United States

Environmental Protection Agency

Washington, DC 20460

Acid Rain Program Opt-in Utilization Report

 OMB No. 2060-0258

Approval expires 11/30/2012

PLEASE TYPE OR PRINT CLEARLY IN BLACK INK

ALL LETTERS IN UPPER-CASE, LEFT JUSTIFY

TEXT, RIGHT JUSTIFY NUMBERS AS SHOWN.

A B C 1 2 3 See instructions for completing this form.

Step 1 Plant Name

 

State Boiler Identification Number

Facility Account Number Compliance Year

 

Step 2 Baseline (mmBtu) Step 3 Actual Heat Input (mmBtu)

 

Step 4 Annual Utilization for Previous Two Years (mmBtu)

A 

 

B 

Step 5 Reduction from Improved Efficiency (mmBtu)

Step 6 Annual Utilization (mmBtu)

Step 7 Average Utilization (mmBtu)

Step 8 Number of Allowances Allocated for the Calendar Year

Step 9 Actual Number of Allowances Transferred to 

Replacement Units Under a Thermal Energy Plan

Step 10 Allowances to be Deducted for Reduced Utilization Step 11 Date of Shutdown or Reconstruction (if applicable)

______/______/______

Step 12 Certification

I am authorized to make this submission on behalf of the owners and .operators of the affected source or affected units for which the 

submission is made. I certify under penalty of law that I have personally examined, and am familiar with, the statements and 

information submitted in this document and all its attachments. Based on my inquiry of those individuals with primary responsibility 

for obtaining the information, I certify that the statements and information are to the best of my knowledge and belief true, accurate, 

and complete. I am aware that there are significant penalties for submitting false statements and Information or omitting required 

statements and information, Including the possibility of fine or imprisonment. 

I certify that this opt-in source has not become an affected unit under 40 CFR 72.6 for the compliance year.

If governed by a Thermal Energy Plan under 40 CFR 74.47, I certify that this opt-In source operated in compliance with the Thermal 

Energy Plan.

Signature Date AAR ID#

EPA Form 7620-9 (Revised 12-2009) Page  of 
Acid Rain Program

Instructions for 

Opt-in Utilization Report

(40 CFR 74.43 and 74.44)

The Acid Rain Program regulations require the designated representative to submit an Opt-in Utilization 

Report for each opt-in source that is subject to the Acid Rain emission limitations in a calendar year.

STEP 1 Enter the Plant Name, State, Boiler Identification Number, Facility Account Number, and 

Compliance Year. 

If the opt-in source is covered by an approved Thermal Energy Plan and is permanently retired, go 

to Step 8 and complete Steps 8, 9, 10, and 12. Otherwise go to Step 2.

STEP 2 Enter the Baseline (mmBtu) for this opt-in source. The baseline (as calculated in 40 CFR 74.20) 

for each opt-in source is listed in the acid rain permit.

Note: If this is the first year that the source is going through annual reconciliation and the source's 

permit became effective on a date other than January 1, enter the first year partial baseline (as 

calculated in 40 CFR 74.28) that was used to calculate the allowance allocation for the first year.

STEP 3 Enter the source's Actual Heat Input (mmBtu) for the compliance year in accordance with 40 CFR 

74.44. This figure must be the actual heat input, as reported in accordance with 40 CFR Part 75.

STEP 4 Enter the source's Annual Utilizations (mmBtu), for the previous two calendar years. Enter the 

prior year's number in box A and the two year's prior number in box B. Note: The number in each 

box must be the Annual Utilization number used by EPA to determine under 40 CFR 74.44(b) or, if 

applicable, 40 CFR 74.44(c)(2), if the source has reduced utilization for the year covered by that 

box.

If this is the first year the opt-in source is affected by the Acid Rain Program, leave the boxes 

blank.

If this is the second year, enter the Utilization for the first year in box A and leave box B blank.

STEP 5 Skip this step and go to Step 6 if:

● the unit is not claiming improved efficiency measures; or

12 2

36

Step

or

the opt - in permit inis effect

Number of formonths which

 lesser of

Step 3 Step 4(A) Step 4(B) ≥





 





+ + x

Otherwise, enter the estimated Reduction from Improved Efficiency (mmBtu) for the compliance 

year that is accounted for by the following measures:

- Demand side measures that improve the efficiency of electric consumption;

- Demand side measures that improve the efficiency of steam consumption;

- Improvements in heat rate; and

- Improvement in steam production efficiency.

An Opt-in Reduction from Improved Efficiency Confirmation Report must be submitted by July 1 to 

verify any amount of reduced utilization from improved efficiency measures under the plan for the 

calendar year. Note that submission of that report by July 1 is mandatory if you entered a number 

other than zero in Step 5. EPA may grant an extension of the time for good cause shown.

STEP 6 Enter the Annual Utilization (mmBtu) by adding Step 5 to Step 3.
STEP 7 Enter the Average Utilization (mmBtu) for the calendar year.

If this is the first year the source is affected under the Acid Rain Program:

Step 7 = Step 6

Otherwise:

12

36

7 x





 





++ =

or

the opt - in permit inis effect

Number of formonths which

 lesser of

Step6 Step4A Step4B Step

Calculate Step 2 - Step 7 (i.e., the Baseline - the Average Utilization during the years covered by 

Steps 4 and 6). 

If the result is <= 0, then go to Step 11 

If the result is > 0, then go to Step 8.

STEP 8 Enter the total number of allowances allocated to the opt-in source for the compliance year.

STEP 9 If the opt-in source has an approved Thermal Energy Plan, enter the total actual number of 

transferable allowances for all replacement units from Step 3 Column C of the Thermal Energy 

Compliance Report.

Otherwise, leave Step 9 blank.

STEP 10 Enter the number of allowances to be deducted for reduced utilization.

If the opt-in source has an approved Thermal Energy Plan and is permanently retired use the 

following formula

Step 10 = Step 8 - Step 9

If the opt-in source has an approved Thermal Energy Plan and is operating use the following 

formula

9

2

7 10 18 Step StepStep Step Step −













 = x −

Note: If this number is negative, enter zero.

Otherwise, use the following formula.















 = − 2

7 10 18

Step

Step Step Step x

If you want to identify specific allowances to be deducted, you may identify them by using the 

Allowance Deduction form. See the instructions for the Allowance Deduction form for more 

information.

STEP 11 Under 40 CFR 74.46, if the opt-in source shutdown, qualified as a reconstruction, or became an 

affected unit during the compliance year, enter the date of shutdown, reconstruction, or affected 

unit status.

STEP 12 Either:

1) Read the Certifications, enter the date, your AAR ID number, and signature; or

2) Submit a cover letter with a certification statement, following the General Instructions.