iv) through (v) of this section shall 

mean that both a significant emissions increase (as calculated using the procedures in (a)(7)(iv) of this 

section) and a significant net emissions increase (as defined in paragraphs (b)(3) and (b)(23) of this 

section) occur. For the pollutant GHGs, an emissions increase shall be based on tpy CO2e, and shall be 

calculated assuming the pollutant GHGs is a regulated NSR pollutant, and ―significant‖ is defined as 

75,000 tpy CO2e instead of applying the value in paragraph (b)(23)(ii) of this section.

40 CFR 52.21(b)(49)(iii)

(iv) Beginning January 2, 2011, the pollutant GHGs is subject to regulation if: 40 CFR 52.21(b)(49)(iv)

( a ) The stationary source is a new major stationary source for a regulated NSR pollutant that is not 

GHGs, and also will emit or will have the potential to emit 75,000 tpy CO2e or more; or

40 CFR 

52.21(b)(49)(iv)(a )

( b ) The stationary source is an existing major stationary source for a regulated NSR pollutant that is 

not GHGs, and also will have an emissions increase of a regulated NSR pollutant, and an emissions 

increase of 75,000 tpy CO2e or more; and,

40 CFR 

52.21(b)(49)(iv)(b )

(v) Beginning July 1, 2011, in addition to the provisions in paragraph (b)(48)(iv) of this section, the 

pollutant GHGs shall also be subject to regulation:

40 CFR 52.21(b)(49)(v)

( a ) At a new stationary source that will emit or have the potential to emit 100,000 tpy CO2e; or 40 CFR 

52.21(b)(49)(v)(a )
Attachment 6 Requirements for a SIP Approved PSD Program in 40 CFR 51.166 and How those Requirements are met by 

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( b ) At an existing stationary source that emits or has the potential to emit 100,000 tpy CO2e, when 

such stationary source undertakes a physical change or change in the method of operation that will 

result in an emissions increase of 75,000 tpy CO2e or more.

40 CFR 

52.21(b)(49)(v)(b )

(b)(49) Regulated NSR 

pollutant

(49) Regulated NSR pollutant, for purposes of this section, means the following: 40 CFR 52.21(b)(50)

(i) Any pollutant for which a national ambient air quality standard has been promulgated and any 

pollutant identified under this paragraph (b)(49)(i) as a constituent or precursor to such pollutant. 

Precursors identified by the Administrator for purposes of NSR are the following:

40 CFR 52.21(b)(50)(i) - 

Rule 1714(c)(2) revises 

the term "Administrator" 

in 40 CFR 52.21(b)(50)(i) 

( a ) Volatile organic compounds and nitrogen oxides are precursors to ozone in all attainment and 

unclassifiable areas.

40 CFR 

52.21(b)(50)(i)(a )

( b ) Sulfur dioxide is a precursor to PM2.5in all attainment and unclassifiable areas. 40 CFR 

52.21(b)(50)(i)(b )

( c ) Nitrogen oxides are presumed to be precursors to PM2.5in all attainment and unclassifiable areas, 

unless the State demonstrates to the Administrator's satisfaction or EPA demonstrates that emissions 

of nitrogen oxides from sources in a specific area are not a significant contributor to that area's 

ambient PM2.5concentrations.

40 CFR 

52.21(b)(50)(i)(c )

( d ) Volatile organic compounds are presumed not to be precursors to PM2.5in any attainment or 

unclassifiable area, unless the State demonstrates to the Administrator's satisfaction or EPA 

demonstrates that emissions of volatile organic compounds from sources in a specific area are a 

40 CFR 

52.21(b)(50)(i)(d )

(ii) Any pollutant that is subject to any standard promulgated under section 111 of the Act; 40 CFR 52.21(b)(50)(ii)

(iii) Any Class I or II substance subject to a standard promulgated under or established by title VI of 

the Act;

40 CFR 52.21(b)(50)(iii)

(iv) Any pollutant that otherwise is subject to regulation under the Act as defined in paragraph (b)(48) 

of this section.

40 CFR 52.21(b)(50)(iv)

(v) Notwithstanding paragraphs (b)(49)(i) through (iv) of this section, the term regulated NSR pollutant 

shall not include any or all hazardous air pollutants either listed in section 112 of the Act, or added to 

the list pursuant to section 112(b)(2) of the Act, and which have not been delisted pursuant to section 

112(b)(3) of the Act, unless the listed hazardous air pollutant is also regulated as a constituent or 

precursor of a general pollutant listed under section 108 of the Act.

40 CFR 52.21(b)(50)(v)
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(vi) Particulate matter (PM) emissions, PM2.5emissions, and PM10emissions shall include gaseous 

emissions from a source or activity which condense to form particulate matter at ambient temperatures. 

On or after January 1, 2011 (or any earlier date established in the upcoming rulemaking codifying test 

methods), such condensable particulate matter shall be accounted for in applicability determinations 

and in establishing emissions limitations for PM, PM2.5and PM10in PSD permits. Compliance with 

emissions limitations for PM, PM2.5and PM10issued prior to this date shall not be based on condensable 

particular matter unless required by the terms and conditions of the permit or the applicable 

implementation plan. Applicability determinations made prior to this date without accounting for 

condensable particular matter shall not be considered in violation of this section unless the applicable 

implementation plan required condensable particular matter to be included.

40 CFR 52.21(b)(50)(vi)

(b)(50) Reviewing 

authority

(50) Reviewing authority means the State air pollution control agency, local agency, other State agency, 

Indian tribe, or other agency authorized by the Administrator to carry out a permit program under 

§51.165 and this section, or the Administrator in the case of EPA-implemented permit programs under 

§52.21 of this chapter.

40 CFR 52.21(b)(51) - 

Rule 1714(c)(2) revises 

the term "Administrator" 

in 40 CFR 52.21(b)(51) 

to mean the "Federal 

Administator" as 

consistent with 51.166.

(b)(51) Project (51) Project means a physical change in, or change in method of operation of, an existing major 

stationary source.

40 CFR 52.21(b)(52)

(b)(52) LAER (52) Lowest achievable emission rate (LAER) is as defined in §51.165(a)(1)(xiii). 40 CFR 52.21(b)(53)

(b)(53) Process unit (53)(i) In general, process unit means any collection of structures and/or equipment that processes, 

assembles, applies, blends, or otherwise uses material inputs to produce or store an intermediate or a 

completed product. A single stationary source may contain more than one process unit, and a process 

unit may contain more than one emissions unit.

(ii) Pollution control equipment is not part of the process unit, unless it serves a dual function as both 

process and control equipment. Administrative and warehousing facilities are not part of the process 

unit.

(iii) For replacement cost purposes, components shared between two or more process units are 

proportionately allocated based on capacity.

(iv) The following list identifies the process units at specific categories of stationary sources.

( a ) For a steam electric generating facility, the process unit consists of those portions of the plant 

that contribute directly to the production of electricity. For example, at a pulverized coal-fired facility, 

the process unit would generally be the combination of those systems from the coal receiving 

equipment through the emission stack (excluding post-combustion pollution controls), including the 

coal handling equipment, pulverizers or coal crushers, feedwater heaters, ash handling, boiler, 

burners, turbine-generator set, condenser, cooling tower, water treatment system, air preheaters, 

and operating control systems. Each separate generating unit is a separate process unit.

40 CFR 52.21(b)(55) - 

But excluded from Rule 

1714(c)(1). These 

provisions were stayed 

indefinitely by the DC 

Circuit Court on 

December 24, 2003 and 

are not needed for a PSD 

program.
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( b ) For a petroleum refinery, there are several categories of process units: those that separate 

and/or distill petroleum feedstocks; those that change molecular structures; petroleum treating 

processes; auxiliary facilities, such as steam generators and hydrogen production units; and those 

that load, unload, blend or store intermediate or completed products.

( c ) For an incinerator, the process unit would consist of components from the feed pit or refuse pit 

to the stack, including conveyors, combustion devices, heat exchangers and steam generators, 

quench tanks, and fans.

Note to paragraph (b)(53): By a court order on December 24, 2003, this paragraph (b)(53) is stayed 

indefinitely. The stayed provisions will become effective immediately if the court terminates the stay. 

At that time, EPA will publish a document in the Federal Register advising the public of the 

termination of the stay.

(b)(54) Functionally 

equivalent 

component

(54) Functionally equivalent component means a component that serves the same purpose as the 

replaced component.

Note to paragraph (b)(54): By a court order on December 24, 2003, this paragraph (b)(54) is stayed 

indefinitely. The stayed provisions will become effective immediately if the court terminates the stay. At 

that time, EPA will publish a document in the Federal Register advising the public of the termination of 

the stay.

(b)(55) Fixed capital cost (55) Fixed capital cost means the capital needed to provide all the depreciable components. ―Depreciable 

components‖ refers to all components of fixed capital cost and is calculated by subtracting land and 

working capital from the total capital investment, as defined in paragraph (b)(56) of this section.

Note to paragraph (b)(55): By a court order on December 24, 2003, this paragraph (b)(55) is stayed 

indefinitely. The stayed provisions will become effective immediately if the court terminates the stay. At 

that time, EPA will publish a document in the Federal Register advising the public of the termination of 

the stay.

(b)(56) Total capital 

investment

(56) Total capital investment means the sum of the following: all costs required to purchase needed 

process equipment (purchased equipment costs); the costs of labor and materials for installing that 

equipment (direct installation costs); the costs of site preparation and buildings; other costs such as 

Note to paragraph (b)(56): By a court order on December 24, 2003, this paragraph (b)(56) is stayed 

indefinitely. The stayed provisions will become effective immediately if the court terminates the stay. At 

that time, EPA will publish a document in the Federal Register advising the public of the termination of 

the stay.

(c ) Ambient air 

increments and 

other measures

(c) Ambient air increments and other measures. 

(1) The plan shall contain emission limitations and such other measures as may be necessary to assure 

that in areas designated as Class I, II, or III, increases in pollutant concentrations over the baseline 

concentration shall be limited to the following:

See Table in 40 CFR 51.166(c)(1)

For any period other than an annual period, the applicable maximum allowable increase may be exceeded 

during one such period per year at any one location.

Paragraph (c)(1) of Rule 

1714 excludes this 

definition, which found in 

40 CFR 52.21(c ). This 

requirement does not 

apply to GHGs, only 

pollutants with a NAAQS

40 CFR 52.21(b)(58) - 

But excluded from Rule 

1714(c)(1). These 

provisions were stayed 

indefinitely by the DC 

Circuit Court on 

December 24, 2003 and 

40 CFR 52.21(b)(57) - 

But excluded from Rule 

1714(c)(1). These 

provisions were stayed 

indefinitely by the DC 

Circuit Court on 

December 24, 2003 and 

are not needed for a PSD 

program

40 CFR 52.21(b)(56) - 

But excluded from Rule 

1714(c)(1). These 

provisions were stayed 

indefinitely by the DC 

Circuit Court on 

December 24, 2003 and 

are not needed for a PSD 

program
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(2) Where the State can demonstrate that it has alternative measures in its plan other than maximum 

allowable increases as defined under paragraph (c)(1) of this section, that satisfy the requirements in 

sections 166(c) and 166(d) of the Clean Air Act for a regulated NSR pollutant for which the Administrator 

has established maximum allowable increases pursuant to section 166(a) of the Act, the requirements for 

maximum allowable increases for that pollutant under paragraph (c)(1) of this section shall not apply 

upon approval of the plan by the Administrator. The following regulated NSR pollutants are eligible for 

such treatment:

(i) Nitrogen dioxide.

(ii) PM2.5.

(d) Ambient air 

ceilings

(d) Ambient air ceilings. The plan shall provide that no concentration of a pollutant shall exceed:

(1) The concentration permitted under the national secondary ambient air quality standard, or

(2) The concentration permitted under the national primary ambient air quality standard, whichever 

concentration is lowest for the pollutant for a period of exposure.

(e) Restrictions on 

area 

classifications

(e) Restrictions on area classifications. The plan shall provide that—

(1) All of the following areas which were in existence on August 7, 1977, shall be Class I areas and may 

not be redesignated:

(i) International parks,

(ii) National wilderness areas which exceed 5,000 acres in size,

(iii) National memorial parks which exceed 5,000 acres in size, and

(iv) National parks which exceed 6,000 acres in size.

(2) Areas which were redesignated as Class I under regulations promulgated before August 7, 1977, shall 

remain Class I, but may be redesignated as provided in this section.

(3) Any other area, unless otherwise specified in the legislation creating such an area, is initially 

designated Class II, but may be redesignated as provided in this section.

(4) The following areas may be redesignated only as Class I or II:

(i) An area which as of August 7, 1977, exceeded 10,000 acres in size and was a national monument, a 

national primitive area, a national preserve, a national recreational area, a national wild and scenic 

river, a national wildlife refuge, a national lakeshore or seashore; and

(ii) A national park or national wilderness area established after August 7, 1977, which exceeds 10,000 

acres in size.

(f) Exclusions from 

increment 

consumption

(f) Exclusions from increment consumption.

(1) The plan may provide that the following concentrations shall be excluded in determining compliance 

with a maximum allowable increase:

Not included in 40 CFR 

52.21 or Rule 1714. 

These provisions are not 

required for a PSD 

program because 40 CFR 

51.166(f)(1) states that 

the plan "may" provide 

these exclusions. 

Paragraphs (2)-(4) only 

apply if the plan provides 

for the exclusions in 

paragraph (1).

Paragraph (c)(1) of Rule 

1714 excludes this 

definition, which found in 

40 CFR 52.21(e). This 

requirement does not 

apply to GHGs, since area 

classifications are used 

for pollutants subject to a 

NAAQS

Paragraph (c)(1) of Rule 

1714 excludes this 

definition, which found in 

40 CFR 52.21(d). This 

requirement does apply 

to GHGs, only pollutants 

with a NAAQS

()

requirement does not 

apply to GHGs, only 

pollutants with a NAAQS
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(i) Concentrations attributable to the increase in emissions from stationary sources which have 

converted from the use of petroleum products, natural gas, or both by reason of an order in effect 

under section 2 (a) and (b) of the Energy Supply and Environmental Coordination Act of 1974 (or any 

superseding legislation) over the emissions from such sources before the effective date of such an 

order;

(ii) Concentrations attributable to the increase in emissions from sources which have converted from 

using natural gas by reason of natural gas curtailment plan in effect pursuant to the Federal Power Act 

over the emissions from such sources before the effective date of such plan;

(iii) Concentrations of particulate matter attributable to the increase in emissions from construction or 

other temporary emission-related activities of new or modified sources;

(iv) The increase in concentrations attributable to new sources outside the United States over the 

concentrations attributable to existing sources which are included in the baseline concentration; and

(v) Concentrations attributable to the temporary increase in emissions of sulfur dioxide, particulate 

matter, or nitrogen oxides from stationary sources which are affected by plan revisions approved by the 

Administrator as meeting the criteria specified in paragraph (f)(4) of this section.

(2) If the plan provides that the concentrations to which paragraph (f)(1) (i) or (ii) of this section, refers 

shall be excluded, it shall also provide that no exclusion of such concentrations shall apply more than five 

years after the effective date of the order to which paragraph (f)(1)(i) of this section, refers or the plan to 

which paragraph (f)(1)(ii) of this section, refers, whichever is applicable. If both such order and plan are 

applicable, no such exclusion shall apply more than five years after the later of such effective dates.

(3) [Reserved]

(4) For purposes of excluding concentrations pursuant to paragraph (f)(1)(v) of this section, the 

Administrator may approve a plan revision that:

(i) Specifies the time over which the temporary emissions increase of sulfur dioxide, particulate matter, 

or nitrogen oxides would occur. Such time is not to exceed 2 years in duration unless a longer time is 

approved by the Administrator.

(ii) Specifies that the time period for excluding certain contributions in accordance with paragraph 

(f)(4)(i) of this section, is not renewable;

(iii) Allows no emissions increase from a stationary source which would:

( a ) Impact a Class I area or an area where an applicable increment is known to be violated; or

( b ) Cause or contribute to the violation of a national ambient air quality standard;

(iv) Requires limitations to be in effect the end of the time period specified in accordance with 

paragraph (f)(4)(i) of this section, which would ensure that the emissions levels from stationary sources 

affected by the plan revision would not exceed those levels occurring from such sources before the plan 

revision was approved.

(g) Redesignation (g) Redesignation. 40 CFR 52.21(g) - But, 

District Rule 1714(c)(1) 

excludes these provisions 

regarding redesignations. 

This requirement does 

not apply to GHGs, since 

area classifications are 

used for pollutants 

subject to a NAAQS.

Not included in 40 CFR 

52.21 or Rule 1714. 

These provisions are not 

required for a PSD 

program because 40 CFR 

51.166(f)(1) states that 

the plan "may" provide 

these exclusions. 

Paragraphs (2)-(4) only 

apply if the plan provides 

for the exclusions in 

paragraph (1).
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(1) The plan shall provide that all areas of the State (except as otherwise provided under paragraph (e) 

of this section) shall be designated either Class I, Class II, or Class III. Any designation other than Class 

II shall be subject to the redesignation procedures of this paragraph. Redesignation (except as otherwise 

precluded by paragraph (e) of this section) may be proposed by the respective States or Indian 

Governing Bodies, as provided below, subject to approval by the Administrator as a revision to the 

applicable State implementation plan.

(2) The plan may provide that the State may submit to the Administrator a proposal to redesignate areas 

of the State Class I or Class II: Provided, That:

(i) At least one public hearing has been held in accordance with procedures established in §51.102.

(ii) Other States, Indian Governing Bodies, and Federal Land Managers whose lands may be affected by 

the proposed redesignation were notified at least 30 days prior to the public hearing;

(iii) A discussion of the reasons for the proposed redesignation, including a satisfactory description and 

analysis of the health, environmental, economic, social, and energy effects of the proposed 

redesignation, was prepared and made available for public inspection at least 30 days prior to the 

hearing and the notice announcing the hearing contained appropriate notification of the availability of 

such discussion;

(iv) Prior to the issuance of notice respecting the redesignation of an area that includes any Federal 

lands, the State has provided written notice to the appropriate Federal Land Manager and afforded 

adequate opportunity (not in excess of 60 days) to confer with the State respecting the redesignation 

and to submit written comments and recommendations. In redesignating any area with respect to which 

any Federal Land Manager had submitted written comments and recommendations, the State shall have 

published a list of any inconsistency between such redesignation and such comments and 

recommendations (together with the reasons for making such redesignation against the 

recommendation of the Federal Land Manager); and

(v) The State has proposed the redesignation after consultation with the elected leadership of local and 

other substate general purpose governments in the area covered by the proposed redesignation.

(3) The plan may provide that any area other than an area to which paragraph (e) of this section refers 

may be redesignated as Class III if—

(i) The redesignation would meet the requirements of provisions established in accordance with 

paragraph (g)(2) of this section;

(ii) The redesignation, except any established by an Indian Governing Body, has been specifically 

approved by the Governor of the State, after consultation with the appropriate committees of the 

legislature, if it is in session, or with the leadership of the legislature, if it is not in session (unless State 

law provides that such redesignation must be specifically approved by State legislation) and if general 

purpose units of local government representing a majority of the residents of the area to be 

redesignated enact legislation (including resolutions where appropriate) concurring in the redesignation;

(iii) The redesignation would not cause, or contribute to, a concentration of any air pollutant which 

would exceed any maximum allowable increase permitted under the classification of any other area or 

any national ambient air quality standard; and

40 CFR 52.21(g) - But, 

District Rule 1714(c)(1) 

excludes these provisions 

regarding redesignations. 

This requirement does 

not apply to GHGs, since 

area classifications are 

used for pollutants 

subject to a NAAQS.
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(iv) Any permit application for any major stationary source or major modification subject to provisions 

established in accordance with paragraph (l) of this section which could receive a permit only if the area 

in question were redesignated as Class III, and any material submitted as part of that application, were 

available, insofar as was practicable, for public inspection prior to any public hearing on redesignation of 

any area as Class III.

(4) The plan shall provide that lands within the exterior boundaries of Indian Reservations may be 

redesignated only by the appropriate Indian Governing Body. The appropriate Indian Governing Body 

may submit to the Administrator a proposal to redesignate areas Class I, Class II, or Class III: Provided, 

That:

(i) The Indian Governing Body has followed procedures equivalent to those required of a State under 

paragraphs (g) (2), (3)(iii), and (3)(iv) of this section; and

(ii) Such redesignation is proposed after consultation with the State(s) in which the Indian Reservation 

is located and which border the Indian Reservation.

(5) The Administrator shall disapprove, within 90 days of submission, a proposed redesignation of any 

area only if he finds, after notice and opportunity for public hearing, that such redesignation does not 

meet the procedural requirements of this section or is inconsistent with paragraph (e) of this section. If 

any such disapproval occurs, the classification of the area shall be that which was in effect prior to the 

redesignation which was disapproved.

(6) If the Administrator disapproves any proposed area designation, the State or Indian Governing Body, 

as appropriate, may resubmit the proposal after correcting the deficiencies noted by the Administrator.

(h) Stack heights (h) Stack heights. The plan shall provide, as a minimum, that the degree of emission limitation required 

for control of any air pollutant under the plan shall not be affected in any manner by—

(1) So much of a stack height, not in existence before December 31, 1970, as exceeds good engineering 

practice, or

(2) Any other dispersion technique not implemented before then.

(i) Exemptions (i) Exemptions. 40 CFR 52.21(i)

(1) The plan may provide that requirements equivalent to those contained in paragraphs (j) through (r) of 

this section do not apply to a particular major stationary source or major modification if:

40 CFR 52.21(i)(1)

(i) The major stationary source would be a nonprofit health or nonprofit educational institution or a 

major modification that would occur at such an institution; or

40 CFR 52.21(i)(1)(vi)

(ii) The source or modification would be a major stationary source or major modification only if fugitive 

emissions, to the extent quantifiable, are considered in calculating the potential to emit of the stationary 

source or modification and such source does not belong to any of the following categories:

( a ) Coal cleaning plants (with thermal dryers);

( b ) Kraft pulp mills;

( c ) Portland cement plants;

( d ) Primary zinc smelters;

40 CFR 52.21(i)(1)(vii)

Paragraph (c)(1) of Rule 

1714 excludes this 

definition, which found in 

40 CFR 52.21(h). These 

requirements on stack 

heights do not pertain to 

GHGs since GHG 

emissions are not 

modeled.
Attachment 6 Requirements for a SIP Approved PSD Program in 40 CFR 51.166 and How those Requirements are met by 

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( e ) Iron and steel mills;

( f ) Primary aluminum ore reduction plants;

( g ) Primary copper smelters;

( h ) Municipal incinerators capable of charging more than 250 tons of refuse per day;

( i ) Hydrofluoric, sulfuric, or nitric acid plants;

( j ) Petroleum refineries;

( k ) Lime plants;

( l ) Phosphate rock processing plants;

( m ) Coke oven batteries;

( n ) Sulfur recovery plants;

( o ) Carbon black plants (furnace process);

( p ) Primary lead smelters;

( q ) Fuel conversion plants;

( r ) Sintering plants;

( s ) Secondary metal production plants;

( t ) Chemical process plants—The term chemical processing plant shall not include ethanol 

production facilities that produce ethanol by natural fermentation included in NAICS codes 325193 or 

312140;

( u ) Fossil-fuel boilers (or combination thereof) totaling more than 250 million British thermal units 

per hour heat input;

( v ) Petroleum storage and transfer units with a total storage capacity exceeding 300,000 barrels;

( w ) Taconite ore processing plants;

( x ) Glass fiber processing plants;

( y ) Charcoal production plants;

( z ) Fossil fuel-fired steam electric plants of more than 250 million British thermal units per hour heat 

input;

( aa ) Any other stationary source category which, as of August 7, 1980, is being regulated under 

section 111 or 112 of the Act; or

(iii) The source or modification is a portable stationary source which has previously received a permit 

under requirements equivalent to those contained in paragraphs (j) through (r) of this section, if:

40 CFR 52.21(i)(1)(viii)

( a ) The source proposes to relocate and emissions of the source at the new location would be 

temporary; and

40 CFR 

52.21(i)(1)(viii)(a )

( b ) The emissions from the source would not exceed its allowable emissions; and 40 CFR 

52.21(i)(1)(viii)(b )
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( c ) The emissions from the source would impact no Class I area and no area where an applicable 

increment is known to be violated; and

40 CFR 

52.21(i)(1)(viii)(c )

( d ) Reasonable notice is given to the reviewing authority prior to the relocation identifying the 

proposed new location and the probable duration of operation at the new location. Such notice shall 

be given to the reviewing authority not less than 10 days in advance of the proposed relocation unless 

a different time duration is previously approved by the reviewing authority.

40 CFR 

52.21(i)(1)(viii)(d )

(2) The plan may provide that requirements equivalent to those contained in paragraphs (j) through (r) of 

this section do not apply to a major stationary source or major modification with respect to a particular 

pollutant if the owner or operator demonstrates that, as to that pollutant, the source or modification is 

located in an area designated as nonattainment under section 107 of the Act.

40 CFR 52.21(i)(2)

(3) The plan may provide that requirements equivalent to those contained in paragraphs (k), (m), and (o) 

of this section do not apply to a proposed major stationary source or major modification with respect to a 

particular pollutant, if the allowable emissions of that pollutant from a new source, or the net emissions 

increase of that pollutant from a modification, would be temporary and impact no Class I area and no 

area where an applicable increment is known to be violated.

40 CFR 52.21(i)(3)

(4) The plan may provide that requirements equivalent to those contained in paragraphs (k), (m), and (o) 

of this section as they relate to any maximum allowable increase for a Class II area do not apply to a 

modification of a major stationary source that was in existence on March 1, 1978, if the net increase in 

allowable emissions of each a regulated NSR pollutant from the modification after the application of best 

available control technology would be less than 50 tons per year.

40 CFR 52.21(i)(4)

(5) The plan may provide that the reviewing authority may exempt a proposed major stationary source or 

major modification from the requirements of paragraph (m) of this section, with respect to monitoring for 

a particular pollutant, if:

40 CFR 52.21(i)(5)

(i) The emissions increase of the pollutant from a new stationary source or the net emissions increase 

of the pollutant from a modification would cause, in any area, air quality impacts less than the following 

amounts:

( a ) Carbon monoxide—575 ug/m3 , 8-hour average;

( b ) Nitrogen dioxide—14 ug/m3 , annual average;

( c ) PM2.5–4 μg/m3 , 24-hour average;

( d ) PM10–10 μg/m3 , 24-hour average;

( e ) Sulfur dioxide—13 ug/m3 , 24-hour average;

( f ) Ozone;1

1

 No de minimis air quality level is provided for ozone. However, any net emissions increase of 100 

tons per year or more of volatile organic compounds or nitrogen oxides subject to PSD would be 

( g ) Lead—0.1 μg/m3 , 3-month average.

( h ) Fluorides—0.25 μg/m3 , 24-hour average;

( i ) Total reduced sulfur—10 μg/m3 , 1-hour average

( j ) Hydrogen sulfide—0.2 μg/m3 , 1-hour average;

( k ) Reduced sulfur compounds—10 μg/m3 , 1-hour average; or

40 CFR 52.21(i)(5)(i)
Attachment 6 Requirements for a SIP Approved PSD Program in 40 CFR 51.166 and How those Requirements are met by 

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(ii) The concentrations of the pollutant in the area that the source or modification would affect are less 

than the concentrations listed in paragraph (i)(5)(i) of this section; or

40 CFR 52.21(i)(5)(ii)

(iii) The pollutant is not listed in paragraph (i)(5)(i) of this section. 40 CFR 52.21(i)(5)(iii)

(6) If EPA approves a plan revision under 40 CFR 51.166 as in effect before August 7, 1980, any 

subsequent revision which meets the requirements of this section may contain transition provisions which 

parallel the transition provisions of 40 CFR 52.21(i)(9), (i)(10) and (m)(1)(v) as in effect on that date, 

which provisions relate to requirements for best available control technology and air quality analyses. Any 

such subsequent revision may not contain any transition provision which in the context of the revision 

would operate any less stringently than would its counterpart in 40 CFR 52.21.

(7) If EPA approves a plan revision under §51.166 as in effect [before July 31, 1987], any subsequent 

revision which meets the requirements of this section may contain transition provisions which parallel the 

transition provisions of §52.21 (i)(11), and (m)(1) (vii) and (viii) of this chapter as in effect on that date, 

these provisions being related to monitoring requirements for particulate matter. Any such subsequent 

revision may not contain any transition provision which in the context of the revision would operate any 

less stringently than would its counterpart in §52.21 of this chapter.

(8) The plan may provide that the permitting requirements equivalent to those contained in paragraph 

(k)(1)(ii) of this section do not apply to a stationary source or modification with respect to any maximum 

allowable increase for nitrogen oxides if the owner or operator of the source or modification submitted an 

application for a permit under the applicable permit program approved or promulgated under the Act 

before the provisions embodying the maximum allowable increase took effect as part of the plan and the 

permitting authority subsequently determined that the application as submitted before that date was 

complete.

40 CFR 52.21(i)(9)

(9) The plan may provide that the permitting requirements equivalent to those contained in paragraph 

(k)(1)(ii) of this section shall not apply to a stationary source or modification with respect to any 

maximum allowable increase for PM–10 if (i) the owner or operator of the source or modification 

submitted an application for a permit under the applicable permit program approved under the Act before 

the provisions embodying the maximum allowable increases for PM–10 took effect as part of the plan, 

and (ii) the permitting authority subsequently determined that the application as submitted before that 

date was complete. Instead, the applicable requirements equivalent to paragraph (k)(1)(ii) shall apply 

with respect to the maximum allowable increases for TSP as in effect on the date the application was 

submitted.

40 CFR 52.21(i)(10)

(j) Control 

technology review

(j) Control technology review. The plan shall provide that: 40 CFR 52.21(j)

(1) A major stationary source or major modification shall meet each applicable emissions limitation under 

the State Implementation Plan and each applicable emission standards and standard of performance 

under 40 CFR parts 60 and 61.

40 CFR 52.21

(2) A new major stationary source shall apply best available control technology for each a regulated NSR 

pollutant that it would have the potential to emit in significant amounts.

40 CFR 52.21

(3) A major modification shall apply best available control technology for each a regulated NSR pollutant 

for which it would be a significant net emissions increase at the source. This requirement applies to each 

proposed emissions unit at which a net emissions increase in the pollutant would occur as a result of a 

physical change or change in the method of operation in the unit.

40 CFR 52.21

District Rule 1714(c)(1) 

excludes the related 

provisions in 40 CFR 

52.21(i)(1)(i-v, ix-x) and 

40 CFR 52.21(i)(6-8). A 

plan "may" provide for 

these exemptions.
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(4) For phased construction projects, the determination of best available control technology shall be 

reviewed and modified as appropriate at the least reasonable time which occurs no later than 18 months 

prior to commencement of construction of each independent phase of the project. At such time, the 

owner or operator of the applicable stationary source may be required to demonstrate the adequacy of 

any previous determination of best available control technology for the source.

40 CFR 52.21

(k) Source impact 

analysis

(k) Source impact analysis —

(1) Required demonstration. The plan shall provide that the owner or operator of the proposed source or 

modification shall demonstrate that allowable emission increases from the proposed source or 

modification, in conjunction with all other applicable emissions increases or reduction (including 

secondary emissions), would not cause or contribute to air pollution in violation of:

(i) Any national ambient air quality standard in any air quality control region; or

(ii) Any applicable maximum allowable increase over the baseline concentration in any area.

(2) Significant impact levels. The plan may provide that, for purposes of PM2.5, the demonstration 

required in paragraph (k)(1) of this section is deemed to have been made if the emissions increase from 

the new stationary source alone or from the modification alone would cause, in all areas, air quality 

impacts less than the following amounts:

See Table 2 below.

(l) Air quality models (l) Air quality models. The plan shall provide for procedures which specify that—

(1) All applications of air quality modeling involved in this subpart shall be based on the applicable 

models, data bases, and other requirements specified in appendix W of this part (Guideline on Air Quality 

Models).

(2) Where an air quality model specified in appendix W of this part (Guideline on Air Quality Models) is 

inappropriate, the model may be modified or another model substituted. Such a modification or 

substitution of a model may be made on a case-by-case basis or, where appropriate, on a generic basis 

for a specific State program. Written approval of the Administrator must be obtained for any modification 

or substitution. In addition, use of a modified or substituted model must be subject to notice and 

opportunity for public comment under procedures set forth in §51.102.

(m) Air quality 

analysis

(m) Air quality analysis —

(1) Preapplication analysis. 

(i) The plan shall provide that any application for a permit under regulations approved pursuant to this 

section shall contain an analysis of ambient air quality in the area that the major stationary source or 

major modification would affect for each of the following pollutants:

( a ) For the source, each pollutant that it would have the potential to emit in a significant amount;

( b ) For the modification, each pollutant for which it would result in a significant net emissions 

increase.

District Rule 1714(c)(1) 

excludes the related 

provisions in 40 CFR 

52.21(k). The source 

impact analysis does not 

apply to GHGs.

District Rule 1714(c)(1) 

excludes the related 

provisions in 40 CFR 

52.21(l) because GHG 

emissions are not 

modeled.

District Rule 1714(c)(1) 

excludes the related 

provisions in 40 CFR 

52.21(m) because GHG 

emissions are not subject 

to the air quality analysis.
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(ii) The plan shall provide that, with respect to any such pollutant for which no National Ambient Air 

Quality Standard exists, the analysis shall contain such air quality monitoring data as the reviewing 

authority determines is necessary to assess ambient air quality for that pollutant in any area that the 

emissions of that pollutant would affect.

(iii) The plan shall provide that with respect to any such pollutant (other than nonmethane 

hydrocarbons) for which such a standard does exist, the analysis shall contain continuous air quality 

monitoring data gathered for purposes of determining whether emissions of that pollutant would cause 

or contribute to a violation of the standard or any maxiumum allowable increase.

(iv) The plan shall provide that, in general, the continuous air monitoring data that is required shall 

have been gathered over a period of one year and shall represent the year preceding receipt of the 

application, except that, if the reviewing authority determines that a complete and adequate analysis 

can be accomplished with monitoring data gathered over a period shorter than one year (but not to be 

less than four months), the data that is required shall have been gathered over at least that shorter 

period.

(v) The plan may provide that the owner or operator of a proposed major stationary source or major 

modification of volatile organic compounds who satisfies all conditions of 40 CFR part 51 appendix S, 

section IV may provide postapproval monitoring data for ozone in lieu of providing preconstruction data 

as required under paragraph (m)(1) of this section.

(2) Post-construction monitoring. The plan shall provide that the owner or operator of a major stationary 

source or major modification shall, after construction of the stationary source or modification, conduct 

such ambient monitoring as the reviewing authority determines is necessary to determine the effect 

emissions from the stationary source or modification may have, or are having, on air quality in any area.

(3) Operation of monitoring stations. The plan shall provide that the owner or operator of a major 

stationary source or major modification shall meet the requirements of appendix B to part 58 of this 

chapter during the operation of monitoring stations for purposes of satisfying paragraph (m) of this 

section.

(n) Source 

information

(n) Source information. 40 CFR 52.21(n)

(1) The plan shall provide that the owner or operator of a proposed source or modification shall submit all 

information necessary to perform any analysis or make any determination required under procedures 

established in accordance with this section.

40 CFR 52.21(n)

(2) The plan may provide that such information shall include: 40 CFR 52.21(n)(1)

(i) A description of the nature, location, design capacity, and typical operating schedule of the source or 

modification, including specifications and drawings showing its design and plant layout;

40 CFR 52.21(n)(1)(i)

(ii) A detailed schedule for construction of the source or modification; 40 CFR 52.21(n)(1)(ii)

(iii) A detailed description as to what system of continuous emission reduction is planned by the source 

or modification, emission estimates, and any other information as necessary to determine that best 

available control technology as applicable would be applied;

40 CFR 52.21(n)(1)(iii)

(3) The plan shall provide that upon request of the State, the owner or operator shall also provide 

information on:

40 CFR 52.21(n)(2)

(i) The air quality impact of the source or modification, including meteorological and topographical data 

necessary to estimate such impact; and

40 CFR 52.21(n)(2)(i)
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(ii) The air quality impacts and the nature and extent of any or all general commercial, residential, 

industrial, and other growth which has occurred since August 7, 1977, in the area the source or 

modification would affect.

40 CFR 52.21(n)(2)(ii)

(o) Additional impact 

analyses

(o) Additional impact analyses. The plan shall provide that—

(1) The owner or operator shall provide an analysis of the impairment to visibility, soils, and vegetation 

that would occur as a result of the source or modification and general commercial, residential, industrial, 

and other growth associated with the source or modification. The owner or operator need not provide an 

analysis of the impact on vegetation having no significant commercial or recreational value.

(2) The owner or operator shall provide an analysis of the air quality impact projected for the area as a 

result of general commercial, residential, industrial, and other growth associated with the source or 

modification.

(p) Sources impacting 

Federal Class I 

areas

(p) Sources impacting Federal Class I areas—additional requirements —

(1) Notice to EPA. The plan shall provide that the reviewing authority shall transmit to the Administrator a 

copy of each permit application relating to a major stationary source or major modification and provide 

notice to the Administrator of every action related to the consideration of such permit.

See the TSD for this 

rulemaking for additioal 

information regarding 

this requirement, which is 

met to a certain extent 

but the District has 

agreed to revise for 

clarifty the next timr Rule 

1714 is open for 

revisions. 

(2) Federal Land Manager. The Federal Land Manager and the Federal official charged with direct 

responsibility for management of Class I lands have an affirmative responsibility to protect the air quality 

related values (including visibility) of any such lands and to consider, in consultation with the 

Administrator, whether a proposed source or modification would have an adverse impact on such values.

(3) Denial—impact on air quality related values. The plan shall provide a mechanism whereby a Federal 

Land Manager of any such lands may present to the State, after the reviewing authority's preliminary 

determination required under procedures developed in accordance with paragraph (r) of this section, a 

demonstration that the emissions from the proposed source or modification would have an adverse 

impact on the air quality-related values (including visibility) of any Federal mandatory Class I lands, 

notwithstanding that the change in air quality resulting from emissions from such source or modification 

would not cause or contribute to concentrations which would exceed the maximum allowable increases for 

a Class I area. If the State concurs with such demonstration, the reviewing authority shall not issue the 

permit.

40 CFR 52.21(o) - 

District Rule 1714(c)(1) 

excludes the related 

provisions in 40 CFR 

52.21(o) because 

additional air impacts are 

associated with NAAQS 

pollutants.

District Rule 1714(c)(1) 

excludes the related 

provisions in 40 CFR 

52.21(p) that pertain to 

sources impacting Class I 

areas, since such 

analyses do not apply to 

GHGs. 
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(4) Class I Variances. The plan may provide that the owner or operator of a proposed source or 

modification may demonstrate to the Federal Land Manager that the emissions from such source would 

have no adverse impact on the air quality related values of such lands (including visibility), 

notwithstanding that the change in air quality resulting from emissions from such source or modification 

would cause or contribute to concentrations which would exceed the maximum allowable increases for a 

Class I area. If the Federal land manager concurs with such demonstration and so certifies to the State, 

the reviewing authority may: Provided, That applicable requirements are otherwise met, issue the permit 

with such emission limitations as may be necessary to assure that emissions of sulfur dioxide, PM2.5, 

PM10, and nitrogen oxides would not exceed the following maximum allowable increases over minor 

source baseline concentration for such pollutants:

See Table 3 below.

(5) Sulfur dioxide variance by Governor with Federal Land Manager's concurrence. The plan may provide 

that—

(i) The owner or operator of a proposed source or modification which cannot be approved under 

procedures developed pursuant to paragraph (q)(4) of this section may demonstrate to the Governor 

that the source or modification cannot be constructed by reason of any maximum allowable increase for 

sulfur dioxide for periods of twenty-four hours or less applicable to any Class I area and, in the case of 

Federal mandatory Class I areas, that a variance under this clause would not adversely affect the air 

quality related values of the area (including visibility);

(ii) The Governor, after consideration of the Federal Land Manager's recommendation (if any) and 

subject to his concurrence, may grant, after notice and an opportunity for a public hearing, a variance 

from such maximum allowable increase; and

(iii) If such variance is granted, the reviewing authority may issue a permit to such source or 

modification in accordance with provisions developed pursuant to paragraph (q)(7) of this section: 

Provided, That the applicable requirements of the plan are otherwise met.

(6) Variance by the Governor with the President's concurrence. The plan may provide that—

(i) The recommendations of the Governor and the Federal Land Manager shall be transferred to the 

President in any case where the Governor recommends a variance in which the Federal Land Manager 

does not concur;

(ii) The President may approve the Governor's recommendation if he finds that such variance is in the 

national interest; and

(iii) If such a variance is approved, the reviewing authority may issue a permit in accordance with 

provisions developed pursuant to the requirements of paragraph (q)(7) of this section: Provided, That 

the applicable requirements of the plan are otherwise met.

(7) Emission limitations for Presidential or gubernatorial variance. The plan shall provide that in the case 

of a permit issued under procedures developed pursuant to paragraph (q) (5) or (6) of this section, the 

source or modification shall comply with emission limitations as may be necessary to assure that 

emissions of sulfur dioxide from the source or modification would not (during any day on which the 

otherwise applicable maximum allowable increases are exceeded) cause or contribute to concentrations 

which would exceed the following maximum allowable increases over the baseline concentration and to 

assure that such emissions would not cause or contribute to concentrations which exceed the otherwise 

applicable maximum allowable increases for periods of exposure of 24 hours or less for more than 18 

days, not necessarily consecutive, during any annual period:
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See Table 4 below.

(q) Public 

participation

(q) Public participation. The plan shall provide that— District Rule 1714(c)(1) 

excludes the public 

participation 

requirements in 40 CFR 

52.21(q) and adopts its 

own public participation 

requirements in Rule 

1714(e). 

(1) The reviewing authority shall notify all applicants within a specified time period as to the 

completeness of the application or any deficiency in the application or information submitted. In the event 

of such a deficiency, the date of receipt of the application shall be the date on which the reviewing 

authority received all required information.

This requirement is met 

by an existing SIPapproved rule that 

applies to all permits that 

are issued by the Distrit - 

Rule 220(b).

(2) Within one year after receipt of a complete application, the reviewing authority shall: This requirement is met 

by an existing SIPapproved rule that 

applies to all permits that 

are issued by the Distrit - 

Rule 220(d). Rule 220(d) 

requires the final action 

to be taken within 180 

days of a complete 

application

(i) Make a preliminary determination whether construction should be approved, approved with 

conditions, or disapproved.

Rule 1714(e)(1)

(ii) Make available in at least one location in each region in which the proposed source would be 

constructed a copy of all materials the applicant submitted, a copy of the preliminary determination, 

and a copy or summary of other materials, if any, considered in making the preliminary determination.

Rule 1714(e)(2)

(iii) Notify the public, by advertisement in a newspaper of general circulation in each region in which the 

proposed source would be constructed, of the application, the preliminary determination, the degree of 

increment consumption that is expected from the source or modification, and of the opportunity for 

comment at a public hearing as well as written public comment.

Rule 1714(e)(3)

(iv) Send a copy of the notice of public comment to the applicant, the Administrator and to officials and 

agencies having cognizance over the location where the proposed construction would occur as follows: 

Any other State or local air pollution control agencies, the chief executives of the city and county where 

the source would be located; any comprehensive regional land use planning agency, and any State, 

Federal Land Manager, or Indian Governing body whose lands may be affected by emissions from the 

source or modification.

Rule 1714(e)(4)
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(v) Provide opportunity for a public hearing for interested persons to appear and submit written or oral 

comments on the air quality impact of the source, alternatives to it, the control technology required, 

and other appropriate considerations.

Rule 1714(e)(5)

(vi) Consider all written comments submitted within a time specified in the notice of public comment 

and all comments received at any public hearing(s) in making a final decision on the approvability of the 

application. The reviewing authority shall make all comments available for public inspection in the same 

Rule 1714(e)(6)

(vii) Make a final determination whether construction should be approved, approved with conditions, or 

disapproved.

Rule 1714(e)(7)

(viii) Notify the applicant in writing of the final determination and make such notification available for 

public inspection at the same location where the reviewing authority made available preconstruction 

information and public comments relating to the source.

Rule 1714(e)(8)

(r ) Source obligation (r) Source obligation. 40 CFR 52.21(r )

(1) The plan shall include enforceable procedures to provide that approval to construct shall not relieve 

any owner or operator of the responsibility to comply fully with applicable provisions of the plan and any 

other requirements under local, State or Federal law.

40 CFR 52.21(r)(1-3)

(2) The plan shall provide that at such time that a particular source or modification becomes a major 

stationary source or major modification solely by virtue of a relaxation in any enforceable limitation which 

was established after August 7, 1980, on the capacity of the source or modification otherwise to emit a 

pollutant, such as a restriction on hours of operation, then the requirements of paragraphs (j) through (s) 

of this section shall apply to the source or modification as though construction had not yet commenced on 

the source or modification.

40 CFR 52.21(r)(4)

(3)–(5) [Reserved]

(6) Each plan shall provide that, except as otherwise provided in paragraph (r)(6)(vi) of this section, the 

following specific provisions apply with respect to any regulated NSR pollutant emitted from projects at 

existing emissions units at a major stationary source (other than projects at a source with a PAL) in 

circumstances where there is a reasonable possibility, within the meaning of paragraph (r)(6)(vi) of this 

section, that a project that is not a part of a major modification may result in a significant emissions 

increase of such pollutant, and the owner or operator elects to use the method specified in paragraphs 

(b)(40)(ii)( a ) through ( c ) of this section for calculating projected actual emissions. Deviations from 

these provisions will be approved only if the State specifically demonstrates that the submitted provisions 

are more stringent than or at least as stringent in all respects as the corresponding provisions in 

paragraphs (r)(6)(i) through (vi) of this section.

40 CFR 52.21(r)(6)

(i) Before beginning actual construction of the project, the owner or operator shall document and 

maintain a record of the following information:

40 CFR 52.21(r)(6)(i)

( a ) A description of the project; 40 CFR 52.21(r)(6)(i)(a )

( b ) Identification of the emissions unit(s) whose emissions of a regulated NSR pollutant could be 

affected by the project; and

40 CFR 52.21(r)(6)(i)(b )

( c ) A description of the applicability test used to determine that the project is not a major 

modification for any regulated NSR pollutant, including the baseline actual emissions, the projected 

actual emissions, the amount of emissions excluded under paragraph (b)(40)(ii)( c ) of this section 

and an explanation for why such amount was excluded, and any netting calculations, if applicable.

40 CFR 52.21(r)(6)(i)(c )
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(ii) If the emissions unit is an existing electric utility steam generating unit, before beginning actual 

construction, the owner or operator shall provide a copy of the information set out in paragraph 

(r)(6)(i) of this section to the reviewing authority. Nothing in this paragraph (r)(6)(ii) shall be construed 

to require the owner or operator of such a unit to obtain any determination from the reviewing 

authority before beginning actual construction.

40 CFR 52.21(r)(6)(ii)

(iii) The owner or operator shall monitor the emissions of any regulated NSR pollutant that could 

increase as a result of the project and that is emitted by any emissions unit identified in paragraph 

(r)(6)(i)( b ) of this section; and calculate and maintain a record of the annual emissions, in tons per 

year on a calendar year basis, for a period of 5 years following resumption of regular operations after 

the change, or for a period of 10 years following resumption of regular operations after the change if 

the project increases the design capacity or potential to emit of that regulated NSR pollutant at such 

emissions unit.

40 CFR 52.21(r)(6)(iii)

(iv) If the unit is an existing electric utility steam generating unit, the owner or operator shall submit a 

report to the reviewing authority within 60 days after the end of each year during which records must 

be generated under paragraph (r)(6)(iii) of this section setting out the unit's annual emissions during 

the calendar year that preceded submission of the report.

40 CFR 52.21(r)(6)(iv)

(v) If the unit is an existing unit other than an electric utility steam generating unit, the owner or 

operator shall submit a report to the reviewing authority if the annual emissions, in tons per year, from 

the project identified in paragraph (r)(6)(i) of this section, exceed the baseline actual emissions (as 

documented and maintained pursuant to paragraph (r)(6)(i)( c ) of this section) by a significant amount 

(as defined in paragraph (b)(23) of this section) for that regulated NSR pollutant, and if such emissions 

differ from the preconstruction projection as documented and maintained pursuant to paragraph 

(r)(6)(i)( c ) of this section. Such report shall be submitted to the reviewing authority within 60 days 

after the end of such year. The report shall contain the following:

40 CFR 52.21(r)(6)(v)

( a ) The name, address and telephone number of the major stationary source; 40 CFR 52.21(r)(6)(v)(a )

( b ) The annual emissions as calculated pursuant to paragraph (r)(6)(iii) of this section; and 40 CFR 52.21(r)(6)(v)(b )

( c ) Any other information that the owner or operator wishes to include in the report (e.g., an 

explanation as to why the emissions differ from the preconstruction projection).

40 CFR 52.21(r)(6)(v)(c )

(vi) A ―reasonable possibility‖ under paragraph (r)(6) of this section occurs when the owner or operator 

calculates the project to result in either:

40 CFR 52.21(r)(6)(vi)

( a ) A projected actual emissions increase of at least 50 percent of the amount that is a ―significant 

emissions increase,‖ as defined under paragraph (b)(39) of this section (without reference to the 

amount that is a significant net emissions increase), for the regulated NSR pollutant; or

40 CFR 

52.21(r)(6)(vi)(a )
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( b ) A projected actual emissions increase that, added to the amount of emissions excluded under 

paragraph (b)(40)(ii)( c ), sums to at least 50 percent of the amount that is a ―significant emissions 

increase,‖ as defined under paragraph (b)(39) of this section (without reference to the amount that is 

a significant net emissions increase), for the regulated NSR pollutant. For a project for which a 

reasonable possibility occurs only within the meaning of paragraph (r)(6)(vi)( b ) of this section, and 

not also within the meaning of paragraph (a)(6)(vi)( a ) of this section, then provisions (a)(6)(ii) 

through (v) do not apply to the project.

40 CFR 

52.21(r)(6)(vi)(b )

(7) Each plan shall provide that the owner or operator of the source shall make the information required 

to be documented and maintained pursuant to paragraph (r)(6) of this section available for review upon 

request for inspection by the reviewing authority or the general public pursuant to the requirements 

contained in §70.4(b)(3)(viii) of this chapter.

40 CFR 52.21(r)(7)

(s) Innovative control 

technology

(s) Innovative control technology. 

(1) The plan may provide that an owner or operator of a proposed major stationary source or major 

modification may request the reviewing authority to approve a system of innovative control technology.

(2) The plan may provide that the reviewing authority may, with the consent of the Governor(s) of other 

affected State(s), determine that the source or modification may employ a system of innovative control 

technology, if:

(i) The proposed control system would not cause or contribute to an unreasonable risk to public health, 

welfare, or safety in its operation or function;

(ii) The owner or operator agrees to achieve a level of continuous emissions reduction equivalent to that 

which would have been required under paragraph (j)(2) of this section, by a date specified by the 

reviewing authority. Such date shall not be later than 4 years from the time of startup or 7 years from 

permit issuance;

(iii) The source or modification would meet the requirements equivalent to those in paragraphs (j) and 

(k) of this section, based on the emissions rate that the stationary source employing the system of 

innovative control technology would be required to meet on the date specified by the reviewing 

authority;

(iv) The source or modification would not before the date specified by the reviewing authority:

( a ) Cause or contribute to any violation of an applicable national ambient air quality standard; or

( b ) Impact any area where an applicable increment is known to be violated;

(v) All other applicable requirements including those for public participation have been met.

(vi) The provisions of paragraph (p) of this section (relating to Class I areas) have been satisfied with 

respect to all periods during the life of the source or modification.

(3) The plan shall provide that the reviewing authority shall withdraw any approval to employ a system of 

innovative control technology made under this section, if:

(i) The proposed system fails by the specified date to achieve the required continuous emissions 

reduction rate; or

(ii) The proposed system fails before the specified date so as to contribute to an unreasonable risk to 

public health, welfare, or safety; or

(iii) The reviewing authority decides at any time that the proposed system is unlikely to achieve the 

required level of control or to protect the public health, welfare, or safety.

Rule 1714(c)(1) excludes 

these related provisions 

in 40 CFR 52.21(v). 

51.166 statest that the 

plan "may" provide these 

provisions.
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(4) The plan may provide that if a source or modification fails to meet the required level of continuous 

emissions reduction within the specified time period, or if the approval is withdrawn in accordance with 

paragraph (s)(3) of this section, the reviewing authority may allow the source or modification up to an 

additional 3 years to meet the requirement for the application of best available control technology 

through use of a demonstrated system of control.

(t)-(v) (t)–(v) [Reserved]

(w) Actuals PALs (w) Actuals PALs. The plan shall provide for PALs according to the provisions in paragraphs (w)(1) 

through (15) of this section.

(1) Applicability. 

(i) The reviewing authority may approve the use of an actuals PAL for any existing major stationary 

source if the PAL meets the requirements in paragraphs (w)(1) through (15) of this section. The term 

―PAL‖ shall mean ―actuals PAL‖ throughout paragraph (w) of this section.

(ii) Any physical change in or change in the method of operation of a major stationary source that 

maintains its total source-wide emissions below the PAL level, meets the requirements in paragraphs 

(w)(1) through (15) of this section, and complies with the PAL permit:

( a ) Is not a major modification for the PAL pollutant;

( b ) Does not have to be approved through the plan's major NSR program; and

( c ) Is not subject to the provisions in paragraph (r)(2) of this section (restrictions on relaxing 

enforceable emission limitations that the major stationary source used to avoid applicability of the 

major NSR program).

(iii) Except as provided under paragraph (w)(1)(ii)(c) of this section, a major stationary source shall 

continue to comply with all applicable Federal or State requirements, emission limitations, and work 

practice requirements that were established prior to the effective date of the PAL.

(2) Definitions. The plan shall use the definitions in paragraphs (w)(2)(i) through (xi) of this section for 

the purpose of developing and implementing regulations that authorize the use of actuals PALs consistent 

with paragraphs (w)(1) through (15) of this section. When a term is not defined in these paragraphs, it 

shall have the meaning given in paragraph (b) of this section or in the Act.

(i) Actuals PAL for a major stationary source means a PAL based on the baseline actual emissions (as 

defined in paragraph (b)(47) of this section) of all emissions units (as defined in paragraph (b)(7) of 

this section) at the source, that emit or have the potential to emit the PAL pollutant.

(ii) Allowable emissions means ―allowable emissions‖ as defined in paragraph (b)(16) of this section, 

except as this definition is modified according to paragraphs (w)(2)(ii)( a ) and ( b ) of this section.

( a ) The allowable emissions for any emissions unit shall be calculated considering any emission 

limitations that are enforceable as a practical matter on the emissions unit's potential to emit.

( b ) An emissions unit's potential to emit shall be determined using the definition in paragraph (b)(4) 

of this section, except that the words ―or enforceable as a practical matter‖ should be added after 

―federally enforceable.‖

Rule 1714(c)(1) exludes 

these provisions from 40 

CFR 52.21(aa). Without 

these provisions Rule 

1714 is more stringent or 

at least as stringent as 

the requirements of 

51.166
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(iii) Small emissions unit means an emissions unit that emits or has the potential to emit the PAL 

pollutant in an amount less than the significant level for that PAL pollutant, as defined in paragraph 

(b)(23) of this section or in the Act, whichever is lower.

(iv) Major emissions unit means:

( a ) Any emissions unit that emits or has the potential to emit 100 tons per year or more of the PAL 

pollutant in an attainment area; or

( b ) Any emissions unit that emits or has the potential to emit the PAL pollutant in an amount that is 

equal to or greater than the major source threshold for the PAL pollutant as defined by the Act for 

nonattainment areas. For example, in accordance with the definition of major stationary source in 

section 182(c) of the Act, an emissions unit would be a major emissions unit for VOC if the emissions 

unit is located in a serious ozone nonattainment area and it emits or has the potential to emit 50 or 

more tons of VOC per year.

(v) Plantwide applicability limitation (PAL) means an emission limitation expressed in tons per year, for 

a pollutant at a major stationary source, that is enforceable as a practical matter and established sourcewide in accordance with paragraphs (w)(1) through (15) of this section.

(vi) PAL effective date generally means the date of issuance of the PAL permit. However, the PAL 

effective date for an increased PAL is the date any emissions unit that is part of the PAL major 

modification becomes operational and begins to emit the PAL pollutant.

(vii) PAL effective period means the period beginning with the PAL effective date and ending 10 years 

later.

(viii) PAL major modification means, notwithstanding paragraphs (b)(2) and (b)(3) of this section (the 

definitions for major modification and net emissions increase), any physical change in or change in the 

method of operation of the PAL source that causes it to emit the PAL pollutant at a level equal to or 

greater than the PAL.

(ix) PAL permit means the major NSR permit, the minor NSR permit, or the State operating permit 

under a program that is approved into the plan, or the title V permit issued by the reviewing authority 

that establishes a PAL for a major stationary source.

(x) PAL pollutant means the pollutant for which a PAL is established at a major stationary source.

(xi) Significant emissions unit means an emissions unit that emits or has the potential to emit a PAL 

pollutant in an amount that is equal to or greater than the significant level (as defined in paragraph 

(b)(23) of this section or in the Act, whichever is lower) for that PAL pollutant, but less than the amount 

that would qualify the unit as a major emissions unit as defined in paragraph (w)(2)(iv) of this section.

(3) Permit application requirements. As part of a permit application requesting a PAL, the owner or 

operator of a major stationary source shall submit the following information in paragraphs (w)(3)(i) 

through (iii) of this section to the reviewing authority for approval.

(i) A list of all emissions units at the source designated as small, significant or major based on their 

potential to emit. In addition, the owner or operator of the source shall indicate which, if any, Federal or 

State applicable requirements, emission limitations, or work practices apply to each unit.

(ii) Calculations of the baseline actual emissions (with supporting documentation). Baseline actual 

emissions are to include emissions associated not only with operation of the unit, but also emissions 

associated with startup, shutdown, and malfunction.
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(iii) The calculation procedures that the major stationary source owner or operator proposes to use to 

convert the monitoring system data to monthly emissions and annual emissions based on a 12-month 

rolling total for each month as required by paragraph (w)(13)(i) of this section.

(4) General requirements for establishing PALs. 

(i) The plan allows the reviewing authority to establish a PAL at a major stationary source, provided that 

at a minimum, the requirements in paragraphs (w)(4)(i)(a) through (g) of this section are met.

( a ) The PAL shall impose an annual emission limitation in tons per year, that is enforceable as a 

practical matter, for the entire major stationary source. For each month during the PAL effective 

period after the first 12 months of establishing a PAL, the major stationary source owner or operator 

shall show that the sum of the monthly emissions from each emissions unit under the PAL for the 

previous 12 consecutive months is less than the PAL (a 12-month average, rolled monthly). For each 

month during the first 11 months from the PAL effective date, the major stationary source owner or 

operator shall show that the sum of the preceding monthly emissions from the PAL effective date for 

each emissions unit under the PAL is less than the PAL.

( b ) The PAL shall be established in a PAL permit that meets the public participation requirements in 

paragraph (w)(5) of this section.

( c ) The PAL permit shall contain all the requirements of paragraph (w)(7) of this section.

( d ) The PAL shall include fugitive emissions, to the extent quantifiable, from all emissions units that 

emit or have the potential to emit the PAL pollutant at the major stationary source.

( e ) Each PAL shall regulate emissions of only one pollutant.

( f ) Each PAL shall have a PAL effective period of 10 years.

( g ) The owner or operator of the major stationary source with a PAL shall comply with the 

monitoring, recordkeeping, and reporting requirements provided in paragraphs (w)(12) through (14) 

of this section for each emissions unit under the PAL through the PAL effective period.

(ii) At no time (during or after the PAL effective period) are emissions reductions of a PAL pollutant that 

occur during the PAL effective period creditable as decreases for purposes of offsets under 

§51.165(a)(3)(ii) of this chapter unless the level of the PAL is reduced by the amount of such emissions 

reductions and such reductions would be creditable in the absence of the PAL.

(5) Public participation requirements for PALs. PALs for existing major stationary sources shall be 

established, renewed, or increased, through a procedure that is consistent with §§51.160 and 51.161 of 

this chapter. This includes the requirement that the reviewing authority provide the public with notice of 

the proposed approval of a PAL permit and at least a 30-day period for submittal of public comment. The 

reviewing authority must address all material comments before taking final action on the permit.

(6) Setting the 10-year actuals PAL level. 
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(i) Except as provided in paragraph (w)(6)(ii) of this section, the plan shall provide that the actuals PAL 

level for a major stationary source shall be established as the sum of the baseline actual emissions (as 

defined in paragraph (b)(47) of this section) of the PAL pollutant for each emissions unit at the source; 

plus an amount equal to the applicable significant level for the PAL pollutant under paragraph (b)(23) of 

this section or under the Act, whichever is lower. When establishing the actuals PAL level, for a PAL 

pollutant, only one consecutive 24-month period must be used to determine the baseline actual 

emissions for all existing emissions units. However, a different consecutive 24-month period may be 

used for each different PAL pollutant. Emissions associated with units that were permanently shut down 

after this 24-month period must be subtracted from the PAL level. The reviewing authority shall specify 

a reduced PAL level(s) (in tons/yr) in the PAL permit to become effective on the future compliance 

date(s) of any applicable Federal or State regulatory requirement(s) that the reviewing authority is 

aware of prior to issuance of the PAL permit. For instance, if the source owner or operator will be 

required to reduce emissions from industrial boilers in half from baseline emissions of 60 ppm NOXto a (ii) For newly constructed units (which do not include modifications to existing units) on which actual 

construction began after the 24-month period, in lieu of adding the baseline actual emissions as 

specified in paragraph (w)(6)(i) of this section, the emissions must be added to the PAL level in an 

amount equal to the potential to emit of the units.

(7) Contents of the PAL permit. The plan shall require that the PAL permit contain, at a minimum, the 

information in paragraphs (w)(7)(i) through (x) of this section.

(i) The PAL pollutant and the applicable source-wide emission limitation in tons per year.

(ii) The PAL permit effective date and the expiration date of the PAL (PAL effective period).

(iii) Specification in the PAL permit that if a major stationary source owner or operator applies to renew 

a PAL in accordance with paragraph (w)(10) of this section before the end of the PAL effective period, 

then the PAL shall not expire at the end of the PAL effective period. It shall remain in effect until a 

revised PAL permit is issued by the reviewing authority.

(iv) A requirement that emission calculations for compliance purposes include emissions from startups, 

shutdowns and malfunctions.

(v) A requirement that, once the PAL expires, the major stationary source is subject to the 

requirements of paragraph (w)(9) of this section.

(vi) The calculation procedures that the major stationary source owner or operator shall use to convert 

the monitoring system data to monthly emissions and annual emissions based on a 12-month rolling 

total for each month as required by paragraph (w)(3)(i) of this section.

(vii) A requirement that the major stationary source owner or operator monitor all emissions units in 

accordance with the provisions under paragraph (w)(13) of this section.

(viii) A requirement to retain the records required under paragraph (w)(13) of this section on site. Such 

records may be retained in an electronic format.

(ix) A requirement to submit the reports required under paragraph (w)(14) of this section by the 

required deadlines.

(x) Any other requirements that the reviewing authority deems necessary to implement and enforce the 

PAL.

(8) PAL effective period and reopening of the PAL permit. The plan shall require the information in 

paragraphs (w)(8)(i) and (ii) of this section.

(i) PAL effective period. The reviewing authority shall specify a PAL effective period of 10 years.
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(ii) Reopening of the PAL permit. 

( a ) During the PAL effective period, the plan shall require the reviewing authority to reopen the PAL 

permit to:

( 1 ) Correct typographical/calculation errors made in setting the PAL or reflect a more accurate 

determination of emissions used to establish the PAL;

( 2 ) Reduce the PAL if the owner or operator of the major stationary source creates creditable 

emissions reductions for use as offsets under §51.165(a)(3)(ii) of this chapter; and

( 3 ) Revise the PAL to reflect an increase in the PAL as provided under paragraph (w)(11) of this 

section.

( b ) The plan shall provide the reviewing authority discretion to reopen the PAL permit for the 

following:

( 1 ) Reduce the PAL to reflect newly applicable Federal requirements (for example, NSPS) with 

compliance dates after the PAL effective date;

( 2 ) Reduce the PAL consistent with any other requirement, that is enforceable as a practical 

matter, and that the State may impose on the major stationary source under the plan; and

( 3 ) Reduce the PAL if the reviewing authority determines that a reduction is necessary to avoid 

causing or contributing to a NAAQS or PSD increment violation, or to an adverse impact on an AQRV 

that has been identified for a Federal Class I area by a Federal Land Manager and for which 

information is available to the general public.

( c ) Except for the permit reopening in paragraph (w)(8)(ii)( a )( 1 ) of this section for the 

correction of typographical/calculation errors that do not increase the PAL level, all reopenings shall 

be carried out in accordance with the public participation requirements of paragraph (w)(5) of this 

section.

(9) Expiration of a PAL. Any PAL that is not renewed in accordance with the procedures in paragraph 

(w)(10) of this section shall expire at the end of the PAL effective period, and the requirements in 

paragraphs (w)(9)(i) through (v) of this section shall apply.

(i) Each emissions unit (or each group of emissions units) that existed under the PAL shall comply with 

an allowable emission limitation under a revised permit established according to the procedures in 

paragraphs (w)(9)(i)( a ) and ( b ) of this section.

( a ) Within the time frame specified for PAL renewals in paragraph (w)(10)(ii) of this section, the 

major stationary source shall submit a proposed allowable emission limitation for each emissions unit 

(or each group of emissions units, if such a distribution is more appropriate as decided by the 

reviewing authority) by distributing the PAL allowable emissions for the major stationary source 

among each of the emissions units that existed under the PAL. If the PAL had not yet been adjusted 

for an applicable requirement that became effective during the PAL effective period, as required under 

paragraph (w)(10)(v) of this section, such distribution shall be made as if the PAL had been adjusted.

( b ) The reviewing authority shall decide whether and how the PAL allowable emissions will be 

distributed and issue a revised permit incorporating allowable limits for each emissions unit, or each 

group of emissions units, as the reviewing authority determines is appropriate.

(ii) Each emissions unit(s) shall comply with the allowable emission limitation on a 12-month rolling 

basis. The reviewing authority may approve the use of monitoring systems (source testing,emission 

factors, etc.) other than CEMS, CERMS, PEMS or CPMS to demonstrate compliance with the allowable 

emission limitation.
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(iii) Until the reviewing authority issues the revised permit incorporating allowable limits for each 

emissions unit, or each group of emissions units, as required under paragraph (w)(9)(i)( b ) of this 

section, the source shall continue to comply with a source-wide, multi-unit emissions cap equivalent to 

the level of the PAL emission limitation.

(iv) Any physical change or change in the method of operation at the major stationary source will be 

subject to major NSR requirements if such change meets the definition of major modification in 

paragraph (b)(2) of this section.

(v) The major stationary source owner or operator shall continue to comply with any State or Federal 

applicable requirements (BACT, RACT, NSPS, etc.) that may have applied either during the PAL effective 

period or prior to the PAL effective period except for those emission limitations that had been 

established pursuant to paragraph (r)(2) of this section, but were eliminated by the PAL in accordance 

with the provisions in paragraph (w)(1)(ii)(c) of this section.

(10) Renewal of a PAL. 

(i) The reviewing authority shall follow the procedures specified in paragraph (w)(5) of this section in 

approving any request to renew a PAL for a major stationary source, and shall provide both the 

proposed PAL level and a written rationale for the proposed PAL level to the public for review and 

comment. During such public review, any person may propose a PAL level for the source for 

consideration by the reviewing authority.

(ii) Application deadline. The plan shall require that a major stationary source owner or operator shall 

submit a timely application to the reviewing authority to request renewal of a PAL. A timely application 

is one that is submitted at least 6 months prior to, but not earlier than 18 months from, the date of 

permit expiration. This deadline for application submittal is to ensure that the permit will not expire 

before the permit is renewed. If the owner or operator of a major stationary source submits a complete 

application to renew the PAL within this time period, then the PAL shall continue to be effective until the 

revised permit with the renewed PAL is issued.

(iii) Application requirements. The application to renew a PAL permit shall contain the information 

required in paragraphs (w)(10)(iii) ( a ) through ( d ) of this section.

( a ) The information required in paragraphs (w)(3)(i) through (iii) of this section.

( b ) A proposed PAL level.

( c ) The sum of the potential to emit of all emissions units under the PAL (with supporting 

documentation).

( d ) Any other information the owner or operator wishes the reviewing authority to consider in 

determining the appropriate level for renewing the PAL.

(iv) PAL adjustment. In determining whether and how to adjust the PAL, the reviewing authority shall 

consider the options outlined in paragraphs (w)(10)(iv) ( a ) and ( b ) of this section. However, in no 

case may any such adjustment fail to comply with paragraph (w)(10)(iv)( c ) of this section.

( a ) If the emissions level calculated in accordance with paragraph (w)(6) of this section is equal to 

or greater than 80 percent of the PAL level, the reviewing authority may renew the PAL at the same 

level without considering the factors set forth in paragraph (w)(10)(iv)( b ) of this section; or
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( b ) The reviewing authority may set the PAL at a level that it determines to be more representative 

of the source's baseline actual emissions, or that it determines to be appropriate considering air 

quality needs, advances in control technology, anticipated economic growth in the area, desire to 

reward or encourage the source's voluntary emissions reductions, or other factors as specifically 

identified by the reviewing authority in its written rationale.

( c ) Notwithstanding paragraphs (w)(10)(iv) ( a ) and ( b ) of this section:

( 1 ) If the potential to emit of the major stationary source is less than the PAL, the reviewing 

authority shall adjust the PAL to a level no greater than the potential to emit of the source; and

( 2 ) The reviewing authority shall not approve a renewed PAL level higher than the current PAL, 

unless the major stationary source has complied with the provisions of paragraph (w)(11) of this 

section (increasing a PAL).

(v) If the compliance date for a State or Federal requirement that applies to the PAL source occurs 

during the PAL effective period, and if the reviewing authority has not already adjusted for such 

requirement, the PAL shall be adjusted at the time of PAL permit renewal or title V permit renewal, 

whichever occurs first.

(11) Increasing a PAL during the PAL effective period. 

(i) The plan shall require that the reviewing authority may increase a PAL emission limitation only if the 

major stationary source complies with the provisions in paragraphs (w)(11)(i) ( a ) through ( d ) of this 

section.

( a ) The owner or operator of the major stationary source shall submit a complete application to 

request an increase in the PAL limit for a PAL major modification. Such application shall identify the 

emissions unit(s) contributing to the increase in emissions so as to cause the major stationary 

source's emissions to equal or exceed its PAL.

( b ) As part of this application, the major stationary source owner or operator shall demonstrate that 

the sum of the baseline actual emissions of the small emissions units, plus the sum of the baseline 

actual emissions of the significant and major emissions units assuming application of BACT equivalent 

controls, plus the sum of the allowable emissions of the new or modified emissions unit(s), exceeds 

the PAL. The level of control that would result from BACT equivalent controls on each significant or 

major emissions unit shall be determined by conducting a new BACT analysis at the time the 

application is submitted, unless the emissions unit is currently required to comply with a BACT or 

LAER requirement that was established within the preceding 10 years. In such a case, the assumed 

control level for that emissions unit shall be equal to the level of BACT or LAER with which that 

emissions unit must currently comply.

( c ) The owner or operator obtains a major NSR permit for all emissions unit(s) identified in 

paragraph (w)(11)(i)( a ) of this section, regardless of the magnitude of the emissions increase 

resulting from them (that is, no significant levels apply). These emissions unit(s) shall comply with 

any emissions requirements resulting from the major NSR process (for example, BACT), even though 

they have also become subject to the PAL or continue to be subject to the PAL.

( d ) The PAL permit shall require that the increased PAL level shall be effective on the day any 

emissions unit that is part of the PAL major modification becomes operational and begins to emit the 

PAL pollutant.
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(ii) The reviewing authority shall calculate the new PAL as the sum of the allowable emissions for each 

modified or new emissions unit, plus the sum of the baseline actual emissions of the significant and 

major emissions units (assuming application of BACT equivalent controls as determined in accordance 

with paragraph (w)(11)(i)( b ) of this section), plus the sum of the baseline actual emissions of the 

small emissions units.

(iii) The PAL permit shall be revised to reflect the increased PAL level pursuant to the public notice 

requirements of paragraph (w)(5) of this section.

(12) Monitoring requirements for PALs —

(i) General requirements. emissions of the PAL pollutant in terms of mass per unit of time. Any 

monitoring system authorized for use in the PAL permit must be based on sound science and meet 

generally acceptable scientific procedures for data quality and manipulation. Additionally, the 

information generated by such system must meet minimum legal requirements for admissibility in a 

judicial proceeding to enforce the PAL permit.

( a ) Each PAL permit must contain enforceable requirements for the monitoring system that 

accurately determines plantwide 

( b ) The PAL monitoring system must employ one or more of the four general monitoring approaches 

meeting the minimum requirements set forth in paragraphs (w)(12)(ii) ( a ) through ( d ) of this 

section and must be approved by the reviewing authority.

( c ) Notwithstanding paragraph (w)(12)(i)( b ) of this section, you may also employ an alternative 

monitoring approach that meets paragraph (w)(12)(i)( a ) of this section if approved by the reviewing 

authority.

( d ) Failure to use a monitoring system that meets the requirements of this section renders the PAL 

invalid.

(ii) Minimum performance requirements for approved monitoring approaches. The following are 

acceptable general monitoring approaches when conducted in accordance with the minimum 

requirements in paragraphs (w)(12)(iii) through (ix) of this section:

( a ) Mass balance calculations for activities using coatings or solvents;

( b ) CEMS;

( c ) CPMS or PEMS; and

( d ) Emission factors.

(iii) Mass balance calculations. An owner or operator using mass balance calculations to monitor PAL 

pollutant emissions from activities using coating or solvents shall meet the following requirements:

( a ) Provide a demonstrated means of validating the published content of the PAL pollutant that is 

contained in or created by all materials used in or at the emissions unit;

( b ) Assume that the emissions unit emits all of the PAL pollutant that is contained in or created by 

any raw material or fuel used in or at the emissions unit, if it cannot otherwise be accounted for in the 

process; and

( c ) Where the vendor of a material or fuel, which is used in or at the emissions unit, publishes a 

range of pollutant content from such material, the owner or operator must use the highest value of 

the range to calculate the PAL pollutant emissions unless the reviewing authority determines there is 

site-specific data or a site-specific monitoring program to support another content within the range.
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(iv) CEMS. An owner or operator using CEMS to monitor PAL pollutant emissions shall meet the 

following requirements:

( a ) CEMS must comply with applicable Performance Specifications found in 40 CFR part 60, 

appendix B; and

( b ) CEMS must sample, analyze, and record data at least every 15 minutes while the emissions unit 

is operating.

(v) CPMS or PEMS. An owner or operator using CPMS or PEMS to monitor PAL pollutant emissions shall 

meet the following requirements:

( a ) The CPMS or the PEMS must be based on current site-specific data demonstrating a correlation 

between the monitored parameter(s) and the PAL pollutant emissions across the range of operation of 

the emissions unit; and

( b ) Each CPMS or PEMS must sample, analyze, and record data at least every 15 minutes, or at 

another less frequent interval approved by the reviewing authority, while the emissions unit is 

operating.

(vi) Emission factors. An owner or operator using emission factors to monitor PAL pollutant emissions 

shall meet the following requirements:

( a ) All emission factors shall be adjusted, if appropriate, to account for the degree of uncertainty or 

limitations in the factors' development;

( b ) The emissions unit shall operate within the designated range of use for the emission factor, if 

applicable; and

( c ) If technically practicable, the owner or operator of a significant emissions unit that relies on an 

emission factor to calculate PAL pollutant emissions shall conduct validation testing to determine a sitespecific emission factor within 6 months of PAL permit issuance, unless the reviewing authority 

determines that testing is not required.

(vii) A source owner or operator must record and report maximum potential emissions without 

considering enforceable emission limitations or operational restrictions for an emissions unit during any 

period of time that there is no monitoring data, unless another method for determining emissions 

during such periods is specified in the PAL permit.

(viii) Notwithstanding the requirements in paragraphs (w)(12)(iii) through (vii) of this section, where an 

owner or operator of an emissions unit cannot demonstrate a correlation between the monitored 

parameter(s) and the PAL pollutant emissions rate at all operating points of the emissions unit, the 

reviewing authority shall, at the time of permit issuance:

( a ) Establish default value(s) for determining compliance with the PAL based on the highest 

potential emissions reasonably estimated at such operating point(s); or

( b ) Determine that operation of the emissions unit during operating conditions when there is no 

correlation between monitored parameter(s) and the PAL pollutant emissions is a violation of the PAL.

(ix) Re-validation. All data used to establish the PAL pollutant must be re-validated through 

performance testing or other scientifically valid means approved by the reviewing authority. Such 

testing must occur at least once every 5 years after issuance of the PAL.

(13) Recordkeeping requirements. 

(i) The PAL permit shall require an owner or operator to retain a copy of all records necessary to 

determine compliance with any requirement of paragraph (w) of this section and of the PAL, including a 

determination of each emissions unit's 12-month rolling total emissions, for 5 years from the date of 

such record.
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(ii) The PAL permit shall require an owner or operator to retain a copy of the following records, for the 

duration of the PAL effective period plus 5 years:

( a ) A copy of the PAL permit application and any applications for revisions to the PAL; and

( b ) Each annual certification of compliance pursuant to title V and the data relied on in certifying the 

compliance.

(14) Reporting and notification requirements. The owner or operator shall submit semi-annual monitoring 

reports and prompt deviation reports to the reviewing authority in accordance with the applicable title V 

operating permit program. The reports shall meet the requirements in paragraphs (w)(14)(i) through (iii) 

of this section.

(i) Semi-annual report. The semi-annual report shall be submitted to the reviewing authority within 30 

days of the end of each reporting period. This report shall contain the information required in 

paragraphs (w)(14)(i)( a ) through ( g ) of this section.

( a ) The identification of owner and operator and the permit number.

( b ) Total annual emissions (tons/year) based on a 12-month rolling total for each month in the 

reporting period recorded pursuant to paragraph (w)(13)(i) of this section.

( c ) All data relied upon, including, but not limited to, any Quality Assurance or Quality Control data, 

in calculating the monthly and annual PAL pollutant emissions.

( d ) A list of any emissions units modified or added to the major stationary source during the 

preceding 6-month period.

( e ) The number, duration, and cause of any deviations or monitoring malfunctions (other than the 

time associated with zero and span calibration checks), and any corrective action taken.

( f ) A notification of a shutdown of any monitoring system, whether the shutdown was permanent or 

temporary, the reason for the shutdown, the anticipated date that the monitoring system will be fully 

operational or replaced with another monitoring system, and whether the emissions unit monitored by 

the monitoring system continued to operate, and the calculation of the emissions of the pollutant or 

the number determined by method included in the permit, as provided by paragraph (w)(12)(vii) of 

this section.

( g ) A signed statement by the responsible official (as defined by the applicable title V operating 

permit program) certifying the truth, accuracy, and completeness of the information provided in the 

report.

(ii) Deviation report. The major stationary source owner or operator shall promptly submit reports of 

any deviations or exceedance of the PAL requirements, including periods where no monitoring is 

available. A report submitted pursuant to §70.6(a)(3)(iii)(B) of this chapter shall satisfy this reporting 

requirement. The deviation reports shall be submitted within the time limits prescribed by the applicable 

program implementing §70.6(a)(3)(iii)(B) of this chapter. The reports shall contain the following 

information:

( a ) The identification of owner and operator and the permit number;

( b ) The PAL requirement that experienced the deviation or that was exceeded;

( c ) Emissions resulting from the deviation or the exceedance; and

( d ) A signed statement by the responsible official (as defined by the applicable title V operating 

permit program) certifying the truth, accuracy, and completeness of the information provided in the 

report.
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(iii) Re-validation results. The owner or operator shall submit to the reviewing authority the results of 

any re-validation test or method within three months after completion of such test or method.

(15) Transition requirements. 

(i) No reviewing authority may issue a PAL that does not comply with the requirements in paragraphs 

(w)(1) through (15) of this section after the Administrator has approved regulations incorporating these 

requirements into a plan.

(ii) The reviewing authority may supersede any PAL which was established prior to the date of approval 

of the plan by the Administrator with a PAL that complies with the requirements of paragraphs (w)(1) 

through (15) of this section.

(x) (x) If any provision of this section, or the application of such provision to any person or circumstance, is 

held invalid, the remainder of this section, or the application of such provision to persons or 

circumstances other than those as to which it is held invalid, shall not be affected thereby.

40 CFR 52.21(bb)

(y) (y) Equipment replacement provision. Without regard to other considerations, routine maintenance, 

repair and replacement includes, but is not limited to, the replacement of any component of a process 

unit with an identical or functionally equivalent component(s), and maintenance and repair activities that 

are part of the replacement activity, provided that all of the requirements in paragraphs (y)(1) through 

(3) of this section are met.

(1) Capital Cost threshold for Equipment Replacement. 

(i) For an electric utility steam generating unit, as defined in §51.166(b)(30), the fixed capital cost of 

the replacement component(s) plus the cost of any associated maintenance and repair activities that 

are part of the replacement shall not exceed 20 percent of the replacement value of the process unit, at 

the time the equipment is replaced. For a process unit that is not an electric utility steam generating 

unit the fixed capital cost of the replacement component(s) plus the cost of any associated maintenance 

and repair activities that are part of the replacement shall not exceed 20 percent of the replacement 

value of the process unit, at the time the equipment is replaced.

(ii) In determining the replacement value of the process unit; and, except as otherwise allowed under 

paragraph (y)(1)(iii) of this section, the owner or operator shall determine the replacement value of the 

process unit on an estimate of the fixed capital cost of constructing a new process unit, or on the 

current appraised value of the process unit.

(iii) As an alternative to paragraph (y)(1)(ii) of this section for determining the replacement value of a 

process unit, an owner or operator may choose to use insurance value (where the insurance value 

covers only complete replacement), investment value adjusted for inflation, or another accounting 

procedure if such procedure is based on Generally Accepted Accounting Principles, provided that the 

owner or operator sends a notice to the reviewing authority. The first time that an owner or operator 

submits such a notice for a particular process unit, the notice may be submitted at any time, but any 

subsequent notice for that process unit may be submitted only at the beginning of the process unit's 

fiscal year. Unless the owner or operator submits a notice to the reviewing authority, then paragraph 

(y)(1)(ii) of this section will be used to establish the replacement value of the process unit. Once the 

owner or operator submits a notice to use an alternative accounting procedure, the owner or operator 

must continue to use that procedure for the entire fiscal year for that process unit. In subsequent fiscal 

years, the owner or operator must continue to use this selected procedure unless and until the owner or 

operator sends another notice to the reviewing authority selecting another procedure consistent with 

These provisions were 

stayed indefinitely by a 

court order on December 

24, 2003. District Rule 

1714(c)(1) excludes 

these provisions as they 

appear in 40 CFR 

52.21(cc). 
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(2) Basic design parameters. The replacement does not change the basic design parameter(s) of the 

process unit to which the activity pertains.

(i) Except as provided in paragraph (y)(2)(iii) of this section, for a process unit at a steam electric 

generating facility, the owner or operator may select as its basic design parameters either maximum 

hourly heat input and maximum hourly fuel consumption rate or maximum hourly electric output rate 

and maximum steam flow rate. When establishing fuel consumption specifications in terms of weight or 

volume, the minimum fuel quality based on British Thermal Units content shall be used for determining 

the basic design parameter(s) for a coal-fired electric utility steam generating unit.

(ii) Except as provided in paragraph (y)(2)(iii) of this section, the basic design parameter(s) for any 

process unit that is not at a steam electric generating facility are maximum rate of fuel or heat input, 

maximum rate of material input, or maximum rate of product output. Combustion process units will 

typically use maximum rate of fuel input. For sources having multiple end products and raw materials, 

the owner or operator should consider the primary product or primary raw material when selecting a 

basic design parameter.

(iii) If the owner or operator believes the basic design parameter(s) in paragraphs (y)(2)(i) and (ii) of 

this section is not appropriate for a specific industry or type of process unit, the owner or operator may 

propose to the reviewing authority an alternative basic design parameter(s) for the source's process 

unit(s). If the reviewing authority approves of the use of an alternative basic design parameter(s), the 

reviewing authority shall issue a permit that is legally enforceable that records such basic design 

parameter(s) and requires the owner or operator to comply with such parameter(s).

(iv) The owner or operator shall use credible information, such as results of historic maximum capability 

tests, design information from the manufacturer, or engineering calculations, in establishing the 

magnitude of the basic design parameter(s) specified in paragraphs (y)(2)(i) and (ii) of this section.

(v) If design information is not available for a process unit, then the owner or operator shall determine 

the process unit's basic design parameter(s) using the maximum value achieved by the process unit in 

the five-year period immediately preceding the planned activity.

(vi) Efficiency of a process unit is not a basic design parameter.

(3) The replacement activity shall not cause the process unit to exceed any emission limitation, or 

operational limitation that has the effect of constraining emissions, that applies to the process unit and 

that is legally enforceable.

Note to paragraph (y): By a court order on December 24, 2003, this paragraph (y) is stayed 

indefinitely. The stayed provisions will become effective immediately if the court terminates the stay. At 

that time, EPA will publish a document in the Federal Register advising the public of the termination of 

the stay.

(Secs. 101(b)(1), 110, 160–169, 171–178, and 301(a), Clean Air Act, as amended (42 U.S.C. 

7401(b)(1), 7410, 7470–7479, 7501–7508, and 7601(a)); sec. 129(a), Clean Air Act Amendments of 

1977 (Pub. L. 95–95, 91 Stat. 685 (Aug. 7, 1977)))

[43 FR 26382, June 19, 1978]
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Editorial Note: For Federal Register citations affecting §51.166, see the List of CFR Sections Affected, 

which appears in the Finding Aids section of the printed volume and at www.fdsys.gov .

Effective Date Note: At 76 FR 17553, Mar. 30, 2011, §51.166 paragraphs (b)(2)(v) and (b)(3)(iii) (d) 

are stayed indefinitely.

Sections in 40 CFR 52.21 that are not otherwise required, or may be required, for a PSD 

program in 40 CFR 51.166 and that were not excluded by Distric Rule 1714

40 CFR 

52.21(b)(54)

RACT (54) Reasonably available control technology (RACT) is as defined in §51.100(o) of this chapter. Definition not in 51.166, 

but does not effect the 

other definitions or 

requirements for a PSD 

program
Attachment 6 Requirements for a SIP Approved PSD Program in 40 CFR 51.166 and How those Requirements are met by 

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Table 1

Pollutant

Maximum allowable 

increase (mg/m3)

PM2.5:

Annual arithmetic mean 1

24-hr maximum 2

PM10:

Annual arithmetic mean 4

24-hr maximum 8

Sulfur dioxide:

Annual arithmetic mean 2

24-hr maximum 5

3-hr maximum 25

Nitrogen dioxide:

Annual arithmetic mean 2.5

PM2.5:

Annual arithmetic mean 4

24-hr maximum 9

PM10:

Annual arithmetic mean 17

24-hr maximum 30

Sulfur dioxide:

Annual arithmetic mean 20

24-hr maximum 91

3-hr maximum 512

Nitrogen dioxide:

Annual arithmetic mean 25

Class I Area

Class II Area

Class III Area

PM2.5:
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Annual arithmetic mean 8

24-hr maximum 18

PM10:

Annual arithmetic mean 34

24-hr maximum 60

Sulfur dioxide:

Annual arithmetic mean 40

24-hr maximum 182

3-hr maximum 700

Nitrogen dioxide:

Annual arithmetic mean 50
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Table 2

Class I Class II Class III

area area area

PM2.5 Annual 0.06 μg/m3

0.3 μg/m30.3 μg/m3

 24-hour 0.07 μg/m3

Public 

notice 

(10/15/20

10) and 

public 

hearing 

(11/5/201

0) were 

held. 1.2 μg/m3

Pollutant Averaging 

time
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Table 3

Pollutant

Maximum allowable 

increase [microgram per 

cubic meater]

PM2.5:

Annual arithmetic 

mean 4

24-hr maximum 9

PM10:

Annual arithmetic 

mean 17

24-hr maximum 30

Sulfur dioxide:

Annual arithmetic 

mean 20

24-hr maximum 91

3-hr maximum 325

Nitrogen dioxide:

Annual arithmetic 

mean 25
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Table 4

Low High

24-hr 

maximum 36 62

3-hr 

maximum 130 221

Period of 

exposure

Terrain areas

Maximum Allowable Increase 

[Micrograms per cubic meter]