STEVEN L. BESHEAR 

GOVERNOR 

ENERGY AND ENVIRONMENT CABINET 

OFFICE OF THE SECRETARY 

500 MERO STREET 

12TH FLOOR, CAPITAL PLAZA TOWER 

FRANKFORT, KY 40601 

TELEPHONE: 502-564-3350 

FACSIMILE: 502-564-3354 

July 17, 2012 

Ms. Gwendolyn Keyes Fleming 

Regional Administrator 

U.S. EPA, Region 4 

Sam Nunn Atlanta Federal Center 

61 Forsyth Street, SW 

Atlanta, Georgia 30303 

lB)NARJ) K PETERS 

SECRETARY 

.PA-REGION 14 

RECE~A.OA 

j u!J /3; J.O a 

RA's Office 

RE: Section 11 0( a) Infrastructure State Implementation Plan (SIP) submittal 

Dear Ms. Fleming: 

The Kentucky Energy and Environment Cabinet (EEC) hereby submits to the U.S. 

Environmental Protection Agency (EPA) a final State Implementation Plan (SIP) that documents 

the Clean Air Act (CAA) requirements of Section 11 O(a) infrastructure provisions addressing the 

National Ambient Air Quality Standards (NAAQS) requirements for the 1997 and 2006 PM2.5, 

and the 2008 8-hour ozone and lead NAAQS. 

Under Sections 11 O(a)(l) and (2), all states are required to submit plans to provide for the 

implementation, maintenance, and enforcement of any new or revised NAAQS. States are 

required to address basic program elements, including requirements for emissions inventories, 

monitoring, and modeling, among other things. States are required to submit SIPs to EPA 

demonstrating that these basic program elements have been addressed within 3 years of the 

promulgation of any new or revised NAAQS. Subsections (A) through (M) of Section 11 O(a)(2), 

set forth the elements that a state's program must contain in the SIP. 

For clarification, the following statutes and regulations need to be added to Kentucky's 

SIP: 

• KRS Chapter 224.10-100. Powers and duties of cabinet; 

• KRS Chapter 224.10-020. Departments within the cabinet-Offices and divisions within 

the departments-Appointments; 

• KRS Chapter 11A.020. Public servant prohibited from certain conduct - Exception -

Disclosure of personal or private interest; 

• KRS 11A.030 Considerations in determination to abstainfrom action on official decision 

-Advisory opinion; 

• KRS 11A.040 Acts prohibited for public servant or officer- Exception; 

KentuckyUnbridledSpirit.com /(l2Jt!:!.rJ!!i~ An Equal Opportunity Employer M/F/D 
Ms. Gwendolyn Keyes Fleming 

Page 2 

July 17, 2012 

• 401 KAR 51 :001, 51 :017 and 51 :052. These regulations were amended to adopt federal 

revisions to the lists of major sources relating to PSD, NSR and Title V applicability; 

remove the existing requirements for clean units and pollution control projects; and add 

nitrogen oxides as a precursor to ozone formation. These amendments became 

effective in Kentucky on February 5, 2010, were submitted to EPA on February 22, 2010, 

and were officially approved to the SIP in 75 FR 55988, on September 15, 2010; 

• 401 KAR 51:001 and 52:001. These regulations were amended to include federal 

definition changes significant to Kentucky's permitting program by establishing 

thresholds for the regulation and permitting of greenhouse gas emissions. These 

amendments became effective in Kentucky on January 3, 2011, were submitted to EPA 

on December 13, 2010, and were officially approved to the SIP in 75 FR 81868, 

December 29, 201 0; 

• 401 KAR 51:001, 51:017 and 51:052. These regulations were amended to adopt revisions 

. _ to the NSR/PSD programs consistent with the PM2.5 NAAQS implementation. The 

Division filed the proposed administrative regulation amendments with the Legislative 

Research Commission June 14, 2012 and EPA on June 19, 2012. 

The list of Section 11 O(a)(2) NAAQS requirements and Kentucky's provisions are listed 

as an attachment to this letter. A public comment period closed on May 22, 2012, and a response 

to comments document is included. Kentucky notes that it is withdrawing the previous 

submission dated September 8, 2009, for the 11 O(a)(2) infrastructure requirements related to the 

8-hour ozone, PM2.5, and lead NAAQS and replacing it with the submission provided with this 

letter. Your prompt attention to this letter is appreciated. If you have any questions or comments 

concerning this matter, please contact Andrea Smith at the Division for Air Quality at (502) 564-

3999. 

Sincerely yours, 

~~(#~}; Secretary 

Enclosures 

c: Beverly Banister/R. Scott Davis 

KentuckyU n bridledSpirit.com An Equal Opportunity Employer M/F/D 
1 

Section 110(a) Infrastructure Requirements 

Emission limits and other control measures: Section 110(a)(2)(A) of the CAA requires SIPs to 

include enforceable emission limits and other control measures, means or techniques, schedules 

or compliance and other related matters. 

Kentucky Authority:

• Kentucky Revised Statute Chapter 224 Section 10-100 (KRS 224.10-100) provides the 

Energy and Environment Cabinet the authority to administer all rules, regulations and 

orders promulgated under Chapter 224, and to provide for the prevention, abatement, and 

control of all water, land, and air pollution. 

Chapter 50 General Administrative Procedures.

• 401 KAR 50:010. Definitions for 401 KAR Chapter 50. This administrative regulation 

defines the terms used in 401 KAR Chapter 50; 

• 401 KAR 50:012. General application. This administrative regulation provides guidelines 

by which all administrative regulations of 401 KAR Chapters 50 to 65, are to be 

understood; 

• 401 KAR 50:015. Documents incorporated by reference. This administrative regulation 

provides for the incorporation by reference of documents referred to within these 

administrative regulations; 

• 401 KAR 50:020. Air quality control regions. This administrative regulation provides for 

the designation and classification of air quality control regions; 

• 401 KAR 50:025. Classification of counties. This administrative regulation provides for 

the classification of counties with respect to various pollutants; 

• 401 KAR 50:040. Air quality models. This administrative regulation specifies general 

provisions for the use of air quality models; 

• 401 KAR 50:042. Good engineering practice stack height. This administrative regulation 

defines good engineering practice stack height which shall be used in establishing 

emissions limitations; 

• 401 KAR 50:045. Performance tests. This administrative regulation establishes 

requirements for performance tests; 

• 401 KAR 50:047. Test procedures for capture efficiency. This administrative regulation 

provides capture efficiency test procedures for volatile organic compounds; 

• 401 KAR 50:050. Monitoring. This administrative regulation establishes requirements for 

stack gas monitoring, ambient air monitoring, and recording and reporting requirements as 

related to monitoring data; 

• 401 KAR 50:055. General compliance requirements. This administrative regulation 

establishes requirements for compliance during shutdown and malfunctions; establishes 

requirements for demonstrating compliance with standards; establishes requirements for 

compliance when a source is relocated within the Commonwealth of Kentucky; and other 

general compliance requirements; 

• 401 KAR 50:060. Enforcement. This administrative regulation provides for enforcement 

of the terms and conditions of permits and compliance schedules; 
2 

• 401 KAR 50:065. Conformity of general federal actions. The federal regulation 

incorporated by reference in this administrative regulation provides for determining the 

conformity of general federal actions to the SIP. 40 CFR 51.850 to 51.860 require that the 

applicable federal agencies implement the conformity determination in consultation with 

agencies of the Commonwealth of Kentucky; 

• 401 KAR 50:066. Conformity of transportation plans, programs, and projects. This 

administrative regulation adopts the Federal Transportation Conformity Rules as codified 

in 40 C.F.R. Part 93 Subpart A and incorporates a guidance document that establishes 

criteria and procedures for the interagency consultation process used in demonstrating 

conformity of federal transportation plans to the Kentucky State Implementation Plan. 

Chapter 51 Attainment and Maintenance of the National Ambient Air Quality Standards

• 401 KAR 51:001. Definitions for 401 KAR Chapter 51. This administrative regulation 

defines the terms used in 401 KAR Chapter 51. The definitions contained in this 

administrative regulation are neither more stringent nor otherwise different than the 

corresponding federal definitions; 

• 401 KAR 51:005. Purpose and General Provisions. This administrative regulation 

establishes the general provisions as related to new sources with respect to the prevention 

of significant deterioration of air quality and construction of stationary sources impacting 

on nonattainment areas; 

• 401 KAR 51:010. Attainment Status Designations. This administrative regulation 

designates the status of all areas of the Commonwealth of Kentucky with regard to 

attainment of the ambient air quality standards; 

• 401 KAR 51:017. Prevention of significant deterioration of air quality. This 

administrative regulation applies to the construction of any new major stationary source 

or any project at an existing major stationary source in an area designated as attainment 

or unclassifiable; 

• 401 KAR 51:052. Review of new sources in or impacting upon nonattainment areas. 

This administrative regulation establishes requirements for the construction or 

modification of stationary sources within, or impacting upon, areas where the national 

ambient air quality standards have not been attained; 

• 401 KAR 51:150. NOx requirements for stationary internal combustion engines. 

Pursuant to the federal NOx SIP Call, this administrative regulation provides for the 

regional control of NOx emissions by establishing requirements for large stationary 

internal combustion engines; 

• 401 KAR 51:160. NOx requirements for large utility and industrial boilers. This 

administrative regulation establishes requirements for the control of NOx emissions from 

large boilers and turbines used in power plants and other industrial applications, pursuant 

to the federal mandate published under the NOx SIP Call; 

• 401 KAR 51:170. NOx requirements for cement kilns. This administrative regulation 

provides for the regional control of NOx emissions from portland cement manufacturing 

plants pursuant to the federal mandate published under the NOx SIP Call; 

• 401 KAR 51:180. NOx credits for early reduction and emergency. This administrative 

regulation provides for the distribution of NOx allowances from a compliance 

supplement pool allocated to Kentucky by the U.S. EPA for sources that reduce NOx 

emissions before the compliance deadline of the federal mandate published under the 
3 

NOx SIP Call. It also provides for setting aside unused credits to assist sources that are 

unable to meet the compliance deadline; 

• 401 KAR 51:190. Banking and trading NOx allowances. This administrative regulation 

incorporates by reference the federal regulation that establishes a program for banking 

and trading of emission allowances to reduce NOx emissions under the federal NOx SIP 

Call; 

• 401 KAR 51:195. NOx opt-in provisions. The federal regulation incorporated by 

reference in this administrative regulation establishes provisions for individual sources to 

opt into the NOx Budget Trading Program; 

• 401 KAR 51:210. CAIR NOx annual trading program. This administrative regulation 

establishes requirements for the control of NOx emissions from large boilers and turbines 

used in power plants, pursuant to the federal mandate published under the Clean Air 

Interstate Rule (CAIR), 40 C.F.R. 96.101 to 96.188; 

• 401 KAR 51:220. CAIR NOx ozone season trading program. This administrative 

regulation establishes requirements for the control of NOx emissions from large boilers 

and turbines used in power plants and other industrial applications, pursuant to the federal 

mandate published under the Clean Air Interstate Rule (CAIR), 40 C.F.R. 96.301 to 

96.388; 

• 401 KAR 51:230. CAIR SO2 trading program. This administrative regulation establishes 

the provisions of the CAIR SO2 Trading Program as codified at 40 C.F.R. 96.201 to 

96.288 for applicable sources located in the Commonwealth of Kentucky. 

Chapter 52 Permits, Registrations, and Prohibitory Rules.

• 401 KAR 52:001. Definitions for 401 KAR Chapter 52. This administrative regulation 

defines the terms used in 401 KAR Chapter 52; 

• 401 KAR 52:020. Title V permits. This administrative regulation establishes requirements 

for air contaminant sources located in Kentucky that are required to obtain a Title V 

permit; 

• 401 KAR 52:030. Federally-enforceable permits for nonmajor sources. This 

administrative regulation establishes requirements for air contaminant sources located in 

Kentucky that accept emission limitations to avoid the New Source Review requirements 

under Title I of the Clean Air Act or the Operating Permit Program requirements under 

Title V of the Clean Air Act; 

• 401 KAR 52:040. State-Origin Permits. This administrative regulation establishes 

requirements for minor sources whose permits are not required to be federally 

enforceable; 

• 401 KAR 52:050. Permit application forms. This administrative regulation incorporates 

by reference the application forms used to permit air contaminant sources in Kentucky; 

• 401 KAR 52:060. Acid rain permits. This administrative regulation incorporates by 

reference the federal acid rain provisions as codified at 40 CFR Parts 72 to 78; 

• 401 KAR 52:070. Registration of designated sources. This administrative regulation 

establishes the procedure for the registration of designated air contaminant sources in 

Kentucky; 

• 401 KAR 52:090. Prohibitory rule for hot mix asphalt plants. This administrative 

regulation establishes production limits for hot mix asphalt plants, which keeps their 
4 

emissions below the major source threshold and avoids the necessity of having to obtain a 

Title V or conditional major permit; 

• 401 KAR 52:100. Public, affected state and U.S. EPA review. This administrative 

regulation establishes the procedures used by the cabinet to provide for the review of 

federally-enforceable permits by the public, affected states, and the U.S. EPA; 

• 401 KAR 53:005. General provisions. This administrative regulation is to provide for the 

establishment of general provisions, definitions and time schedules as they pertain to this 

chapter; 

• 401 KAR 53:010. Ambient air quality standards. This administrative regulation is to fix 

ambient air quality standards necessary for the protection of the public health, the general 

welfare, and the property and people in this Commonwealth. 

Ambient air quality monitoring/data system: Section 110(a)(2)(B) of the CAA requires SIPs 

to include provisions to provide for establishment and operation of ambient air quality monitors, 

collecting and analyzing ambient air quality data, and presentation of these data available to EPA 

upon request. 

 

Kentucky Authority: 

• KRS 224.10-100 (22) requires the installation, maintenance, and use of equipment, 

devices, or test and methodologies to monitor the nature and amount of any substance 

emitted into the ambient air and to provide the information to the cabinet; 

• 401 KAR 50:050. Monitoring. This administrative regulation establishes requirements for 

stack gas monitoring, ambient air monitoring, and recording and reporting requirements as 

related to monitoring data; 

• 401 KAR 51:017. Prevention of significant deterioration of air quality. This 

administrative regulation applies to the construction of any new major stationary source 

or any project at an existing major stationary source in an area designated as attainment 

or unclassifiable; 

• 401 KAR 51:052. Review of new sources in or impacting upon nonattainment areas. 

This administrative regulation establishes requirements for the construction or 

modification of stationary sources within, or impacting upon, areas where the national 

ambient air quality standards have not been attained; 

• 401 KAR 53:005. General provisions. This administrative regulation is to provide for the 

establishment of general provisions, definitions and time schedules as they pertain to this 

chapter; 

• 401 KAR 53:010. Ambient Air Quality Standards. This administrative regulation 

establishes ambient air quality standards necessary for the protection of the public health, 

welfare, and property. 

Program for enforcement of control measures: Section 110(a)(2)(C) of the CAA requires 

States to include a program that provides for enforcement of all SIP measures and the regulation 

of construction of new or modified stationary sources to meet prevention of significant 

deterioration (PSD) and nonattainment new source review (NSR) requirements. 
5 

Kentucky Authority:

• 401 KAR 50:060. Enforcement. This administrative regulation provides for enforcement 

of the terms and conditions of permits and compliance schedules; 

• 401 KAR 51:017. Prevention of Significant Deterioration of Air Quality. This 

administrative regulation applies to the construction of any new major stationary source 

or any project at an existing major stationary source in an area designated as attainment 

or unclassifiable; 

• 401 KAR 51:052. Review of new sources in or impacting upon nonattainment areas. 

This administrative regulation establishes requirements for the construction or 

modification of stationary sources within, or impacting upon, areas where the national 

ambient air quality standards have not been attained; 

• 401 KAR 51:001, 51:017 and 51:052. These regulations were amended to adopt federal 

revisions to the lists of major sources relating to PSD, NSR and Title V applicability, 

removed the existing requirements for clean units and pollution control projects, and 

added nitrogen oxides as a precursor to ozone formation. These amendments became 

effective in Kentucky on February 5, 2010, were submitted to EPA on February 22, 2010, 

and were officially approved to the SIP in 75 FR 55988, on September 15, 2010; 

• 401 KAR 51:001 and 52:001. These regulations were amended to include federal 

definition changes significant to Kentucky’s permitting by establishing thresholds for the 

regulation and permitting of greenhouse gas emissions. These amendments became 

effective in Kentucky on January 3, 2011, were submitted to EPA on December 13, 2010 

and were officially approved to the SIP in 75 FR 81868, December 29, 2010; 

• 401 KAR 51:001, 51:017 and 51:052. These regulations were amended to adopt revisions 

to the NSR/PSD programs consistent with the PM2.5 NAAQS implementation. The 

Division filed the proposed administrative regulation amendments with the Legislative 

Research Commission June 14, 2012 and EPA on June 19, 2012. 

Interstate transport: Section 110(a)(2)(D) of the CAA requires SIPs to include provisions 

prohibiting any source of other type of emissions activity in one state from contributing 

significantly to nonattainment of the NAAQS in another State. States are required to submit 

110(a)(2)(D)(i) plans to demonstrate compliance with these provisions. 

Kentucky Authority:

• Finding regarding section 110(a)(2)(D)(i) promulgated submitted on 12/10/07 for the 

1997 8-hour ozone and PM2.5 National Ambient Air Quality Standards; 

• Kentucky submitted the 110(a)(1) plan on 12/7/07 for the 1997 8-hour ozone and PM2.5

NAAQS; 

• Kentucky’s regulations in response to the Clean Air Interstate Rule (CAIR) were 

approved 10/4/07 (72 FR 56623); 

• The Final Regional Haze SIP was submitted to U.S. EPA on 6/25/08, and EPA published 

a limited approval and limited disapproval on March 30, 2012 effective April 30, 2012; 

• The Final 8-Hour Ozone Attainment Demonstration for Boone, Campbell, and Kenton 

counties, Kentucky, was submitted to U.S. EPA on 12/07/07; 

• The Final PM2.5 Attainment Demonstration for Jefferson, Bullitt, Boone, Campbell, 

Kenton, Boyd, and a portion of Lawrence counties, Kentucky, was submitted to U.S. 

EPA on 12/03/08; 
6 

• 401 KAR 51:010. Attainment Status Designations. This administrative regulation 

designates the status of all areas of the Commonwealth of Kentucky with regard to 

attainment of the ambient air quality standards; 

• 401 KAR 51:017. Prevention of significant deterioration of air quality. This 

administrative regulation applies to the construction of any new major stationary source 

or any project at an existing major stationary source in an area designated as attainment 

or unclassifiable; 

• Regulation 401 KAR 51:052. Review of new sources in or impacting upon nonattainment 

areas, Section 1 applies to a new major stationary source or project that is a major 

modification at an existing major source and locates in or impacts upon an area 

designated nonattainment under 42 U.S.C. 7407(d)(1)(A)(i); 

• 401 KAR 52:100. Public, affected state, and U.S. EPA review Section 6 requires that 

public notice to permit actions shall be provided to affected states. 

Adequate resources: Section 110(a)(2)(E) of the CAA requires states to provide for adequate 

personnel, funding and legal authority under State law to carry out its SIP and related issues, and 

that the state complies with the requirements state boards under section 7428, State Boards. 

Kentucky Authority:

• KRS 224.10-100. Powers and Duties of the Cabinet, provides for authority under State 

law to carry out its SIP and related issues; 

• KRS 224.10-100. Powers and Duties of the Cabinet, Section (11) provides for the 

authority to accept, receive, and administer grants or other funds or gifts from public and 

private agencies including the federal government for the purpose of carrying out any of 

the functions of the cabinet; 

• KRS 224.10-020, Departments within the cabinet – Offices and divisions within the 

departments – Appointments, describes who is authorized in the Commonwealth to 

approve Air permits and enforcement orders and appeals thereof; 

• 401 KAR 50:038. Air Emissions Fee. This administrative regulation provides for the 

assessment of fees necessary to fund the state Title V permit program; 

• KRS 11A.020. Public servant prohibited from certain conduct—Exception—Disclosure 

of personal or private interest, requires adequate disclosure of any potential conflicts of 

interest; 

• KRS 11A.030 Considerations in determination to abstain from action on official decision 

– Advisory opinion, proscribes guidelines for determining whether to abstain from action 

on an official decision because of a possible conflict of interest; 

• KRS 11A.040 Acts prohibited for public servant or officer – Exception.

Stationary source monitoring system: Section 110(a)(2)(F) of the CAA requires States to 

establish a system to monitor emissions from stationary sources and to submit periodic emissions 

reports. 

Kentucky Authority: 

• Chapter 50 General Administrative Procedures; 
7 

• 401 KAR 50:050 Monitoring, Section 1 Monitoring Records and Reporting establishes 

the requirements for the installation, use, and maintenance of stack gas and ambient air 

monitoring equipment; 

• 401 KAR 50:055 General Compliance Requirements, Section 1 Emission During Shut 

Down Malfunction. 

Emergency power: Section 110(a)(2)(G) of the CAA requires States to provide for authority to 

address activities causing imminent and substantial endangerment to public health, including 

contingency plans to implement the emergency episode provisions in their SIPs. 

Kentucky Authority:

• Chapter 55 Emergency Episodes.

• 401 KAR 55:005. Significant Harm Criteria, Section 1 Purpose defines those levels of 

pollutant concentration which must be prevented in order to avoid significant harm to the 

health of persons; 

• 401 KAR 55:010. Episodic Criteria. The administrative regulation defines those levels 

of pollutant concentrations which justify the proclamation of an air pollution alert, air 

pollution warning, an air pollution emergency; 

• 401 KAR 55:015. Episode Declaration. This administrative regulation provides for the 

curtailment or reduction of processes or operations which emit an air contaminant or an 

air contaminant precursor whose criteria has been reached and are located in the affected 

areas for which an episode level has been declared; 

• All of Kentucky is considered a Priority III Area, and therefore no emergency episode 

plan for PM2.5 is required; 

• An emergency episode was already included for the 1-hour ozone standard and would 

suffice for the 8-hour ozone standard. 

Future SIP revisions: Section 110(a)(2)(H) of the CAA requires States to have the authority to 

revise their SIPs in response to changes in the NAAQS, availability of improved methods for 

attaining the NAAQS, or in response to an EPA finding that the SIP is substantially inadequate. 

Kentucky Authority:

• Chapter 53 Ambient Air Quality.

• 401 KAR 53:005. General Provisions;

• 401 KAR 53:010. Ambient Air Quality Standards. This administrative regulation is to fix 

ambient air quality standards necessary for the protection of the public health, the general 

welfare, and the property and people in this Commonwealth; 

• 401 KAR 51:010. Attainment Status Designations. This administrative regulation 

contains provisions for the cabinet to review applicable data and submit to U.S. EPA 

revisions to the attainment-nonattainment list pursuant to 42 U.S.C. 7407. 

Consultation with government officials: Section 110(a)(2)(J) of the CAA requires States to 

provide a process for consultation with local governments and Federal Land Managers carrying 

out NAAQS implementation requirements pursuant to CAA Section 121 relating to consultation. 
8 

Kentucky Authority:

• 401 KAR 50:055. General compliance requirements. This administrative regulation 

establishes requirements for compliance during shutdown and malfunctions; establishes 

requirements for demonstrating compliance with standards; establishes requirements for 

compliance when a source is relocated within the Commonwealth of Kentucky; and other 

general compliance requirements; 

• 401 KAR 50:060. Enforcement. This administrative regulation provides for enforcement 

of the terms and conditions of permits and compliance schedules; 

• 401 KAR 50:065. Conformity of general federal actions. The federal regulation 

incorporated by reference in this administrative regulation provides for determining the 

conformity of general federal actions to the State Implementation Plan (SIP). 40 CFR 

51.850 to 51.860 require that the applicable federal agencies implement the conformity 

determination in consultation with agencies of the Commonwealth of Kentucky; 

• 401 KAR 50:060. Enforcement. This administrative regulation provides for enforcement 

of the terms and conditions of permits and compliance schedules; 

• 401 KAR 50:066. Conformity of Transportation Plans, Programs, and Projects. This 

administrative regulation establishes criteria and procedures for the interagency 

consultation process used in demonstrating conformity of federal transportation plans to 

the SIP; 

• 401 KAR 51:017. Prevention of Significant Deterioration of Air Quality. This 

administrative regulation applies to the construction of any new major stationary source 

or any project at an existing major stationary source in an area designated as attainment 

or unclassifiable; 

• 401 KAR 51:052. Review of new sources in or impacting upon nonattainment areas. 

This administrative regulation establishes requirements for the construction or 

modification of stationary sources within, or impacting upon, areas where the national 

ambient air quality standards have not been attained; 

• 401 KAR 51:001, 51:017 and 51:052. These regulations were amended to adopt federal 

revisions to the lists of major sources relating to PSD, NSR and Title V applicability, 

removed the existing requirements for clean units and pollution control projects, and 

added nitrogen oxides as a precursor to ozone formation. These amendments became 

effective in Kentucky on February 5, 2010, were submitted to EPA on February 22, 2010, 

and were officially approved to the SIP in 75 FR 55988, on September 15, 2010; 

• 401 KAR 51:001 and 52:001. These regulations were amended to include federal 

definition changes significant to Kentucky’s permitting by establishing thresholds for the 

regulation and permitting of greenhouse gas emissions. These amendments became 

effective in Kentucky on January 3, 2011, were submitted to EPA on December 13, 2010 

and were officially approved to the SIP in 75 FR 81868, December 29, 2010; 

• 401 KAR 51:001, 51:017 and 51:052. These regulations were amended to adopt revisions 

to the NSR/PSD programs consistent with the PM2.5 NAAQS implementation. The 

Division filed the proposed administrative regulation amendments with the Legislative 

Research Commission June 14, 2012 and EPA on June 19, 2012; 

• KAR 52:100. Public, Affected State, and U.S. EPA Review. This administrative 

regulation establishes the procedures used by the cabinet to provide for the review of 

federally-enforceable permits by the public, affected states, and the U.S. EPA. 
9 

Public notification: Section 110(a)(2)(J) of the CAA further requires States to notify the public 

if NAAQS are exceeded in an area and to enhance public awareness of measure that can be taken 

to prevent exceedances. 

Kentucky Authority:

• 401 KAR 51:001. Definitions for 401 KAR Chapter 51. This administrative regulation 

defines the terms used in 401 KAR Chapter 51. The definitions contained in this 

administrative regulation are neither more stringent nor otherwise different than the 

corresponding federal definitions; 

• 401 KAR 51:005. Purpose and General Provisions. This administrative regulation 

establishes the general provisions as related to new sources with respect to the prevention 

of significant deterioration of air quality and construction of stationary sources impacting 

on nonattainment areas; 

• 401 KAR 51:010. Attainment Status Designations. This administrative regulation 

designates the status of all areas of the Commonwealth of Kentucky with regard to 

attainment of the ambient air quality standards; 

• 401 KAR 51:017. Prevention of significant deterioration of air quality. This 

administrative regulation applies to the construction of any new major stationary source 

or any project at an existing major stationary source in an area designated as attainment 

or unclassifiable; 

• 401 KAR 51:052. Review of new sources in or impacting upon nonattainment areas. 

This administrative regulation establishes requirements for the construction or 

modification of stationary sources within, or impacting upon, areas where the national 

ambient air quality standards have not been attained; 

• 401 KAR 51:150. NOx requirements for stationary internal combustion engines. 

Pursuant to the federal NOx SIP Call, this administrative regulation provides for the 

regional control of NOx emissions by establishing requirements for large stationary 

internal combustion engines; 

• 401 KAR 51:160. NOx requirements for large utility and industrial boilers. This 

administrative regulation establishes requirements for the control of NOx emissions from 

large boilers and turbines used in power plants and other industrial applications, pursuant 

to the federal mandate published under the NOx SIP Call; 

• 401 KAR 51:170. NOx requirements for cement kilns. This administrative regulation 

provides for the regional control of NOx emissions from portland cement manufacturing 

plants pursuant to the federal mandate published under the NOx SIP Call; 

• 401 KAR 51:180. NOx credits for early reduction and emergency. This administrative 

regulation provides for the distribution of NOx allowances from a compliance 

supplement pool allocated to Kentucky by the U.S. EPA for sources that reduce NOx 

emissions before the compliance deadline of the federal mandate published under the 

NOx SIP Call. It also provides for setting aside unused credits to assist sources that are 

unable to meet the compliance deadline; 

• 401 KAR 51:190. Banking and trading NOx allowances. This administrative regulation 

incorporates by reference the federal regulation that establishes a program for banking 
10 

and trading of emission allowances to reduce NOx emissions under the federal NOx SIP 

Call; 

• 401 KAR 51:195. NOx opt-in provisions. The federal regulation incorporated by 

reference in this administrative regulation establishes provisions for individual sources to 

opt into the NOx Budget Trading Program; 

• 401 KAR 51:210. CAIR NOx annual trading program. This administrative regulation 

establishes requirements for the control of NOx emissions from large boilers and turbines 

used in power plants, pursuant to the federal mandate published under the Clean Air 

Interstate Rule (CAIR), 40 C.F.R. 96.101 to 96.188; 

• 401 KAR 51:220. CAIR NOx ozone season trading program. This administrative 

regulation establishes requirements for the control of NOx emissions from large boilers 

and turbines used in power plants and other industrial applications, pursuant to the federal 

mandate published under the Clean Air Interstate Rule (CAIR), 40 C.F.R. 96.301 to 

96.388; 

• 401 KAR 51:230. CAIR SO2 trading program. This administrative regulation establishes 

the provisions of the CAIR SO2 Trading Program as codified at 40 C.F.R. 96.201 to 

96.288 for applicable sources located in the Commonwealth of Kentucky; 

• 401 KAR 52:100. Public, Affected State, and U.S. EPA Review. This administrative 

regulation establishes the procedures used by the cabinet to provide for the review of 

federally-enforceable permits by the public, affected states, and the U.S. EPA. 

PSD and visibility protection: Section 110(a)(2)(J) of the CAA also requires States to meet 

applicable requirements of Part C related to PSD and visibility protection. 

Kentucky Authority:

• 401 KAR 51:005. Purpose and General Provisions. This administrative regulation 

establishes the general provisions as related to new sources with respect to the prevention 

of significant deterioration of air quality and construction of stationary sources impacting 

on nonattainment areas; 

• 401 KAR 51:010. Attainment Status Designations. This administrative regulation 

designates the status of all areas of the Commonwealth of Kentucky with regard to 

attainment of the ambient air quality standards; 

• 401 KAR 51:017. Prevention of significant deterioration of air quality. This 

administrative regulation applies to the construction of any new major stationary source 

or any project at an existing major stationary source in an area designated as attainment 

or unclassifiable; 

• 401 KAR 51:052. Review of new sources in or impacting upon nonattainment areas. 

This administrative regulation establishes requirements for the construction or 

modification of stationary sources within, or impacting upon, areas where the national 

ambient air quality standards have not been attained; 

• 401 KAR 63:005. Open Burning. This administrative regulation establishes 

requirements for the control of open burning; 

• 401 KAR 63:010. Fugitive Emissions. This administrative regulation provides for the 

control of fugitive emissions. 
11 

Air quality modeling/data: Section 110(a)(2)(K) of the CAA requires that SIPs provide for 

performing air quality modeling so that effects on air quality of emissions from NAAQS 

pollutants can be predicted and submission of such data to EPA can be made. 

Kentucky Authority:

• 401 KAR 50:040. Air Quality Models. This administrative regulation specifies general 

provisions for the use of air quality models; 

• 401 KAR 50:050. Monitoring. 

Permitting fees: Section 110(a)(2)(L) of the CAA requires SIPs to require each major stationary 

source to pay permitting fees to cover the costs of reviewing, approving, implementing, and 

enforcing a permit. 

Kentucky Authority:

• 401 KAR 50:038. Air Emissions Fee. This administrative regulation provides for the 

assessment of fees necessary to fund the state permit program. 

Consultation/participation by affected local entities: Section 110(a)(2)(M) of the CAA 

requires States to provide for consultation and participation in SIP development by local political 

subdivision affected by the SIP. 

Kentucky Authority:

• 401 KAR 50:066. Conformity of transportation plans, programs, and projects. This 

administrative regulation adopts the Federal Transportation Conformity Rules as codified 

in 40 C.F.R. Part 93 Subpart A and incorporates a guidance document that establishes 

criteria and procedures for the interagency consultation process used in demonstrating 

conformity of federal transportation plans to the Kentucky State Implementation Plan; 

• 401 KAR 52:100. Public, Affected State, and U.S. EPA Review. This administrative 

regulation establishes the procedures used by the cabinet to provide for the review of 

federally-enforceable permits by the public, affected states, and the U.S. EPA; 

• KRS Chapter 77. Air Pollution Control, provides for the creation of each county to 

development an air pollution control district.
1 

STATEMENT OF CONSIDERATION 

RELATING TO SIP REVISION FOR THE STATE IMPLEMENTATION PLAN (SIP) 

THAT DOCUMENTS THE CLEAN AIR ACT (CAA) REQUIREMENTS OF SECTION 

110(A) INFRASTRUCTURE PROVISIONS ADDRESSING THE REQUIREMENTS FOR 

THE 1997 AND 2006 PM2.5, THE 2008 8-HOUR OZONE, AND THE 2008 LEAD 

NATIONAL AMBIENT AIR QUALITY STANDARDS (NAAQS). 

Amended After Comments 

Energy and Environment Cabinet 

Department for Environmental Protection 

Division for Air Quality 

A public comment period was open to receive comments on the State Implementation Plan (SIP) 

revision to document the Clean Air Act (CAA) requirements of Section 110(a) infrastructure 

provisions addressing the National Ambient Air Quality Standards (NAAQS) requirements for 

the 1997 and 2006 PM2.5, and the 2008 8-hour ozone and lead standards. No request for a public 

hearing was received therefore a previously scheduled hearing was cancelled. 

The following individuals from the Kentucky Environmental and Public Protection Cabinet 

drafted responses to comments received during the public review period. 

John Gowins, Environmental Control Supervisor, Division for Air Quality 

Response to Comments for the proposed revision to the State Implementation Plan (SIP) to 

address Clean Air Act Section 110 requirements for the 1997 and 2006 PM 2.5, and the 

2008 8-hour ozone and lead National Ambient Air Quality Standards (NAAQS). 

1. Comment: KRS 11A.020(3) appears to describe the disclosure requirements applicable 

to public servants when they abstain from action on an official decision for which the 

Commonwealth has or may have a personal or private interest, but a provision actually 

requiring this abstention is not obvious. Please provide clarification on whether there is a 

requirement in a different provision to address this abstention, or if section 11A.020 is 

interpreted by the Commonwealth as the basis for the abstention requirement. 

R. Scott Davis, U.S. EPA

Response: The Cabinet acknowledges this comment. After further discussions between 

counsel for the Cabinet and EPA, it was agreed that this requirement would be satisfied 

by the inclusion of KRS 11A.030 Considerations in determination to abstain from action 

on official decision – Advisory opinion, and KRS 11A.040 Acts prohibited for public 

servant or officer – Exception. 

2. Comment: Based on information provided in this prehearing submittal, it appears that 

128(a)(1) is not applicable in the Commonwealth because there are no “boards or bodies” 
2 

that approve CAA permits or enforcement orders. Please clarify and/or confirm this 

point through a citation to the provisions that describe who is authorized in the 

Commonwealth to approve Air permits and enforcement orders and appeals thereof. 

R. Scott Davis, U.S. EPA

Response: The Cabinet acknowledges this comment. KRS 224.10-020, Departments 

within the cabinet – Offices and divisions within the departments – Appointments which 

provides the provisions that describe who is authorized in the Commonwealth to approve 

Air permits and enforcement orders and appeals thereof has been included to be 

incorporated into the SIP. 

3. Comment: Regarding reference to section 110(a)(2)(E)(i) on Page 6, EPA recommends 

the Commonwealth reference “110(a)(2)(E)” in its efforts to establish how the 

Commonwealth is addressing compliance for the entire element. 

R. Scott Davis, U.S. EPA

Response: The Cabinet acknowledges this comment and the narrative has been changed 

as suggested. 

4. Comment: Section 110(a)(2)(C) of the CAA establishes that states are required to have 

SIP-approved prevention of significant deterioration (PSD) programs for enforcement of 

control measures including review of proposed new sources to implement the national 

ambient air quality standards (NAAQS). States were required to submit a SIP revision to 

EPA on May 16, 2011, to adopt the new source review (NSR) requirements established in 

the 2008 NSR PM2.5 Implementation Rule. Additionally the PM2.5 PSD Increment 

requirements established in the October 20, 2010, PSD Increment, Significant Impact 

Levels and Significant Monitoring Concentrations, are due to EPA July 20, 2012. In 

order to comply with 110(a)(2)(C) for the PM2.5 NAAQS, states are required to approve 

into its SIP the 2008 NSR PM2.5 requirements. EPA recommends the Commonwealth 

clarify its intentions regarding meeting the SIP requirements of the 2008 NSR PM2.5 Rule 

and compliance with 110(a)(2)(C) of the CAA. 

R. Scott Davis, U.S. EPA

Response: The Cabinet acknowledges this comment. The Division filed proposed 

administrative regulation amendments with the Legislative Research Commission and 

EPA on June 14, 2012 to adopt revisions to the NSR program consistent with the PM2.5

NAAQS implementation. 

5. Comment: The cover letter states that the submittal is for the NAAQS requirements for 

“PM 2.5, 8-hour ozone, and lead.” EPA suggests the Commonwealth specify in the final 

SIP package cover letter, which NAAQS the infrastructure submittal is addressing (e.g., 

1997 and 2006 PM 2.5 and 2008 ozone and lead NAAQS). 

R. Scott Davis, U.S. EPA
3 

Response: The Cabinet acknowledges this comment. The cover letter has been changed 

to include the dates as suggested. 

6. Comment: Kentucky’s compliance with section 110(a)(2)(G) states “All of Kentucky is 

considered a Priority III area, and therefore no emergency episode plan for PM2.5 is 

required.” It appears this statement was established based on the PM2.5 NAAQS levels in 

the state during the time of the Commonwealth’s September 19, 2008, correspondence to 

EPA regarding Emergency Episode and may not reflect current PM2.5 NAAQS levels in 

the Commonwealth. Consistent with 40 CFR 51.153(a), EPA recommends the 

Commonwealth review the most recent three years of air quality monitoring data for the 

PM2.5 NAAQS for the purposes of this submittal to ensure that no area in the 

Commonwealth has exceeded the 24-hour PM2.5 level of 140.4 micrograms per cubic 

meter (μg/m3). EPA also recommends that the Commonwealth revise the statement at 

110(a)(2)(G) as the following: “Based upon the most recent three years of air quality 

data, no area of the Commonwealth has exceeded the 24-hour PM 2.5 level of 140.4 

μg/m3. Therefore, based upon EPA’s September 25, 2009 PM 2.5 infrastructure 

guidance memorandum, no emergency episode plan for PM2.5 is necessary at this time.” 

R. Scott Davis, U.S. EPA

Response: The Cabinet acknowledges this comment. The Cabinet reviewed the most 

recent three years of air quality monitoring data for the PM2.5 NAAQS for the purposes of 

the submittal and no area in the Commonwealth has exceeded the 24-hour PM2.5 level of 

140.4 micrograms per cubic meter (μg/m3

). 

7. Comment: EPA suggests the following edits to the Interstate transport element (a) list 

401 KAR 51:001 and 51:017 to address PSD; (b) specify approval of Regional Haze SIP; 

and (c) clarify the appropriate 8-hour ozone and PM2.5 NAAQS regarding the attainment 

demonstration reference. 

R. Scott Davis, U.S. EPA

Response: The Cabinet acknowledges this comment. The edits to the Interstate transport 

element have been made. 

8. Comment: Maryland finds Kentucky’s Infrastructure SIP, specifically the Clean Air Act 

Section 110(a)(2)(D), to be lacking the necessary control measures to effectively prohibit 

emissions that significantly contribute to nonattainment or interfere with maintenance in 

Maryland for the 2008 8-hour ozone NAAQS. CSAPR identified Kentucky as a state 

that significantly contributes to Maryland’s ozone nonattainment problem. 

George (Tad) Aburn, Maryland 

Response: The Cabinet does not agree. The air quality modeling to identify downwind 

nonattainment and maintenance receptors for CSPAR was performed using emissions 

inventories developed with a 2005 base year and for 2012 and 2014 projections. This 

modeling did not account for reductions that have been achieved through implementation 

of the Clean Air Interstate Rule (CAIR). The following table shows that the actual 

emissions of NO2 and VOC in Kentucky have decreased by 39% and 17% respectively; 
4 

yet the monitoring data for the Maryland monitor 24-025-1001 Hartford (Edgewood) 

shows that the design value for 2010 has decreased from the 2005 design value by only 

3%. For 2011, the monitor design value has decreased by less than 1% of the 2005 

design value. It is unlikely that Kentucky emissions are having a significant contribution 

to the nonattainment problem in Maryland if reductions in emissions of these magnitudes 

result in reductions of monitor design values of such small values. 

Year KY NO2 Percent KY VOC Percent Maryland dv 

ppb Percent

2005 203,959.70 48,835.72 99 

2010 124,662.91 -39% 40,426.22 -17% 96 -3% 

A review of the monitors located between Kentucky and Maryland was performed using 

the 2010 3-year design values. The design values for these monitors further indicate that 

whatever leads to the ozone problem in Maryland, it is likely due to localized sources. 

Further, a 2011 Congested Corridors Report1

 identified 13 corridors in Washington D.C. 

and 5 corridors in Baltimore as highly congested, which contribute significantly to the 

nonattainment problem for Maryland. 

An analysis of the ten highest monitored values for this site was performed using the 

NOAA hysplit back-trajectory model. The air column passed through Kentucky during 

 

1

Texas Transportation Institute, The Texas A&M University System http://mobility.tamu.edu November 2011 
5 

only 8 of the 30 days reviewed. On the days of the highest readings for each year 2009-

2010-2011 at the Edgewood monitor the air column did not pass over Kentucky. 

9. Comment: Kentucky’s Infrastructure SIP purports to comply with the interstate transport 

requirements of Section 110(a)(2)(D) through the implementation of the NOx SIP Call 

reductions and the Clean Air Interstate Rule (CAIR), or its replacement, CSAPR. 

Maryland strongly believes that these measures alone, even with the reinstatement of 

CSAPR, are insufficient to address transported pollution with regard to the 2008 8-hour 

ozone NAAQS. In fact, CSAPR and CAIR were designed only to address the 0.08 parts 

per million (ppm) 8-hour ozone NAAQS. These federal measures do not eliminate 

significant contributions under the 0.075 ppm 8-hour ozone NAAQS. 

George (Tad) Aburn, Maryland 

Response: The Cabinet does not agree. See response to comment 8 above. Further, 

given the unrecognized reductions accomplished by CAIR, coupled with those expected 

and in some cases already underway due to CSAPR and the Mercury Air Toxics rule 

(MATS) significant localized and downwind benefits are already being achieved. 

10. Comment: Pursuant to the “good neighbor” provisions of Section 110(a)(2)(D), States 

will need to develop and commit to implementation of regulations in their Infrastructure 

SIPs to achieve VOC and NOx reductions from various emissions sources such that the 

State’s significant contribution to nonattainment or interference with maintenance in 

downwind states is eliminated. 

George (Tad) Aburn, Maryland 

Response: The Cabinet does not agree. See response to comment 8 above. 

11. Comment: From our preliminary modeling, a NOx budget from all sources sectors in 

Kentucky of 146,315 tons per year would satisfy the requirements for Section 

l10(a)(2)(D). 

George (Tad) Aburn, Maryland 

Response: The Cabinet acknowledges this comment. See response to comment 8 above. 

12. Comment: Maryland believes Kentucky and all states that have been demonstrated to 

significantly impact downwind receptors, which include Maryland, should expeditiously 

implement control programs that address NOx and VOC emissions. 

George (Tad) Aburn, Maryland 

Response: The Cabinet does not agree. As stated previously, measures under CAIR have 

been implemented and further emissions reductions expected to be implemented due to 

the CSAPR and MATS rules are underway2

. 

 

2

 PSC Approves LG&E and KU Plan for Gas-fired Power Plants http://psc.ky.gov/agencies/psc/press/052012/0503_r01.PDF 
224.10-100 Powers and duties of cabinet.

In addition to any other powers and duties vested in it by law, the cabinet shall have the 

authority, power, and duty to:

(1) Exercise general supervision of the administration and enforcement of this chapter, 

and all rules, regulations, and orders promulgated thereunder;

(2) Prepare and develop a comprehensive plan or plans related to the environment of 

the Commonwealth;

(3) Encourage industrial, commercial, residential, and community development which 

provides the best usage of land areas, maximizes environmental benefits, and 

minimizes the effects of less desirable environmental conditions;

(4) Develop and conduct a comprehensive program for the management of water, land, 

and air resources to assure their protection and balance utilization consistent with 

the environmental policy of the Commonwealth;

(5) Provide for the prevention, abatement, and control of all water, land, and air 

pollution, including but not limited to that related to particulates, pesticides, gases, 

dust, vapors, noise, radiation, odor, nutrients, heated liquid, or other contaminants;

(6) Provide for the control and regulation of surface coal mining and reclamation in a 

manner to accomplish the purposes of KRS Chapter 350;

(7) Secure necessary scientific, technical, administrative, and operational services, 

including laboratory facilities, by contract or otherwise;

(8) Collect and disseminate information and conduct educational and training programs 

relating to the protection of the environment;

(9) Appear and participate in proceedings before any federal regulatory agency 

involving or affecting the purposes of the cabinet;

(10) Enter and inspect any property or premises for the purpose of investigating either 

actual or suspected sources of pollution or contamination or for the purpose of 

ascertaining compliance or noncompliance with this chapter, or any regulation 

which may be promulgated thereunder;

(11) Conduct investigations and hold hearings and compel the attendance of witnesses 

and the production of accounts, books, and records by the issuance of subpoenas;

(12) Accept, receive, and administer grants or other funds or gifts from public and 

private agencies including the federal government for the purpose of carrying out 

any of the functions of the cabinet. The funds received by the cabinet shall be 

deposited in the State Treasury to the account of the cabinet;

(13) Request and receive the assistance of any state or municipal educational institution, 

experiment station, laboratory, or other agency when it is deemed necessary or 

beneficial by the cabinet in the performance of its duties;

(14) Advise, consult, and cooperate with other agencies of the Commonwealth, other 

states, the federal government, and interstate and interlocal agencies, and affected 

persons, groups, and industries;
(15) Formulate guides for measuring presently unidentified environmental values and 

relationships so they can be given appropriate consideration along with social, 

economic, and technical considerations in decision making;

(16) Monitor the environment to afford more effective and efficient control practices, to 

identify changes and conditions in ecological systems, and to warn of emergency 

conditions;

(17) Adopt, modify, or repeal with the recommendation of the commission any standard, 

regulation, or plan specified in KRS 224.01-110 (5) and (6);

(18) Issue, after hearing, orders abating activities in violation of this chapter, or the 

provisions of this chapter, or the regulations promulgated pursuant thereto and 

requiring the adoption of the remedial measures the cabinet deems necessary;

(19) Issue, continue in effect, revoke, modify, suspend, or deny under such conditions as 

the cabinet may prescribe and require that applications be accompanied by plans, 

specifications, and other information the cabinet deems necessary for the following 

permits:

(a) Permits to discharge into any waters of the Commonwealth, and for the 

installation, alteration, expansion, or operation of any sewage system; 

however, the cabinet may refuse to issue the permits to any person, or any 

partnership, corporation, etc., of which the person owns more than ten percent 

(10%) interest, who has improperly constructed, operated, or maintained a 

sewage system willfully, through negligence, or because of lack of proper 

knowledge or qualifications until the time that person demonstrates proper 

qualifications to the cabinet and provides the cabinet with a performance 

bond;

(b) Permits for the installation, alteration, or use of any machine, equipment, 

device, or other article that may cause or contribute to air pollution or is 

intended primarily to prevent or control the emission of air pollution; or

(c) Permits for the establishment or construction and the operation or 

maintenance of waste disposal sites and facilities;

(20) May establish, by regulation, a fee or schedule of fees for the cost of processing 

applications for permits authorized by this chapter, and for the cost of processing 

applications for exemptions or partial exemptions which may include but not be 

limited to the administrative costs of a hearing held as a result of the exemption 

application, except that applicants for existing or proposed publicly owned facilities 

shall be exempt from any charge, other than emissions fees assessed pursuant to 

KRS 224.20-050, and that certain nonprofit organizations shall be charged lower 

fees to process water discharge permits under KRS 224.16-050(5);

(21) May require for persons discharging into the waters or onto the land of the 

Commonwealth, by regulation, order, or permit, technological levels of treatment 

and effluent limitations;

(22) Require, by regulation, that any person engaged in any operation regulated pursuant 

to this chapter install, maintain, and use at such locations and intervals as the 

cabinet may prescribe any equipment, device, or test and the methodologies and 
procedures for the use of the equipment, device, or test to monitor the nature and 

amount of any substance emitted or discharged into the ambient air or waters or 

land of the Commonwealth and to provide any information concerning the 

monitoring to the cabinet in accordance with the provisions of subsection (23) of 

this section;

(23) Require by regulation that any person engaged in any operation regulated pursuant 

to this chapter file with the cabinet reports containing information as to location, 

size, height, rate of emission or discharge, and composition of any substance 

discharged or emitted into the ambient air or into the waters or onto the land of the 

Commonwealth, and such other information the cabinet may require;

(24) Promulgate regulations, guidelines, and standards for waste planning and 

management activities, approve waste management facilities, develop and publish a 

comprehensive statewide plan for nonhazardous waste management which shall 

contain but not be limited to the provisions set forth in KRS 224.43-345, and 

develop and publish a comprehensive statewide plan for hazardous waste 

management which shall contain but not be limited to the following:

(a) A description of current hazardous waste management practices and costs, 

including treatment and disposal, within the Commonwealth;

(b) An inventory and description of all existing facilities where hazardous waste 

is being generated, treated, recycled, stored, or disposed of, including an 

inventory of the deficiencies of present facilities in meeting current hazardous 

waste management needs and a statement of the ability of present hazardous 

waste management facilities to comply with state and federal laws relating to 

hazardous waste;

(c) A description of the sources of hazardous waste affecting the Commonwealth 

including the types and quantities of hazardous waste currently being 

generated and a projection of such activities as can be expected to continue for 

not less than twenty (20) years into the future; and

(d) An identification and continuing evaluation of those locations within the 

Commonwealth which are naturally or may be engineered to be suitable for 

the establishment of hazardous waste management facilities, and an 

identification of those general characteristics, values, and attributes which 

would render a particular location unsuitable, consistent with the policy of 

minimizing land disposal and encouraging the treatment and recycling of the 

wastes.

The statewide waste management plans shall be developed consistent with state and 

federal laws relating to waste;

(25) Perform other acts necessary to carry out the duties and responsibilities described in 

this section;

(26) Preserve existing clean air resources while ensuring economic growth by issuing 

regulations, which shall be no more stringent than federal requirements, setting 

maximum allowable increases from stationary sources over baseline concentrations 
of air contaminants to prevent significant deterioration in areas meeting the state 

and national ambient air quality standards;

(27) Promulgate regulations concerning the bonding provisions of subsection (19)(a) of 

this section, setting forth bonding requirements, including but not limited to 

requirements for the amount, duration, release, and forfeiture of the bonds. All 

funds from the forfeiture of bonds required pursuant to this section shall be placed 

in the State Treasury and credited to a special trust and agency account which shall 

not lapse. The account shall be known as the "sewage treatment system 

rehabilitation fund" and all moneys placed in the fund shall be used for the 

elimination of nuisances and hazards created by sewage systems which were 

improperly built, operated, or maintained, and insofar as practicable be used to 

correct the problems at the same site for which the bond or other sureties were 

originally provided; and

(28) Promulgate administrative regulations not inconsistent with the provisions of law 

administered by the cabinet.

Effective: August 30, 2007

History: Amended 2007 (2d Extra. Sess.) Ky. Acts ch. 1, sec. 42, effective August 30, 

2007. -- Amended 1994 Ky. Acts ch. 162, sec. 3, effective July 15, 1994. -- Amended

1990 Ky. Acts ch. 325, sec. 15, effective July 13, 1990; and ch. 412, sec. 1, effective 

July 13, 1990. -- Amended 1986 Ky. Acts ch. 455, sec. 1, effective July 15, 1986. --

Amended 1984 Ky. Acts ch. 111, sec. 109, effective July 13, 1984. -- Amended 1980 

Ky. Acts ch. 264, sec. 2; and ch. 377, sec. 10, effective July 15, 1980. -- Amended 

1978 Ky. Acts ch. 113, sec. 3, effective June 17, 1978; and ch. 266, sec. 2, effective 

June 17, 1978. -- Amended 1974 Ky. Acts ch. 355, sec. 2, effective June 21, 1974. --

Created 1972 (1st Extra. Sess.) Ky. Acts ch. 3, sec. 3, effective January 1, 1973.

Formerly codified as KRS 224.033

Legislative Research Commission Note (9/28/93). The Division of Energy within the 

Department for Natural Resources of the Natural Resources and Environmental 

Protection Cabinet was made "responsible for subsections (28) and (29)" of this 

statute by 1990 Ky. Acts, ch. 325, sec. 14.

Legislative Research Commission Note (6/20/2005). 2005 Ky. Acts ch. 123, sec. 5, 

codified at KRS 224.10-103, provides that the Division of Energy and all "personnel, 

functions, powers, and duties of the Division of Energy shall be transferred to the 

Tourism Development Cabinet." The abolition of the Tourism Development Cabinet 

and creation of the Commerce Cabinet under Executive Order 2004-729 were 

confirmed by 2005 Ky. Acts ch. 95, in which the Office of Energy Policy is 

established and statutory references to the "Division of Energy" are changed to the 

"Office of Energy Policy."
224.10-020 Departments within the cabinet -- Offices and divisions within the 

departments -- Appointments.

(1) There is established within the cabinet a Department for Natural Resources, a 

Department for Environmental Protection, and a Department for Energy 

Development and Independence. Each department shall be headed by a 

commissioner appointed by the secretary with the approval of the Governor as 

required by KRS 12.050. The commissioners shall be directly responsible to the 

secretary and shall perform such functions, powers, and duties as provided by law 

and as the secretary may prescribe.

(2) There is established within the Department for Natural Resources a Division of 

Forestry, a Division of Conservation, a Division of Technical and Administrative 

Support, a Division of Mine Reclamation and Enforcement, a Division of Mine 

Permits, a Division of Abandoned Mine Lands, a Division of Oil and Gas, and an 

Office of Mine Safety and Licensing. There shall be established within the Office of 

Mine Safety and Licensing a Division of Safety Inspection and Licensing and a 

Division of Safety Analysis, Training, and Certification. The Kentucky Mining 

Board is attached to the Office of Mine Safety and Licensing for administrative 

purposes. Each division shall be headed by a director and each office shall be 

headed by an executive director. Directors and executive directors shall be 

appointed by the secretary with the approval of the Governor as required by KRS 

12.050, except for the director of the Division of Conservation, who shall be 

appointed in accordance with KRS 146.100. Both directors and executive directors 

shall be directly responsible to the commissioner and shall perform the functions, 

powers, and duties as provided by law and as prescribed by the secretary.

(3) There is established within the Department for Environmental Protection a Division 

of Water, a Division for Air Quality, a Division of Waste Management, a Division 

of Enforcement, a Division of Compliance Assistance, and a Division of 

Environmental Program Support. Each division shall be headed by a director 

appointed by the secretary with the approval of the Governor as required by KRS 

12.050. Directors shall be directly responsible to the commissioner and shall 

perform the functions, powers, and duties as provided by law and as prescribed by 

the secretary.

(4) There is established within the Department for Energy Development and 

Independence a Division of Energy Efficiency and Conservation, a Division of 

Renewable Energy, a Division of Biofuels, a Division of Energy Generation, 

Transmission and Distribution, a Division of Carbon Management, and a Division 

of Fossil Energy Development. Each division shall be headed by a director. 

Directors shall be appointed by the secretary with the approval of the Governor as 

required by KRS 12.050.

Effective: July 15, 2010

History: Amended 2010 Ky. Acts ch. 24, sec. 349, effective July 15, 2010. -- Amended 

2005 Ky. Acts ch. 123, sec. 21, effective June 20, 2005. -- Amended 1996 Ky. Acts 

ch. 360, sec. 1, effective July 15, 1996. -- Amended 1990 Ky. Acts ch. 399, sec. 1, 

effective July 13, 1990. -- Amended 1978 Ky. Acts ch. 155, sec. 122, effective June 

17, 1978. -- Amended 1976 Ky. Acts ch. 290, sec. 1, effective June 19, 1976. --
Created 1974 Ky. Acts ch. 74, Art. III, sec. 2, effective June 21, 1974.

Formerly codified as KRS 224.012.

Legislative Research Commission Note (6/20/2005). Although 2005 Ky. Acts ch. 123, 

sec. 21, contains a reference to "Section 64 of this Act" (KRS 353.510) in subsection 

(2) of this statute, that reference has been codified as KRS 353.530 (2005 Ky. Acts 

ch. 123, sec. 65) because a section was added to the introduced version of the bill in 

the Senate Committee Substitute, but the necessary adjustment to this internal 

reference was not made. This manifest typographical or clerical error and has been 

corrected in codification under KRS 7.136(1)(h).
11A.020 Public servant prohibited from certain conduct -- Exception -- Disclosure 

of personal or private interest.

(1) No public servant, by himself or through others, shall knowingly:

(a) Use or attempt to use his influence in any matter which involves a substantial 

conflict between his personal or private interest and his duties in the public 

interest;

(b) Use or attempt to use any means to influence a public agency in derogation of 

the state at large;

(c) Use his official position or office to obtain financial gain for himself or any 

members of the public servant's family; or

(d) Use or attempt to use his official position to secure or create privileges, 

exemptions, advantages, or treatment for himself or others in derogation of the 

public interest at large.

(2) If a public servant appears before a state agency, he shall avoid all conduct which 

might in any way lead members of the general public to conclude that he is using 

his official position to further his professional or private interest.

(3) When a public servant abstains from action on an official decision in which he has 

or may have a personal or private interest, he shall disclose that fact in writing to his 

superior, who shall cause the decision on these matters to be made by an impartial 

third party.

(4) The prohibitions imposed by subsection (1)(c) of this section shall not apply to 

Professional Golfers' Association class A members who teach golf lessons and 

receive a fee or lesson charge at golf courses owned and operated by the Kentucky 

Department of Parks. Instruction provided by an employee of the Commonwealth 

shall only be given while the employee is on his or her own personal time. The 

commissioner of the Department of Parks shall promulgate administrative 

regulations to establish guidelines for the process by which Professional Golfers' 

Association class A members are approved to teach golf lessons at Kentucky 

Department of Parks-owned golf courses. The exception granted by this subsection 

is in recognition of the benefits that will accrue to the Kentucky Department of 

Parks due to increased participation at state-owned golf courses.

Effective: July 15, 1998

History: Amended 1998 Ky. Acts ch. 381, sec. 1, effective July 15, 1998. -- Created 

1992 Ky. Acts ch. 287, sec. 4, effective July 14, 1992.
11A.030 Considerations in determination to abstain from action on official decision 

-- Advisory opinion.

In determining whether to abstain from action on an official decision because of a 

possible conflict of interest, a public servant should consider the following guidelines:

(1) Whether a substantial threat to his independence of judgment has been created by 

his personal or private interest;

(2) The effect of his participation on public confidence in the integrity of the executive 

branch;

(3) Whether his participation is likely to have any significant effect on the disposition 

of the matter;

(4) The need for his particular contribution, such as special knowledge of the subject 

matter, to the effective functioning of the executive branch; or

(5) Whether the official decision will affect him in a manner differently from the public 

or will affect him as a member of a business, profession, occupation, or group to no 

greater extent generally than other members of such business, profession, 

occupation, or group. A public servant may request an advisory opinion from the 

Executive Branch Ethics Commission in accordance with the commission's rules of 

procedure.

Effective: July 14, 1992

History: Created 1992 Ky. Acts ch. 287, sec. 5, effective July 14, 1992.
11A.040 Acts prohibited for public servant or officer -- Exception.

(1) A public servant, in order to further his own economic interests, or those of any 

other person, shall not knowingly disclose or use confidential information acquired 

in the course of his official duties.

(2) A public servant shall not knowingly receive, directly or indirectly, any interest or 

profit arising from the use or loan of public funds in his hands or to be raised 

through any state agency.

(3) A public servant shall not knowingly act as a representative or agent for the 

Commonwealth or any agency in the transaction of any business or regulatory 

action with himself, or with any business in which he or a member of his family has 

any interest greater than five percent (5%) of the total value thereof.

(4) A public servant shall not knowingly himself or through any business in which he 

owns or controls an interest of more than five percent (5%), or by any other person 

for his use or benefit or on his account, undertake, execute, hold, bid on, negotiate, 

or enjoy, in whole or in part, any contract, agreement, lease, sale, or purchase made, 

entered into, awarded, or granted by the agency by which he is employed or which 

he supervises, subject to the provisions of KRS 45A.340. This provision shall not 

apply to:

(a) A contract, purchase, or good faith negotiation made pursuant to KRS Chapter 

416 relating to eminent domain; or

(b) Agreements which may directly or indirectly involve public funds disbursed 

through entitlement programs; or

(c) A public servant's spouse or child doing business with any state agency other 

than the agency by which the public servant is employed or which he 

supervises; or

(d) Purchases from a state agency that are available on the same terms to the 

general public or that are made at public auction; or

(e) Sales of craft items to a state park by interim state employees designated as 

craftspersons under KRS 148.257.

(5) A public servant shall not knowingly accept compensation, other than that provided 

by law for public servants, for performance of his official duties without the prior 

approval of the commission.

(6) A former officer or public servant listed in KRS 11A.010(9)(a) to (g) shall not, 

within six (6) months of termination of his employment, knowingly by himself or 

through any business in which he owns or controls an interest of at least five percent 

(5%), or by any other person for his use or benefit or on his account, undertake, 

execute, hold, bid on, negotiate, or enjoy, in whole or in part, any contract, 

agreement, lease, sale, or purchase made, entered into, awarded, or granted by the 

agency by which he was employed. This provision shall not apply to a contract, 

purchase, or good faith negotiation made under KRS Chapter 416 relating to 

eminent domain or to agreements that may directly or indirectly involve public 

funds disbursed through entitlement programs. This provision shall not apply to 

purchases from a state agency that are available on the same terms to the general 
public or that are made at public auction. This provision shall not apply to former 

officers of the Department of Public Advocacy whose continued representation of 

clients is necessary in order to prevent an adverse effect on the client.

(7) A present or former officer or public servant listed in KRS 11A.010(9)(a) to (g) 

shall not, within six (6) months following termination of his office or employment, 

accept employment, compensation, or other economic benefit from any person or 

business that contracts or does business with, or is regulated by, the state in matters 

in which he was directly involved during the last thirty-six (36) months of his 

tenure. This provision shall not prohibit an individual from returning to the same 

business, firm, occupation, or profession in which he was involved prior to taking 

office or beginning his term of employment, or for which he received, prior to his 

state employment, a professional degree or license, provided that, for a period of six 

(6) months, he personally refrains from working on any matter in which he was 

directly involved during the last thirty-six (36) months of his tenure in state 

government. This subsection shall not prohibit the performance of ministerial 

functions, including but not limited to filing tax returns, filing applications for 

permits or licenses, or filing incorporation papers, nor shall it prohibit the former 

officer or public servant from receiving public funds disbursed through entitlement 

programs.

(8) A former public servant shall not act as a lobbyist or lobbyist's principal in matters 

in which he was directly involved during the last thirty-six (36) months of his tenure 

for a period of one (1) year after the latter of:

(a) The date of leaving office or termination of employment; or

(b) The date the term of office expires to which the public servant was elected.

(9) A former public servant shall not represent a person or business before a state 

agency in a matter in which the former public servant was directly involved during 

the last thirty-six (36) months of his tenure, for a period of one (1) year after the 

latter of:

(a) The date of leaving office or termination of employment; or

(b) The date the term of office expires to which the public servant was elected.

(10) Without the approval of his appointing authority, a public servant shall not accept 

outside employment from any person or business that does business with or is 

regulated by the state agency for which the public servant works or which he 

supervises, unless the outside employer's relationship with the state agency is 

limited to the receipt of entitlement funds.

(a) The appointing authority shall review administrative regulations established 

under KRS Chapter 11A when deciding whether to approve outside 

employment for a public servant.

(b) The appointing authority shall not approve outside employment for a public 

servant if the public servant is involved in decision-making or 

recommendations concerning the person or business from which the public 

servant seeks outside employment or compensation.
(c) The appointing authority, if applicable, shall file quarterly with the Executive 

Branch Ethics Commission a list of all employees who have been approved 

for outside employment along with the name of the outside employer of each.

(11) The prohibitions imposed by subsection (5) or (10) of this section shall not apply to 

Professional Golfers' Association class A members who teach golf lessons and 

receive a fee or lesson charge at golf courses owned and operated by the Kentucky 

Department of Parks. Instruction provided by an employee of the Commonwealth 

shall only be given while the employee is on his or her own personal time. The 

commissioner of the Department of Parks shall promulgate administrative 

regulations to establish guidelines for the process by which Professional Golfers' 

Association class A members are approved to teach golf lessons at Kentucky 

Department of Parks-owned golf courses. The exception granted by this subsection 

is in recognition of the benefits that will accrue to the Kentucky Department of 

Parks due to increased participation at state-owned golf courses.

Effective: July 12, 2006

History: Amended 2006 Ky. Acts ch. 68, sec. 1, effective July 12, 2006. -- Amended 

2000 Ky. Acts ch. 417, sec. 4, effective December 1, 2000; and ch. 475, sec. 2, 

effective July 14, 2000. -- Amended 1998 Ky. Acts ch. 381, sec. 2, effective July 15, 

1998; ch. 429, sec. 2, effective July 15, 1998; ch. 430, sec. 1, effective July 15, 1998; 

and ch. 602, sec. 2, effective July 15, 1998. -- Amended 1996 Ky. Acts ch. 367, 

sec. 1, effective July 15, 1996. -- Amended 1994 Ky. Acts ch. 434, sec. 3, effective 

July 15, 1994. – Created 1992 Ky. Acts ch. 287, sec. 6, effective July 14, 1992.

Legislative Research Commission Note (12/1/2000). The contingency on the 

effectiveness of this statute set by 2000 Ky. Acts ch. 417, sec. 18, was met, the voters 

of the Commonwealth having ratified at the general election on November 7, 2000, a 

constitutional amendment (see 2000 Ky. Acts ch. 399) abolishing the Railroad 

Commission.

Legislative Research Commission Note (7/15/98). A reference to "KRS 11A.010(9)(a) 

to (i)" in the former subsection (6) of this statute (now subsection (7)) has been 

changed in codification to "KRS 11A.010(9)(a) to (h)" under KRS 7.136(1)(e) and 

(h). 1998 Ky. Acts ch. 429, sec. 1, eliminated the former paragraph (g) of KRS 

11A.010(9) and renumbered the remaining subsections accordingly. Other actions 

within Acts Chapter 429 used the "(a) to (h)" range in new language and modified 

existing language to use the "(a) to (h)" range. It seems clear from context, and this 

has been confirmed by the drafter of the bill, that this change was intended here as 

well but was inadvertently overlooked.
401 KAR 51:001. Definitions for 401 KAR Chapter 51. Page 1 of 16 

401 KAR 51:001. Definitions for 401 KAR Chapter 51. 

RELATES TO: KRS 48.010(15)(a), 224.01-010, 224.20-100, 224.20-110, 224.20-120, 40 C.F.R. Chapter I, 50 Appendices A-R, 51.100, 51.121, 

51.165, 51.166, 51 Appendix S, 52.920, 53, 60, 60 Appendices A, B, 61, 61 Appendix B, 63 Appendices A-D, 70.2, 75, 82, 96, 42 U.S.C. 7401-7671q 

STATUTORY AUTHORITY: KRS 224.10-100(5) 

NECESSITY, FUNCTION, AND CONFORMITY: KRS 224.10-1 00(5) requires the cabinet to promulgate administrative regulations for the prevention, 

abatement, and control of air pollution. This administrative regulation defines the terms used in 401 KAR Chapter 51. The definitions contained in this 

administrative regulation are neither more stringent nor otherwise different than the corresponding federal definitions. 

Section 1. Definitions. The definitions with citations to the Code of Federal Regulations shall be governed by 40 C.F.R. Parts 50 through 96, effective 

July 1, 2010. (1) "Acid rain emissions limitation" means a limitation on emissions of so2 or NOx imposed by the Acid Rain Program under 42 U.S.C. 

7651 to 7651o. 

(2) "Actual emissions": 

(a) Means the actual rate of emissions of a regulated NSR pollutant from an emissions unit as determined according to the following: 

1. Actual emissions as of a particular date equals the average rate, in tons per year, at which the unit actually emitted the pollutant during a 

consecutive twenty-four (24) month period, that precedes that date and is representative of normal source operation, unless a different time period is 

more representative of normal source operation; and 

2. The unit's actual operating hours, production rates, and types of materials processed, stored, or combusted during the selected time periods are 

used to calculate actual emissions; 

(b) Means source-specific allowable emissions for the unit are equivalent to actual emissions of the unit if the cabinet has made an equivalency 

determination pursuant to 40 C.F.R. 51.166; 

(c) Means, for an emissions unit that has not begun normal operations on a particular date, the potential to emit of the unit on that date; and 

(d) Does not mean: 

1. Calculating if a significant emissions increase has occurred; or 

2. Establishing a PAL under401 KAR 51:017, Section 20. 

(3) "Actuals PAL" or "PAL" means a plant-wide applicability limit established for a major stationary source based on the baseline actual emissions of 

all emissions units at the source that emit or have the potential to emit the PAL pollutant. 

(4) "Adverse impact on visibility" is defined by 40 C.F.R. 51.301. 

(5) "Affected facility" means an apparatus, building, operation, road, or other entity or series of entities that emits or may emit an air contaminant into 

the outdoor atmosphere. 

(6) "Air contaminant" is defined by KRS 224.01-010(1). 

(7) "Air pollutant" means air contaminant. 

(8) "Air pollution" is defined by KRS 224.01-010(3). 

(9) "Air pollution control equipment" means a mechanism, device, or contrivance used to control or prevent air pollution, that is not, aside from air 

pollution control laws and administrative regulations, vital to production of the normal product of the source or to its normal operation. 

(10) "Allocate" or "allocation" means the number of NOx allowances to be credited to a NOx budget unit. 

(11) "Allocation period" means each three (3) year period beginning May 1, 2004. 

(12) "Allowable emissions" means: 

(a) 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 that restrict the operating rate, hours of operation, or both, and the most stringent of the following: 

1. The applicable standards codified in 40 C.F.R. Parts 60 and 61; 

2. The applicable SIP emissions limitations, including those with a future compliance date; or 

3. The emissions rates specified as a federally enforceable permit condition, including those with a future compliance date; or 

(b) For an actuals PAL, the emissions rate of a stationary source calculated considering any emission limitations that are enforceable as a practical 

matter on the emissions unit's potential to emit, and the most stringent provision of paragraph (a)1. through 3. of this subsection. 

(13) "Alteration" means: 

(a) The installation or replacement of air pollution control equipment at a source; or 

(b) A physical change in or change in the method of operation of an affected facility that increases the potential to emit a pollutant, to which a 

standard applies, emitted by the facility or that results in the emission of an air pollutant, to which a standard applies, not previously emitted. 

(14) "Alternative method" is defined by 40 C.F.R. 60.2. For purposes of this definition, "administrator" means both the U.S. EPA and the cabinet. 

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401 KAR 51 :001. Definitions for 401 KAR Chapter 51. Page 2 of16 

(15) "Ambient air" means that portion of the atmosphere, external to buildings, to which the general public has access. 

(16) "Ambient air quality standard" means a numerical expression of a specified concentration level for a particular air contaminant and the time 

averaging interval over which that concentration level is measured and is a goal to be achieved in a stated time through the application of appropriate 

preventive or control measures. 

(17) "ANSI" means American National Standards Institute. 

· (18) "AOAC" means Association of Official Analytical Chemists. 

(19) "ASTM" means American Society for Testing and Materials. 

(20) "Baseline actual emissions" means the rate of emissions, in tons per year, of a regulated NSR pollutant, that: 

(a) For an existing electric utility steam generating unit (EUSGU), the unit actually emitted during any consecutive twenty-four (24) month period 

selected by the owner or operator within the five (5) year period immediately preceding the date the owner or operator begins actual construction of the 

project, unless a different twenty-four (24) month time period is more representative of normal source operation. 

1. The rate is an average that: 

a. Includes fugitive emissions, to the extent quantifiable, and emissions associated with startups, shutdowns, and malfunctions; 

b. Is adjusted downward to exclude any noncompliant emissions that occurred while the source was operating above an emission limitation that was 

legally enforceable during the consecutive twenty-four (24) month period; and 

c. Is based on any consecutive twenty-four (24) month period for which there is adequate information for determining annual emissions, in tons per 

year, and for adjusting this amount as necessary according to clause b. of this subparagraph; and 

2. If a project involves multiple emissions units, only one (1) consecutive twenty-four (24) month period is used to determine the baseline actual 

emissions for the emissions units being changed with a different consecutive twenty-four (24) month period allow,ed for each regulated NSR pollutant; 

(b) For an existing emissions unit that is not an EUSGU, the unit actually emitted during any consecutive twenty-four (24) month period selected by 

the owner or operator within the ten (10) year period beginning on or after November 15, 1990, and immediately preceding the earlier of the date the 

owner or operator begins actual construction of the project or the date a complete permit application is received by the cabinet for a permit required 

under 401 KAR 51:017 or 51:052. 

1 . The rate is an average that: 

a. Includes fugitive emissions, to the extent quantifiable, and emissions associated with startups, shutdowns, and malfunctions; 

b. Is adjusted downward: 

(i) To exclude any noncompliant emissions that occurred while the source was operating above an emission limitation that was legally enforceable 

during the consecutive twenty-four (24) month period; 

(ii) To exclude any emissions that would have exceeded an emission limitation with which the major stationary source is required currently to comply, 

if the source had been required to comply with the limitations during the consecutive twenty-four (24) month period; and 

(iii) For an emission limitation that is part of a maximum achievable control technology standard proposed or promulgated under 40 C.F.R. Part 63, 

only if the Commonwealth of Kentucky has taken credit for the emissions reductions in an attainment demonstration or maintenance plan consistent with 

40 C.F.R. 51.165(a)(3)(ii)(G); and 

c. Is based on any consecutive twenty-four (24) month period for which there is adequate information for determining annual emissions, in tons per 

year, and for adjusting this amount as necessary according to clause b. of this subparagraph. 

2. If a project involves multiple emissions units, only one (1) consecutive twenty-four (24) month period is used for each regulated NSR pollutant to 

determine the baseline actual emissions for the emissions units being changed with a different consecutive twenty-four (24) month period; 

(c) For a new emissions unit, equals zero for determining the emissions increase that will result from the initial construction and operation of the new 

unit and thereafter, for all other purposes, equals the unit's potential to emit; or 

(d) For a PAL for a stationary source, is determined as follows: 

1. For an existing EUSGU, in accordance with the procedures contained in paragraph (a) of this subsection; 

2. For other existing emissions units, in accordance with the procedures contained in paragraph (b) of this subsection; and 

3. For a new emissions unit, in accordance with the procedures contained in paragraph (c) of this subsection. 

(21) "Baseline area" means an intrastate area and every part of that area designated as attainment or unclassifiable pursuant to 42 U.S.C. 7407(d) 

(1)(A)(ii) or (iii) in which the major source or major modification establishing the minor source baseline date would construct or would have an air quality 

impact equal to or greater than one (1) 1Jg/m3 annual average of the pollutant for which the minor source baseline date is established. 

(a) Area redesignations under 42 U.S.C. 7407{d)(1)(A)(ii) or (iii) do not intersect and are not smaller than the area of impact of a major stationary 

source or major modification that: 

1. Establishes a minor source baseline date; or 

2. Is subject to 401 KAR 51:017 and would be constructed in the Commonwealth of Kentucky. 

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401 KAR 51:001. Definitions for 401 KAR Chapter 51. Page 3 of 16 

(b) A baseline area established originally for total suspended particulate (TSP) increments remains in effect to determine the amount of available 

PM10 increments, unless the cabinet rescinds the corresponding minor source baseline date. 

(22) "Baseline concentration" means the ambient concentration level that exists in the baseline area on the date the applicable minor source 

baseline date is established. 

(23) "Baseline date" means major source baseline date or minor source baseline date and is established for each pollutant for which increments or 

other equivalent measures have been established if the area in which the proposed source or modification would construct is designated as attainment 

or unclassifiable pursuant to 42 U.S.C. 7407(d)(1 )(A)(ii) or (iii) for the pollutant on the date of the source's complete application; and 

(a) For a major stationary source, the pollutant would be emitted in significant amounts; or 

(b) For a major modification, there would be a significant net emissions increase of the pollutant. 

(24) "Begin actual construction" means: 

(a) Initiation of physical on-site construction activities on an emissions unit that are of a permanent nature and include installation of building supports 

and foundations, laying underground pipe work, and construction of permanent storage structures; and 

(b) For a change in method of operations, those on-site activities, other than the preparatory activities, that mark the initiation of the change. 

(25) "Best available control technology" or "BACT" means an emissions limitation, including a visible emission standard, based on the maximum 

degree of reduction for each regulated NSR pollutant that will be emitted from a proposed major stationary source or major modification and: 

(a) Is determined by the cabinet pursuant to 401 KAR 51 :017, Section 8, after taking into account energy, environmental, and economic impacts and 

other costs, to be achievable by the source or modification through application of production processes or available methods, systems, and techniques, 

including fuel cleaning or treatment or innovative fuel combustion techniques for control of that pollutant; 

(b) Does not result in emissions of a pollutant that would exceed the emissions allowed by an applicable standard codified in 40 C.F.R. Parts 60 and 

61; and 

(c) Is satisfied by a design, equipment, work practice, or operational standard or combination of standards approved by the cabinet, if: 

1. The cabinet determines pursuant to 40 C.F.R. 51.166(b)(12) 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; 

2. The standard establishes the emissions reduction achievable by implementation of the design, equipment, work practice, or operation; and 

3. The standard provides for compliance by means that achieve equivalent results. 

(26) "BOD" means biochemical oxidant demand. 

(27) "Boiler" means an enclosed fossil or other fuel-fired combustion device used to produce heat and to transfer heat to recirculating water, steam, 

or other medium. 

(28) "BTU" means British thermal unit. 

(29) "Building, structure, facility, or installation" means all of the pollutant emitting activities that: 

(a) Belong to the same industrial grouping or have the same two (2) digit major group code as described in the Standard Industrial Classification 

Manual; 

(b) Are located on one (1) or more contiguous or adjacent properties; 

(c) Are under the control of the same person or persons under common control; and 

(d) Do not include the activities of a vessel. 

(30) "C" means degree Celsius (centigrade). 

(31) "Cabinet" is defined by KRS 224.01-010(9). 

(32) "Cal" means calorie. 

(33) "Capital expenditure" is defined by 40 C.F.R. 60.2. 

(34) "cfm" means cubic feet per minute. 

(35) "CH4" means methane. 

(36) "Clean coal technology" is defined by 40 C.F.R. 51.166(b)(33). 

(37) "Clean coal technology demonstration project" is defined by 40 C.F.R. 51.166(b)(34). 

(38) "Clinker" means the product of a portland cement kiln from which finished cement is manufactured by milling and grinding. 

(39) "CO" means carbon monoxide. 

(40) "C02 .. means carbon dioxide. 

(41) "COD" means chemical oxidant demand. 

(42)"Combined cycle system" means a system comprised of one (1) or more combustion turbines, heat recovery steam generators, or steam 

turbines configured to improve overall efficiency of electricity generation or steam production. 

(43) "Combustion turbine" means an enclosed fossil or other fuel-fired device that is comprised of a compressor, a combustor, and a turbine, and in 

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401 KAR 51 :001. Definitions for 401 KAR Chapter 51. 

which the flue gas resulting from the combustion of fuel in the combustor passes through the turbine, rotating the turbine. 

(44) "Commence" means that an owner or operator: 

Page 4 of16 

(a) Has undertaken a continuous program of construction, modification, or reconstruction of an affected facility, or that an owner or operator has 

entered into a contractual obligation to undertake and complete, within a reasonable time, a continuous program of construction, modification, or 

reconstruction of an affected facility; or 

(b) For construction of a major stationary source or major modification in the PSD or NSR program, has all necessary preconstruction approvals or 

permits, and: 

1. Has begun, or caused to begin, a continuous program of actual on-site construction of the source, to be completed within a reasonable time; or 

2. Has entered into binding agreements or contractual obligations, that 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. 

(45) "Commence commercial operation" means to have begun to produce steam, gas, or other heated medium used to generate electricity for sale 

or use. Except as provided in 401 KAR 51:195 or 40 C.F.R. 96.5: 

(a) For a unit that is a NOx budget unit under 40 C.F.R. 96.4, on the date the unit commences commercial operation, the date remains the unit's date 

of commencement of commercial operation even if the unit is subsequently modified, reconstructed, or repowered; or 

(b) For a unit that is not a NOx budget unit under 40 C.F.R. 96.4, on the date the unit commences commercial operation, the date the unit becomes a 

NOx budget unit under 40 C.F.R. 96.4 is the unit's date of commencement of commercial operation. 

(46) "Commence operation" means, for a NOx budget unit, to have begun a mechanical, chemical, or electronic process, including start-up of a unit's 

combustion chamber. Except as provided in 401 KAR 51:195 or 40 C.F.R. 96.5: 

(a) For a unit that is a NOx budget unit under 40 C.F.R. 96.4 on the date of commencement of operation, the date remains the unit's date of 

commencement of operation even if the unit is subsequently modified, reconstructed, or repowered; or 

(b) For a unit that is not a NOx budget unit under 40 C.F.R. 96.4 on the date of commencement of operation, the date the unit becomes a NOx 

budget unit under 40 C.F.R. 96.4 is the unit's date of commencement of operation. 

(47) "Complete" is defined by 40 C.F.R. 51.166(b)(22). 

(48) "Compliance schedule" means a time schedule of remedial measures including an enforceable sequence of actions or operations leading to 

compliance with a limitation or standard. 

(49) "Compliance supplement pool" means the quantity of NOx allowances provided to Kentucky by the U.S. EPA to be: 

(a) Allocated to NOx budget units that achieve early reduction; or 

(b) Used to assist NOx budget sources that are unable to meet the compliance deadline as provided in 401 KAR 51:180, Section 5. 

(50) "Construction" means: 

(a) Fabrication, erection, installation, or modification of an air contaminant source; or 

(b) For the NSR program, 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 the emissions at an air contaminant source. 

(51) "Continuous emissions monitoring system" or "CEMS" means all of the equipment necessary to meet the data acquisition and availability 

requirements of 401 KAR 51:017 or 51:052 to sample, condition (if applicable), analyze, and provide a record of emissions on a continuous basis. 

(52) "Continuous emission monitoring system for NOx" or "CEMS for NOx" means the equipment required to sample, analyze, measure, and 

provide, by readings taken at least once every fifteen (15) minutes of the measured parameters, a permanent record of NOx emissions, expressed in 

tons per hour for NOx. The following systems are necessary component parts, as required by 40 C.F.R. Part 75, included in a continuous emissions 

monitoring system: 

(a) Flow monitor; 

(b) NOx pollutant concentration monitor; 

(c) Diluent gas monitor (02 or C02); 

(d) Continuous moisture monitor; and 

(e) Automated data acquisition and handling system. 

(53) "Continuous emissions rate monitoring system" or "CERMS" is defined by 40 C.F.R. 51.166(b)(46). 

(54) "Continuous monitoring system" means the total equipment, required under the applicable administrative regulations in 401 KAR Chapters 50 to 

65, used to sample, to condition (if applicable), to analyze, and to provide a permanent record of emissions or process parameters. 

(55) "Continuous parameter monitoring system" or "CPMS" is defined by: 

(a) 40 C.F.R. 51.166(b)(45) for 401 KAR 51 :017; or 

(b) 40 C.F.R. 51.165(a)(1)(xxxiii) for 401 KAR 51:052. 

(56) "Control period" means the period beginning May 1 of a year and ending on September 30 of the same year, inclusive 

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401 KAR 51:001. Definitions for 401 KAR Chapter 51. 

(57) "Director" means Director of the Division for Air Quality of the Energy and Environment Cabinet. 

(58) "District" is defined by KRS 224.01-010(11). 

(59) "dscf' means dry cubic feet at standard conditions. 

(60) "dscm" means dry cubic meter at standard conditions. 

Page 5 of16 

(61) "Electric generating unit" means, for 401 KAR 51:160 to 51:195, a fossil fuel-fired boiler, combustion turbine, or a combined cycle system used 

to generate twenty-five (25) megawatts or more of electricity, some of which is offered for sale. 

(62) "Electric utility steam generating unit" or "EUSGU" is defined by 40 C.F.R. 51.166(b)(30). 

(63) "Emission standard" means that numerical limit that fixes the amount of an air contaminant or air contaminants that may be vented into the 

atmosphere from an affected facility or from air pollution control equipment installed in an affected facility. 

(64) "Emissions unit" means any part of a stationary source, including an EUSGU, that emits or has the potential to emit a regulated NSR pollutant. 

For 401 KAR 51:017 and 51 :052, there are two (2) types of emissions units: 

(a) A new emissions unit, which is any emissions unit that is or will be newly constructed and that has existed for less than two (2) years from the 

dale the unit first operated; and 

(b) An existing emissions unit, which is any emissions unit that does not meet the requirements in paragraph (a) of this subsection or is a 

replacement unit. 

(65) "Enforceable as a practical matter" means that the emission or other standards contained in a permit or compliance schedule include: 

(a) Technically accurate emission standards and the ~ortions of the source that are subject to the standards; 

(b) A time period adequate to demonstrate compliance with the standards; and 

(c) The method the source shall use to achieve and demonstrate compliance with the limitations and standards, including appropriate monitoring, 

recordkeeping, and reporting. 

(66) "Equivalent method" means a method of sampling and analyzing for an air pollutant that has been demonstrated to the cabinet and the U.S. 

EPA pursuant to 40 C.F.R. 53.3 to have a consistent and quantitatively known relationship to the reference method, under specified conditions. 

(67) "Excess NOx emissions" means any tonnage of nitrogen oxides emitted by a NOx budget unit during a control period that exceeds the NOx 

budget emissions limitation for the unit. 

(68) "Exempt compound" or "exempt solvent" means an organic compound listed in the definition of volatile organic compound as not participating in 

atmospheric photochemical reactions. 

(69) "Existing source" means a source that is not a new source. 

(70) "Extreme nonattainment county" or "extreme nonattainment area" means a county or portion of a county designated extreme nonattainment for 

the national ambient air quality standard for ozone. 

(71) "°F" means degree Fahrenheit. 

(72) "Federal land manager'' is defined by 40 C.F.R. 51.166(b)(24). 

(73) "Federally enforceable" means all limitations and conditions that are enforceable by the U.S. EPA, including: 

(a) Requirements developed under 40 C.F.R. Parts 60 and 61; 

(b) Requirements in the Kentucky State Implementation Plan (SIP) approved by the U.S. EPA; and 

(c) Any permit requirements established under 40 C.F.R. 52.21 or under the Kentucky SIP approved pursuant to 40 C.F.R. Part 51, Subpart I, 

including operating permits issued under a U.S. EPA-approved program incorporated into the SIP, that expressly requires adherence to a permit issued 

under the program. 

(74) "Federally enforceable permit" means a permit issued under 401 KAR 52:020 or 52:030, as appropriate. 

(75) "Fixed capital cost" means the capital needed to provide all the depreciable components. 

(76) "Fossil fuel" means natural gas; petroleum; coal; or a form of solid, liquid, or gaseous fuel derived from natural gas, petroleum, or coal. 

(77) "Fossil fuel fired" means, for a unit: 

(a) The combustion of fossil fuel, alone or in combination with another fuel, if the fossil fuel com busted comprises more than fifty (50) percent of the 

annual heat input on a BTU basis during a year starting in 1995 or, if a unit had no heat input starting in 1995, during the last year of operation of the unit 

prior to 1995; or 

(b) The combustion of fossil fuel, alone or in combination with another fuel, if the fossil fuel is projected to comprise more than fifty (50) percent of the 

annual heat input on a BTU basis during a year, and the unit is to be fossil fuel fired as of the date during the year the unit begins com busting fossil fuel. 

(78) "ft" means feet or foot. 

(79) "Fuel" means natural gas; petroleum; coal; wood; or a form of solid, liquid, or gaseous fuel derived from these materials for the purpose of 

creating useful heat. 

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(80) "Fugitive emissions" means those emissions that could not reasonably pass through a stack, chimney, vent, or other functionally equivalent 

opening. 

(81) "g" means gram. 

(82) "gal" means gallon. 

(83) "General fund" is defined by KRS 48.010(15)(a). 

(84) "Generator" means a device that produces electricity. 

(85) "gr" means grain. 

(86) "HCI" means hydrochloric acid. 

(87) "Heat input" means the product, in MMBTU per unit of time, of the gross calorific value of the fuel, in BTU per lb, and the fuel feed rate into a 

combustion device, in mass of fuel per unit of time, that: 

(a) Does not include the heat derived from preheated combustion air, recirculated flue gases, or exhaust from other sources; and 

(b) Is measured, recorded, and reported to the cabinet. 

(88) "HF" means hydrogen fluoride. 

(89) "Hg" means mercury. 

(90) "High terrain" is defined by 40 C.F.R. 51.166(b)(25). 

(91) "hr" means hour. 

(92) "Hydrocarbon" means an organic compound consisting predominantly of carbon and hydrogen. 

(93) "Hydrocarbon combustion flare" means: 

(a) A flare used to comply with an applicable New Source Performance Standard (NSPS) or Maximum Achievable Control Technology (MACT) 

standard, including uses of flares during startup, shutdown, or malfunction permitted under the standard; or 

(b) A flare that serves to control emissions of waste streams comprised predominately of hydrocarbons and containing no more than 230 1-1g/dscm 

hydrogen sulfide. 

(94) "H20" means water. 

(95) "H2S" means hydrogen sulfide. 

(96) "H2S04 .. means sulfuric acid. 

(97) "in" means inch. 

(98) "Incineration" means the process of igniting and burning solid, semisolid, liquid, or gaseous combustible wastes. 

(99) "Industrial boiler or turbine" means a fossil fuel-fired boiler, combustion turbine, or a combined cycle system having a maximum design heat 

input of 250 MMBTU per hour or more that is not an electric generating unit. 

(100) "Innovative control technology" is defined by 40 C.F.R. 51.166(b)(19). 

(101) "Intermittent emissions" means emissions of particulate matter into the open air from a process that operates for less than any six (6) 

consecutive minutes. 

(1 02) "J" means joule. 

(103) "Kg" means kilogram. 

(104) "I" means liter. 

(105) "lb" means pound. 

(1 06) "Legally enforceable" means the cabinet or the U.S. EPA has the authority to enforce a certain restriction. 

(1 07) "Long dry kiln" means a kiln that employs no preheating of the feed and has a dry inlet feed. 

(1 08) "Long wet kiln" means a kiln that employs no preheating of the feed and the inlet feed to the kiln is a slurry. 

(1 09) "Low terrain" means an area other than high terrain. 

(11 0) "Lowest achievable emissions rate" or "LAER" means, for any source: 

(a)1. The most stringent emissions limitation that is contained in the Kentucky SIP for the class or category of stationary source, unless the owner or 

operator of the proposed stationary source demonstrates that the limitation is not achievable; or 

2. The most stringent emissions limitation achieved in practice by the class or category of stationary source; 

(b) For a major modification, the lowest achievable emissions rate for the new or modified emissions units at the stationary source; and 

(c) An emissions limitation that does not exceed the allowable emissions of an applicable standard established pursuant to 40 C.F.R. Parts 60, 61, or 

63. 

(111) "m" means meter. 

(112) "m3" means cubic meter. 

(113) "Major emissions unit" means: 

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(a) Any emissions unit that emits or has the potential to emit 100 tons per year or more of a PAL pollutant in an attainment area; or 

(b) Any emissions unit that emits or has the potential to emit a PAL pollutant in an amount that is equal to or greater than the major source threshold 

for the PAL pollutant as defined by the Clean Air Act, 42 U.S.C. 7401 - 7671q for nonattainment areas. 

(114) "Major modification" means a physical change in or a change in the method of operation of a major stationary source that results in a 

significant emissions increase and a significant net emissions increase of a regulated NSR pollutant. 

(a) A significant emissions increase from any emissions units or net emissions increase at a major stationary source that is significant for volatile 

organic compounds or nitrogen oxides is considered significant for ozone. 

(b) A physical change or change in the method of operation does not include: 

1. Routine maintenance, repair, and replacement; 

2. Use of alternative fuel or raw material by reason of an order or a natural gas curtailment plan in effect under a federal act; 

3. Use of an alternative fuel at a steam generating unit to the extent that the fuel is generated from municipal solid waste; 

4. Use of an alternative fuel or raw material by a stationary source that: 

a. The source was capable of accommodating before January 6, 1975, for 401 KAR 51:017, or December 21, 1976, for 401 KAR 51 :052; unless the 

change would be prohibited by a federally enforceable permit condition that was established after January 6, 1975, for 401 KAR 51:017, or December 

21, 1976, for401 KAR 51:052, pursuant to 40 C.F.R. 51.165 or 51.166; or 

b. The source is approved to use by a permit issued pursuant to 401 KAR 51:017 or 51 :052; 

5. An increase in the hours of operation or in the production rate, unless the change is prohibited by any federally enforceable permit condition 

established after January 6, 1975, for 401 KAR 51:017 or December 21, 1976, for 401 KAR 51:052 pursuant to 40 C.F.R. 52.21; after June 6, 1979, 

pursuant to 401 KAR 51 :015; after September 22, 1982, pursuant to 401 KAR 51 :017; or pursuant to 401 KAR 52:020 and 51 :016E; 

6. A change in ownership at a stationary source; 

7. The installation, operation, cessation, or removal of a temporary clean coal technology demonstration project, if the project complies with the 

Kentucky SIP and other requirements necessary to attain and maintain the national ambient air quality standards during the project and after it is 

terminated; 

8. The installation or operation of a permanent clean coal technology demonstration project that constitutes repowering, if the project does not result 

in an increase in the potential to emit of a regulated pollutant emitted by the unit, on a pollutant-by-pollutant basis; or 

9. The reactivation of a very clean coal-fired electric utility steam generating unit. 

(c) Instead of this definition, the definition for "PAL major modification", in subsection (175) of this section, is used for a particular regulated NSR 

pollutant, if the major stationary source is complying with the requirements of 401 KAR 51:017, Section 20, and 401 KAR 51:052, Section 11, for a PAL 

for that pollutant. 

(115)"Major NSR permit" means a permit issued under Kentucky's PSD or NSR program. 

(116) "Major source" means a source with a potential emission rate equal to or greater than 100 tons per year of any one (1) of the following 

pollutants: particulate matter, sulfur oxides, nitrogen oxides, volatile organic compounds, carbon monoxide, or ODS. 

(117) "Major source baseline date" means: 

(a) For particulate matter and sulfur dioxide, January 6, 1975; and 

(b) For nitrogen dioxide, February 8, 1988. 

(118) "Major stationary source" means: 

(a)1. A stationary source of air pollutants that emits, or has the potential to emit, 100 tons per year or more of a regulated NSR pollutant, except that: 

a. For ozone nonattainment areas: 100 tons per year of more of volatile organic compounds or nitrogen oxides in a marginal or moderate ozone 

nonattainment area; fifty (50) tons per year or more of volatile organic compounds or nitrogen oxides in a serious ozone nonattainment area; twenty-five 

(25) tons per year or more of volatile organic compounds or nitrogen oxides in a severe ozone nonattainment area; or ten (10) tons per year or more of 

volatile organic compounds or nitrogen oxides in an extreme ozone nonattainment area; 

b. Fifty (50) tons per year or more of carbon monoxide in a serious carbon monoxide nonattainment area where stationary sources contribute 

significantly to carbon monoxide levels; and 

c. Seventy (70) tons per year or more of particulate matter (PM10) in a serious PM10 nonattainment area; or 

2.a. For the PSD program, any of the following stationary sources of air pollutants that emits, or has the potential to emit, 100 tons per year or more 

of a regulated NSR pollutant: fossil fuel-fired steam electric plants of more than 250 million BTU 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, 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, except ethanol production facilities 

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producing ethanol by natural fermentation under the North American Industry Classification System (NAICS) codes 325193 or 312140, fossil fuel boilers, 

or combination of fossil fuel boilers, totaling more than 250 million BTU 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 plants, and charcoal production plants; and 

b. Regardless of the stationary source size specified in subclause (i) of this clause, a stationary source that emits, or has the potential to emit, 250 

tons per year or more of a regulated NSR pollutant; or 

3. Any physical change that will occur at a stationary source not otherwise qualifying under this subsection as a major stationary source, if the 

change will constitute a major stationary source by itself; 

(b) A source that is major for volatile organic compounds or nitrogen oxides is considered major for ozone; and 

(c) Fugitive emissions are included only if the source belongs to one (1) of the following categories of stationary sources: 

1. Coal cleaning plants with thermal dryers; 

2. Kraft pulp mills; 

3. Portland cement plants; 

4. Primary zinc smelters; 

5. Iron and steel mills; 

6. Primary aluminum ore reduction plants; 

7. Primary copper smelters; 

8. Municipal incinerators capable of charging more than 250 tons of refuse per day; 

9. Hydrofluoric, sulfuric, or nitric acid plants; 

10. Petroleum refineries; 

11. Lime plants; 

12. Phosphate rock processing plants; 

13. Coke oven batteries; 

14. Sulfur recovery plants; 

15. Carbon black plants (furnace process); 

16. Primary lead smelters; 

17. Fuel conversion plants; 

18. Sintering plants; 

19. Secondary metal production plants; 

20. Chemical process plants, except ethanol production facilities producing ethanol by natural fermentation under NAICS codes 325193 or 312140; 

21. Fossil-fuel boilers, or combination of fossil-fuel boilers, totaling more than 250 million BTUs per hour heat input; 

22. Petroleum storage and transfer units with a total storage capacity exceeding 300,000 barrels; 

23. Taconite ore processing plants; 

24. Glass fiber processing plants; 

25. Charcoal production plants; 

26. Fossil fuel-fired steam electric plants of more than 250 million BTUs per hour heat input; or 

27. Another stationary source category that, as of August 7, 1980, is being regulated under 42 U.S.C. 7411 or 7412. 

(119) "Malfunction" means a sudden and infrequent failure of air pollution control equipment, process equipment, or a process to operate in a normal 

or usual manner that is not caused entirely or in part by poor maintenance, careless operation, or other upset condition or equipment breakdown that is 

reasonably preventable. 

(120) "Mandatory Class I area" means an area identified in 40 C.F.R. Part 81, Subpart D, if the administrator of the U.S. EPA, in consultation with the 

Secretary of the U.S. Department of Interior, has determined visibility to be an important value. 

(121) "Marginal nonattainment county" or "marginal nonattainment area" means a county or portion of a county designated marginal nonattainment 

for the national ambient air quality standard for ozone. 

(122) "Maximum design heat input" means the ability of a unit to combust a stated maximum amount of fuel per hour on a steady state basis, as 

determined by the physical design and physical characteristics of the unit. 

(123) "Maximum potential hourly heat input" means an hourly heat input used for reporting purposes if a unit lacks certified monitors to report heat 

input and is: 

(a) A value calculated according to 40 C.F.R. Part 75 using the maximum fuel flow rate and the maximum gross calorific value, if the unit intends to 

use 40 C.F.R. Part 75, Appendix D, to report heat input; or 

(b) A value reported according to 40 C.F.R. Part 75 using the maximum potential flow rate and either the maximum percent C02 concentration (in 

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percent C02) or the minimum percent 0 2, if the unit intends to use a flow monitor and a diluents gas monitor. 

(124) "Maximum potential NOx emission rate" means the emission rate of NOx (in lb per MMBTU) calculated according to 40 C.F.R. Part 75, 

Appendix F, Section 3, using the maximum potential NOx concentration as defined in 40 C.F.R. Part 75, Appendix A, Section 2, and the maximum 

percent 0 2 or the minimum percent C02 under all operating conditions of the unit except for unit startup, shutdown, and malfunction. 

(125) "Maximum rated hourly heat input" means a unit specific maximum hourly heat input (MMBTU) that is the higher of the manufacturer's 

maximum rated hourly heat input or the highest observed hourly heat input. 

(126) "~g" means microgram 

(127) "mg" means milligram. 

(128) "Mid-kiln firing" means the secondary firing in kilns by injecting solid fuel at an intermediate point in the kiln using a specially designed feed 

injection mechanism for the purpose of decreasing NOx emissions through: 

(a) Burning part of the fuel at a lower temperature; and 

(b) Reducing-conditions at the solid waste injection point that may destroy some of the NOx formed upstream in the kiln burning zone. 

(129) "min" means minute. 

(130) "Minor source baseline date" means: 

(a) The earliest date after the trigger date on which a major stationary source or a major modification subject to permit requirements established 

pursuant to 40 C.F.R. 52.21 or the Kentucky SIP submits a complete application: 

1. For particulate matter and sulfur dioxide, the trigger date is August 7, 1977; and 

2. For nitrogen dioxide, the trigger date is February 8, 1988; 

(b) For TSP increments, that the originally established date remains in effect to determine the amount of available PM10 increments, unless the 

cabinet rescinds the minor source baseline date pursuant to 40 C.F.R. 51.166(b)(14)(iv); and 

(c) A date established for each pollutant for which increments or other equivalent measures have been established if: 

1. The area in which the proposed source or modification will construct is designated as attainment or unclassifiable pursuant to 42 U.S.C. 7407(d) 

(1)(A)(ii) or (iii) for the pollutant on the date of its complete application pursuant to 401 KAR Chapter 52; and 

2. For a major stationary source, the pollutant will be emitted in significant amounts or a significant net emissions increase of the pollutant will occur 

for a major modification. 

(131) "MJ" means megajoules. 

(132) "mm" means millimeter. 

(133) "MM" means million. 

(134) "mo" means month. 

(135) "Moderate nonattainment county" or "moderate nonattainment area" means a county or portion of a county designated moderate 

nonattainment for the national ambient air quality standard for ozone. 

(136) "Modification" means any physical change in, or a change in the method of operation of, an affected facility that: 

(a) Increases the amount of any air pollutant (to which a standard applies) emitted into the atmosphere by that facility or that results in the emission 

of any air pollutant (to which a standard applies) into the atmosphere not previously emitted; and 

(b) Is not solely: 

1. Maintenance, repair, and replacement that the cabinet determines to be routine for a source category considering available information; 

2. An increase in production rate of an affected facility, if that increase can be accomplished without a capital expenditure on that facility; 

3. An increase in the hours of operation; 

4. Use of an alternative fuel or raw material if, prior to the date a standard becomes applicable to that source type, the affected facility was designed 

to accommodate that alternative use. A facility is considered to be designed to accommodate an alternative fuel or raw material if that use could be 

accomplished under the facility's construction specification as amended prior to the change; 

5. Conversion to coal required for energy considerations, as specified in 42 U.S.C. 7411(a)(8); 

6. The addition or use of a system or device the primary function of which is the reduction of air pollutants, unless an emission control system is 

removed or replaced by a system that the cabinet determines to be less environmentally beneficial; or 

7. The relocation or change in ownership of a source. 

(137) "Monitoring device" means the total equipment, required by an applicable administrative regulation in 401 KAR Chapters 50 to 65, used to 

measure and record, if applicable, process parameters. 

(138) "Monitoring system" means a monitoring system that meets the requirements of any applicable administrative regulation in 401 KAR Chapters 

50 to 65. 

(139) "MWe" means megawatt electrical. 

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(140) "N2 .. means nitrogen. 

(141) "Nameplate capacity" means the maximum electrical generating output (in MWe) that a generator can sustain over a specified period oftime if 

not restricted by seasonal or other deratings as measured with United States Department of Energy standards. 

(142) "Natural conditions" means those naturally occurring phenomena that reduce visibility as measured in terms of visual range, contrast, or 

coloration. 

(143) "Necessary preconstruction approvals or permits" means those permits or approvals required under the administrative regulations approved to 

the Kentucky SIP pursuant to 40 C.F.R. 52.920, and federal air quality control laws and regulations established pursuant to 42 U.S.C. 7401 - 7671q. 

(144) "Net emissions increase" means: 

(a) For any regulated NSR pollutant emitted by a major stationary source, the amount by which the sum of subparagraphs 1 and 2 of this paragraph 

exceeds zero: 

1. An increase in emissions from a particular physical change or change in method of operation at a stationary source as calculated pursuant to 401 

KAR 51:017, Section 1 (4), or 401 KAR 51 :052, Section 1 (2); and 

2. 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 are determined as defined in this 

section. 

(b) An increase or decrease in actual emissions is contemporaneous with the increase from the particular change only if: 

1. For construction that commences prior to January 6, 2002, the change occurs between the date ten (1 0) years before construction on the change 

commences and the date that the increase from the change occurs; and 

2. For construction that commences on and after January 6, 2002, the change occurs between the date five (5) years before construction on the 

change commences and the date that the increase from the change occurs. 

(c) An increase or decrease in actual emissions is creditable only if: 

1. The cabinet or the U.S. EPA has not relied on the change in issuing a permit for the source pursuant to 401 KAR 51:017, 51:052, or 40 C.F.R. 

52.21; and 

2. The permit is in effect at the time the increase or decrease in actual emissions from the particular change occurs. 

(d) 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. 

For particulate matter, only PM10 emissions are used to evaluate the net emissions increase for PM10. 

(e) An increase in actual emissions is creditable only to the extent that the new level of actual emissions exceeds the old level. 

(f) A decrease in actual emissions is creditable only to the extent that: 

1. The old level of actual emissions or the old level of allowable emissions, whichever is lower, exceeds the new level of actual emissions; 

2. The decrease is enforceable as a practical matter at and after the time that actual construction on the particular change begins; and 

3. The decrease has approximately the same qualitative significance for public health and welfare as that attributed to the increase from the 

particular change. 

(g) An increase that results from a physical change at a source occurs if the emissions unit on which construction occurred becomes operational and 

begins to emit a particular pollutant. A replacement unit that requires shakedown becomes operational only after a reasonable shakedown period, not to 

exceed 180 days. 

(h) The term, actual emissions, as defined in subsection (2) of this section does not apply in determining creditable increases and decreases. 

(145) "New source" means a source, the construction, reconstruction, or modification of which commenced on or after the classification date as 

defined in the applicable administrative regulation, irrespective of a change in emission rate. 

(146) "Nitrogen oxides" means all oxides of nitrogen except nitrous oxide, as measured by test methods specified in the Kentucky SIP. 

(147) "ng" means nanograms. 

(148) "NO" means nitric oxide. 

(149) "N02" means nitrogen dioxide. 

(150) "Nonattainment major new source review program" or "NSR program" is defined by 40 C.F.R. 51.165(a)(1 )(xxx). For purposes of this definition, 

"administrator'' means the U.S. EPA. 

(151) "NOx" means nitrogen oxides. 

(152) "NOx allowance" is defined by 40 C.F.R. 96.2. 

(153) "NOx Allowance Tracking System" or "NATS" is defined by 40 C.F .R. 96.2 For purposes of this definition, "administrator" means the U.S. EPA. 

(154) "NOx authorized account representative" is defined by 40 C.F.R. 96.2. 

(155) "NOx budget emissions limitation" means, for a NOx budget unit, the tonnage equivalent of the NOx allowances available for compliance 

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deduction for the unit and for a control period under 401 KAR 51:160 adjusted by deductions of sufficient NOx allowances to account for: 

(a) Actual utilization under 40 C.F.R. 96.42(e) for the control period; 

(b) Excess NOx emissions for a prior control period under 40 C.F.R. 96.54(d); 

(c) Withdrawal from the NOx budget program under 40 C.F .R. 96.86; or 

(d) A change in regulatory status for a NOx budget opt-in source under 40 C.F.R. 96.87. 

(156) "NOx budget opt-in source" means an affected facility that has elected to become a NOx budget unit under the NOx Budget Trading Program 

and whose NOx budget opt-in permit has been issued and is in effect. 

(157) "NOx budget source" is defined by 40 C.F.R. 96.2. 

(158) "NOx Budget Trading Program" is defined by 40 C.F.R. 96.2. 

(159) "NOx budget unit" means a unit that is subject to the NOx Budget Trading Program emissions limitation under 401 KAR 51:160 or 40 C.F.R. 

96.80. 

(160) "NOx budget unit operator" means a person who operates, controls, or supervises a NOx budget unit, a NOx budget source, or a unit for which 

an application for a NOx budget opt-in permit under 401 KAR 51:195 is submitted and not denied or withdrawn and includes a holding company, utility 

system, or plant manager of a NOx budget unit or source. 

(161) "NOx budget unit owner" means: 

(a) A holder of a portion of the legal or equitable title in a NOx budget unit or in a unit for which an application for a NOx budget opt-in permit under 

401 KAR 51:195 is submitted and not denied or withdrawn; 

(b) A holder of a leasehold interest in a NOx budget unit or in a unit for which an application for a NOx budget opt-in permit under 401 KAR 51:195 is 

submitted and not denied or withdrawn; 

(c) A purchaser of power from a NOx budget unit or from a unit for which an application for a NOx budget opt-in permit under 401 KAR 51:195 is 

submitted and not denied or withdrawn under a life-of-the-unit, firm power contractual arrangement and unless expressly provided for in a leasehold 

agreement, does not include a passive lessor, or a person who has an equitable interest through the lessor, whose rental payments are not based, 

either directly or indirectly, upon the revenues or income from the NOx budget unit or the unit for which an application for a NOx budget opt-in permit 

under 401 KAR 51:195 is submitted and not denied or withdrawn; or 

(d) For any general account, a person who has an ownership interest with respect to the NOx allowances held in the general account and who is 

subject to the binding agreement for the NOx authorized account representative to represent that person's ownership. 

(162) "02" means oxygen. 

(163) "03" means ozone. 

(164) "Opacity" means the degree to which emissions reduce the transmission of light and obscure the view of an object in the background. 

(165) "Operating" means, for a NOx budget unit, having documented heat input for more than 876 hours in the six (6) months immediately preceding 

the submission of an application for an initial NOx budget permit. 

(166) "Operator'' means, for a NOx budget unit, any person who operates, controls, or supervises a NOx budget unit, a NOx budget source, or unit 

for which an application for a NOx budget opt-in permit is submitted and not denied or withdrawn, and includes any holding company, utility system, or 

plant manager of the unit or source. 

(167) "Opt-in" means to be elected to become a NOx budget unit under the NOx Budget Trading Program through a final NOx budget opt-in permit. 

(168) "Owner", for a NOx budget unit, is defined by 40 C.F.R. 96.2. 

(169) "Owner or operator" means a person who owns, leases, operates, controls, or supervises an affected facility or a source of which an affected 

facility is a part. 

(170) "oz" means ounce. 

(171) "Ozone depleting potential" or "ODP", means pursuant to 40 C.F.R. Part 82, Subpart A, Appendices A and B, the ratio of the total amount of 

ozone destroyed by a fixed amount of an ozone depleting substance to the amount of ozone destroyed by the same mass of trichlorofluoromethane 

(CFC-11) in which the ozone depleting potential of CFC-11 is equal to one and zero-tenths (1.0). 

(172) "Ozone depleting substance" or "ODS" means any chemical compound regulated under 40 C.F.R. Part 82 with decay products, after the 

photolysis of the ODS by short-wave ultraviolet light, that are able to catalyze the destruction of stratospheric ozone. 

(173) "PAL effective date" means: 

(a) The date of issuance of the PAL permit; or 

(b) For an increased PAL, the date any emissions unit that is part of the PAL major modification becomes operational and begins to emit the PAL 

pollutant. 

(174) "PAL effective period" means the period beginning with the PAL effective date and ending ten (10) years later. 

(175) "PAL major modification" means any physical change in or a change in the method of operation of the PAL source that causes it to emit the 

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PAL pollutant at a level equal to or greater than the PAL. 

(176) "PAL permit" means the permit issued by the cabinet that establishes a PAL for a major stationary source. 

(177) "PAL pollutant" means the pollutant for which a PAL is established at a major stationary source. 

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(178) "Particulate matter" means a material, except uncombined water that exists in a finely divided form as a liquid or solid measured by a U.S. 

EPA-approved test method or a test method approved in the Kentucky SIP. 

(179) "Particulate matter emissions" means, except as used in 40 C.F.R. Part 60, all finely divided solid or liquid material, other than uncombined 

water, emitted to the ambient air as measured by applicable reference methods, or an equivalent or alternative method specified in 40 C.F.R. Chapter I, 

or by a test method specified in the Kentucky SIP. 

(180) "Peak load" means the maximum instantaneous operating load. 

(181) "Permitted capacity factor" means the annual permitted fuel use divided by the manufacturer's specified maximum fuel consumption multiplied 

by 8,760 hours per year. 

(182) "Person" is defined by KRS 224.01-010(17). 

(183) "Plant-wide applicability limitation" or "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 is established source-wide in accordance with 401 KAR 51:017 or 51:052. 

(184) "PM2_

5" means particulate matter with an aerodynamic diameter less than or equal to a nominal two and five-tenths (2.5) micrometers as 

measured by a reference method in 40 C.F.R. Part 50, Appendix L, and designated in accordance with 40 C.F.R. Part 53, or by an equivalent method 

designated in accordance with 40 C.F.R. Part 53. 

(185) "PM10" means particulate matter with an aerodynamic diameter less than or equal to a nominal ten (10) micrometers as measured by a 

reference method in 40 C.F.R. Part 50, Appendix J, and designated in accordance with 40 C.F.R. Part 53, or by an equivalent method designated in 

accordance with 40 C.F.R. Part 53. 

(186) "PM10 emissions" means finely divided solid or liquid material with an aerodynamic diameter less than or equal to a nominal ten (10) 

micrometers emitted to the ambient air as measured by an applicable reference method, or an equivalent or alternative method specified in 40 C.F.R. 

Chapter I, or by a test method specified in the Kentucky SIP. 

(187) "Pollution prevention" is defined by 40 C.F.R. 51.166(b)(38). 

(188) "Portland cement" means a hydraulic cement produced by pulverizing clinker consisting essentially of hydraulic calcium silicates. 

(189) "Portland cement kiln" means a system, including solid, gaseous or liquid fuel combustion equipment, used to calcite and fuse raw materials, 

including limestone and clay, to produce Portland cement clinker. 

(190) "Potential to emit" or "PTE" means: 

(a) The maximum capacity of a stationary source to emit a pollutant under its physical and operational design, in which: 

1. A physical or operational limitation on the capacity of a source to emit an air pollutant, including air pollution control equipment and restrictions on 

hours of operation or on the type or amount of material com busted, stored, or processed, is treated as part of its design if the limitation is enforceable as 

a practical matter; and 

2. This definition does not alter or affect the use of this term for other purposes of the Clean Air Act, 42 U.S.C. 7401 - 7671q, or the term "capacity 

factor'' as used in the Acid Rain Program. 

(b) For the PSD and NSR programs, the maximum capacity of a stationary source to emit a pollutant under its physical or operational design, in 

which: 

1. A 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, is treated as part of its design if the limitation or the effect it 

would have on emissions: 

a. Is federally enforceable; or 

b. For an actual PAL, is federally enforceable or enforceable as a practical matter; and 

2. Secondary emissions are not counted. 

(191) "ppb" means parts per billion. 

(192) "ppm" means parts per million. 

(193) "ppm(w/w)" means parts per million (weight by weight). 

(194) "Precalciner kiln" means a kiln in which the feed to the kiln system is preheated in cyclone chambers and utilizes a second burner to calcine 

material in a separate vessel attached to the preheater prior to the final fusion in a kiln that forms clinker. 

(195) "Predictive emissions monitoring system" or "PEMS" is defined by 40 C.F.R. 51.166(b)(44). 

(196) "Preheater kiln" means a kiln in which the feed to the kiln system is preheated in cyclone chambers prior to the final fusion in a kiln that forms 

clinker. 

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401 KAR 51 :001. Definitions for 401 KAR Chapter 51. Page 13 of 16 

(197) "Prevention of Significant Deterioration Program" or "PSD Program" means a major source preconstruction program that has been approved 

by the U.S. EPA and incorporated into the Kentucky SIP to implement the requirements of 40 C.F.R. 51.166 or 52.21. 

(198) "Project" means a physical change in or change in method of operation of an existing major stationary source. 

(199) "Projected actual emissions" means: 

(a) 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 (1) of 

the five (5) years, in a twelve (12) month period, following the date the unit resumes regular operation after the project, or in any one (1) of the ten (10) 

years following that date, if: 

1. The project involves increasing the emissions unit's design capacity or its potential to emit the regulated NSR pollutant; and 

2. Full utilization of the unit would result in a significant emissions increase or a significant net emissions increase at the major stationary source; or 

(b) The maximum annual rate, in tons per year, at which an emissions unit, before beginning actual construction, is projected to emit a regulated 

NSR pollutant, if the source: 

1.a. Considers all relevant information, including historical operational data and the company's own representations of expected and highest 

projected business activity, filings with the cabinet and the U.S. EPA, and compliance plans under the Kentucky SIP; 

b. Includes fugitive emissions and emissions associated with startups, shutdowns, and malfunctions; and 

c. Excludes, in calculating any increase in emissions that results from a project, that portion of the unit's emissions following the project that an 

existing unit could have accommodated during the consecutive twenty-four (24) month period used to establish the baseline actual emissions and that 

are also unrelated to the project, including any increased utilization due to product demand growth; or 

2. Elects to use the emissions unit's potential to emit, in tons per year, instead of using subparagraph 1. of this paragraph to determine projected 

actual emissions. 

(200) "psia" means pounds per square inch absolute. 

(201) "psig" means pounds per square inch gage. 

(202) "RACT/BACT/LAER Clearinghouse" or "RBLC" means the U.S. EPA's online collection of previous RACT/BACT/LAER determinations. 

(203) "Reactivation of a very clean coal-fired EUSGU" is defined by 40 C.F.R. 51.166(b)(37). 

(204) "Reasonable further progress" is defined by 42 U.S.C. 7501 (1 ). For purposes of this definition, "administrator" means the U.S. EPA. 

(205) "Reconstruction" means the replacement of components of an existing affected facility to the extent that: 

(a) The fixed capital cost of the new components exceeds fifty (50) percent of the fixed capital cost that would be required to construct a comparable 

entirely new affected facility; and 

(b) It is technologically and economically feasible to meet the applicable requirements of 401 KAR Chapters 50 to 65. 

(206) "Reference method" means a method of sampling and analyzing for an air pollutant as published in 40 C.F.R. Part 50, Appendices A to N; 40 

C.F.R. Part 53; 40 Part 60, Appendices A and B; 40 C.F.R. Part 61, Appendix B; or 40 C.F.R. Part 63, Appendices A to D. 

(207) "Regulated NSR pollutant" means the following: 

(a) A pollutant for which a national ambient air quality standard has been promulgated and any constituents or precursors for such pollutants 

identified by the U.S. EPA; 

(b) A pollutant subject to any standard promulgated under 42 U.S.C. 7411; 

(c) A pollutant subject to a standard promulgated under or established by 42 U.S.C. 7671 to 7671q; or 

(d) A pollutant that otherwise is subject to regulation, as defined in subsection (231) of this section, under 42 U.S.C. 7401 to 7671q, except that any 

hazardous air pollutant (HAP) listed in 42 U.S.C. 7412 or added to the list pursuant to 42 U.S.C. 7412(b)(2), that has not been delisted pursuant to 42 

U.S.C. 7412(b)(3), is not a regulated NSR pollutant unless the listed HAP is also regulated as a constituent or precursor of a general pollutant listed 

under 42 U.S.C. 7408. 

(208) "Replacement unit" means an emissions unit that does not generate creditable emissions reductions by shutting down the existing emissions 

unit that is replaced, and that: 

(a)1. Is a reconstructed unit within the meaning of 40 C.F.R. 60.15(b)(1) or that completely takes the place of an existing emissions unit; 

2. Is identical to or functionally equivalent to the replaced emissions unit; and 

3. Does not alter the basic design parameters of the process unit. 

(b) Replaces a unit that: 

1. Is permanently removed from the major stationary source, is otherwise permanently disabled, or is prohibited from operating by a permit that is 

enforceable as a practical matter; and 

2. If brought back into operation, is considered a new emissions unit. 

(209) "Repowering" is defined by 40 C.F.R. 51.166(b)(36). 

(210) "Responsible official" means: 

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401 KAR 51 :001. Definitions for 401 KAR Chapter 51. Page 14 of 16 

(a) For a corporation: a president, secretary, treasurer, or vice-president of the corporation in charge of a principal business function, or other person 

who performs similar policy or decision-making functions for the corporation, or a duly authorized representative of that person if the representative is 

responsible for the overall operation of one (1) or more manufacturing, production, or operating facilities applying for or subject to a permit; and 

or 

1. The facilities employ more than 250 persons or have gross annual sales or expenditures exceeding $25,000,000 in second quarter 1980 dollars; 

2. The delegation of authority to the representative is approved in advance by the cabinet pursuant to this subsection; 

(b) For a partnership or sole proprietorship, a general partner or the proprietor, respectively; 

(c) For a municipality, state, federal, or other public agency, a principal executive officer or ranking elected official. The principal executive officer of a 

federal agency includes the chief executive officer having responsibility for the overall operation of a principal geographic unit of the agency; or 

(d) For the acid rain portion of a permit for an affected source, the designated representative. 

(211) "Run" means the net period of time, either intermittent or continuous within the limits of good engineering practice, when an emission sample is 

collected. 

(212) "S" means at standard conditions. 

(213) "sec" means second. 

(214) "Secondary emissions" means emissions that: 

(a) Occur as a result of the construction or operation of a major stationary source or major modification, and do not come from the major stationary 

source or major modification itself; 

(b) Are specific, well defined, quantifiable, and impact the same general area as the stationary source modification that causes the secondary 

emissions; 

(c) Include emissions from an offsite support facility that would not otherwise be constructed or increase its emissions as a result of the construction 

or operation of the major stationary source or major modification; and 

(d) Do not include emissions that come directly from a mobile source, including emissions from the tailpipe of a motor vehicle, a train, or vessel. 

(215) "Serious nonattainment county" or "serious nonattainment area" means a county or portion of a county designated serious nonattainment for 

the national ambient air quality standard for ozone. 

(216) "Severe nonattainment county" or "severe nonattainment area" means a county or portion of a county designated severe nonattainment for the 

national ambient air quality standard for ozone. 

(217) "Shutdown" means the cessation of an operation. 

(218) "Significant" means: 

(a) For 401 KAR 51:017, in reference to a net emissions increase or the potential of a source to emit any of the pollutants listed in the following table, 

a rate of emissions that would equal or exceed a corresponding rate listed in the table: 

POLLUTANT EMISSIONS RATE 

Carbon monoxide 100 tons per year (tpy) 

Ozone depleting substance 100 tpy 

Nitrogen oxides 40 tpy 

Sulfur dioxide 40tpy 

Particulate matter 25 tpy of particulate matter 

emissions 

15 tpy of PM10 emissions 

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 10 tpy 

H2S) 

Municipal waste combustor organics 3.2 X 1 o-6 megagrams per (measured as total tetra- through 

year (Mg/y) (3.5 x 10·6 octa-chlorinated dibenzo-p-dioxins tpy) 

and dibenzofurans) 

Municipal waste combustor metals 14 Mg/y (15 tpy) 

{measured asparticulate matter) 

Municipal waste combustor acid 36 Mg/y (40 tpy) 

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401 KAR 51 :001. Definitions for 401 KAR Chapter 51. Page 15 of 16 

gases (measured as sulfur dioxide 

and hydrogen chloride) 

Municipal solid waste landfill 35 Mg/y (50 tpy) 

emissions (measured as nonmethane 

organic compounds) 

(b) For 401 KAR 51 :017, in reference to a net emissions increase or the potential of a source to emit a regulated NSR pollutant that is not listed in 

the table in paragraph (a) of this subsection, any emissions rate; 

(c) For 401 KAR 51 :017, in reference to an emissions rate or a net emissions increase associated with a major sta~ionary source or major 

modification, that is to be constructed within ten (10) kilometers of a Class 1 area, an impact on that area equal to or greater than one (1) 1Jg/m3 over a 

twenty-four (24) hour average; 

(d) For 401 KAR 51 :052, in reference to a net emissions increase or the potential of a source to emit any of the pollutants listed in the following table, 

a rate Of emissions that would equal or exceed a corresponding rate listed in the table: 

POLLUTANT EMISSIONS RATE 

Carbon monoxide 100 tons oer vear (tovl 

Ozone depleting substance 100 tov 

Nitrogen oxides 40 tpy 

Sulfur dioxide 40 tpy 

Ozone 40 tpy of volatile organic compounds 

or nitroaen oxides 

Lead 0.6 tov 

(e) For 401 KAR 51:052, with the exception of the significant emissions rate for ozone in this subsection, significant means, in reference to an 

emissions increase or net emissions increase, a rate of emissions that exceeds the following: 

1. Twenty-five (25) tons per year of volatile organic compounds or nitrogen oxides in a serious or severe ozone nonattainment area; or 

2. Any increase in actual emissions of volatile organic compounds or nitrogen oxides in an extreme ozone nonattainment area; or 

(f) For 401 KAR 51:052, with the exception of the significant emissions rate for carbon monoxide in this subsection, significant means, in reference to 

an emissions increase or net emissions increase, a rate of emissions of carbon monoxide that equals or exceeds fifty (50) tons per year in a serious 

nonattainment area for carbon monoxide in which a stationary source contribute significantly to carbon monoxide levels. 

(219) "Significant emissions increase" means, for a regulated NSR pollutant, an increase in emissions that is equal to or greater than the emission 

level that is significant for that pollutant. 

(220) "Significant emissions unit" means an emissions unit that emits or has the potential to emit a PAL pollutant in an amount equal to or greater 

than the applicable significant level as defined in subsection (218) of this section or in 42 U.S.C. 7401 to 7671q, whichever is lower for that PAL 

pollutant, but less than the amount that would qualify the unit as a major emissions unit. 

(221) "Small emissions unit" means an emissions unit that emits or has the potential to emit the PAL pollutant in an amount less than the PAL 

pollutant's applicable significant level as defied in subsection (218) of this section; or in 42 U.S.C. 7401 to 7671q, whichever is lower. 

(222) "S02" means sulfur dioxide. 

(223) "Source" means one (1) or more affected facilities contained within a given contiguous property line, which means the property is separated 

only by a public thoroughfare, stream, or other right of way. 

(224) "sq" means square. 

(225) "Stack or chimney" means a flue, conduit, or duct arranged to conduct emissions to the atmosphere. 

(226) "Standard" means an emission standard, a standard of performance, or an ambient air quality standard as promulgated in 401 KAR Chapters 

50 to 65 or the emission control requirements necessary to comply with 401 KAR Chapter 51. 

(227) "Standard conditions" means: 

(a) For source measurements, twenty (20) degrees Celsius (sixty-eight (68) degrees Fahrenheit) and a pressure of 760 mm Hg (29.92 in. of Hg); or 

(b) For air quality determinations, twenty-five (25) degrees Celsius (seventy-seven (77) degrees Fahrenheit) and a reference pressure of 760 mm Hg 

(29.92 in. of Hg). 

(228) "Start-up" or "startup" means the setting in operation of an affected facility. 

(229) "State implementation plan" or "SIP" means the most recently prepared plan or revision required by 42 U.S.C. 7410 that has been approved by 

the U.S. EPA. 

(230) "Stationary source" means a building, structure, facility, or installation that emits or has the potential to emit a regulated NSR pollutant. 

(231) "Subject to regulation" is defined by 40 C.F.R. 51.166(b)(48). 

(232) "Submit" means to send or transmit a document, information, or correspondence in accordance with an applicable requirement. 

(233) "TAPPI" means Technical Association of the Pulp and Paper Industry. 

(234) "Temporary clean coal technology demonstration project" is defined by 40 C.F.R. 51.166(b)(35). 

(235) "Ton" or "tonnage", for a NOx budget source, means a short ton or 2,000 pounds. For determining compliance with the NOx budget emissions 

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401 KAR 51 :001. Definitions for 401 KAR Chapter 51. Page 16 of 16 

limitation, total tons for a control period is calculated as the sum of all recorded hourly emissions, or the tonnage equivalent of the recorded hourly 

emissions rates, in accordance with 40 C.F.R. Part 96, Subpart H with any remaining fraction of a ton equal to or greater than 0.50 ton deemed to equal 

one (1) ton and any fraction of a ton less than 0.50 ton deemed to equal zero tons. 

(236) "Total suspended particulates" or "TSP" means particulate matter as measured by the method described in 40 C.F.R. Part 50, Appendix B. 

(237) "tpy" means tons per year. 

(238) "TSS" means total suspended solids. 

(239) "Uncombined water" means water that can be separated from a compound by ordinary physical means and that is not bound to a compound 

by internal molecular forces. 

(240) "Unit" means a fossil fuel-fired stationary boiler, combustion turbine, or combined cycle system. 

(241) "Urban county" means a county that is a part of an urbanized area with a population greater than 200,000 based upon the 1980 census. If a 

portion of a county is a part of an urbanized area, then the entire county is classified as urban for 401 KAR Chapters 50 to 65. 

(242) "Urbanized area" means an area defined by the U.S. Department of Commerce, Bureau of Census. 

(243) "U.S. EPA" means the United States Environmental Protection Agency. 

(244) "UTM" means Universal Transverse Mercator. 

(245) "Visibility impairment" is defined by 40 C.F.R. 51.301. 

(246) 'Volatile organic compound" or "VOC" is defined by 40 C.F.R. 51.100(s). 

(247) ''yd" means yard. 

Section 2. Incorporation by Reference. (1) The following material is incorporated by reference: 

(a) "North American Industry Classification System", 2007, as published by the Office of Management and Budget; and 

(b) "Standard Industrial Classification Manual", 1987, as published by the Office of Management and Budget is incorporated by reference. 

(2) This material may be inspected, copied or obtained, subject to applicable copyright law, at the following main and regional offices of the Kentucky 

Division for Air Quality during the normal working hours of 8 a.m. to 4:30p.m., local time: 

(a) Kentucky Division for Air Quality, 200 Fair Oaks Lane, 1st floor, Frankfort, Kentucky 40601-1403, (502) 564-3999; 

(b) Ashland Regional Office, 1550 Wolohan Drive, Suite 1, Ashland, Kentucky 41102, (606) 929-5285; 

(c) Bowling Green Regional Office, 1508 Westen Avenue, Bowling Green, Kentucky 42104, (270) 746-7475; 

(d) Florence Regional Office, 8020 Veterans Memorial Drive, Suite 110, Florence, Kentucky 41042, (859) 525-4923; 

(e) Frankfort Regional Office, 200 Fair Oaks Lane, Third Floor, Frankfort, Kentucky 40601, (502) 564-3358; 

(f) Hazard Regional Office, 233 Birch Street, Suite 2, Hazard, Kentucky 41701, (606) 435-6022; 

(g) London Regional Office, 875 S. Main Street, London, Kentucky 407 41, (606) 330-2080; 

(h) Owensboro Regional Office, 3032 Alvey Park Drive, W., Suite 700, Owensboro, Kentucky 42303, (270) 687-7304; and 

(i) Paducah Regional Office, 130 Eagle Nest Drive, Paducah, Kentucky 42003, (270) 898-8468. 

(3) The Standard Industrial Classification Manual is also available under Order No. PB 87-100012 from the National Technical Information Service, 

5285 Port Royal Road, Springfield, Virginia 22161, phone (703) 487-4650. (18 Ky.R. 2737; Am. 2930; 3335; eff. 6-24-1992; 21 Ky.R. 1757; 2137; eff. 4-

6-1995; 22 Ky.R. 1691; 2014; eff. 6-6-1996; 25 Ky.R. 1442; eff. 4-14-1999; 27 Ky.R. 2557; 3270; 38 Ky.R. 367; eff. 8-15-2001; 29 Ky.R. 538; 1600; eff. 

12-18-2002; 30 Ky.R. 2176; 2487; 31 Ky.R. 34; eff. 7-14-2004; 33 Ky.R. 197; eff. 11-8-2006; 36 Ky.R. 867; 1247; 1462; eff. 2-5-2010; 37 Ky.R. 452; Am. 

1222; eff. 1-3-2011.) 

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401 KAR 51 :017. Prevention of significant deterioration of air quality. Page 1 of 16 

401 KAR 51:017. Prevention of significant deterioration of air quality. 

RELATES TO: KRS 224.10-100, 40 C.F.R. 51 Subpart I, Appendix S, sec. IV, Part 51, Appendix W, 51.166, 52.21, 52.26, 53, 58 Appendix A, 60, 61, 

63, 70.6, 81.318, 81 Subpart D, 42 U.S.C. 7401-7671q, 4321-4370d, EO 2009-538 

STATUTORY AUTHORITY: KRS 224.10-100(5), 40 C.F.R. 51.166, 52.21, 42 U.S.C. 7401-7671q, EO 2009-538 

NECESSITY, FUNCTION, AND CONFORMITY: KRS 224.10-100 requires the cabinet to promulgate administrative regulations for the prevention, 

abatement, and control of air pollution. EO 2009-538, effective June 12, 2009, establishes the Energy and Environment Cabinet. This administrative 

regulation provides for the prevention of significant deterioration of ambient air quality. The provisions of this administrative regulation are not different 

nor more stringent than the federal regulation, 40 C.F.R. 51.166. 

Section 1. Applicability. (1) This administrative regulation shall apply to the construction of a new major stationary source or a project at an existing 

major stationary source that commences construction after September 22, 1982, and locates in an area designated attainment or unclassifiable under 42 

U.S.C. 7407(d)(1)(A)(ii) and (iii). 

(2) Except as otherwise provided in this administrative regulation, the provisions of Sections 8 to 16 of this administrative regulation shall apply to the 

construction of a new major stationary source or a major modification of an existing major stationary source. 

(3) The owner or operator of a new major stationary source or major modification, which is subject to the requirements of Sections 8 to 16 of this 

administrative regulation, shall not begin actual construction without a proposed permit or proposed permit revision issued under 401 KAR 52:020 stating 

that the major stationary source or major modification shall meet those requirements. 

(4) Applicability tests for projects. Except as provided in subsection (5) of this section, a project shall be a major modification for a regulated ~SR 

pollutant only if the project causes a significant emissions increase and a significant net emissions increase as provided in paragraphs (a) and (b) of this 

subsection. 

(a) Prior to beginning actual construction, the owner or operator shall first determine if a significant emissions increase will occur for the applicable 

type of unit being constructed according to subparagraphs 1 to 3 of this paragraph. 

1. Actual-to-projected actual applicability test for projects that only involve existing emissions units. A significant emissions increase of a regulated 

NSR pollutant shall be projected to occur if the sum of the difference between the projected actual emissions and the baseline actual emissions for each 

existing emissions unit equals or exceeds the significant amount for that pollutant. 

2. Actual-to-potential test for projects that involve only construction of new emissions units. A significant emissions increase of a regulated NSR 

pollutant shall be projected to occur if the sum of the potential to emit from each new emissions unit following completion of the project equals or 

exceeds the significant amount for that pollutant. 

3. Hybrid test for projects that involve multiple types of emissions units. A significant emissions increase of a regulated NSR pollutant shall be 

projected to occur if the sum of the emissions increases for each emissions unit, using a method specified in subparagraphs 1 and 2 of this paragraph as 

applicable for each emissions unit, equals or exceeds the significant amount for that pollutant. 

(b) Prior to beginning actual construction and after completing the applicable procedure established in paragraph (a) of the subsection, the owner or 

operator shall determine for each regulated NSR pollutant if a significant net emissions increase will occur pursuant to 401 KAR 51:001, Section 1 (144) 

and (218). 

(5) For a plant-wide applicability limit (PAL) for a regulated NSR pollutant at a major stationary source, the owner or operator of the major stationary 

source shall comply with the applicable requirements of Section 20 of this administrative regulation. 

Section 2. Ambient Air Increments. (1) In areas designated as Class 1 or II, increases in pollutant concentration over the baseline concentration shall 

be limited to the following levels: 

Pollutant Maximum Allowable Increase 

(Micrograms per cubic meter) 

Class I 

Particulate Matter: 

PM10, annual arithmetic mean 4 

PM 10, 24-hour maximum 8 

Sulfur Dioxide: 

Annual arithmetic mean 2 

24-hour maximum 5 

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3-hour maximum I 25 

Nitrogen Dioxide: 

Annual arithmetic mean 2.5 

Class II 

Particulate Matter: 

PM10, annual arithmetic mean 17 

PM10, 24-hour maximum 30 

Sulfur Dioxide: 

Annual arithmetic mean 20 

24-hour maximum 91 

3-hour maximum 512 

Nitrogen Dioxide: 

Annual arithmetic mean 25 

(2) For any period other than an annual period, the applicable maximum allowable increase may be exceeded during one (1) such period per year at 

any one (1) location. 

Section 3. Ambient Air Ceilings. The concentration of a regulated NSR pollutant shall not exceed the concentration allowed under the national 

secondary ambient air quality standard or under the national primary ambient air quality standard, whichever concentration is lower for the pollutant for a 

period of exposure. 

Section 4. Restrictions on Area Classifications. (1) The following areas, which were in existence on August 7, 1977, shall be Class I areas and shall 

not be redesignated: 

(a) International parks; 

(b) National wilderness areas and national memorial parks that exceed 5,000 acres in size; and 

(c) National parks that exceed 6,000 acres in size. 

(2) Any other area, unless otherwise specified in the legislation creating the area, shall be designated Class II but may be redesignated as provided 

in 40 C.F.R. 51.166(g). 

(3) The visibility protection requirements of this administrative regulation shall apply only to sources that may impact a mandatory Class I federal 

area. 

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

(a) An area that 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 

(b) A national park or national wilderness area established after August 7, 1977, which exceeds 10,000 acres in size. 

Section 5. Exclusions from Increment Consumption. (1) Pursuant to notice and opportunity for at least one (1) public hearing to be held in 

accordance with procedures established in 401 KAR 52:100, the cabinet may exclude the following concentrations in determining compliance with a 

maximum allowable increase: 

(a) Concentrations attributable to the increase in emissions from stationary sources that have converted from the use of petroleum products, natural 

gas, or both by reason of an order in effect under a federal statute or regulation over the emissions from these sources before the effective date of the 

order; 

(b) Concentrations attributable to the increase in emissions from sources that have converted from using natural gas by reason of a natural gas 

curtailment plan in effect pursuant to a federal statute over the emissions from those sources before the effective date of the plan; 

(c) Concentrations of particulate matter attributable to the increase in emissions from construction or other temporary emission-related activities of 

new or modified sources; and 

(d) Concentrations attributable to the temporary increase in emissions of sulfur dioxide, particulate matter, or nitrogen oxides from stationary sources 

affected by plan revisions approved by the Administrator of the U.S. EPA as meeting the criteria established in subsection (3) of this section. 

(2)(a) Exclusion of concentrations shall not apply more than five (5) years after the effective date of the order to which subsection (1)(a) of this 

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section refers or the curtailment plan to which subsection (1)(b) of this section refers, whichever is applicable. 

(b) If both an order and curtailment plan are applicable, an exclusion shall not apply more than five (5) years after the later of the two (2) effective 

dates. 

(3) For excluding concentrations pursuant to subsection (1)(d) of this section: 

(a) The time period over which the temporary emissions increase of sulfur dioxide, particulate matter, or nitrogen oxides would occur shall be 

specified and shall not exceed two (2) years in duration unless a longer time is approved by the U.S. EPA; 

(b) The time period for excluding certain contributions in accordance with paragraph (a) of this subsection shall not be renewable; 

(c) An emissions increase from a stationary source shall not occur that will: 

1. Impact a Class I area or an area in which an applicable increment is known to be violated; or 

2. Cause or contribute to the violation of a national ambient air quality standard; and 

(d) Limitations shall be in effect at the end of the time period established in paragraph (a) of this subsection, which ensure that the emissions levels 

from stationary sources affected by the SIP revision shall not exceed the levels occurring from those sources before the revision was approved. 

Section 6. Stack Heights. (1) The degree of emissions limitation required for control of an air pollutant under this administrative regulation shall not 

be affected by: 

(a) So much of the stack height of a source as exceeds good engineering practice; or 

(b) Another dispersion technique. 

(2) Subsection (1) of this section shall not apply to stack heights in existence before December 31, 1970, or to dispersion techniques implemented 

before then. 

Section 7. Exemptions. (1) Sections 8 to16 of this administrative regulation shall not apply to a particular major stationary source or major 

modification, if: 

(a) The owner or operator: 

1. Obtained the necessary federal, state, and local preconstruction approval effective before September 22, 1982; 

2. Commenced construction before September 22, 1982; and 

3. Did not discontinue construction for a period of eighteen (18) months or more. 

(b)1. The major stationary source is a nonprofit health institution, a nonprofit educational institution, or a major modification at such an institution; and 

2. The Governor of the Commonwealth of Kentucky requests that it be exempt from those requirements. 

(c) The source or modification is 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 the source does not belong to any of the following categories: 

1. Coal cleaning plants with thermal dryers; 

2. Kraft pulp mills; 

3. Portland cement plants; 

4. Primary zinc smelters; 

5. Iron and steel mills; 

6. Primary aluminum ore reduction plants; 

7. Primary copper smelters; 

8. Municipal incinerators capable of charging more than 250 tons of refuse per day; 

9. Hydrofluoric, sulfuric, or nitric acid plants; 

10. Petroleum refineries; 

11. Lime plants; 

12. Phosphate rock processing plants; 

13. Coke oven batteries; 

14. Sulfur recovery plants; 

15. Carbon black plants, furnace process; 

16. Primary lead smelters; 

17. Fuel conversion plants; 

18. Sintering plants; 

19. Secondary metal production plants; 

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20. Chemical process plants, except ethanol production facilities producing ethanol by natural fermentation under the North American Industry 

Classification System (NAICS) codes 325193 or 312140; 

21. Fossil-fuel boilers, or combination of fossil-fuel boilers, totaling more than 250 million BTUs per hour heat input; 

22. Petroleum storage and transfer units with a total storage capacity exceeding 300,000 barrels; 

23. Taconite ore processing plants; 

24. Glass fiber processing plants; 

25. Charcoal production plants; 

26. Fossil fuel-fired steam electric plants of more than 250 million BTUs per hour heat input; or 

27. Another stationary source category that, as of August 7, 1980, is being regulated under 42 U.S.C. 7411 or 7412. 

(d) The source or modification is a portable stationary source that has previously received a permit under this administrative regulation; and 

1. The owner or operator proposes to relocate the source, and the emissions of the source at the new location will be temporary; 

2. The emissions from the source will not exceed its allowable emissions; 

3. The emissions from the source will not impact a Class I area or an area where an applicable increment is known to be violated; and 

4.a. Reasonable notice is given to the cabinet prior to the relocation identifying the proposed new location and the probable duration of operation at 

the new location. 

b. Notice shall be given to the cabinet not less than ten (1 0) days in advance of the proposed relocation unless a different time duration is previously 

approved by the cabinet pursuant to this subsection. 

(e) The source or modification was not subject to this administrative regulation with respect to particulate matter requirements in effect before July 

31 , 1987, and the owner or operator: 

1. Obtained all final federal, state, and local preconstruction approvals or permits necessary under the applicable SIP before July 31, 1987; 

2. Commenced construction within eighteen (18) months after July 31, 1987; and 

3. Did not discontinue construction for a period of eighteen (18) months or more and completed construction within a reasonable period of time. 

(f)1. The source or modification was subject to this administrative regulation for particulate matter requirements in effect before July 31, 1987, and 

the owner or operator submitted an application for a permit under the applicable permit program before that date; and 

2. The cabinet subsequently determined that the application as submitted was complete with respect to the particulate matter requirements then in 

effect. 

(2) Sections 8 to16 of this administrative regulation shall not apply to a major stationary source or major modification for a particular pollutant if the 

owner or operator demonstrates that, for that pollutant, the source or modification is located in an area designated as nonattainment pursuant to 42. 

U.S.C. 7407(d)(1)(A)(i). 

(3) Sections 9,11, and 13 of this administrative regulation shall not apply to a proposed major stationary source or major modification for a particular 

pollutant, if the allowable emissions of that pollutant from the source, or the net emissions increase of that pollutant from a modification: 

(a) Will not impact a Class I area or an area where an applicable increment is known to be violated; and 

(b) Will be temporary. 

(4) Sections 9, 11, and 13 of this administrative regulation, as applicable to a maximum allowable increase for a Class II area, shall not apply to a 

major modification at a stationary source that was in existence on March 1, 1978, if the net increase in allowable emissions of each regulated NSR 

pollutant from the modification after the application of BACT will be less than fifty (50) tons per year. 

(5) The cabinet may exempt a proposed major stationary source or major modification from the monitoring requirements of Section 11 of this 

administrative regulation for a particular pollutant, if: 

(a) The emissions increase of the pollutant from the new source or the net emissions increase of the pollutant from the modification will cause air 

quality impacts in an area, which are less than the amounts listed in the following table; or 

Pollutant Air Quality Level Averaging Time 

Carbon monoxide 5751Jg/m3 8-hour average 

Nitrogen dioxide 14 1Jg/m3 annual average 

Particulate matter 10 1Jg/m3 of PM 10 24-hour average 

Sulfur dioxide 13 1Jg/m3 24-hour average 

Ozone A de minimis air quality level is not provided 

for ozone. However, a net increase of 100 tons 

per year or more of volatile organic 

compounds or nitrogen oxides subject to this 

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administrative regulation shall be required to 

perform an ambient impact analysis including 

the gathering of ambient air quality data. 

Lead 0.1 ~g/m 3 3-month average 

Fluorides 0.25 ~g/m 3 24-hour average 

Hydrogen sulfide 0.2 ~g/m 3 1-hour average 

Total reduced sulfur 10 ~g/m 3 1-hour average 

Reduced sulfur 10 ~g/m 3 1-hour average 

compounds 

(b) The concentrations of the pollutant in the area that the source or modification will affect are less than the concentrations listed in the table in 

paragraph (a) of this subsection, or the pollutant is not listed in the table. 

(6) Permitting requirements equivalent to Section 9(2) of this administrative regulation shall not apply to a stationary source or modification for a 

maximum allowable increase for nitrogen oxides, if: 

(a) The owner or operator of the source or modification submitted an application for a permit or permit revision under the applicable permit program 

before the date on which the provisions embodying the maximum allowable increase took effect in the Kentucky SIP; and 

(b) The cabinet subsequently determined that the application as submitted before that date was complete. 

(7) Permitting requirements equivalent to Section 10(2) of this administrative regulation shall not apply to a stationary source or modification for a 

maximum allowable increase for PM10, if: 

(a) The owner or operator of the source or modification submitted an application for a permit under the applicable permit program before the 

provisions embodying the maximum allowable increases for PM10 took effect as part of Kentucky's SIP; and 

(b) The cabinet subsequently determined that the application as submitted before that date was complete. 

(8)(a) The cabinet may determine that the requirements for air quality monitoring of PM10 in Section 11 of this administrative regulation shall not 

apply to a particular source or modification, if: 

1. The owner or operator of the source or modification submitted an application for a permit under this section on or before June 1, 1988; and 

2. The cabinet subsequently determines that the application as submitted before that date was complete, except for the requirements for monitoring 

particulate matter specified in Section 11 of this administrative regulation. 

(b) The requirements for air quality monitoring of PM10 in Section 11 of this administrative regulation shall apply to a particular source or modification 

if the owner or operator of the source or modification submitted an application for a permit under 40 C.F.R. 52.21 or this administrative regulation after 

June 1, 1988, and not later than December 1, 1988. 

1. The data shall have been gathered over at least the period from February 1, 1988, to the date the application becomes complete in accordance 

with Section 11 of this administrative regulation; and 

2. If the cabinet determines that a complete and adequate analysis can be accomplished with monitoring data over a shorter period, which may not 

to be less than four (4) months, the data that Section 11 of this administrative regulation requires shall have been gathered over that shorter period. 

(9) If the owner or operator of the source or modification submitted an application for a permit under 40 C.F.R. 52.21 or this administrative regulation 

before the date the provisions embodying the maximum allowable increases for PM10 took effect and the cabinet subsequently determined that the 

application as submitted before that date was complete, the requirements of Section 9(2) of this administrative regulation shall: 

(a) Not apply to a stationary source or modification for a maximum allowable increase for PM10; and 

(b) Apply for the maximum allowable increases for TSP as in effect on the day the application was submitted. 

Section 8. Control Technology Review. (1) A major stationary source or major modification shall meet each applicable emissions limitation under the 

Kentucky SIP and each applicable emissions standard and standard of performance pursuant to 40 C.F.R. Parts 60 and 61. 

(2) A new major stationary source shall apply BACT for each regulated NSR pollutant for which the source has the potential to emit in significant 

amounts. 

(3) A major modification shall apply BACT: 

(a) For each regulated NSR pollutant that results in a significant net emissions increase at the source; and 

(b) For each proposed emissions unit at which a net emissions increase in the pollutant occurs as a result of a physical change or change in the 

method of operation of the unit. 

(4) For phased construction projects: 

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(a) The cabinet shall review and modify, as appropriate, the BACT determination at the latest reasonable time occurring not later than eighteen (18) 

months prior to commencement of construction of each independent phase of the project; and 

(b) If requested by the cabinet, the owner or operator of the applicable stationary source shall demonstrate the adequacy of a previous BACT 

determination for the source. 

Section 9. Source Impact Analysis. The owner or operator of the proposed source or modification shall demonstrate that allowable emissions 

increases from the proposed source or modification, in conjunction with all other applicable emissions increases or reductions, including secondary 

emissions, shall not cause or contribute to air pollution in violation of: 

(1) A national ambient air quality standard in an air quality control region; or 

(2) An applicable maximum allowable increase over the baseline concentration in any area. 

Section 10. Air Quality Models. (1) Estimates of ambient concentrations shall be based on the applicable air quality models, databases, and other 

requirements specified in 40 C.F.R. Part 51, Appendix W, "Guideline on Air Quality Models" Appendix A. 

(2) If an air quality model specified in 40 C.F .R. Part 51, Appendix W, is inappropriate, the model may be modified or another model substituted. 

(a) The use of a modified or substitute model shall be: 

1. Subject to notice and opportunity for public comment under 401 KAR 52:1 00; and 

2. Approved in writing by the U.S. EPA pursuant to 40 C.F.R. 51.166(1). 

(b) Methods similar to those outlined in the 'Workbook for the Comparison of Air Quality Models," specified in 401 KAR 50:040, Section 1(3), shall be 

used to determine the comparability of air quality models. 

Section 11. Air Quality Analysis. (1) Preapplication analysis. 

(a) An application for a permit or permit revision under 401 KAR 52:020 and this administrative regulation shall contain an analysis of ambient air 

quality in the area that the major stationary source or major modification will affect for each of the following: 

1. For a source, each pollutant that the source will have the potential to emit in a significant amount; 

2. For a modification, each pollutant that the modification will result in a significant net emissions increase. 

(b) For a pollutant that does not have a national ambient air quality standard, the analysis shall contain air quality monitoring data the cabinet 

determines necessary to assess ambient air quality for that pollutant in an area that the emissions of that pollutant will affect. 

(c) For pollutants, other than nonmethane hydrocarbons, for which a standard exists, the analysis shall contain continuous air quality monitoring data 

gathered to determine if emissions of that pollutant will cause or contribute to a violation of the standard or a maximum allowable increase. 

(d)1. The required continuous air quality monitoring data shall have been gathered over a period of at least one (1) year and shall represent at least 

the year preceding receipt of the application. 

2. If the cabinet determines that a complete and adequate analysis may be accomplished with monitoring data gathered over a period shorter than 

one (1) year, that period shall be not less than four (4) months. 

(e) For analysis of volatile organic compounds, the owner or operator of a proposed major stationary source or major modification who satisfies all 

conditions of 40 C.F.R. Part 51, Appendix S, section IV may provide postapproval monitoring data for ozone instead of providing preconstruction data as 

required in this section. 

(f) For air quality monitoring of PM 10 under Section 7(8)(a) and (b) of this administrative regulation, the owner or operator of the source or major 

modification shall use a monitoring method approved by the cabinet pursuant to 40 C.F.R. Part 53 and shall estimate the ambient concentrations of 

PM10 using the data collected by that approved monitoring method in accordance with estimating procedures approved by the cabinet pursuant to 40 

C.F.R. Part 58, Appendix A. 

(2) Postconstruction monitoring. After construction of a major stationary source or major modification, the owner or operator shall conduct ambient 

monitoring that the cabinet determines is necessary to determine the effect emissions from the stationary source or modification may have, or are 

having, on air quality in an area. 

(3) Operation of monitoring stations. During the operation of air quality monitoring stations, the owner or operator of a major stationary source or 

major modification shall meet the requirements of 40 C.F.R. Part 58, Appendix A to satisfy the air quality analysis requirements of this section. 

Section 12. Source Information. The owner or operator of a proposed source or modification shall submit to the cabinet all information necessary to 

perform an analysis or make a determination required under this administrative regulation. 

(1) The information shall include: 

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(a) 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; 

(b) A detailed schedule for construction of the source or modification; and 

(c) A detailed description of the system of continuous emissions reduction planned for the source or modification, emissions estimates, and any 

information necessary to determine that BACT will be applied. 

(2) Upon request of the cabinet, the owner or operator shall also provide information on: 

(a) The air quality impact of the source or modification, including meteorological and topographical data necessary to estimate the impact; and 

(b) The air quality impacts and the nature and extent of general commercial, residential, industrial, and other growth that has occurred since August 

7, 1977, in the area the source or modification will affect. 

Section 13. Additional Impact Analysis. (1) The owner or operator shall provide an analysis of the impairment to visibility, soils, and vegetation that 

will occur as a result of: 

(a) The source or modification; and 

(b) General commercial, residential, industrial, and other growth associated with the source or modification. 

(2) The owner or operator shall not be required to provide an analysis of the impact on vegetation not having significant commercial or recreational 

value. 

(3) 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. 

(4) Visibility monitoring. 

(a) If the cabinet requires monitoring of visibility in a Class 1 area impacted by the proposed new stationary source or major modification, the 

monitoring shall be performed using: 

1. Human observations; 

2. Teleradiometers; 

3. Photographic cameras; 

4. Nephelometers; 

5. Fine particulate monitors; or 

6. Other U.S. EPA-approved methods. 

(b) The method selected shall be determined on a case-by-case basis by the cabinet pursuant to 40 C.F.R. 51.166. 

(c) Visibility monitoring required by the cabinet in a Class I area shall be approved by the federal land manager. 

(d) Data obtained from visibility monitoring shall be made available to the cabinet, the U.S. EPA, and the federal land manager, upon request. 

Section 14. Sources Impacting Class I Areas; Additional Requirements. (1) Notice to U.S. EPA and federal land managers. The cabinet shall 

provide; 

(a) Written notice to the U.S. EPA, the federal land manager, and the federal official charged with direct responsibility for management of lands within 

a Class I area of a permit application for a proposed major stationary source or major modification that may affect the Class I area. 

(b) Notice promptly after receiving the permit application. The notice shall: 

1. Include a copy of all information relevant to the permit application; 

2. Be given within thirty (30) days of receipt and at least sixty (60) days prior to the public hearing on the application for a permit to construct; and 

3. Include an analysis of the proposed source's anticipated impacts on visibility in the Class I area. 

(c) The cabinet shall also provide the federal land manager and other federal officials with a copy of the preliminary determination and shall make 

available to them the materials used in making that determination, promptly after the cabinet makes it. The cabinet shall also notify all affected federal 

land managers within thirty (30) days of receipt of an advanced notification of the permit application. 

(2) Federal land manager. The federal land manager and the federal official charged with direct responsibility for management of lands located in a 

Class I area shall have an affirmative responsibility to protect visibility and other air quality related values of the lands and to consider, in consultation 

with the cabinet, if a proposed source or modification will have an adverse impact on those values. 

(3) Visibility analysis. 

(a) The cabinet shall consider an analysis performed by the federal land manager, which is provided within thirty (30) days of the notice and analysis 

required by subsection (1) of this section, which shows that a proposed new major stationary source or major modification may have an adverse impact 

on visibility in a Class I area. 

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(b) If the cabinet finds the analysis does not demonstrate to the cabinet's satisfaction that an adverse impact on visibility will result in the Class I 

area, the cabinet shall, in the public notice required in 401 KAR 52:100, either explain that decision or give notice as to where the explanation may be 

obtained. 

(4) Denial; impact on air quality related values. 

(a) The federal land manager of lands located in a Class I area may demonstrate to the cabinet that the emissions from a proposed source or 

modification will have an adverse impact on the visibility and other air quality related values of those lands, even though the change in air quality 

resulting from emissions from the proposed source or modification will not cause or contribute to concentrations that will exceed the maximum allowable 

increases for a Class I area. 

(b) If the cabinet concurs with the demonstration specified in paragraph (a) of this subsection, the cabinet shall not issue the permit or permit 

revision. 

(5) Class I variances. 

(a) The owner or operator of a proposed source or modification may demonstrate to the federal land manager that the emissions from the source or 

modification will not have adverse impact on the visibility or other air quality related values of lands located in a Class I area, even though the change in 

air quality resulting from emissions from the source or modification will cause or contribute to concentrations that will exceed the maximum allowable 

increases for a Class I area as specified in Section 2(1) of this administrative regulation. 

(b) If limitations are necessary, the cabinet may issue the permit or permit revision with emissions limitations necessary to assure that emissions of 

sulfur dioxide, particulate matter, and nitrogen oxides will not exceed the maximum allowable increases over minor source baseline concentration for the 

pollutants as specified in Section 2(1) of this administrative regulation if: 

1. The federal land manager concurs with the demonstration specified in paragraph (a) of this subsection and certifies accordingly; and 

2. The other applicable requirements of this administrative regulation are met. 

(6) Sulfur dioxide variance by governor with federal land manager's concurrence. 

(a) The owner or operator of a proposed source or modification, which cannot be approved under subsection (5) of this section because the source 

cannot be constructed without exceeding a maximum allowable increase in sulfur dioxide applicable to a Class I area for a period of twenty-four (24) 

hours or less, may demonstrate to the Governor of the Commonwealth of Kentucky that a variance will not adversely affect the visibility or other air 

quality related values of the area. 

(b) The governor, after consideration of the federal land manager's recommendation, if applicable, and subject to the federal land manager's 

concurrence, may, after notice and public hearing, grant a variance from the maximum allowable increase. 

(c) If a variance is granted, the cabinet shall issue a permit or permit revision to the source or modification under the requirements of 401 KAR 

Chapter 52 if the other applicable requirements of this administrative regulation are met. 

(7) Variance by the governor with the President's concurrence. 

(a) If the Governor of the Commonwealth of Kentucky recommends a variance in which the federal land manager does not concur, the 

recommendations of the governor and the federal land manager shall be transmitted to the President of the United States of America. 

(b) If the variance is approved by the President, the cabinet shall issue a permit or permit revision in accordance with the requirements of 401 KAR 

Chapter 52, if the other applicable requirements of this administrative regulation are met. 

(8) Emissions limitations for presidential or gubernatorial variance. For a permit or permit revision issued pursuant to subsections (6) or (7) of this 

section, the source or modification shall comply with the emissions limitations necessary to assure that: 

(a) Emissions of sulfur dioxide from the source or modification shall not, during a day on which the other applicable maximum allowable increases 

are exceeded, cause or contribute to concentrations that will exceed the maximum allowable increases over the baseline concentration as specified in 

the following table; and 

Maximum Allowable Increase 

(Micrograms per cubic meter) 

Terrain areas 

Period of Exposure Low High 

24-hour maximum 36 62 

3-hour maximum 130 221 

(b) Emissions shall not cause or contribute to concentrations that exceed other applicable maximum allowable increases for periods of exposure of 

twenty-four (24) hours or less for more than a total of eighteen (18) days that are not necessarily consecutive during an annual period. 

Section 15. Public Participation. The cabinet shall follow the applicable procedures of 401 KAR 52:100, 40 C.F.R. 51.166(q), and this administrative 

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regulation in processing applications under this administrative regulation. 

Section 16. Source Obligation. (1) An owner or operator of a source or modification subject to this administrative regulation who begins actual 

construction after September 22, 1982, shall construct and operate the source or modification in accordance with the application submitted to the cabinet 

under this administrative regulation and 401 KAR 52:020 or under the terms of an approval to construct. 

(2)(a) Approval to construct shall become invalid if construction: 

1. Is not commenced within eighteen (18) months after receipt of the approval; 

2. Is discontinued for a period of eighteen (18) months or more; or 

3. Is not completed within a reasonable time. 

(b) The cabinet may extend the eighteen (18) month period upon a satisfactory demonstration that an extension is justified. 

1. An extension shall not apply to the time period between construction of the approved phases of a phased construction project; and 

2. Each phase shall commence construction within eighteen (18) months of the projected and approved commencement date. 

(3) Approval to construct shall not relieve an owner or operator of the responsibility to comply fully with 401 KAR Chapters 50 to 68 and other 

requirements of local, state, or federal law. 

(4) If a particular source or modification becomes a major stationary source or major modification solely by virtue of a relaxation in an enforceable 

limitation that was established after August 7, 1980, on the capacity of the source or modification to emit a pollutant, Sections 8 to 16 of this 

administrative regulation shall apply to the source or modification as though construction had not yet commenced on the source or modification. 

(5)(a) The provisions of this subsection shall apply to projects at existing emissions units at a major stationary source other than projects at a source 

with a PAL, if: 

1. There is a reasonable possibility that a project that is not part of a major modification may result in a significant emissions increase; and 

2. The owner or operator elects to use the method specified in 401 KAR 51:001, Section 1 (199)(b) to calculate projected actual emissions. 

(b) Before beginning actual construction of a project specified in paragraph (a) of this subsection, the owner or operator shall document and maintain 

a record of the following information: 

1. A description of the project; 

2. Identification of the emissions units for which emissions of a regulated NSR pollutant could be affected by the project; and 

3. A description of the applicability test used to determine that the project is not a major modification for any regulated NSR pollutant, including: 

a. Baseline actual emissions; 

b. Projected actual emissions; 

c. Amount of emissions excluded in calculating projected actual emissions and an explanation for why that amount was excluded; and 

d. Any applicable netting calculations. 

(c) For a project specified in paragraph (a) of this subsection, the owner or operator shall: 

1. Monitor the emissions of any regulated NSR pollutant that could increase as a result of the project and that are emitted by any emissions unit 

identified in paragraph (b)2 of this subsection; and 

2. Calculate and maintain a record of the annual emissions, in tons per year on a calendar year basis for: 

a. Five (5) years following resumption of regular operations after the change; or 

b. Ten (10) years following resumption of regular operations after the change if the project increases the design capacity or potential to emit of the 

regulated NSR pollutant at the emissions unit. 

(d) If the emissions unit is an existing EUSGU, before beginning actual construction, the owner or operator: 

1. Shall provide a copy of the information in paragraph (b) of this subsection to the cabinet, but shall not be required to obtain a determination from 

the cabinet before beginning actual construction; and 

2. Shall submit a report to the cabinet within sixty (60) days after the end of each year during which records are required to be generated under 

paragraph (b) of this subsection that reports the unit's annual emissions during the calendar year that preceded submission of the report. 

(e)1. For an existing unit other than an EUSGU, the owner or operator shall submit a report to the cabinet if: 

a. The annual emissions, in tons per year, from a project identified in paragraph (a) of this subsection exceeds the baseline actual emissions, as 

documented and maintained pursuant to paragraph (b)3 of this subsection, by a significant amount for that regulated NSR pollutant; and 

b. The emissions differ from the preconstruction projection as documented and maintained pursuant to paragraph (b)3 of this subsection. 

2. The report shall be submitted within sixty (60) days after the end of the year during which records are required to be generated under paragraph 

(b) of this subsection and shall contain the following: 

a. The name, address, and telephone number of the major stationary source; 

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b. The annual emissions as calculated pursuant to paragraph (c) of this subsection; and 

c. Any other information that the owner or operator wishes to include in the report. 

(f) The owner or operator of the source shall make the information required to be documented and maintained under to this subsection available for 

review upon request for inspection by the cabinet or the general public pursuant to 401 KAR 52:100. 

Section 17. Environmental Impact Statements. If a proposed source or modification is subject to action by a federal agency that may necessitate 

preparation of an environmental impact statement under 42 U.S.C. 4321 to 4370d (the National Environmental Policy Act), review by the cabinet 

conducted in accordance with this administrative regulation shall be coordinated with the broad environmental reviews under that Act and under 42 

U.S.C. 7609 to the maximum extent feasible and reasonable. 

Section 18. Innovative Control Technology. (1) An owner or operator of a proposed major stationary source or major modification may make a written 

request that the cabinet approve a system of innovative control technology. 

(2) The cabinet may, with the consent of the governors of other affected states, determine that the source or modification may employ a system of 

innovative control technology if: 

(a) The proposed control system will not cause or contribute to an unreasonable risk to public health, welfare, or safety in its operation or function; 

(b) The owner or operator agrees to achieve a level of continuous emissions reduction equivalent to that which would have been required under 

Section 8(2) of this administrative regulation by a date, specified by the cabinet that is not later than four (4) years from the time of start-up or seven (7) 

years from permit issuance; 

(c) The source or modification shall meet requirements equivalent to those in Sections 8 and 9 of this administrative regulation based on the 

emissions rate that the stationary source employing the system of innovative control technology shall be required to meet on the date specified by the 

cabinet; 

(d) The source or modification shall not before the date specified by the cabinet: 

1. Cause or contribute to a violation of an applicable national ambient air quality standard; or 

2. Impact an area in which an applicable increment is known to be violated; 

(e) Section 14 of this administrative regulation relating to Class I areas has been satisfied for all periods during the life of the source or modification; 

and 

(f) All other applicable requirements including those for public participation have been met. 

(3) The cabinet shall withdraw approval to employ a system of innovative control technology if: 

(a) The proposed system fails by the specified date to achieve the required continuous emissions reduction rate; 

(b) The proposed system fails before the specified date and contributes to an unreasonable risk to public health, welfare, or safety; or 

(c) The cabinet decides that the proposed system is unlikely to achieve the required level of control or to protect the public health, welfare, or safety. 

(4) If a source or modification fails to meet the required level of continuous emissions reduction within the specified time period or the approval is 

withdrawn in accordance with subsection (3) of this section, the cabinet may allow the source or modification up to an additional three (3) years to meet 

the requirement for the application of BACT through use of a demonstrated system of control. 

Section 19. Permit Condition Rescission. (1)(a) An owner or operator holding a permit for a stationary source or modification that contains conditions 

pursuant to 401 KAR 51 :015 or 51 :016E may request that the cabinet rescind the applicable conditions. 

(b) An owner or operator of a stationary source or modification who holds a permit for the source or modification that was issued under this 

administrative regulation as in effect on July 30, 1987, or an earlier version of this administrative regulation, may request that the cabinet rescind the 

permit or a particular portion of the permit. 

(2) The cabinet shall rescind a permit condition if requested and if the applicant can demonstrate to the satisfaction of the cabinet that this 

administrative regulation does not apply to the source or modification or to a portion of the source or modification. 

Section 20. Plant-wide Applicability Limit Provisions. The cabinet shall only approve the use of an actuals PAL (PAL) for an existing major stationary 

source if the PAL meets the requirements of this section. 

(1) General provisions. 

(a) An owner or operator may execute a project without triggering major NSR, if the source maintains its total source-wide emissions below the PAL 

level, meets the requirements in this section, and complies with the PAL permit. If these conditions are met, a project: 

1. Shall not be considered a major modification for the PAL pollutant; 

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2. Shall not have to be approved through Kentucky's major NSR program; and 

3. Shall not be subject to the provisions of Section 16(4) of this administrative regulation concerning restrictions on relaxing enforceable emission 

limitations that a major stationary source used to avoid applicability of the major NSR program. 

(b) Except as provided under subparagraph (1)(a)3 of this section, a major stationary source shall continue to comply with all applicable federal or 

state requirements, emissions limitations, and work practice requirements that were established prior to the effective date of the PAL. 

(2) Permit application requirements. The owner or operator of a major stationary source shall submit the following information to the cabinet for 

approval as part of an application for a permit or permit revision requesting a PAL: 

(a) A list of all emissions units at the source designated as small, significant, or major, based on their potential to emit; 

(b) Identification of the federal and state applicable requirements, emissions limitations, and work practice requirements that apply to each emissions 

unit; 

(c) Calculations of the baseline actual emissions for the emissions units with supporting documentation, including emissions associated with startup, 

shutdown, and malfunction; and 

(d) The calculation procedures the owner or operator proposes to use to convert the monitoring system data to monthly emissions and annual 

emissions based on a twelve (12) month rolling total for each month as required by subsection (12)(a) of this section. 

(3) Establishing a PAL. The cabinet shall establish a PAL at a major stationary source in a federally enforceable permit pursuant to the requirements 

of this section. 

(a) The PAL shall impose an annual emissions limitation in tons per year that is enforceable as a practical matter for the entire major stationary 

source. 

1. For each month during the PAL effective period after the first twelve (12) months of establishing a PAL, the owner or operator shall demonstrate 

that the sum of the monthly emissions from each emissions unit under the PAL for the previous twelve (12) consecutive months is less than the PAL as 

a twelve (12) month average, rolled monthly; and 

2. For each month during the first eleven (11) months from the PAL effective date, the owner or operator shall demonstrate 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: 

1. Meets the public participation requirements in subsection (4) of this section; and 

2. Contains all the requirements of subsection (6) of this section. 

(c) A 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. 

(d) Each PAL shall regulate emissions of only one (1) pollutant. 

(e) Each PAL shall have a PAL effective period of ten (10) years. 

(f) The owner or operator of a major stationary source with a PAL shall comply with the monitoring, recordkeeping, and reporting requirements of 

subsections (11) to (13) of this section for each emissions unit under the PAL through the PAL effective period. 

(g) Emissions reductions of a PAL pollutant that occur during the PAL effective period shall not be creditable as decreases for offsets under 40 

C.F.R. 51.165(a)(3)(ii), unless: 

1. The level of the PAL is reduced by the amount of the emissions reductions; and 

2. The reductions will be creditable in the absence of the PAL. 

(4) Public participation requirements. PALs for existing major stationary sources shall be established, renewed, or increased pursuant to this 

subsection and the applicable procedures of 401 KAR 52:100. The cabinet shall: 

(a) Provide the public with notice of the proposed approval of a PAL permit with at least a thirty (30) day period for submittal of public comment; and 

(b) Address all material comments before taking final action on a PAL permit or permit revision. 

(5) Setting the ten (10) year PAL level. 

(a) The PAL level for a major stationary source shall be the sum of the baseline actual emissions of the PAL pollutant for each emissions unit at the 

source during the chosen twenty-four (24) month period plus the applicable significant level for the PAL pollutant under the definition for "significant" in 

401 KAR 51:001, Section 1 or under 42 U.S.C. 7401-7671 q, whichever is lower. 

(b) In establishing a PAL level for a PAL pollutant, only one (1) consecutive twenty-four (24) month period shall be used to determine the baseline 

actual emissions for all existing emissions units. 

(c) A different consecutive twenty-four (24) month period may be used for each different PAL pollutant. 

(d) Emissions associated with units that were permanently shut down after the chosen twenty-four (24) month period shall be subtracted from the 

PAL level. 

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401 KAR 51 :017. Prevention of significant deterioration of air quality. Page 12 of 16 

(e) Emissions from units for which actual construction began after the twenty-four (24) month period shall be added to the PAL level in an amount 

equal to the potential to emit of the units. 

(f) The cabinet shall specify a reduced PAL level in the PAL permit to become effective on the future compliance date of any applicable federal or 

state regulatory requirement that the cabinet is aware of prior to issuance of the PAL permit. 

(6) Contents of the PAL permit. The PAL permit shall contain the following information: 

(a) The PAL pollutant and the applicable source-wide emissions limitation in tons per year; 

(b) The PAL permit effective date and the expiration date of the PAL or PAL effective period; 

(c) Specification in the PAL permit that if a major stationary source owner or operator applies to renew a PAL under subsection (9) of this section 

before the end of the PAL effective period, the PAL shall remain in effect until a revised PAL permit is issued by the cabinet; 

(d) A requirement that emissions calculations for compliance purposes include emissions from startups, shutdowns, and malfunctions; 

(e) A requirement that, once the PAL expires, the major stationary source shall be subject to the requirements of subsection (8) of this section; 

(f) 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 twelve (12) month rolling total for each month as required by subsection (12)(a) of this section; 

(g) A requirement that the major stationary source owner or operator shall monitor all emissions units in accordance with the provisions in subsection 

(12) of this section; 

(h) A requirement that the owner or operator shall retain the records required under subsection (12) of this section on site. Records may be retained 

in an electronic format; 

(i) A requirement for the owner or operator to submit the reports required under subsection (13) of this section by the required deadlines; and 

(j) Any requirements necessary to implement and enforce the PAL. 

(7) PAL effective period and reopening of a PAL permit. 

(a) A PAL effective period shall be ten (10) years. 

(b) The cabinet shall reopen a PAL permit to: 

1. Correct typographical or calculation errors made in setting the PAL; 

2. Reflect a more accurate determination of emissions used to establish the PAL; 

3. Reduce the PAL if the owner or operator of the major stationary source creates creditable emissions reductions for use as offsets under 40 C.F.R. 

51.165(a)(3)(ii); or 

4. Revise the PAL to reflect an increase in the PAL according to subsection (1 0) of this section. 

(c) The cabinet may reopen the PAL permit, during the PAL effective period, to: 

1. Reduce the PAL to reflect newly applicable federal requirements with compliance dates after the PAL effective date; 

2. Reduce the PAL consistent with any requirement enforceable as a practical matter and imposed on the major stationary source under the SIP; 

and 

3. Reduce the PAL if the cabinet determines that a reduction is necessary to avoid causing or contributing to: 

a. A National Ambient Air Quality Standard (NAAQS) or PSD increment violation; or 

b. An adverse impact on visibility or another air quality related value 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. 

(d) All permit reopenings shall be carried out under the public participation requirements of subsection (4) of this section except for permit reopenings 

to correct typographical or calculation of errors that do not increase the PAL level. 

(8) Expiration of a PAL. A PAL that is not renewed shall expire at the end of the PAL effective period, and the requirements of this subsection shall 

then apply. 

(a) Each emissions unit, or each group of emissions units, that existed under the PAL shall comply with an allowable emissions limitations under a 

revised permit established as follows: 

1. An owner or operator of a major stationary source using a PAL shall submit a proposed allowable emissions limitation for each emissions unit, or 

each group of emissions units, by distributing the PAL allowable emissions for the major stationary source among each of the emissions units that 

existed under the PAL. 

a. This proposal shall be submitted to the cabinet at least six (6) months before the expiration of the PAL permit but not sooner than eighteen (18) 

months before permit expiration. 

b. If the PAL has not yet been adjusted for an applicable requirement that became effective during the PAL effective period, as required under 

subsection (9)(e) of this section, distribution of allowable emissions shall be made as if the PAL has been adjusted. 

2. The cabinet shall decide the date and procedure the owner or operator shall use to distribute the PAL allowable emissions. 

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401 KAR 51 :017. Prevention of significant deterioration of air quality. Page 13 of 16 

3. The cabinet shall issue a revised permit incorporating allowable limits for each emissions unit, or each group of emissions units, as the cabinet 

determines is appropriate. 

(b) Each emissions unit shall comply with the allowable emissions limitation on a twelve (12) month rolling basis. The cabinet may approve the use of 

monitoring systems other than CEMS, CERMS, PEMS, or CPMS if the alternate monitoring system demonstrates compliance with the allowable 

emissions limitation. 

(c) The source shall continue to comply with a source-wide, multiunit emissions cap equivalent to the level of the PAL emissions limitation until the 

cabinet issues the revised permit incorporating allowable limits for each emissions unit or each group of emissions units. 

(d) A major modification at the major stationary source shall be subject to major NSR requirements. 

(e) The major stationary source owner or operator shall continue to comply with any state or federal applicable requirements eliminated by the PAL 

that applied during or before the PAL effective period, except for those emissions limitations established pursuant to Section 16(4) of this administrative 

regulation. 

(9) Renewal of a PAL. 

(a) Public participation requirements. 

1. The cabinet shall follow the public participation procedures specified in subsection (4) of this section in approving a request to renew a PAL for a 

major stationary source. 

2. The cabinet shall provide a written rationale for the proposed PAL level for public review and comment. 

3. Any person may propose a PAL level for the source for consideration by the cabinet during the public review period. 

(b) Application deadline. 

1. A major stationary source owner or operator shall submit an application for renewal of a PAL at least six (6) months before the date of permit 

expiration but not earlier than eighteen (18) months before permit expiration. 

2. The deadline for application submittal shall ensure that the permit shall not expire before the permit is renewed. 

3. If a complete application for renewal is submitted within the timeframe specified in subparagraph 1 of this paragraph, the PAL shall continue to be 

effective until the revised permit with the renewed PAL is issued. 

(c) Application requirements. The application to renew a PAL permit shall contain: 

1. The information required in subsection (2) of this section; 

2. A proposed PAL level; 

3. The sum of the potential to emit of all emissions units under the PAL with supporting documentation; and 

4. Any other information the owner or operator wishes the cabinet to consider in determining the appropriate level to renew the PAL. 

(d) PAL adjustment. 

1. A PAL shall not exceed the source's potential to emit. The cabinet shall adjust the PAL downward if a source's potential to emit has declined 

below the PAL level. 

2. The cabinet may renew the PAL at the same level as the current PAL if the sum of the baseline actual emissions for all emissions units at the 

source plus an amount equal to the significant level is equal to or greater than eighty (80) percent of the current PAL level, unless the sum is greater 

than the source's potential to emit. 

3. If the sum of the baseline actual emissions for all emissions units at the source plus an amount equal to the significant level is less than eighty (80) 

percent of the current PAL level, the cabinet may set the PAL at a different level if the level is determined to be: 

a. More representative of the source's baseline actual emissions; or 

b. Appropriate considering the following factors: 

(i) Air quality needs; 

(ii) Advances in control technology; 

(iii) Anticipated economic growth in the area of the source; 

(iv) The cabinet's goal of promoting voluntary emissions reductions; 

(v) Cost effective emissions control alternatives; and 

(vi) Other factors as specifically identified by the cabinet in its written rationale for setting the PAL level. 

4. The cabinet shall not approve a renewed PAL level higher than the current PAL, unless the major stationary source has complied with the 

provisions of subsection (1 0) of this section. 

(e) The PAL shall be adjusted in conjunction with PAL permit renewal or Title V permit renewal, whichever comes first, if: 

1. The compliance date for a state or federal applicable requirement that applies to the PAL source occurs during the PAL effective period; and 

2. The cabinet has not already adjusted for the requirement. 

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40 1 KAR 51 :017. Prevention of significant deterioration of air quality. Page 14 of 16 

(10) Increasing a PAL during the PAL effective period. The cabinet may increase a PAL emissions limitation during the PAL effective period if the 

major stationary source complies with the provisions of this subsection. 

(a) Application procedures. To request an increase in the PAL limit for a PAL major modification, the owner or operator of the major stationary source 

shall submit a complete application, which shall include: 

1. Identification of the emissions units contributing to the increase in emissions that cause the source's emissions to equal or exceed its PAL; 

2. Demonstration that the increased PAL, as calculated in paragraph (c) of this subsection, exceeds the PAL; and 

a. The level of control that results from BACT equivalent controls on each significant or major emissions unit shall be determined by conducting a 

new BACT analysis with the application submittal, unless the emissions unit is currently required to comply with a BACT or LAER requirement that was 

established within the preceding ten (10) years; 

b. If an emissions unit currently complies with BACT or LAER, the assumed control level for that emissions unit shall be equal to the current level of 

BACT or LAER for that emissions unit; and 

3. A statement 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. 

(b) NSR permit and compliance requirement. The owner or operator shall obtain a major NSR permit for all emissions units contributing to the 

increase in emissions for the PAL major modification. 

1. A significant level shall not apply in deciding for which emissions units a major NSR permit shall be obtained; and 

2. Emissions units that obtain a major NSR permit shall comply with any emissions requirements resulting from the major NSR process, even though 

the units shall also become subject to the PAL or shall continue to be subject to the PAL. 

(c) Calculation of increased PAL. The cabinet 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, plus 

the sum of the baseline actual emissions of the small emissions units. 

(d) Public notice requirement. The public notice requirements of subsection (4) of this section shall be followed during PAL permit revision for an 

increased PAL level. 

(11) Monitoring requirements for PALs. 

(a) General requirements. 

1. Each PAL permit shall contain enforceable requirements for the chosen monitoring system that accurately determines plant-wide emissions of the 

PAL pollutant in terms of mass per unit of time; 

2. A monitoring system authorized for use in the PAL permit shall be: 

a. Approved by the cabinet pursuant to this subsection; and 

b. Based on sound science and meet generally acceptable scientific procedures for data quality and manipulation; 

3. The data generated by a monitoring system shall meet minimum legal requirements for admissibility in a judicial proceeding to enforce the PAL 

permit; 

4. The PAL monitoring system shall employ one (1) or more of the four (4) general monitoring approaches meeting the minimum requirements set 

forth in paragraph (b) of this subsection; 

5. The cabinet may approve an alternative monitoring approach that meets the requirements of subparagraphs 1 to 3 of this paragraph; and 

6. Failure to use a monitoring system that meets the requirements of this section shall render the PAL invalid. 

(b) Minimum performance requirements for approved monitoring approaches. If conducted in accordance with the minimum requirements in 

paragraphs (c) to (i) of this subsection, the following shall be acceptable monitoring approaches: 

1. Mass balance calculations for activities using coatings or solvents; 

2. CEMS; 

3. CPMS or PEMS; and 

4. Emission factors. 

(c) Mass balance calculations. An owner or operator using mass balance calculations to monitor PAL pollutant emissions from activities using 

coatings or solvents shall: 

1. Provide a demonstrated means of validating the published content of the PAL pollutant contained in or created by all materials used in or at the 

emissions unit; 

2. If the PAL pollutant cannot be accounted for in the process, assume that the emissions unit emits all of the PAL pollutant contained in or created 

by any raw material or fuel used in or at the emissions unit; and 

3. If the vendor of the material or fuel from which the pollutant originates publishes a range, use the highest value of the published range of pollutant 

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401 KAR 51 :017. Prevention of significant deterioration of air quality. Page 15 of 16 

content to calculate the PAL pollutant emissions, unless the cabinet determines there is site-specific data or a site-specific monitoring program to 

support another pollutant content within the range. 

(d) CEMS. An owner or operator using CEMS to monitor PAL pollutant emissions shall meet the following requirements: 

1. CEMS shall comply with applicable performance specifications found in 40 C.F.R. Part 60, Appendix B; and 

2. CEMS shall sample, analyze, and record data at least every fifteen (15) minutes while the emissions unit is operating. 

(e) CPMS or PEMS. An owner or operator using CPMS or PEMS to monitor PAL pollutant emissions shall meet the following requirements: 

1. The CPMS or the PEMS shall be based on current site-specific data demonstrating a correlation between the monitored parameter and the PAL 

pollutant emissions across the range of operation of the emissions unit; and 

2. While the unit is operating, each CPMS or PEMS shall sample, analyze, and record data at least every fifteen (15) minutes, or at another less 

frequent interval if approved by the cabinet. 

(f) Emission factors. An owner or operator using emission factors to monitor PAL pollutant emissions shall meet the following requirements: 

1. All emission factors shall be adjusted, if appropriate, to account for the degree of uncertainty or limitations in the factors' development; 

2. The emissions unit shall operate within the designated range of use for the emission factor, if applicable; and 

3. 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 site-specific emission factor within six (6) months of PAL permit issuance if the cabinet determines that the testing is required and 

technically practicable. 

(g) A source owner or operator shall record and report maximum potential emissions without considering enforceable emissions limitations or 

operational restrictions for an emissions unit during any period of time there is no monitoring data, unless another method for determining emissions 

during such periods is specified in the PAL permit. 

(h) If an owner or operator of an emissions unit cannot demonstrate a correlation between the monitored parameters and the PAL pollutant 

emissions rate at all operating points of the emissions unit, as an alternative to the requirements of paragraphs (c) to (g) of this subsection, in 

conjunction with permit issuance the cabinet shall: 

1. Establish default values for determining compliance with the PAL based on the highest potential emissions reasonably estimated at operating 

points; or 

2. Determine that operation of the emissions unit during operating conditions if there is not a correlation between monitored parameters and the PAL 

pollutant emissions is a violation of the PAL. 

(i) Revalidation. All data used to establish the PAL pollutant shall be revalidated through performance testing or other scientifically valid means if 

approved by the cabinet. Validation testing shall occur at least once every five (5) years after issuance of the PAL. 

(12) Recordkeeping requirements. 

(a) The PAL permit shall require an owner or operator to retain a copy of all records necessary to determine compliance with any requirement of this 

section and of the PAL, including a determination of each emissions unit's twelve (12) month rolling total emissions for five (5) years from the date of the 

determination. 

(b) 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 five 

(5) years: 

1. A copy of the PAL permit application and any applications for revisions to the PAL; and 

2. Each annual certification of compliance pursuant to Title V and the data used to certify compliance. 

(13) Reporting and notification requirements. The owner or operator shall submit semiannual monitoring reports and prompt deviation reports to the 

cabinet in accordance with 401 KAR 52:020, 52:030, and 52:040 that meet the following requirements: 

(a) Semiannual report. The semiannual report shall be submitted to the cabinet within thirty (30) days of the end of each reporting period and shall 

contain: 

1. The identification of owner and operator and the permit number; 

2. Total annual emissions, in tpy, based on a twelve (12) month rolling total for each month in the reporting period recorded pursuant to subsection 

(12)(a) of this section; 

3. All data used in calculating the monthly and annual PAL pollutant emissions, including any quality assurance or quality control data; 

4. A list of any emissions units modified or added to the major stationary source during the preceding six (6) month period; 

5. 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 following a deviation; 

6. A notification of permanent or temporary shutdown of any monitoring system including: 

a. The reason for the shutdown; 

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401 KAR 51 :017. Prevention of significant deterioration of air quality. Page 16 of 16 

b. The anticipated date that the monitoring system shall be fully operational or shall be replaced with another monitoring system; 

c. If applicable, a statement that the emissions unit monitored by the monitoring system continued to operate without the monitoring system; and 

d. The calculation of the emissions of the pollutant or the number determined according to subsection (11)(g) of this section that is included in the 

permit; and 

7. A signed statement by the responsible official, as defined by 401 KAR 51:001, Section 1 (21 0), certifying the truth, accuracy, and completeness of 

the information provided in the semiannual report. 

(b) Deviation report. The major stationary source owner or operator shall submit reports of any deviation or exceedance of the PAL requirements, 

including periods monitoring is unavailable. 

1. A report submitted pursuant to 40 C.F.R. 70.6(a)(3)(iii)(B) shall satisfy the deviation reporting requirement; 

2. The deviation report shall be submitted within the time limits prescribed by 40 C.F.R. 70.6(a)(3)(iii)(B); 

3. The deviation report shall contain the following information: 

a. The identification of the owner, the 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 401 KAR 51:001, Section 1 (21 0), certifying the truth, accuracy, and completeness of 

the information provided in the report. 

(c) Revalidation results. The owner or operator shall submit to the cabinet the results of any revalidation test or method within three (3) months after 

completion of the test or method. 

(14) Transition requirements. 

(a) After the U.S. EPA approves the Kentucky SIP revisions for the PAL provisions published in 67 Fed. Reg. 80186, December 31, 2002, the 

cabinet shall only issue a PAL that complies with the requirements of this section. 

(b) The cabinet may supersede a PAL that was established before August 10, 2006, with a different PAL if the new PAL complies with the 

requirements of this administrative regulation. (8 Ky.R. 1112; Am. 9 Ky.R. 350; eff. 9-22-1982; 12 Ky.R. 869; 1263; eff. 2-4-1986; 13 Ky.R. 924; eff. 12-2-

1986; 14 Ky.R. 883; eff. 12-11-1987; 1601; eff. 4-14-1988; 18 Ky.R. 2605; eff. 6-24-1992; 23 Ky.R. 2203; 3009; eff. 3-12-1997; 30 Ky.R. 2188; 2500; 31 

Ky.R. 45; eff. 7-14-2004; 36 Ky.R. 880; 1260; eff. 2-5-2010.) 

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401 KAR 51 :052. Review of new sources in or impacting upon nonattainment areas. Page 1 of9 

401 KAR 51:052. Review of new sources in or impacting upon nonattainment areas. 

RELATES TO: KRS 224.20-100(5), 224.20-110, 224.20-120, 40 C.F.R. Part 51 Appendix S, Part 51 Subpart I, 51.165, 51.166, 51.300, 51.307, 

52.21, 60, 61, 70.6, Part 81 Subpart D, 81.318, 42 U.S.C. 7401-7671q 

STATUTORY AUTHORITY: KRS 224.10-100(5), 42 U.S.C. 7401-7671q 

NECESSITY, FUNCTION, AND CONFORMITY: KRS 224.10-100(5) requires the cabinet to promulgate administrative regulations for the prevention, 

abatement, and control of air pollution. This administrative regulation establishes requirements for the construction or modification of stationary sources 

within, or impacting upon, areas where the national ambient air quality standards have not been attained. The provisions of this administrative regulation 

are not more stringent than the federal regulation, 40 C.F.R. 51.165. 

Section 1. Applicability. This administrative regulation shall apply to the construction of a new major stationary source or a project that is a major 

modification at an existing major stationary source, which commences construction after September 22, 1982, and locates in or impacts upon an area 

designated nonattainment under 42 U.S.C. 7407(d)(1)(A)(i). 

(1) The provisions of this administrative regulation relating to visibility protection shall also apply to major sources or major modifications in 

nonattainment areas that potentially have an impact on visibility in a mandatory Class 1 federal area. 

(2) Applicability tests for projects. Except as provided in subsection (3) of this section, a project shall be a major modification for a regulated NSR 

pollutant only if the project causes a significant emissions increase and a significant net emissions increase, as provided in paragraphs (a) and (b) of this 

subsection. 

(a) Prior to beginning actual construction, the owner or operator shall first determine if a significant emissions increase will occur for the applicable 

type of unit being constructed or modified according to subparagraphs 1 to 3 of this paragraph. 

1. Actual-to-projected actual applicability test for projects that only involve existing emissions units. A significant emissions increase of a regulated 

NSR pollutant shall be projected to occur if the sum of the difference between the projected actual emissions and the baseline actual emissions for each 

existing emissions unit equals or exceeds the significant amount for that pollutant. 

2. Actual-to-potential test for projects that involve only construction of new emissions units. A significant emissions increase of a regulated NSR 

pollutant shall be projected to occur if the sum of the potential to emit from each new emissions unit following completion of the project equals or 

exceeds the significant amount for that pollutant. 

3. Hybrid test for projects that involve multiple types of emissions units. A significant emissions increase of a regulated NSR pollutant shall be 

projected to occur if the sum of the emissions increases for each emissions unit, using the methods specified in subparagraphs 1 and 2 of this paragraph 

as applicable for each emissions unit, equals or exceeds the significant amount for that pollutant. 

(b) Prior to beginning actual construction and after completing the applicable test in paragraph (a) of this subsection, the owner or operator shall 

determine for each regulated NSR pollutant if a significant net emissions increase will occur pursuant to 401 KAR 51:001, Section 1 (144) and (218). 

(3) For a plant-wide applicability limit (PAL) for a regulated NSR pollutant at a major stationary source, the owner or operator of the major stationary 

source shall comply with the applicable requirements of Section 11 of this administrative regulation. 

Section 2. Initial Screening Analyses and Determination of Applicable Requirements. (1) Review of all sources for emissions limitation compliance. 

(a) The cabinet shall examine each proposed major new source and proposed major modification to determine if the source or modification will meet 

all applicable emissions requirements in the Kentucky State Implementation Plan (SIP) and 40 C.F.R. Parts 60 and 61. 

(b) If the cabinet determines from the application and all other available information that the proposed source or modification will not meet the 

applicable emissions requirements, the permit to construct shall be denied. 

(2) Review of specified sources of air quality impact. 

(a) The cabinet shall determine if a proposed major stationary source or major modification will be constructed in an area designated as 

nonattainment pursuant to 42 U.S.C. 7407(d)(1 )(A)(i) for a pollutant for which the stationary source or modification is major. 

(b) If a designated nonattainment area is projected to be an attainment area as part of an approved control strategy by the new source start-up date, 

offsets shall not be required if the new source will not cause a new violation. 

(3) Fugitive emissions sources. Sections 4 and 10 of this administrative regulation shall not apply to a source or modification that will 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 the source does not belong to one (1) of the following categories: 

(a) Coal cleaning plants with thermal dryers; 

(b) Kraft pulp mills; 

(c) Portland cement plants; 

(d) Primary zinc smelters; 

(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; 

0) Petroleum refineries; 

(k) Lime plants; 

(I) 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, except ethanol production facilities producing ethanol by natural fermentation under the North American Industry 

Classification System (NAICS) codes 325193 or 312140; 

(u) Fossil-fuel boilers, or combination of fossil-fuel boilers, totaling more than 250 million BTUs 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 BTUs per hour heat input; or 

(aa) Another stationary source category that, as of August 7, 1980, is being regulated under 42 U.S.C. 7411 or 7412. 

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401 KAR 51 :052. Review of new sources in or impacting upon nonattainment areas. Page 2 of9 

Section 3. Sources Locating in Designated Attainment or Unclassifiable Areas that Will Cause or Contribute to a Violation of a National Ambient Air 

Quality Standard. (1) This section shall apply only to new major stationary sources or new major modifications that will locate in designated attainment or 

unclassifiable areas, pursuant to 42 U.S.C. 7407(d)(1 )(A)(ii) or (iii), if the source or modification will cause impacts that exceed the significance levels, as 

li se t d . In th e a t bl e1n . th. 1s su b se ct' 1on, a a t I oca l't lY th a t d t oes no orw1 'II no t h meet t e na t' 1ona I ambient air quality standards. 

Pollutant Annual Averaging Time 

Average 24-Hour 8-Hour 3-Hour 1-Hour 

Sulfur 

1.0 Jlg/m3 5 J.!glm3 25 J.!g 1m3 

Dioxide -- --

PM1o 1.0 Jlg/m3 5 J.!glm3 -- -- -- Nitrogen 1.0 Jlg/m3 -- -- -- -- Dioxide 

Carbon 0.5 

Monoxide -- -- mg/m3 -- 2 mg/m3 

(2) Sources to which th1s sect1on applies shall meet the reqUirements 1n Sect1on 4(1), (2) and (4) of this administrative regulation and may be exempt 

from Section 4(3) of this administrative regulation. 

(3) For sources of sulfur dioxide (S02), particulate matter, and carbon monoxide (CO), the determination that a new major source or major 

modification will cause or contribute to a violation of a national ambient air quality standard shall be made on a case-by-case basis using the source's 

allowable emissions in an approved atmospheric simulation model listed in 40 C.F.R. Part 51, Appendix W, "Guideline on Air Quality Models". 

(4) For sources of NOx, the initial determination that a new major source or major modification will cause or contribute to a violation of the national 

ambient air quality standard for nitrogen dioxide (N02) shall be made using an approved atmospheric simulation model assuming all the nitric oxide 

emitted is oxidized to N02 by the time the plume reaches ground level. The initial concentration estimates may be adjusted if adequate data are 

available to account for the expected oxidation rate. 

(5) For ozone, sources of VOCs or NOx locating outside a designated ozone nonattainment area shall be presumed to not have a significant impact 

on the designated nonattainment area. If ambient monitoring indicates that the area of source location is in fact nonattainment, the source shall be 

permitted pursuant to this administrative regulation and 401 KAR 52:020 until the area is designated nonattainment pursuant to 42 U.S.C. 7407(d)(1)(A) 

(i). 

(6) The determination that a new major source or major modification will cause or contribute to a violation of a national ambient air quality standard 

shall be made as of the start-up date. 

(7) Applications for major new sources and major modifications locating in attainment or unclassifiable areas, the operation of which will cause a new 

violation of a national ambient air quality standard but will not contribute to an existing violation, may be approved only if the following conditions are met: 

(a) The new source shall: 

1. Meet an emissions limitation; 

2. Meet a design, operational, or equipment standard; or 

3. Control existing sources so that the new source will not cause a violation of a national ambient air quality standard. 

(b) The new emissions limitations for the new and existing sources affected shall be state and federally enforceable in accordance with Section 6 of 

this administrative regulation. 

Section 4. Sources Locating in a Designated Nonattainment Area. This section shall apply to a new major stationary source or major modification 

that will be constructed in an area designated as nonattainment pursuant to 42 U.S.C. 7407(d)(1)(A)(i) for a pollutant for which the stationary source or 

modification is major. Approval to construct may be granted only if the conditions of this section are met. 

(1) The new major source or major modification shall be required to meet an emissions limitation that specifies the lowest achievable emissions rate 

(LAER) for the source. 

(2) The applicant shall demonstrate that all existing major sources owned or operated by the applicant, or an entity controlling, controlled by, or 

under common control with the applicant, in the Commonwealth of Kentucky are in compliance with all applicable emissions limitations and standards 

specified in Title 401, Chapters 50 to 65, and 40 C.F.R. Parts 60 and 61 and 42 U.S.C. 7401-7626, or are in compliance with an expeditious state and 

federally enforceable compliance schedule or a court decree establishing a compliance schedule. 

(3)(a) Except for VOCs or NOx emissions, emissions from existing sources in the affected area of the proposed new major source or modification, 

whether or not under the same ownership, shall be reduced or offset at a ratio of at least 1:1, so that there will be reasonable further progress toward 

attainment of the applicable national ambient air quality standard (NAAQS). Only those transactions in which the emissions being offset are from the 

same criteria pollutant category shall be accepted. 

(b) The ratio of total emissions reductions of VOCs or NOx to total increased emissions of the same air pollutant shall be at least the ratio indicated 

for the following ozone nonattainment area classifications: 

1. For marginal non attainment areas, at least 1.1 to 1; 

2. For moderate non attainment areas, at least 1.15 to 1; 

3. For serious nonattainment areas, at least 1.2 to 1; 

4. For severe nonattainment areas, at least 1.3 to 1; and 

5. For extreme nonattainment areas, at least 1.5 to 1. 

(4) The emissions reductions shall provide a positive net air quality benefit in the affected area. 

(a) Atmospheric simulation modeling shall not be required for VOCs and NOx. 

(b) Except as provided in Section 3(5) of this administrative regulation, compliance with subsection (3) of this section and Section 5(3)(e) of this 

administrative regulation shall be adequate to meet this condition. 

(5) The proposed major stationary source or major modification shall include in the application for a construction permit an analysis of the alternative 

sites, sizes, production processes, and environmental control techniques for the proposed source, which demonstrates that benefits of the proposed 

source significantly outweigh the environmental and social costs imposed as a result of its location, construction, or modification. 

Section 5. Determining Credit for Emissions Offsets. (1) The baseline for determining credit for emissions reductions or offsets shall be, considering 

that baseline actual emissions as defined in 401 KAR 51 :001, Section 1 (20), shall not be used for determining the baseline for emissions offsets: 

(a) The emissions limitations in effect when the application to construct or modify a source is filed; or 

(b) The actual emissions of the source from which offset credit is attained if: 

1. The demonstration of reasonable further progress and attainment of ambient air quality standards for the SIP was based on actual emissions; or 

2. The SIP does not contain an emissions limitation for that source or source category. 

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(2) Credit for emissions offsets. Credit for emissions offset purposes may be allowed for existing control if the existing control goes beyond the 

control required under 401 KAR Chapters 50 to 65 and applicable federal regulations. 

(3) General provisions for calculating offset values. 

(a) Offset calculations shall be made on a pound-per-hour basis if all facilities involved in the emissions offset calculations are operating at their 

maximum or allowed production rate. 

(b) Offsets may be calculated on a tons-per-year basis if baseline emissions for existing sources providing the offsets are calculated using the actual 

annual operating hours for the previous two (2) year period. 

(c) If the cabinet requires certain hardware controls instead of an emissions limitation, baseline allowable emissions shall be based on actual 

operating conditions for the previous two (2) year period in conjunction with the required hardware controls. 

(d) If the emissions limitations required by the cabinet allow greater emissions than the uncontrolled emissions rate of the source, emissions offset 

credit shall be allowed only for control below the uncontrolled emissions rate. 

(e) The owner or operator of a new or modified major stationary source shall comply with any offset requirement in effect under this administrative 

regulation to increase emissions of an air pollutant by obtaining emissions reductions of the air pollutant from: 

· 1. The same source or other sources in the same nonattainment area; or 

2. A source in another nonattainment area if: 

a. The other area has an equal or higher nonattainment classification than the area in which the source is located; and 

b. Emissions from the other area contribute to a violation of the national ambient air quality standard in the nonattainment area in which the source is 

located. 

(4) Calculating offsets if an applicable emissions limitation does not exist. If the Kentucky SIP does not contain an emissions limitation for a source or 

source category, the emissions offset baseline involving the source shall be actual emissions determined under actual operating conditions for the 

previous two (2) year period. 

(5) Calculating offsets for existing fuel combustion sources. 

(a) The emissions for determining emissions offset credit involving an existing fuel combustion source shall be the allowable emissions under the 

emissions limitation requirements of the cabinet for the type of fuel being burned when the new major source <>r major modification application is filed. 

(b) If the existing source has switched to a different type of fuel at some earlier date, a resulting emissions reduction, either actual or allowable, shall 

not be used for emissions offset credit. 

(c) If the existing source commits to switch to a cleaner fuel at some future date, emissions offset credit based on the allowable emissions for the 

fuels involved shall not be allowed unless the permit is conditioned to require the use of a specified alternative control measure that will achieve the 

same degree of emissions reduction if the source switches back to a dirtier fuel at some later date. 

(6) Calculating offsets for operating hours and source shutdowns. 

(a) A source may be credited with emissions reductions achieved by shutting down an existing source or permanently curtailing production or 

operating hours below baseline levels if the work force to be affected has been notified in writing of the proposed shutdown or curtailment. 

(b) Emissions reductions achieved by shutting down an existing emissions unit or curtailing production or operating hours: 

1. May be generally credited for offsets pursuant to 40 C.F.R. 51.165(a)(3)(ii)(C)(1) if: 

a. The reductions are surplus, permanent, quantifiable, and federally enforceable; and 

b. The shutdown or curtailment occurred after the last day of the base year for the SIP planning process. 

(i) The cabinet may consider a prior shutdown or curtailment to have occurred after the last day of the base year if the projected emissions inventory 

used to develop an attainment demonstration explicitly includes the emissions from the previously shutdown or curtailed emission unit, pursuant to 40 

C.F.R. 51.165(a)(3)(ii)(C)(1 )(ii). 

(ii) Credit shall not be given for a shutdown that occurred before August 7, 1977; 

2. That do not meet the requirements of subparagraph 1.b. of this paragraph may be generally credited pursuant to 40 C.F.R. 51.165(a)(3)(ii)(C)(2) 

if: 

a. The shutdown or curtailment occurred on or after the date the construction permit application is filed; or 

b. The applicant establishes that the proposed new emissions unit is a replacement for the shutdown or curtailed emissions unit and the emissions 

reductions achieved by the shutdown or curtailment meet the requirements of subparagraph 1.a. of this paragraph. 

(7) Calculating offsets for hydrocarbon substitution. An emissions offset credit shall not be allowed for replacing one volatile organic compound with 

another of lesser photochemical reactivity, unless the replacement compound is methane, ethane, 1,1, 1-trichloroethane, or trichlorofluoroethane. 

(8) Banking of emissions offset credit. 

(a) New sources obtaining permits by applying offsets after the effective date of this administrative regulation may bank offsets that exceed the 

requirements of Section 5(3) of this administrative regulation. 

(b) An owner or operator of an existing source that reduces its own emissions may bank a resulting reduction beyond those required by regulation for 

use under this administrative regulation, even if the offsets are applied immediately to a new source permit. 

(c) Banked emissions offsets may be used under the preconstruction review program required in 42 U.S.C. 7401 to 7626, as long as these banked 

emissions are identified and accounted for in Kentucky's control strategy. 

(9) Offset credit for meeting NSPS or NESHAPS. 

(a) If a source is subject to an emissions limitation established in a New Source Performance Standard (NSPS) or a National Emissions Standard for 

Hazardous Air Pollutants (NESHAPS) and a different emissions limitation is required by the cabinet, the more stringent limitation shall be used as the 

baseline for determining credit for emissions offsets. 

(b) The difference in emissions between NSPS or NESHAPS and other emissions limitations shall not be used as offset credit. 

Section 6. Administrative Procedures for Emissions Offsets. (1) Emission reductions shall be enforceable by the cabinet and the U.S. EPA, and shall 

be accomplished by the start-up date of the new source. 

(a) If emissions reductions are to be obtained in a state that neighbors the Commonwealth for a new source to be located in the Commonwealth, the 

emissions reductions shall be enforceable by the neighboring state or local agencies and the U.S. EPA. 

(b) The necessary emissions offsets may be proposed by the owner of the proposed source or by the cabinet. 

(2) Source initiated emissions offsets. 

(a) The owner or operator of a source may propose: 

1. Internal emissions offsets, which involve reductions from sources controlled by the owner; or 

2. External emissions offsets, which involve reductions from other sources, if the emissions offsets meet the requirements of this section and Section 

4(3) of this administrative regulation. 

(b) An internal emissions offset shall be included and made enforceable as a condition of the source's permit. 

(c) An external emissions offset shall only be accepted if the cabinet requires the affected source to comply with a new emissions limitation to ensure 

that its emissions shall be reduced by a specified amount in a specified time; and the new emissions limitation shall be enforceable by the cabinet and 

the U.S. EPA. 

(3) Cabinet initiated emissions offsets. 

(a) The cabinet may commit to reducing emissions from mobile sources and other existing sources to provide a net air quality benefit in the impact 

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area of a proposed new source to accommodate the proposed new source. 

(b) This emissions reduction commitment shall be reflected in the emissions limitation requirements for the new and existing sources as required by 

this section. 

Section 7. Source Obligation. (1) An owner or operator of a source or modification subject to this administrative regulation shall construct and 

operate the source or modification in accordance with the application submitted to the cabinet under this administrative regulation and 401 KAR 52:020 

or under the terms of an approval to construct. 

(2)(a) Approval to construct shall become invalid if construction: 

1. Is not commenced within eighteen (18) months after receipt of the approval; 

2. Is discontinued for a period of eighteen (18) months or more; or 

3. Is not completed within a reasonable time. 

(b) The cabinet may extend the eighteen (18) month period upon a satisfactory demonstration that an extension is justified. 

1. An extension shall not apply to the time period between construction of the approved phases of a phased construction project; and 

2. Each phase shall commence construction within eighteen (18) months of the projected and approved commencement date. 

(3) Approval to construct shall not relieve an owner or operator of the responsibility to comply fully with applicable provisions of 401 KAR Chapters 

50 to 65 and other applicable requirements under local, state, or federal law. 

(4) If a particular source or modification becomes a major stationary source or major modification solely by virtue of a relaxation in an enforceable 

limitation which was established after August 7, 1980, on the capacity of the source or modification otherwise to emit a pollutant, the requirements of this 

administrative regulation shall apply to the source or modification as though construction had not yet commenced on the source or modification. 

(5)(a) The provisions of this subsection shall apply to projects at existing emissions units at a major stationary source other than projects at a source 

with a PAL, if: 

1. There is a reasonable possibility that a project that is not part of a major modification may result in a significant emissions increase; and 

2. The owner or operator uses the method specified in 401 KAR 51:001, Section 1 (199)(b) to calculate projected actual emissions. 

(b) Before beginning actual construction of a project specified in paragraph (a) of this subsection, the owner or operator shall document and maintain 

a record of the following information: 

1. A description of the project; 

2. Identification of the emissions units for which emissions of a regulated NSR pollutant may be affected by the project; and 

3. A description of the applicability test used to determine that the project is not a major modification for any regulated NSR pollutant, including: 

a. Baseline actual emissions; 

b. Projected actual emissions; 

c. Amount of emissions excluded in calculating projected actual emissions and an explanation for why that amount was excluded; and 

d. Any applicable netting calculations. 

(c) For a project specified in paragraph (a) of this subsection, the owner or operator shall: 

1. Monitor the emissions of any regulated NSR pollutant that could increase as a result of the project and that are emitted by an emissions unit 

identified in paragraph (a)2 of this subsection; and 

2. Calculate and maintain a record of the annual emissions, in tons per year on a calendar year basis, for: 

a. Five (5) years following resumption of regular operations after the change; or 

b. Ten (10) years if the project increases the design capacity of or potential to emit for that regulated NSR pollutant at the emissions unit. 

(d) If the unit is an existing EUSGU, before beginning actual construction, the owner or operator: 

1. Shall provide a copy of the information in paragraph (b) of this subsection to the cabinet; and 

2. Shall not be required to obtain a determination from the cabinet before beginning actual construction; and 

3. Shall submit a report to the cabinet within sixty (60) days after the end of each year during which records are required to be generated under 

paragraph (b) of this subsection that contains the unit's annual emissions during the calendar year preceding report submittal. 

(e)1. For an existing unit other than an EUSGU, the owner or operator shall submit a report to the cabinet if: 

a. The annual emissions, in tons per year, from a project identified in paragraph (a) of this subsection exceed the baseline actual emissions, as 

documented and maintained pursuant to paragraph (b)3 of this subsection, by a significant amount for that regulated NSR pollutant; and 

b. The emissions differ from the preconstruction projection as documented and maintained pursuant to paragraph (b)3 of this subsection. 

2. The report shall be submitted to the cabinet within sixty (60) days after the end of the year during which records are required to be generated 

under paragraph (b) of this subsection and shall contain the following: 

a. The name, address, and telephone number of the major stationary source; 

b. The annual emissions as calculated pursuant to paragraph (c) of this subsection; and 

c. Any other information that the owner or operator wishes to include in the report. 

(f) The owner or operator of the source shall make the information required to be documented and maintained under this subsection available for 

review upon request for inspection by the cabinet or the general public pursuant to 401 KAR 52:100. 

Section 8. Permit Condition Rescission. (1) An owner or operator holding a permit for a stationary source or modification that was issued pursuant to 

401 KAR 51 :050 or 51:051 E may request that the cabinet rescind the applicable conditions. 

(2) The cabinet shall rescind a permit condition if the owner or operator: 

(a) Requests and demonstrates to the satisfaction of the cabinet that this administrative regulation does not apply to the source or modification or to 

a portion of the source or modification if construction will have commenced after September 22, 1982; and 

(b) Demonstrates that the rescission will not violate the requirements of Sections 4(3) and 7 of this administrative regulation. 

Section 9. Class I Areas. (1) The following areas, which were in existence on August 7, 1977, shall be Class I areas and shall not be redesignated: 

(a) International parks; 

(b) National wilderness areas and national memorial parks which exceed 5,000 acres in size; and 

(c) National parks that exceed 6,000 acres in size. 

(2) Any other area, unless otherwise specified in the legislation creating the area, is designated Class II but may be redesignated as provided in 40 

C.F.R. 51.166(g). 

(3) The visibility protection requirements of this administrative regulation shall apply only to sources that may impact a mandatory Class I federal 

area. 

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

(a) 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 

(b) A national park or national wilderness area established after August 7, 1977, which exceeds 10,000 acres in size. 

Section 10. Protection of Visibility. (1) New source review; applicability and exemptions. 

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(a) A stationary source or modification to which this section applies shall not begin actual construction without a permit that states the stationary 

source or modification shall meet the requirements of this section. 

(b) This section shall apply to construction of a new major stationary source or major modification that will be constructed in an area designated as 

nonattainment under 42 U.S.C. 7407(d)(1)(A)(i) and potentially have an impact on visibility in a Class I area. 

(c) This section shall apply to a major stationary source or major modification for each pollutant subject to regulation under 42 U.S.C. 7401 to 7626 

that it will emit, except as provided in paragraphs (d) and (e) of this subsection. 

(d) This section shall not apply to a particular major stationary source or major modification if: 

1. The source or modification is a nonprofit health or nonprofit educational institution or a major modification will occur at the institution, and the 

Governor of the Commonwealth requests that it be exempt from the requirements of this section; and 

2. The source is a portable stationary source that has previously received a permit under this section and will be temporarily relocated; and 

(a) The emissions from the source will not exceed the allowable emissions; 

b. The emissions from the source will not impact a Class 1 area or an area where an applicable increment is known to be violated; and 

c. Reasonable notice is given to the cabinet prior to the relocation, identifying the proposed new location and the probable duration of operation at 

the new location. The notice shall be given to the cabinet not less than ten (10) days in advance of the proposed relocation unless a different time 

duration is previously approved by the cabinet pursuant to this section. 

(e) This section shall not apply to a major stationary source or major modification with respect to a particular pollutant, if the allowable emissions of 

that pollutant from the source, or the net emissions increase of that pollutant from the modification: 

1. Will not impact a Class I area; 

2. Will not impact an area where an applicable increment is known to be violated; and 

3. Will be temporary. 

(2) Visibility impact analyses. The owner or operator of a source shall provide an analysis of the impairment to visibility that will occur in a Class I 

area as a result of the source or modification and general commercial, residential, industrial, and other growth associated with the source or 

modification. 

(3) Federal land manager notification. 

(a) The federal land manager and the federal official charged with direct responsibility for management of Class I areas shall have an affirmative 

responsibility to protect the visibility and other air quality related values of the Class I lands and to consider, in consultation with the cabinet, if a 

proposed source or modification will have an adverse impact on these values. 

(b) The cabinet shall provide written notification to all affected federal land managers and to the federal official charged with direct responsibility for 

management of lands within the Class I area of a permit application or an advanced notice of a permit application for a proposed new major stationary 

source or major modification that may affect visibility in a Class I area. The notification shall: 

1. Include a copy of all information relevant to the permit application; 

2. Be submitted pursuant to this paragraph within thirty (30) days of receipt of the permit application or advanced notice of permit application and at 

least sixty (60) days prior to a public hearing on the application for a permit to construct; and 

3. Include an analysis of the proposed source's anticipated impacts on visibility in a Class I area. 

(c)1. The cabinet shall consider an analysis by the federal land manager, provided within thirty (30) days of the notification and analysis required by 

paragraph (b) of this subsection, that the proposed new major stationary source or major modification may have an adverse impact on visibility in a 

Class I area. 

2. If the cabinet finds that the analysis does not demonstrate, to the satisfaction of the cabinet, that an adverse impact on visibility will result in the 

Class I area, the cabinet shall, in the public hearing notice required in 401 KAR 52:100, either explain that decision or give notice as to where the 

explanation may be obtained. 

(d) Adverse impact on visibility as it applies to paragraph (c) of this subsection shall be determined on a case-by-case basis, taking into account the 

geographic extent, intensity, duration, frequency, and time of visibility impairments, and how these factors correlate with the times of visitor use of the 

Class I area, and the frequency and time of natural conditions that reduce visibility. 

(4) Public participation. The cabinet shall follow the applicable procedures of 401 KAR 52:100 in processing applications under this section and shall 

follow the procedures at 40 C.F.R. 52.21(r), effective July 1, 2009, to the extent that the procedures of 401 KAR 52:100 do not apply. 

(5) National visibility goal. 

(a) The cabinet shall only issue permits to those sources for which emissions will be consistent with making reasonable progress toward the national 

goal of preventing future, and remedying existing, impairment of visibility in Class 1 areas which impairment results from manmade air pollution. 

(b) In making the decision to issue a permit, the cabinet shall consider: 

1. The costs of compliance; 

2. The time necessary for compliance; 

3. The energy and non-air quality environmental impacts of compliance; and 

4. The useful life of the source. 

(6) Monitoring. 

(a) The cabinet may require monitoring of visibility in a Class I area near the proposed new stationary source or major modification using human 

observations, teleradiometers, photographic cameras, nephelometers, fine particulate monitors, or other appropriate methods as specified by the U.S. 

EPA. 

(b) The monitoring method selected shall be determined on a case-by-case basis by the cabinet. 

(c) The cabinet shall not undertake visibility monitoring in a Class I area without the approval of the federal land manager. 

(d) Data obtained from visibility monitoring shall be made available to the cabinet, the federal land manager, and the U.S. EPA, upon request. 

Section 11. Plant-wide Applicability Limit Provisions. The cabinet may approve the use of an actuals PAL (PAL) for an existing major stationary 

source if the PAL meets the requirements of this section. 

(1) General provisions. 

(a) An owner or operator may execute a project without triggering major NSR, if the source maintains its total source-wide emissions below the PAL 

level, meets the requirements in this section, and complies with the PAL permit. If these conditions are met, a project: 

1. Shall not be considered a major modification for the PAL pollutant; 

2. Shall not have to be approved through Kentucky's major NSR program; and 

3. Shall not be subject to the provisions of Section 7(4) of this administrative regulation concerning restrictions on relaxing enforceable emissions 

limitations that the major stationary source used to avoid applicability of the major NSR program. 

(b) Except as provided under subparagraph (1)(a)3 of this section, the major stationary source shall continue to comply with all applicable federal or 

state requirements, emissions limitations, and work practice requirements that were established prior to the effective date of the PAL. 

(c) The cabinet shall not allow a PAL for VOC or NOx for any major stationary source located in an extreme ozone nonattainment area. 

(2) Permit application requirements. The owner or operator of a major stationary source shall submit the following information to the cabinet for 

approval as part of an application for a permit or permit revision requesting a PAL: 

(a) A list of all emissions units at the source designated as small, significant or major, based on their potential to emit; 

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(b) Identification of the federal and state applicable requirements, emissions limitations, and work practice requirements that apply to each emissions 

unit; 

(c) Calculations of the baseline actual emissions for the emissions units with supporting documentation; and 

(d) The calculation procedures the owner or operator proposes to use to convert the monitoring system data to monthly emissions and annual 

emissions based on a twelve (12) month rolling total for each month as required by subsection (12)(a) of this section. 

(3) Establishing a PAL. The cabinet shall establish a PAL at a major stationary source in a federally enforceable permit pursuant to the requirements 

of this section. 

(a) The PAL shall impose an annual emissions limitation in tons per year that is enforceable as a practical matter for the entire major stationary 

source, in which: 

1. For each month during the PAL effective period after the first twelve (12) months of establishing a PAL, the owner or operator shall demonstrate 

that the sum of the monthly emissions from each emissions unit under the PAL for the previous twelve (12) consecutive months is less than the PAL as 

a twelve (12) month average, rolled monthly; and 

2. For each month during the first eleven (11) months from the PAL effective date, the owner or operator shall demonstrate 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: 

1. Meets the public participation requirements in subsection (4) of this section; and 

2. Contains all the requirements of subsection (6) of this section; 

(c) A 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; 

(d) Each PAL shall regulate emissions of only one (1) pollutant; 

(e) Each PAL shall have a PAL effective period of ten (10) years; 

(f) The owner or operator of a major stationary source with a PAL shall comply with the monitoring, recordkeeping, and reporting requirements of 

subsections (11) to (13) of this section for each emissions unit under the PAL through the PAL effective period; and 

(g) Emissions reductions of a PAL pollutant that occur during the PAL effective period shall not be creditable as decreases for offsets under 40 

C.F.R. 51.165(a)(3)(ii), unless: 

1. The level of the PAL is reduced by the amount of the emissions reductions; and 

2. The reductions would be creditable in the absence of the PAL. 

(4) Public participation requirements. PALs for existing major stationary sources shall be established, renewed, or increased pursuant to this 

subsection and the applicable procedures of 401 KAR 52:100 for issuing permits or permit revisions. The cabinet shall: 

(a) Provide the public with notice of the proposed approval of a PAL permit with at least a thirty (30) day period for submittal of public comment; and 

(b) Address all material comments before taking final action on a PAL permit or permit revision. 

(5) Setting the ten (10) year PAL level. 

(a) The PAL level for a major stationary source shall be the sum of the baseline actual emissions of the PAL pollutant for each emissions unit at the 

source during the chosen twenty-four (24) month period plus the applicable significant level for the PAL pollutant under the definition for "significant" in 

401 KAR 51:001, Section 1 or under 42 U.S.C. 7401-7671q, whichever is lower. 

(b) In establishing a PAL level for a PAL pollutant, only one (1) consecutive twenty-four (24) month period shall be used to determine the baseline 

actual emissions for all existing emissions units. · 

(c) A different consecutive twenty-four (24) month period may be used for each different PAL pollutant. 

(d) Emissions associated with units that were permanently shut down after the chosen twenty-four (24) month period shall be subtracted from the 

PAL level. 

(e) Emissions from units for which actual construction began after the twenty-four (24) month period shall be added to the PAL level in an amount 

equal to the potential to emit of the units. 

(f) The cabinet shall specify a reduced PAL level in the PAL permit to become effective on the future compliance date of any applicable federal or 

state regulatory requirement that the cabinet is aware of prior to issuance of the PAL permit. 

(6) Contents of the PAL permit. The PAL permit shall contain the following information: 

(a) The PAL pollutant and the applicable source-wide emissions limitation in tons per year; 

(b) The PAL permit effective date and the expiration date of the PAL or PAL effective period; 

(c) Specification in the PAL permit that if a major stationary source owner or operator applies to renew a PAL under subsection (9) of this section 

before the end of the PAL effective period, the PAL shall remain in effect until a revised PAL permit is issued by the cabinet; 

(d) A requirement that emissions calculations for compliance purposes include emissions from startups, shutdowns, and malfunctions; 

(e) A requirement that, once the PAL expires, the major stationary source shall be subject to the requirements of subsection (8) .of this section; 

(f) 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 twelve (12) month rolling total for each month as required by subsection (12)(a) of this section; 

(g) A requirement that the major stationary source owner or operator shall monitor all emissions units in accordance with the provisions in subsection 

(12) of this section; 

(h) A requirement that the owner or operator shall retain the records required under subsection (12) of this section on site. Records may be retained 

in an electronic format; 

(i) A requirement for the owner or operator to submit, by the reports required under subsection (13) of this section by the required deadlines; and 

G) Any requirements necessary to implement and enforce the PAL. 

(7) PAL effective period and reopening of a PAL permit. 

(a) A PAL effective period shall be ten (10) years. 

(b) The cabinet shall reopen a PAL permit to: 

1. Correct typographical or calculation errors made in setting the PAL; 

2. Reflect a more accurate determination of emissions used to establish the PAL; 

3. Reduce the PAL if the owner or operator of the major stationary source creates creditable emissions reductions for use as offsets under 40 C.F.R. 

51.165(a)(3)(ii); or 

4. Revise the PAL to reflect an increase in the PAL according to subsection (1 0) of this section. 

(c) The cabinet may reopen the PAL permit, during the PAL effective period, to: 

1. Reduce the PAL to reflect newly applicable federal requirements with compliance dates after the PAL effective date; 

2. Reduce the PAL consistent with any other requirement: 

a. That is enforceable as a practical matter; and 

b. That may be imposed on the major stationary source under the SIP; and 

3. Reduce the PAL if the cabinet determines that a reduction is necessary to avoid causing or contributing to: 

a. A National Ambient Air Quality Standard (NAAQS) or PSD increment violation; or 

b. An adverse impact on visibility or another air quality related value 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. 

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(d) All permit reopenings shall be carried out under the public participation requirements of subsection (4) of this section except for permit reopenings 

to correct typographical or calculation of errors that do not increase the PAL level. 

(8) Expiration of a PAL. A PAL that is not renewed shall expire at the end of the PAL effective period and the requirements of this subsection shall 

then apply. 

(a) Each emissions unit, or each group of emissions units, that existed under the PAL shall comply with an allowable emissions limitation under a 

revised permit established as follows: 

1. An owner or operator of a major stationary source using a PAL shall submit a proposed allowable emissions limitation for each emissions unit, or 

each group of emissions units, by distributing the PAL allowable emissions for the major stationary source among each of the emissions units that 

existed under the PAL. 

a. This proposal shall be submitted to the cabinet at least six (6) months before the expiration of the PAL permit but not sooner than eighteen (18) 

months before permit expiration. 

b. If the PAL has not yet been adjusted for an applicable requirement that became effective during the PAL effective period, as required under 

subsection (9)(e) of this section, distribution of allowable emissions shall be made as if the PAL has been adjusted. 

2. The cabinet shall provide the date and procedure the owner or operator shall use to distribute the PAL allowable emissions. 

3. The cabinet shall issue a revised permit incorporating allowable limits for each emissions unit, or each group of emissions units, as the cabinet 

determines is appropriate. 

(b) Each emissions unit shall comply with the allowable emissions limitation on a twelve (12) month rolling basis. The cabinet may approve the use of 

monitoring systems other than CEMS, CERMS, PEMS, or CPMS if the alternate monitoring system demonstrates compliance with the allowable 

emissions limitation. 

(c) The source shall continue to comply with a source-wide, multiunit emissions cap equivalent to the level of the PAL emissions limitation until the 

cabinet issues the revised permit incorporating allowable limits for each emissions unit or each group of emissions units. 

(d) A major modification at the major stationary source shall be subject to major NSR requirements. 

(e) The major stationary source owner or operator shall continue to comply with any state or federal applicable requirements eliminated by the PAL 

that applied during or before the PAL effective period, except for those emissions limitations established pursuant to Section 7(4) of this administrative 

regulation. 

(9) Renewal of a PAL. 

(a) Public participation requirements. 

1. The cabinet shall follow the public participation procedures specified in subsection (4) of this section in approving a request to renew a PAL for a 

major stationary source. 

2. The cabinet shall provide a written rationale for the proposed PAL level for public review and comment. 

3. Any person may propose a PAL level for the source for consideration by the cabinet during the public review period. 

(b) Application deadline. · 

1. A major stationary source owner or operator shall submit an application for renewal of a PAL at least six (6) months before the date of permit 

expiration but not earlier than eighteen (18) months before permit expiration. 

2. The deadline for application submittal shall ensure that the permit shall not expire before the permit is renewed. 

3. If a complete application for renewal is submitted within the timeframe specified in subparagraph 1 of this paragraph, the PAL shall continue to be 

effective until the revised permit with the renewed PAL is issued. 

(c) Application requirements. The application to renew a PAL permit shall contain: 

1. The information required in subsection (2) of this section; 

2. A proposed PAL level; 

3. The sum of the potential to emit of all emissions units under the PAL with supporting documentation; and 

4. Any other information the owner or operator wishes the cabinet to consider in determining the appropriate level to renew the PAL. 

(d) PAL adjustment. 

1. A PAL shall not exceed the source's potential to emit. The cabinet shall adjust the PAL downward to a level not greater than the potential to emit if 

a source's potential to emit has declined below the PAL level. 

2. The cabinet may renew the PAL at the same level as the current PAL without considering the factors specified in subparagraph 3 of this section, if 

the emissions level calculated according to subsection (5) of this section is equal to or greater than eighty (80) percent of the PAL level; or 

3. The cabinet may set the PAL at a level that is determined to be: 

a. More representative of the source's baseline actual emissions; or 

b. Appropriate considering the following factors: 

(i) Air quality needs; 

(ii) Advances in control technology; 

(iii) Anticipated economic growth in the area of the source; 

(iv) The cabinet's goal of promoting voluntary emissions reductions; or 

(v) Other factors as specifically identified by the cabinet in its written rationale for setting the PAL level. 

4. The cabinet shall not approve a renewed PAL level higher than the current PAL, unless the major stationary source has complied with the 

provisions of subsection (1 0) of this section. 

(e) The PAL shall be adjusted in conjunction with the PAL permit renewal or Title V permit renewal, whichever comes first, if: 

1. The compliance date for a state or federal applicable requirement that applies to the PAL source occurs during the PAL effective period; and 

2. The cabinet has not already adjusted for the requirement. 

(10) Increasing a PAL during the PAL effective period. The cabinet may increase a PAL emissions limitation during the PAL effective period if the 

major stationary source complies with the provisions of this subsection. 

(a) Application procedures. To request an increase in the PAL limit for a PAL major modification, the owner or operator of the major stationary source 

shall submit a complete application, which shall include: 

1. Identification of the emissions units contributing to the increase in emissions for the PAL major modification; 

2. Demonstration that increased PAL, as calculated in paragraph (c) of this subsection exceeds the PAL, and: 

a. The level of control that results from BACT equivalent controls on each significant or major emissions unit shall be determined by conducting a 

new BACT analysis when 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 ten (10) years. 

b. If an emissions unit currently complies with BACT or LAER, the assumed control level for that emissions unit shall be equal to the current level of 

BACT or LAER for that emissions unit; and 

3. A statement 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. 

(b) NSR permit and compliance requirement. The owner or operator shall obtain a major NSR permit for all emissions units contributing to the 

increase in emissions for the PAL major modification. 

1. A significant level shall not apply in deciding for which emissions units a major NSR permit shall be obtained; and 

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2. Emissions units that obtain a major NSR permit shall comply with any emissions requirements resulting from the major NSR process, even though 

the units shall also become subject to the PAL or shall continue to be subject to the PAL. 

(c) Calculation of increased PAL. The cabinet 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, plus 

the sum of the baseline actual emissions of the small emissions units. 

(d) Public notice requirement. The public notice requirements of subsection (4) of this section shall be followed during PAL permit revision for an 

increased PAL level. 

(11) Monitoring requirements for PALs. 

(a) General requirements. 

1. Each PAL permit shall contain enforceable requirements for the chosen monitoring system that accurately determines plant-wide emissions of the 

PAL pollutant in terms of mass per unit of time; 

2. A monitoring system authorized for use in the PAL permit shall be: 

a. Approved by the cabinet pursuant to this subsection; and 

b. Based on sound science and meet generally-acceptable scientific procedures for data quality and manipulation; 

3. The data generated by a monitoring system shall meet minimum legal requirements for admissibility in a judicial proceeding to enforce the PAL 

permit; 

4. The PAL monitoring system shall employ one (1) or more of the four (4) general monitoring approaches meeting the minimum requirements set 

forth in paragraph (b) of this subsection; 

5. The cabinet may approve an alternative monitoring approach that meets the requirements of subparagraphs 1 to 3 of this paragraph; and 

6. Failure to use a monitoring system that meets the requirements of this section shall render the PAL invalid. 

(b) Minimum performance requirements for approved monitoring approaches. If conducted in accordance with the minimum requirements in 

paragraphs (c) to (i) of this subsection, the following shall be acceptable monitoring approaches: 

1. Mass balance calculations for activities using coatings or solvents; 

2. CEMS; 

3. CPMS or PEMS; and 

4. Emissions factors. 

(c) Mass balance calculations. An owner or operator using mass balance calculations to monitor PAL pollutant emissions from activities using 

coatings or solvents shall: 

1. Provide a demonstrated means of validating the published content of the PAL pollutant contained in or created by all materials used in or at the 

emissions unit; 

2. If it cannot be accounted for in the process, assume that the emissions unit emits all of the PAL pollutant contained in or created by any raw 

material or fuel used in or at the emissions unit; and 

3. If the vendor of the material or fuel from which the pollutant originates publishes a range, use the highest value of the published range of pollutant 

content to calculate the PAL pollutant emissions, unless the cabinet determines there is site-specific data or a site-specific monitoring program to 

support another pollutant content within the range. 

(d) CEMS. An owner or operator using CEMS to monitor PAL pollutant emissions shall meet the following requirements: 

1. CEMS shall comply with applicable Performance Specifications found in 40 C.F.R. Part 60, Appendix A; and 

2. CEMS shall sample, analyze, and record data at least every fifteen (15) minutes while the emissions unit is operating. 

(e) CPMS or PEMS. An owner or operator using CPMS or PEMS to monitor PAL pollutant emissions shall meet the following requirements: 

1. The CPMS or the PEMS shall be based on current site-specific data demonstrating a correlation between the monitored parameter and the PAL 

pollutant emissions across the range of operation of the emissions unit; and 

2. While the unit is operating, each CPMS or PEMS shall sample, analyze, and record data at least every fifteen (15) minutes, or at another less 

frequent interval approved by the cabinet. 

(f) Emissions factors. An owner or operator using emissions factors to monitor PAL pollutant emissions shall meet the following requirements: 

1. All emissions factors shall be adjusted, if appropriate, to account for the degree of uncertainty or limitations in the factors' development; 

2. The emissions unit shall operate within the designated range of use for the emissions factor, if applicable; and 

3. The owner or operator of a significant emissions unit that relies on an emissions factor to calculate PAL pollutant emissions shall conduct 

validation testing to determine a site-specific emissions factor within six (6) months of PAL permit issuance if the cabinet determines that the testing is 

required and technically practicable. 

(g) A source owner or operator shall record and report maximum potential emissions without considering enforceable emissions limitations or 

operational restrictions for an emissions unit during any period of time there is no monitoring data, unless another method for determining emissions 

during the periods is specified in the PAL permit. 

(h) If an owner or operator of an emissions unit cannot demonstrate a correlation between the monitored parameters and the PAL pollutant 

emissions rate at all operating points of the emissions unit, as an alternative to the requirements in paragraphs (c) to (g) of this subsection, in 

conjunction with permit issuance the cabinet shall: 

1. Establish default values for determining compliance with the PAL based on the highest potential emissions reasonably estimated at operating 

points if a correlation cannot be demonstrated; or 

2. If there is not a correlation between monitored parameters and the PAL pollutant emissions, determine that operation of the emissions unit during 

operating conditions is a violation of the PAL. 

(i) Revalidation. All data used to establish the PAL pollutant shall be revalidated through performance testing or other scientifically valid means 

approved by the cabinet. Validation testing shall occur at least once every five (5) years after issuance of the PAL. 

(12) Recordkeeping requirements. 

(a) The PAL permit shall require an owner or operator to retain a copy of all records necessary to determine compliance with any requirement of this 

section and of the PAL, including a determination of each emissions unit's twelve (12) month rolling total emissions for five (5) years from the date of the 

determination. 

(b) 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 five 

(5) years: 

1. A copy of the PAL permit application and any applications for revisions to the PAL; and 

2. Each annual certification of compliance pursuant to Title V and the data used to certify the compliance. 

(13) Reporting and notification requirements. The owner or operator shall submit semi-annual monitoring reports and prompt deviation reports to the 

cabinet in accordance with 401 KAR Chapter 52 that meet the following requirements: 

(a) Semiannual report. The semiannual report shall be submitted to the cabinet within thirty (30) days of the end of each reporting period and shall 

contain: 

1. The identification of owner and operator and the permit number; 

2. Total annual emissions, in tpy, based on a twelve (12) month rolling total for each month in the reporting period recorded pursuant to subsection 

(12)(a) of this section; 

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3. All data used in calculating the monthly and annual PAL pollutant emissions, including any quality assurance or quality control data; 

4. A list of any emissions units modified or added to the major stationary source during the preceding six (6) month period; 

5. 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 following a deviation; 

6. A notification of permanent or temporary shutdown of any monitoring system including: 

a. The reason for the shutdown; 

b. The anticipated date that the monitoring system shall be fully operational or shall be replaced with another monitoring system; 

c. If applicable, a statement that the emissions unit monitored by the monitoring system continued to operate without the monitoring system; and 

d. The calculation of the emissions of the pollutant or the number determined according to subsection (11)(g) of this section that is included in the 

permit; and 

7. A signed statement by the responsible official, as defined by 401 KAR 51:001, Section 1(210), certifying the truth, accuracy, and completeness of 

the information provided in the semiannual report. 

(b) Deviation report. The major stationary source owner or operator shall submit reports of any deviation or exceedance of the PAL requirements, 

including periods monitoring is unavailable. 

1. A report submitted pursuant to 40 C.F.R. 70.6(a)(3)(iii)(B) shall satisfy this deviation reporting requirement; 

2. The deviation report shall be submitted within the time limits prescribed by the applicable program implementing 40 C.F.R. 70.6(a)(3)(iii)(B); 

3. The deviation report shall contain the following information: 

a. The identification of the owner, the 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 401 KAR 51:001, Section 1 (21 0), certifying the truth, accuracy, and completeness of 

the information provided in the report. 

(c) Revalidation results. The owner or operator shall submit to the cabinet the results of any revalidation test or method within three (3) months after 

completion of the test or method. 

(14) Transition requirements. 

(a) After the U.S. EPA approves the Kentucky SIP revisions for the PAL provisions published at 67 Fed. Reg. 80186, December 31, 2002, the 

cabinet shall only issue a PAL that complies with the requirements of this section. 

(b) The cabinet may supersede a PAL that was established before August 10, 2006, with a PAL that complies with the requirements of this 

administrative regulation. (8 Ky.R. 1120; Am. 9 Ky.R. 358; eff. 9-22-1982; 12 Ky.R. 879; 1273; eff. 2-4-1986; 14 Ky.R. 892; eff. 12-11-1987; 1612; 1909; 

eff. 4-14-1988; 19 Ky.R. 1105; 1585; eff. 2-8-1993; 30 Ky.R. 2209; 2520; eff. 7-14-2004; 36 Ky.R. 895; 1275; 1474; eff. 2-5-2010; 37 Ky.R. 2470; 38 

Ky.R. 28; eff. 8-4-2011.) 

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401 KAR 52:001. Definitions for 401 KAR Chapter 52. Page 1 of6 

401 KAR 52:001. Definitions for 401 KAR Chapter 52. 

RELATES TO: KRS 224.01-010,224.10-100,224.20-100,224.20-110,224.20-120,40 C.F.R. Parts 50-53,60-63,70-78,42 U.S.C. 7401-7671q 

STATUTORY AUTHORITY: KRS 224.10-100(5) 

NECESSITY, FUNCTION, AND CONFORMITY: KRS 224.10-100(5) requires the cabinet to promulgate administrative regulations for the prevention, 

abatement, and control of air pollution. This administrative regulation defines the terms used in 401 KAR Chapter 52. The definitions contained in this 

administrative regulation are neither more stringent nor otherwise different than the corresponding federal definitions. 

Section 1. Definitions. The definitions with citations to the Code of Federal Regulations shall be governed by 40 C.F.R. Parts 50 through 96, effective 

July 1, 2010. 

(1) "Acid Rain Program" means the national program for reducing so2 and NOx emissions established under 42 U.S.C. 7651 to 7651o (Title IV of 

the Act) and codified at 40 C.F.R. Parts 72 to 78. 

(2) "Act" means the Clean Air Act established under 42 U.S.C. 7401 to 7671q. 

(3) "Actual emissions" means the quantity of an air pollutant that is physically emitted into the ambient air during a specified time period. 

(4) "Affected facility" means an apparatus, building, operation, road, or other entity or series of entities that emits or may emit an air contaminant into 

the outdoor atmosphere. 

(5) "Affected source" means a source that includes one (1) or more affected units. 

(6) "Affected state" means a state that: 

(a) Borders Kentucky and whose air quality may be affected by the proposed permit, permit revision, or permit renewal; or 

(b) Is situated within fifty (50) miles of the source requesting the proposed permit action. 

(7) "Affected unit" means a unit subject to the Acid Rain Program. 

(8) "Air contaminant" is defined by KRS 224.01-010(1). 

(9) "Air pollutant" means air contaminant. 

(10) "Air pollution" is defined by KRS 224.01-010(3). 

(11) "Air pollution control equipment" means a mechanism, device, or contrivance used to control or prevent air pollution, that is not, aside from air 

pollution control laws and administrative regulations, vital to production of the normal product of the source or to its normal operation. 

(12) "Alternative method" is defined by 40 C.F.R. 60.2. For purposes of this definition, "administrator" means both the U.S. EPA and the cabinet. 

(13) "Ambient air" means that portion of the atmosphere, external to buildings, to which the general public has access. 

(14) "Ambient air quality standard" means a numerical expression of a specified concentration level for a particular air contaminant and the time 

averaging interval over which that concentration level is measured and is a goal to be achieved in a stated time through the application of appropriate 

preventive or control measures. 

(15) "Applicable requirement" means a state-origin or federally enforceable requirement or standard that applies to a source. 

(16) "Batch mix plant" means a source or affected facility that produces hot mix asphalt by heating and drying the aggregate in a dryer before 

separating and mixing it with asphalt cement in separate batches. 

(17) "Cabinet" is defined by KRS 224.01-010(9). 

(18) "Capital expenditure" is defined by 40 C.F.R. 60.2. 

(19) "Commence" means that an owner or operator has undertaken a continuous program of construction, modification, or reconstruction of an 

affected facility, or that an owner or operator has entered into a contractual obligation to undertake and complete, within a reasonable time, a continuous 

program of construction, modification, or reconstruction of an affected facility. 

(20) "Construction" means fabrication, erection, installation, or modification of an air contaminant source. 

(21) "Continuous monitoring system" means the total equipment, required under the applicable administrative regulations in 401 KAR Chapters 50 to 

65, used to sample, to condition (if applicable), to analyze, and to provide a permanent record of emissions or process parameters. 

(22) "Control device" means equipment such as an incinerator or carbon adsorber used to reduce, by destruction or removal, the amount of air 

pollutants in an air stream prior to discharge to the ambient air. 

(23) "Control system" means a combination of one (1) or more capture systems and control devices working in concert to reduce discharges of 

pollutants to the ambient air. 

(24) "Designated representative" means a person authorized by the owner or operator of an affected source and of all affected units at the source, 

as evidenced by a certificate of representation submitted to the U.S. EPA in accordance with 40 C.F.R. 72.20(b), to represent and legally bind each 

owner and operator, as a matter of federal law, in all matters pertaining to the Acid Rain Program. In matters relating to the acid rain portion of a Title V 

permit, the term "responsible official", as defined in this section, means the designated representative. 

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401 KAR 52:001. Definitions for 401 KAR Chapter 52. Page 2 of6 

(25) "Draft permit" means the version of a federally enforceable permit, which the cabinet offers for public review and any applicable affected state 

review. 

(26) "Drum mix plant" means a source or affected facility that produces hot mix asphalt by heating, drying, and mixing the aggregate with asphalt 

cement in one (1) operation. 

(27) "Emergency" means a situation arising from a sudden and reasonably unforeseeable event beyond the control of the source that: 

(a) Requires immediate corrective action to restore normal operation; 

(b) Causes the source to exceed a technology-based emission limitation in the permit due to unavoidable increases in emissions attributable to the 

emergency; and 

(c) Does not include noncompliance caused by improperly designed equipment, lack of preventive maintenance, careless or improper operation, or 

operator error. 

(28) "Emission standard" means the numerical expression of quantity per unit of time or other parameter that limits the amount of a regulated air 

pollutant that a source or emission unit is allowed to emit to the ambient air. 

(29) "Emission unit" means an affected facility, or a part or activity of a source, that emits or has the potential to emit a regulated air pollutant and 

does not alter the definition of the term "unit" as used in the Acid Rain Program. 

(30) "Emissions fee" means the annual fee assessed to a source as prescribed in 401 KAR 50:038, made effective April12, 1995. 

(31) "Enforceable as a practical matter" means that the emission or other standards contained in a permit or compliance schedule include: 

(a) Technically accurate emission standards and the portions of the source that are subject to the standards; 

(b) A time period adequate to demonstrate compliance with the standards; and 

(c) The method the source will use to achieve and demonstrate compliance with the standards, including appropriate monitoring, recordkeeping, and 

reporting. 

(32) "Equivalent method" means a method of sampling and analyzing for an air pollutant that has been demonstrated to the cabinet and the U.S. 

EPA pursuant to 40 C.F.R. 53.3 to have a consistent and quantitatively known relationship to the reference method, under specified conditions. 

(33) "Exempt compound" or "exempt solvent" means an organic compound listed in the definition of volatile organic compound as not participating in 

atmospheric photochemical reactions. 

(34) "Federally enforceable requirement" means an item specified in this subsection as it applies to an emission unit at a source subject to 40 C.F.R. 

Part 70, including a requirement promulgated or approved by the U.S. EPA in conjunction with the permit issuance but which has future-effective 

compliance dates. 

(a) A standard or requirement in the SIP that implements the relevant requirements of the Act, including a revision to that plan promulgated at 40 

C.F.R. Part 52; 

(b) A term or condition of a preconstruction permit issued pursuant to an applicable administrative regulation in 401 KAR Chapters 50 to 65 approved 

or promulgated pursuant to 42 U.S.C. 7401 to 7515; 

(c) A standard or other requirement promulgated pursuant to 42 U.S.C. 7411 or 7429 governing solid waste incinerators; 

(d) A standard or other requirement promulgated pursuant to 42 U.S.C. 7412; 

(e) A standard or requirement of the Acid Rain Program; 

(f) A requirement established pursuant to 42 U.S.C. 7414(a)(3) or 7661c(b) for monitoring and compliance certification; 

(g) A national ambient air quality standard or increment or visibility requirement pursuant to 42 U.S.C. 7470 to 7492 for a temporary source permitted 

pursuant to 42 U.S.C. 7661c(e); 

(h) A standard or other requirement for consumer and commercial products adopted pursuant to 42 U.S.C. 7511 b(e); 

(i) A standard or other requirement for a tank vessel adopted pursuant to 42 U.S.C. 7511 b(f); and 

G) A standard or other requirement to protect stratospheric ozone adopted pursuant to 42 U.S.C. 7671 to 7671q, unless the U.S. EPA determines 

that those requirements need not be contained in the permit. 

(35) "Final permit" means: 

(a) For a federally enforceable permit, the version issued by the cabinet that has completed all the applicable review procedures of 401 KAR 52:100 

and for which a final determination has been made; or 

(b) For a state-origin permit, the version that meets the applicable provisions of 401 KAR 52:040, and for which a final determination has been made. 

(36) "Fixed capital cost" means the capital needed to provide all the depreciable components. 

(37) "Fuel" means natural gas; petroleum; coal; wood; or a form of solid, liquid, or gaseous fuel derived from these materials for the purpose of 

creating useful heat. 

(38) "Fugitive emissions" means those emissions that could not reasonably pass through a stack, chimney, vent, or other functionally equivalent 

opening. 

(39) "Hazardous air pollutant" or "HAP" means a pollutant listed pursuant to 42 U.S.C. 7412(b). 

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401 KAR 52:001. Definitions for 401 KAR Chapter 52. Page 3 of6 

(40) "Hot mix asphalt plant" means a stationary source or portable affected facility that manufactures hot mix asphalt by heating and drying 

aggregate and mixing it with asphalt cements. 

(41) "Hydrocarbon" means an organic compound consisting predominantly of carbon and hydrogen. 

(42) "Incineration" means the process of igniting and burning solid, semisolid, liquid, or gaseous combustible wastes. 

(43) "Intermittent emissions" means emissions of particulate matter into the open air from a process that operates for less than any six (6) 

consecutive minutes. 

(44) "KyEIS" means the Kentucky Emissions Inventory System. 

(45) "Major source" means a stationary source or a group of stationary sources that emits or has a potential to emit a pollutant that is subject to 

regulation at or above a major source threshold and: 

(a) For HAPs: 

1. Is located within a contiguous area; 

2. Is under common control; 

3. Includes all fugitive HAP emissions in determining if the source is major; and 

4. Even if the units are in a contiguous area under common control, emissions are not aggregated with emissions from other similar units to 

determine major source status for: 

a. Oil or gas exploration or production wells and the associated equipment; or 

b. Pipeline compressors or pump stations; and 

(b) For regulated air pollutants other than HAPs: 

1. Is located on one (1) or more contiguous or adjacent properties; 

2. Is under common control; 

3. Belongs to a single major industrial grouping where all of the pollutant emitting activities belong to the same major group (i.e., all have the same 

two (2) digit code) as described in the 1987 Standard Industrial Classification (SIC) Manual; and 

4. Fugitive emissions are considered in determining if the source is major if it belongs to a category listed in this clause: 

a. Coal cleaning plants (with thermal dryers); 

b. Kraft pulp mills; 

c. Portland cement plants; 

d. Primary zinc smelters; 

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; 

I. 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; 

I. Chemical process plants; 

u. Fossil-fuel boilers (or a combination thereof) totaling more than 250 million BTU per hour heat input; 

v. Petroleum storage and transfer units with a total storage capacity of more than 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 BTU per hour of heat input; or 

aa. All other stationary source categories subject to a standard promulgated pursuant to 42 U.S.C. 7411 or 42 U.S.C. 7412 and for which the U.S. 

EPA has made an affirmative determination pursuant to 42 U.S.C. 7602G). 

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401 KAR 52:001. Definitions for 401 KAR Chapter 52. 

(46) "Major source threshold" means PTE: 

(a) For HAPs: 

1. Ten (1 0) tons per year or more of a single HAP; 

2. Twenty-five (25) tons per year or more of combined HAPs; or 

3. A lesser quantity that the U.S. EPA establishes in a final rulemaking; 

(b) 100 tons per year or more for regulated air pollutants other than HAPs, except that: 

1. For ozone nonattainment areas: 

a. 100 tons per year or more of volatile organic compounds or nitrogen oxides in areas classified as marginal or moderate; 

b. Fifty (50) tons per year or more in areas classified as serious; 

c. Twenty-five (25) tons per year or more in areas classified as severe; or 

d. Ten (1 0) tons per year or more in areas classified as extreme; 

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2. Fifty (50) tons per year or more of carbon monoxide for carbon monoxide nonattainment areas that are classified as serious and in which 

stationary sources contribute significantly to carbon monoxide levels; or 

3. Seventy (70) tons per year or more of particulate matter (PM10) for PM10 nonattainment areas classified as serious; or 

(c) A quantity established by the U.S. EPA in a final rulemaking for a pollutant that is subject to regulation. 

(47) "Malfunction" means a sudden and infrequent failure of air pollution control equipment, process equipment, or a process to operate in a normal 

or usual manner that is not caused entirely or in part by poor maintenance, careless operation, or other upset condition or equipment breakdown that 

could have been reasonably prevented. 

(48) "Marginal nonattainment county" or "marginal nonattainment area" means a county or portion of a county designated marginal nonattainment for 

the national ambient air quality standard for ozone. 

(49) "Minor source" means a stationary source that emits and has the potential to emit less than the major source thresholds. 

(50) "Moderate nonattainment county" or "moderate nonattainment area" means a county or portion of a county designated moderate nonattainment 

for the national ambient air quality standard for ozone. 

(51) "Modification" means any physical change in, or a change in the method of operation of, an affected facility that: 

(a) Increases the amount of any regulated air pollutant emitted into the atmosphere by that facility, or that results in the emission of any regulated air 

pollutant into the atmosphere not previously emitted; and 

(b) Is not solely: 

1. Maintenance, repair, and replacement that the cabinet determines to be routine for a source category considering available information; 

2. An increase in production rate of an affected facility, if that increase can be accomplished without a capital expenditure on that facility; 

3. An increase in the hours of operation; 

4. Use of an alternative fuel or raw material if, prior to the date a standard becomes applicable to that source type, the affected facility was designed 

to accommodate that alternative use. A facility shall be considered to be designed to accommodate an alternative fuel or raw material if that use could 

be accomplished under the facility's construction specifications as amended prior to the change; 

5. Conversion to coal required for energy considerations, as specified in 42 U.S.C. 7411 (a)(8); 

6. The addition or use of a system or device the primary function of which is the reduction of air pollutants, except if an emission control system is 

removed or is replaced by a system that the cabinet determines to be less environmentally beneficial; or 

7. The relocation or change in ownership of a source. 

(52) "Modification under Title I of the Act" means a change at a facility that constitutes a modification under 42 U.S.C. 7470 to 7492 or 42 U.S.C. 

7501 to 7515. 

(53) "Opacity" means the degree to which emissions reduce the transmission of light and obscure the view of an object in the background. 

(54) "Owner or operator" means a person who owns, leases, operates, controls, or supervises an affected facility or a source of which an affected 

facility is a part. 

(55) "Person" is defined by KRS 224.01-010(17). 

(56) "Potential to emit" or "PTE" means the maximum capacity of a stationary source to emit a pollutant under its physical and operational design in 

which: 

(a) A physical or operational limitation on the capacity of a source to emit an air pollutant, including air pollution control equipment and restrictions on 

hours of operation or on the type or amount of material combusted, stored, or processed is treated as part of its design if the limitation is enforceable as 

a practical matter; and 

(b) Use of this term for other purposes of the Act or for the term "capacity factor" as used in the Acid Rain Program is not altered. 

(57) "Proposed permit" means the version of a permit that the cabinet proposes to issue and submit to the U.S. EPA for a forty-five (45) day review 

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401 KAR 52:001. Definitions for 401 KAR Chapter 52. Page 5 of6 

period. 

(58) "Reconstruction" means the replacement of components of an existing affected facility to the extent that: 

(a) The fixed capital cost of the new components exceeds fifty (50) percent of the fixed capital cost that would be required to construct a comparable 

entirely new affected facility; and 

(b) It is technologically and economically feasible to meet the applicable requirements in 401 KAR Chapters 50 to 65. 

(59) "Reference method" means a method of sampling and analyzing for an air pollutant as published in 40 C.F.R. Part 50, Appendices A to N; 40 

C.F.R. Part 53; 40 C.F.R. Part 60, Appendices A and B; 40 C.F.R. Part 61, Appendix B; or 40 C.F.R. Part 63, Appendices A to D. 

(60) "Regulated air pollutant" means: 

(a) Nitrogen oxides; 

(b) Volatile organic compounds; 

(c) A pollutant for which a national ambient air quality standard has been promulgated pursuant to 42 U.S.C. 7409 (Section 109 of the Act); 

(d) A Class I or Class II substance subject to a standard promulgated or established pursuant to 42 U.S.C. 7671 to 7671q (Title VI of the Act); 

(e) A pollutant subject to a standard promulgated pursuant to 42 U.S.C. 7411; or 

(f) A hazardous air pollutant (HAP) subject to a standard or other requirement established pursuant to 42 U.S.C. 7412. 

(61) "Renewal" means the process by which a permit is reissued at the end of its permit term. 

(62) "Responsible official" means: 

(a) For a corporation: a president, secretary, treasurer, or vice-president of the corporation in charge of a principal business function, or other person 

who performs similar policy or decision-making functions for the corporation, or a duly authorized representative of that person if the representative is 

responsible for the overall operation of one (1) or more manufacturing, production, or operating facilities applying for or subject to a permit; and 

or 

1. The facilities employ more than 250 persons or have gross annual sales or expenditures exceeding $25,000,000 (in second quarter 1980 dollars); 

2. The delegation of authority to the representative is approved by the cabinet in advance pursuant to this subsection; 

(b) For a partnership or sole proprietorship, a general partner or the proprietor, respectively; 

(c) For a municipality, state, federal, or other public agency, a principal executive officer or ranking elected official. For this administrative regulation, 

the principal executive officer of a federal agency includes the chief executive officer having responsibility for the overall operation of a principal 

geographic unit of the agency (e.g., a regional administrator of the U.S. EPA); or 

(d) For the acid rain portion of a permit for an affected source, the designated representative. 

(63) "Section 502(b)(10) changes" means changes that contravene an express permit term and does not include changes that would violate 

applicable requirements or contravene federally enforceable permit terms and conditions that are monitoring (including test methods), recordkeeping, 

reporting, or compliance certification requirements. 

(64) "Shutdown" means the cessation of an operation. 

(65) "Source" means one (1) or more affected facilities contained within a given contiguous property line, which means the property is separated only 

by a public thoroughfare, stream, or other right of way. 

(66) "Standard" means an emission standard, a standard of performance, or an ambient air quality standard promulgated in 401 KAR Chapters 50 to 

65 or the emission control requirements necessary to comply with 401 KAR Chapter 51. 

(67) "Start-up" or "startup" means the setting in operation of an affected facility. 

(68) "State implementation plan" or "SIP" means the most recently prepared plan or revision required by 42 U.S.C. 7410, that has been approved by 

the U.S. EPA. 

(69) "State-origin permit" means a permit that is issued pursuant to 401 KAR 52:040 and is not federally enforceable. 

(70) "State-origin requirement" means an applicable requirement contained in 401 KAR Chapters 50 to 65, which is not mandated by the Act and is 

not federally enforceable. 

(71) "Stationary source" means a building, structure, affected facility, or installation that emits or may emit a regulated air pollutant or an air pollutant 

subject to regulation pursuant to 40 C.F.R. 70.2. 

(72) "Subject to regulation" is defined by 40 C.F.R. 70.2 for the Title V program. 

(73) "Title V permit" means a permit issued under Kentucky's Title V program. 

(74) "Title V program" means a state operating permit program approved by the U.S. EPA pursuant to 42 U.S.C. 7661 to 7661f (Title V of the Act). 

(75) "Total suspended particulates" or "TSP" means particulate matter as measured by the method described in 40 C.F.R. Part 50, Appendix B. 

(76) "tpy" means ton per year. 

(77) "U.S. EPA" means the U.S. Environmental Protection Agency. 

(78) "Volatile organic compound" or "VOC" is defined by 40 C.F.R. 51.100(s). 

(79) 'Waste oil" means a petroleum based or synthetic oil such as an engine lubricant, engine oil, motor oil, or lubricating oil for use in an internal 

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401 KAR 52:001. Definitions for 401 KAR Chapter 52. Page 6 of6 

combustion engine, or a lubricant for motor transmissions, gears, or axles that through use, storage, or handling has become unsuitable for its original 

purpose due to the presence of impurities or loss of original properties. (27 Ky.R. 612; Am. 1277; 1775; eff. 1-15-2001; 33 Ky.R. 209; eff. 11-8-06; 37 

Ky.R. 469; Am. 1245; eff. 1-3-2011.) 

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