To: Cortney_Higgins@omb.eop.gov 

From: Melanie King/RTP/USEPA/US 

Date: 01/11/2013 04:39PM 

Cc: RobertJ Wayland/RTP/USEPA/US@EPA, Michael Horowitz/DC/USEPA/US@EPA, Paul 

Balserak/DC/USEPA/US@EPA, Paula VanLare/DC/USEPA/US@EPA, Larry 

Sorrels/RTP/USEPA/US@EPA, Amy Lamson/RTP/USEPA/US@EPA 

Subject: revised RICE preamble and impacts memo 

Cortney, 

Attached is a redline/strikeout of the preamble and the impacts memo, which shows the 

changes we made in response to interagency comments and also correcting minor typos etc. 

 Larry is going to be sending you the revised RIA very shortly. I have to run to pick up my 

kids but I'll check email later or you can call Bob if you have any issues. Thanks and hope 

you have a great time camping. 

(See attached file: E O 12866 RICE Reconsideration 2060-AQ58 Final 20130111 pm 

REDLINE.docx)(See attached file: RICE NESHAP Reconsideration Impacts - Final Rule 1-11-

13 DRAFT.docx) 

Melanie King 

Energy Strategies Group 

Sector Policies and Programs Division 

Office of Air Quality Planning and Standards 

U.S. Environmental Protection Agency 

Mail Code D243-01 

RTP, NC 27711 

Phone: (919) 541-2469 

Fax: (919) 541-5450 

king.melanie@epa.gov

=
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EC/R Incorporated Providing Environmental Technical Support Since 1989

501 Eastowne Drive, Suite 325  Chapel Hill, North Carolina 27514 

Telephone: (919) 484-0222  Fax: (919) 484-0122 

MEMORANDUM 

DATE: January 11, 2013 

SUBJECT: RICE NESHAP Reconsideration Final Amendments - Cost and Environmental Impacts 

FROM: Tanya Parise, EC/R, Inc. 

 

TO: Melanie King, EPA OAQPS/SPPD/ESG 

The EPA is finalizing amendments to the national emission standards for hazardous air pollutants 

(NESHAP) for stationary reciprocating internal combustion engines (RICE) in 40 CFR part 63, subpart 

ZZZZ. The purpose of this memorandum is to present the estimated impacts associated with the amendments 

being promulgated compared to the 2010 final rules (75 FR 9648 and 75 FR 51570) that addressed existing 

stationary RICE less than or equal to 500 horsepower (HP) located at major sources and existing stationary 

RICE located at area sources. This memorandum will also discuss amendments that will affect other engines 

subject to the RICE NESHAP and the effect on impacts for those engines. 

The amendments include alternative compliance options for certain stationary engines, management 

practices for a subset of existing stationary engines in sparsely populated areas, and alternative monitoring 

and compliance options for the same engines in populated areas. In addition, the EPA is increasing the 

demand response (DR) allowance for stationary emergency RICE. The specific amendments being finalized 

and how these changes will affect emission reduction estimates and the total costs of the rule are discussed in 

the paragraphs that follow. It should be noted that these impacts are identical to those estimated for the 

amendments proposed to the RICE NESHAP in June 2012. 

Non-Emergency Stationary SI RICE >500 HP Located at Area Sources

Engines in Sparsely Populated Areas

 Existing stationary non-emergency 4-stroke lean burn (4SLB) and 4-stroke rich burn (4SRB) spark 

ignition (SI) engines greater than 500 HP at area sources that are in sparsely populated (remote) areas will be 

subject to management practices under the amendments. A remote area is defined as either: (1) an offshore 

area that is beyond the line of ordinary low water along that portion of the coast of the United States that is in 

direct contact with the open seas and beyond the line marking the seaward limit of inland waters; (2) a 

pipeline segment with 10 or fewer buildings intended for human occupancy and no buildings intended for 

human occupancy with four or more stories within 220 yards (200 meters) on either side of the centerline of 

any continuous 1-mile (1.6 kilometers) length of pipeline and that does not lie within 100 yards (91 meters) 

of either a building or a small, well-defined outside area (such as a playground, recreation area, outdoor 

theater, or other place of public assembly) that is occupied by 20 or more persons on at least 5 days a week 

for 10 weeks in any 12-month period; or (3) engines not located on pipelines that have 5 or fewer buildings 

Field Code Changed

Deleted: 4
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2 

intended for human occupancy within a 0.25 mile radius around the engine. Under the amendments, these 

engines are no longer subject to emission standards necessitating the use of aftertreatment, but subject to 

management practices instead; no emission reductions have been estimated from meeting the management 

practices. The capital and annual costs for these engines would decrease substantially from those estimated 

for the 2010 final rule because owners and operators would not have to purchase, operate and maintain a 

catalyst, plus owners and operators would not be required to monitor the catalyst inlet temperature 

continuously or record the pressure drop monthly. 

 

 The only costs attributed to engines subject to management practices are for maintaining records of 

the maintenance conducted on the engine in order to demonstrate that the engine is operated and maintained 

according to the manufacturer’s emission-related operation and maintenance (O&M) requirements or the 

owner or operator’s own maintenance plan. It is expected that the majority of owners and operators are 

already following some type of O&M requirements and little additional burden is expected. Therefore, 

minimal recordkeeping costs were estimated at 1 hour per year for each engine at a technical labor rate of 

$72 per hour. Owners and operators of SI engines that are subject to management practices are not subject to 

any reporting requirements and therefore no reporting costs were estimated for these engines. Existing nonemergency 4-stroke SI engines greater than 500 HP at area sources are predominantly located in sparsely 

populated areas; more specifically, according to industry information, about 90 percent of these engines are 

in Class 1 areas. 

Engines in Populated Areas

Existing stationary non-emergency 4SLB and 4SRB SI engines greater than 500 HP at area sources 

that are not in remote areas are subject to an equipment standard under the amendments that would require 

the use of a catalyst. Under the amendments, existing stationary non-emergency 4SLB SI engines do not 

have to meet numeric emission limits, but have to demonstrate by testing that the catalyst is achieving a 93 

percent carbon monoxide (CO) reduction or that CO emissions at the engine exhaust do not exceed 47 parts 

per million by volume, dry basis (ppmvd). Existing stationary non-emergency 4SRB engines are required to 

demonstrate via testing that the catalyst is reducing CO by 75 percent or more, or alternatively that total 

hydrocarbons (THC) emissions are being reduced by 30 percent or more. Alternatively, 4SRB engines can 

demonstrate compliance with a CO concentration level of 270 ppmvd at 15 percent O2. 

 Given that owners and operators would still have to use add-on controls on their engines and the 

same catalyst performance is expected as previously estimated, and because pollutant reductions estimated 

for the 2010 rule are conservatively based on the average control efficiencies observed during EPA’s testing 

program at Colorado State University (CSU) for 4SLB engines and industry testing for 4SRB engines, the 

same emissions reductions estimated for the 2010 rule are expected under the amendments for existing 

stationary non-emergency 4SLB and 4SRB SI engines greater than 500 HP at area sources in populated 

areas. The control efficiencies are documented in the memorandum “Impacts Associated with NESHAP for 

Existing Stationary SI RICE” available from www.regulations.gov as Document ID Numbers EPA-HQOAR-2008-0708-0542, 

 The changes are expected to lower costs in terms of monitoring and testing expenses. Under the 

amendments, owners and operators no longer have to perform monthly measurements of the pressure drop 

across the catalyst. Owners and operators are still be required to monitor the catalyst inlet temperature or use 

a high temperature shutdown device to protect the catalyst, but they do not have to continuously record the 

catalyst inlet temperature. High temperature shutdown devices are typical on engines and the EPA has 
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3 

assumed that all the engines will already have such a device installed on their units. Therefore, no cost has 

been estimated for this requirement. The costs would be further reduced for 4SRB SI engines because the 

rule will allow less expensive CO and THC testing in place of formaldehyde testing, which is more 

expensive. 

 Non-emergency engines in populated areas will continue to be subject to the same recordkeeping and 

reporting requirements as required in 2010 rule, such as reading instructions, training personnel, submitting 

an initial notification, and submitting semi-annual compliance reports. It is estimated that a total of 14 hours 

will be needed, including 4 hours for reading the rule, 4 hours for training, and 6 hours for preparing and 

submitting notifications and compliance reports. Existing non-emergency 4-stroke engines greater than 500 

HP at area sources in populated areas account for 10 percent of the total population of 4-stroke engines 

above 500 HP at area sources, according to industry estimates. 

THC Compliance Demonstration Option

 In addition to a reduction in testing costs discussed for existing 4-stroke engines at area sources and 

the estimated cost impacts presented in Table 2, additional savings are expected for owners and operators of 

existing and new stationary 4SRB engines above 500 HP located at major sources. Owners and operators of 

these engines currently have the option of either limiting the concentration of formaldehyde or reducing 

formaldehyde emissions, a requirement that was promulgated as part of the original 2004 RICE NESHAP 

rulemaking. The amendments provide these owners and operators an alternative THC compliance 

demonstration option. It is expected that owners and operators will take advantage of the THC testing option 

as opposed to testing for formaldehyde, but the number of engines that will be tested for THC instead of 

formaldehyde is unknown. Therefore, the specific cost savings associated with this amendment has not been 

calculated, however, it is expected that the testing burden will be substantially reduced. The cost of 

formaldehyde stack testing used to estimate testing costs for the 2004 rule was close to $6,000. Estimates 

available today indicate that CO or THC testing can be performed for around $1,000. Subsequently, it is 

possible that cost savings related to performance testing could be as high as 80 percent. 

Emergency DR

 The EPA is increasing the DR allowance for stationary emergency engines. The amendments would 

increase the DR allowance for emergency engines from 15 hours per year (hrs/yr) to an allowance of 100 

hrs/yr that would include operation for maintenance and testing purposes and DR operation. Engines greater 

than 300 HP that operate for more than 15 hrs/yr for emergency DR must use ultra low sulfur diesel (ULSD) 

and report on an annual basis the dates and times the engines operated for emergency DR purposes. 

 To estimate emissions from emergency engines the EPA has previously estimated that these types of 

engines would on average operate for 50 hrs/yr. The average hours of operation for emergency engines is not 

expected to change based on the amendments and 50 hrs/yr is still believed to be representative of average 

emergency engine operation. Therefore, the emissions previously calculated remain appropriate. In terms of 

any revenue generated from participation in DR programs, the EPA expects owners and operators will 

benefit financially, however, the EPA does not know to what extent. The EPA expects there will be savings 

and/or income generated through participation in emergency DR programs, but the EPA has not accounted 

for any potential revenue in estimating the costs and benefits of the amendments. It is uncertain how many 

engines participate in these programs and how frequently stationary emergency engines would operate if 

they are called upon. According to data from DR programs in ISO-NE and PJM territories backup generation 
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4 

was dispatched for less than 30 hours during the summers of 2008, 2009 and 2010.a Another example of 

emergency engines operating infrequently for DR programs can be found in Table 1 of a 2010 letter from 

EnerNOC to EPAb

 that presents a summary of emergency DR events in New England. According to 

EnerNOC, emergency engines have only been called upon three times in New England, where the duration 

of the events was 3.75, 5.95 and 16.5 hours in 2006, 2005, and 2003, respectively. Other factors, such as the 

annual revenue from DR programs (which varies), are also uncertain making it problematic to estimate the 

economic benefit of such programs. As such, the EPA has not estimated any costs associated with the 

emergency engine amendments. 

 For the final rule, the EPA is requiring that if engines greater than 300 HP exceed or agree to be 

available for more than15 hrs/yr for emergency DR that the owners/operators use ULSD fuel and report 

annually the dates and times the engines operated for emergency DR purposes. The rule requires 

owners/operators to being using ULSD on January 1, 2015. Owners and operators would have to begin 

tracking engine operation for the 2015 calendar year and submit the first annual report early in 2016 that 

would cover 2015. The costs associated with other requirements of the rule discussed in this memorandum 

have been assessed for 2013, the year owners and operators will have to start complying with the rule. 

However, the costs associated with ULSD fuel and annual reporting would not be incurred in 2013, but will 

start later in 2015/2016, which for NESHAPs is outside the typical time period the EPA presents estimates 

for. 

 With that said, conducting a complete estimate of the total impact of the ULSD requirement 

associated with operating for more than 15 hrs/yr for emergency DR in any year is still not possible because 

the number of engines that would be affected by this requirement is unknown. The EPA does not know the 

number of engines that will be operated for emergency DR and the EPA does not know how many of those 

engines would operate for more than 15 hrs/yr. 

 The EPA believes the ULSD cost would be balanced out by the reduced engine maintenance that is 

expected from using this fuel. Also, the cost difference between ULSD fuel and higher sulfur fuel is small, 

especially considering that the yearly operation for emergency DR would be limited to no more than 100 

hours per year, and subsequently also the fuel consumption. As of July 2012, the pre-tax cost of ULSD to the 

end user was $3.003 per gallon.c

 The cost of other No. 2 diesel fuels ranged from $2.753 to $2.989 per 

gallon, depending on the sulfur content and other fuel characteristics. The difference in fuel costs could 

therefore range from 1.4 to 25 cents per gallon between ULSD and various No. 2 diesel fuels. At the end of 

July 2012, the cost of residual fuel oil was $2.406, which compared to the cost of ULSD is about 60 cents 

per gallon higher. 

 Based on the amount of and heating value of the fuel currently used by these engines, switching to 

ULSD fuel would have a small cost impact because the engines are used so infrequently. Based on the lower 

heating value of U.S. conventional diesel of 128,450 Btu/gald

, a 300 HP engine operating for 100 hrs/yr may 

use approximately 1,560 gal diesel/yr. Therefore, the fuel cost differential of switching from No. 2 diesel 

 

a Memorandum from Stacy Angel, Synapse Energy Economics, Inc. to Doug Hurley, Synapse Energy Economics. 

Sample Revenue for a 1 MW Backup Generation Unit. June 27, 2011.

b Attachment 2 to Letter from Richard H. Counihan, EnerNOC to Melanie King, EPA. February 11, 2011.EPA-HQOAR-2008.0708-0748.2. 

c Refiner Petroleum Product Prices by Sales Type. Sales to End Users. 

http://www.eia.gov/dnav/pet/pet_pri_refoth_dcu_nus_m.htm. July 2012. d

 http://cta.ornl.gov/bedb/appendix_a/Lower_and_Higher_Heating_Values_of_Gas_Liquid_and_Solid_Fuels.pdf. 

Deleted: and reporting 

Deleted: s
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5 

fuel to ULSD may cost between $22 and $391 on an annual basis for each engine, as a rough estimate. Based 

on the lower heating value, switching from residual fuel oil to ULSD may cost $860 per year, depending on 

the residual fuel oil quality, hours of operation, and size of the engine. 

 Regarding the impact of the requirement to report emergency DR operation, the EPA anticipates that 

in most cases, the entity that dispatches the engines to operate, such as the curtailment service provider or 

utility, will report the information to EPA on behalf of the facility that owns the engine. Thus, the burden of 

the reporting requirement will likely be on the entities that dispatch the engines. The number of entities is 

uncertain, but the EPA was able to obtain estimates from the National Rural Electric Cooperative 

Association of the number of cooperatives that have engines participating in demand response. The NRECA 

estimated that approximately 446 local utilities would engage in the reporting requirement. The EPA 

estimates that each utility would spend approximately 16 hours per year reporting the information to the 

EPA. This results in an estimated burden of 7,128 hours at a cost of $610,000 per year, beginning in the year 

2015. The EPA also received information from one curtailment service provider, EnerNOC, who estimated 

the burden of the requirement to be 1,000 hours at a cost of $60,000 in the first year of implementation, 

2015, and 250 hours at a cost of $15,000 in subsequent years. Using an estimated number of 70 curtailment 

service providers nationwide that are operating engines for emergency demand response, the burden for 

curtailment service providers would be 70,000 hours at a cost of $4.2 million in the first year of 

implementation, 2015, and 17,500 hours at a cost of $1 million in subsequent years. Summing the totals for 

the cooperatives and curtailment service providers yields a total of 77,128 labor hours at a cost of $4.8 

million in the first year that reporting is required, 2015, and 24,628 labor hours at a cost of $1.7 million in 

subsequent years.

 Finally, as discussed above, the EPA has not estimated the increased revenue from DR participation 

by generators with emergency engines, which would likely offset some of the costs (if not all) associated 

with the ULSD and reporting requirements. Therefore, the EPA believes it is justified in not quantifying 

these costs that begin to be incurred in 2016, which, as discussed, will be difficult to fully estimate. 

Stationary Agricultural RICE

 The EPA is specifying that certified Tier 3 existing stationary compression ignition (CI) engines at 

area sources that were installed before June 12, 2006, are automatically be in compliance with the NESHAP 

and are not be subject to aftertreatment-forcing standards. This means that these engines will not be required 

to install add-on controls and subsequently no emission reduction has been estimated for this group of 

engines. The EPA is no longer accounting for a reduction in emissions from these engines effectively 

lowering the estimate of emissions reductions previously estimated for the 2010 rule. In California, San 

Joaquin Valley has identified 17 Tier 3 CI engines installed between January 1 and June 12, 2006, which is 

the number of engines that EPA has used to estimate the impacts of this amendment. 

 In addition, the EPA is specifying that certified Tier 1 and Tier 2 existing stationary CI engines 

greater than 300 HP at area sources that will be replaced within the next few years due to state/local rules are 

subject to management practices until 2015, after which the numeric emission limits of the NESHAP apply. 

In California there are 49 of these Tier 1 engines and 360 of these Tier 2 engines, which are the number of 

engines the EPA has used to estimate the impacts of this amendment. The EPA has not estimated any 

emissions reductions or control costs under the RICE NESHAP for these 409 stationary Tier 1 and Tier 2 

certified CI engines in the year 2013. 

Deleted: The costs associated with the reporting 

requirements would be minimal since facilities are 

already required to keep records. Because the 

number of engines that would be reporting the 

dates/times of emergency DR operation is not 

known, a total estimate cannot be generated. In terms 

of the effort to submit annual reports, it is expected 

that one hour per year per facility would be sufficient 

to comply with this requirement. As of June 2012, 

the total compensation for management/professional 

staff was $51.23e

. Adjusting this compensation rate 

by applying an overhead rate of 167 percent yields a 

total wage rate of $85.60, which is expected to cover 

the reporting requirement.
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6 

Remote Stationary RICE in Alaska

The EPA is also broadening the definition of remote area sources of Alaska in the RICE NESHAP. 

Currently, remote areas are those that are not on the Federal Aid Highway System (FAHS). This change 

permits existing stationary CI engines at other remote area sources in Alaska to meet management practices 

as opposed to emission standards likely necessitating aftertreatment. However, the EPA is unable to quantify 

the number of engines in remote areas of Alaska that would be able to qualify for this provision. Therefore, it 

was not possible to assess the environmental and economic impacts associated with this amendment. The 

EPA does not know how many facilities would be considered remote and does not have any information on 

how many engines are affected. 

While the EPA does not have sufficient information to quantify the total impact of this change, the 

EPA can provide an example of the impact for an individual facility. For instance, the Bailey Power Plant 

operated by the Ketchikan Public Utilities has four (4) stationary diesel engines. Two (2) rated at 4,500 

kilowatt (KW), one (1) rated at 6,450 KW and one (1) rated at 10,500 KW. If these four engines would be 

subject to management practices instead of aftertreatment, the lost HAP reductions is estimated to be 1.3 tpy 

total from the four engines. The lost CO, PM, and VOC emissions are estimated at 1 tpy, 3.7 tpy, and 35 tpy, 

respectively, in total from these four engines. Under the amendments, the facility would avoid total capital 

costs associated with required aftertreatment of over $960,000. The facility would avoid annual expenditures 

related to aftertreatment operating and maintenance costs of more than $176,000 per year, if management 

practices only are required for these engines. 

A summary of the emission reductions associated with the amendments and those estimated for the 

2010 final rule are presented in Table 1. 

Table 1. Summary of Pollutant Reductions for Existing Stationary RICEf

Pollutant 

Emission Reductions (tpy) in the year 2013 

Previous Estimate 

(2010 Final Rule) 

RICE Reconsideration 

(2012 Amendments)

CI SI CI SI 

HAP 1,014 6,008 1,005 1,778 

CO 14,342 109,321 14,238 22,211 

PM 2,844 N/A 2,818 N/A 

NOx N/A 96,479 N/A 9,648 

VOC 27,395 30,907 27,142 9,147 

Tables 2 and 3 present the pollutant reductions by HP and by area/major sources for the SI and CI portion of 

the rule, respectively. 

 

f The estimates presented in Tables 1 through 6 are for existing stationary RICE less than or equal to 500 HP located at 

major sources and existing stationary RICE located at area sources. 
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7 

Table 2. Pollutant Reductions for Existing Stationary SI RICE – by HPb

Size Range (HP) Emission Reductions (tpy) in the year 2013 

HAP CO NOx VOC 

Major Sources 

25-50 0 0 0 0 

50-100 0 0 0 0 

100-175 744 7,124 0 3,826 

175-300 277 2,653 0 1,424 

300-500 288 2,755 0 1,480 

500-600 N/A N/A N/A N/A 

600-750 N/A N/A N/A N/A 

>750 N/A N/A N/A N/A 

Total Major 1,308 12,532 0 6,730 

Area Sources 

25-50 0 0 0 0 

50-100 0 0 0 0 

100-175 0 0 0 0 

175-300 0 0 0 0 

300-500 0 0 0 0 

500-600 101 2,070 2,063 517 

600-750 22 453 452 113 

>750 347 7,156 7,133 1,787 

Total Area 470 9,679 9,648 2,418 

Total 1,778 22,211 9,648 9,147 

 
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Table 3. Pollutant Reductions for Existing Stationary CI RICE – by HPb

Size Range (HP) Emission Reductions (tpy) in the year 2013 

HAP CO PM VOC 

Major Sources 

50-100 0 0 0 0 

100-175 44 2,072 123 1,183 

175-300 57 1,571 161 1,549 

300-500 145 2,362 407 3,923 

500-600 18 209 50 478 

600-750 11 107 31 300 

>750 36 236 102 982 

Total Major 312 6,558 874 8,416 

Area Sources 

50-100 0 0 0 0 

100-175 0 0 0 0 

175-300 0 0 0 0 

300-600 363 5,244 1,017 9,798 

600-750 91 879 256 2,463 

>750 239 1,557 671 6,466 

Total Area 693 7,680 1,944 18,727 

Total 1,005 14,238 2,818 27,142 

 A summary of the costs associated with the amendments and those estimated for the 2010 final rule 

are presented in Table 4. All costs were converted to 2010 dollars for purposes of presenting costs associated 

with the rule in present day terms. However, because the costs estimated for the 2010 rule were in 2008 and 

2009 dollars for the CI and SI engine portion of the rule, respectively, the costs for the amendments in Table 

2 are also shown in those years in order to be able to compare on a consistent basis. Tables 5 and 6 present 

the cost impacts by NAICS code for the SI and CI portion of the rule, respectively. 

Table 4. Summary of Cost Impacts for Existing Stationary RICEb 

Engine Previous Estimate 

(2010 Final Rule) 

RICE Reconsideration 

(2012 Amendments) 

Total Annual Cost 

SI $253 million 

($2009) 

$251 million 

($2010) 

$115 million 

($2009) 

$115 million 

($2010) 

CI $373 million 

($2008) 

$375 million 

($2010) 

$372 million 

($2008) 

$373 million 

($2010) 

Total Capital Cost 

SI $383 million 

($2009) 

$380 million 

($2010) 

$103 million 

($2009) 

$103 million 

($2010) 

CI $744 million 

($2008) 

$748 million 

($2010) 

$737 million 

($2008) 

$740 million 

($2010) 
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9 

 Please refer to the memoranda entitled “Impacts Associated with NESHAP for Existing Stationary CI 

RICE” and “Impacts Associated with NESHAP for Existing Stationary SI RICE” available from 

www.regulations.gov as Document ID Numbers EPA-HQ-OAR-2008-0708-0329 and EPA-HQ-OAR-2008-

0708-0542 for additional assumptions and further information on the 2010 rule estimates. 

The EPA used cost indicies in order to convert between 2008, 2009, and 2010 dollars. Specifically, 

the Marshall & Swift (M&S) Equipment Cost Index for the different years were applied to total cost 

estimates to convert the costs to a specific year. To convert the 2009 costs associated with the existing SI 

engine portion of the rule to 2010 dollars, the EPA divided the total cost by the M&S Annual Index for 2009 

(1,468.6) and multiplied the resulting cost by the M&S Equipment Cost Index for 2010 (1,457.4). Similarly, 

to convert from 2008 dollars, which was the year the costs were previously presented for the existing CI 

engine portion of the rule, the EPA divided the total cost by the M&S Annual Index for 2008 (1,449.3) and 

multiplied the resulting cost by the M&S Annual Index for 2010 (1,457.4). 
10 

Table 5. Summary of Cost Impacts for Existing Stationary SI RICE – by NAICS (2009 Dollars) 

NAICS Major Source Area Source Total (Major + Area) 

Capital Cost Annual Cost Capital Cost Annual Cost Capital Cost Annual Cost 

Electric Power Generation (2211) $52,905,258 $63,062,494 $11,698,144 $12,138,277 $64,603,403 $75,200,772 

Natural Gas Transmission (48621) $1,484,494 $1,462,530 $13,718,381 $6,142,839 $15,202,876 $7,605,369 

Crude Petroleum & NG Production (211111) $4,561,236 $6,138,383 $71,439 $951,462 $4,632,675 $7,089,844 

Natural Gas Liquid Producers (211112) $4,561,236 $6,138,383 $71,439 $951,462 $4,632,675 $7,089,844 

National Security (92811) $5,878,362 $7,006,944 $1,299,794 $1,348,697 $7,178,156 $8,355,641 

Hydro Power Units (335312) $0 $25,248 $0 $37,872 $0 $63,120 

Irrigation Sets (335312) $3,025,050 $3,230,856 $3,285,890 $4,999,041 $6,310,940 $8,229,896 

Welders (333992) $247,440 $679,896 $0 $570,130 $247,440 $1,250,027 

Total $72,663,076 $87,744,734 $30,145,088 $27,139,780 $102,808,163 $114,884,514 

Table 6. Summary of Cost Impacts for Existing Stationary CI RICE – by NAICS (2008 Dollars) 

NAICS Major Source Area Source Total (Major + Area) 

Capital Cost Annual Cost Capital Cost Annual Cost Capital Cost Annual Cost 

Electric Power Generation (2211) $161,766,376 $90,982,105 $464,947,798 $202,463,116 $626,714,174 $293,445,222 

Hospitals (622110) $20,220,797 $11,372,763 $0 $0 $20,220,797 $11,372,763 

Crude Petroleum & NG Production (211111) $2,374,401 $3,807,478 $1,590,115 $2,597,836 $3,964,516 $6,405,314 

Natural Gas Liquid Producers (211112) $2,374,401 $3,807,478 $1,590,115 $2,597,836 $3,964,516 $6,405,314 

National Security (92811) $20,220,797 $11,372,763 $51,660,866 $22,495,902 $71,881,663 $33,868,665 

Hydro Power Units (335312) $0 $16,637 $0 $22,959 $0 $39,597 

Irrigation Sets (335312) $10,294,073 $11,791,567 $34,145 $5,208,084 $10,328,218 $16,999,651 

Welders (333992) $108,260 $1,481,447 $0 $1,881,380 $108,260 $3,362,827 

Total $217,359,106 $134,632,238 $519,823,039 $237,267,114 $737,182,145 $371,899,352 
11 

Stationary Diesel RICE on OCS Vessels and Rigs

In the original assessment of affected sources that would be covered by the amendments, the 

EPA did not consider that there could be circumstances during which stationary CI RICE on Outer 

Continental Shelf (OCS) vessels could be considered stationary and consequently subject to the RICE 

NESHAP. Therefore, impacts from these units were not assessed in the proposed rule impacts analysis 

dated May 10, 2012 (EPA-HQ-OAR-2008-0708-0857). The engines in question would be larger than 

500 HP and would be considered area sources when they become stationary sources during drilling in 

the OCS. Consequently, under the proposed rule, these engines would have been subject to emission 

standards outlined in Table 2d of the proposal. Meeting the emission standards under the proposal would 

likely have required the use of add-on controls, namely oxidation catalyst, in this case. 

Comments received on the June 7, 2012, proposed rule argued that there are feasibility issues 

with complying with the RICE NESHAP for stationary diesel engines on offshore vessels and 

platforms/rigs. Specifically, according to commenters, OCS facilities face strict weight and space 

constraints for instance, which limit control and testing options. To comply with the requirements of the 

RICE NESHAP would not be cost effective, according to commenters. Instead, commenters with 

sources on the OCS affected by the RICE NESHAP requested that stationary engines in these locations 

be permitted to comply with the rule by following maintenance practices, similar to those required for 

smaller (less than 300 HP) existing stationary diesel engines. 

Based on information obtained from EPA Regional Offices, the EPA has identified that in 2013 

there are expected to be up to 5 vessels or drilling rigs operating on the OCS that would be subject to the 

RICE NESHAP as existing sources. Specifically, based on available information obtained from EPA 

Regions 4 and 10, there would be one drillship in the Chukchi Sea on the Alaska OCS and four drilling 

rigs or drillships on the OCS of the Gulf of Mexico. The EPA estimated baseline HAP emissions from 

these units according to information available in their permits. To be conservative and to estimate the 

worst-case scenario, HAP emissions were estimated based the maximum allowable amount of operation 

per drilling season. A summary of the estimated HAP emissions for 2013 are presented in Table 7. 

Table 7. Total Baseline HAP Emissions from Stationary Engines on OCS Vessels 

Based on Projected Activity for 2013 

Vessel/Rigg tons/yr lb/yr

Deepwater Nautilus 2.13E-01 426 

Discoverer Spirit 4.76E-03 10 

Discoverer 1.13E-01 226 

Pathfinder 6.85E-01 1,369 

DD1 7.34E-01 1,469 

 

Total: 1.75h 3,500 

As indicated in Table 7, baseline emissions from stationary engines on OCS sources are low and 

represent a small amount of total emissions (less than 0.06 percent) from all stationary diesel engines in 

the U.S. It is unlikely that in the event that the final rule did not allow these engines to comply with the 

rule by following maintenance practices that these units would be equipped with oxidation catalyst. 

 

g These are known vessels/rigs that are currently permitted, but similar rigs may be used from year to year. 

h

 Note that the HAP emissions are conservative estimates and may be higher than actual emissions from these sources. 
DRAFT – DELIBERATIVE – DO NOT CITE OR QUOTE 

12 

More than likely, owners and operators of these engines would have sought a technical infeasibility 

exemption under 40 CFR 55.7, and if granted, these engines would not have been required to use 

oxidation catalyst or any other HAP-reducing control technology. The exemption would have required 

the engines to employ a substitute requirement in place of the original RICE NESHAP requirements, 

which may have involved measures to offset the emissions from these engines. However, the amount of 

HAP emissions that would have been offset is unknown and the EPA is not able to estimate the 

magnitude of those emissions in the absence of requiring maintenance practice for these engines. Also, 

according to Region 4, because the only criteria pollutants the RICE NESHAP requires are CO and 

formaldehyde as VOC, it is possible that under the exemption only offsets for these pollutants would be 

required. Also, the EPA has the discretion to set the offset ratio to ensure onshore standards and 

increments are met. Therefore, it is not possibly to quantify the potential offsets that would be required, 

if the engines were to seek a technical infeasibility exemption under 40 CFR part 55. 
***E.O. 12866 Review – Draft – Do Not Cite, Quote, or Release During Review*** 

E.O. 12866 RICE Reconsideration 2060-AQ58 Final 2013011

6560-50-P 

ENVIRONMENTAL PROTECTION AGENCY 

40 CFR Part 63 

[EPA-HQ-OAR-2008-0708, FRL-9756-4] 

RIN 2060-AQ58 

National Emission Standards for Hazardous Air Pollutants for 

Reciprocating Internal Combustion Engines; New Source 

Performance Standards for Stationary Internal Combustion Engines 

AGENCY: Environmental Protection Agency (EPA). 

ACTION: Final rule. 

SUMMARY: The EPA is finalizing amendments to the national 

emission standards for hazardous air pollutants for stationary 

reciprocating internal combustion engines. The final amendments 

include alternative testing options for certain large spark 

ignition (generally natural gas-fueled) stationary reciprocating 

internal combustion engines, management practices for a subset 

of existing spark ignition stationary reciprocating internal 

combustion engines in sparsely populated areas and alternative 

monitoring and compliance options for the same engines in 

populated areas. The EPA is establishing management practices 

for existing compression ignition engines on offshore vessels. 

The EPA is also finalizing limits on the hours that stationary 

emergency engines may be used for emergency demand response and 

Deleted: 20130109

Deleted: XXXX-Y
***E.O. 12866 Review – Draft – Do Not Cite, Quote, or Release During Review*** 

Page 2 of 228 

establishing fuel and reporting requirements for certain 

emergency engines used for emergency demand response. The final 

amendments also correct minor technical or editing errors in the 

current regulations for stationary reciprocating internal 

combustion engines. 

DATES: This final rule is effective on [INSERT DATE 60 DAYS 

AFTER PUBLICATION IN THE FEDERAL REGISTER]. The incorporation by 

reference of certain publications listed in this final rule is 

approved by the Director of the Federal Register as of [INSERT 

DATE 60 DAYS AFTER PUBLICATION IN THE FEDERAL REGISTER]. 

ADDRESSES: The EPA has established a docket for this action 

under Docket ID No. EPA-HQ-OAR-2008-0708. The EPA also relies on 

materials in Docket ID Nos. EPA-HQ-OAR-2002-0059, EPA-HQ-OAR2005-0029, and EPA-HQ-OAR-2005-0030 and incorporates those 

dockets into the record for this final rule. All documents in 

the docket are listed on the www.regulations.gov website. 

Although listed in the index, some information is not publicly 

available, e.g., Confidential Business Information or other 

information whose disclosure is restricted by statute. Certain 

other material, such as copyrighted material, is not placed on 

the Internet and will be publicly available only in hard copy 

form. Publicly available docket materials are available either 

electronically through www.regulations.gov or in hard copy at 

the Air and Radiation Docket, EPA/DC, EPA West, Room 3334, 1301 
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Page 3 of 228 

Constitution Ave., NW, Washington, DC. The Public Reading Room 

is open from 8:30 a.m. to 4:30 p.m., Monday through Friday, 

excluding legal holidays. The telephone number for the Public 

Reading Room is (202) 566-1744, and the telephone number for the 

Air Docket is (202) 566-1742.

FOR FURTHER INFORMATION CONTACT: Ms. Melanie King, Energy 

Strategies Group, Sector Policies and Programs Division (D243-

01), Environmental Protection Agency, Research Triangle Park, 

North Carolina 27711; telephone number (919) 541-2469; facsimile 

number (919) 541-5450; email address king.melanie@epa.gov. 

SUPPLEMENTARY INFORMATION: Background Information Document. On 

June 7, 2012 (77 FR 33812), the EPA proposed amendments to the 

national emission standards for hazardous air pollutants 

(NESHAP) for stationary reciprocating internal combustion 

engines (RICE) and the new source performance standards (NSPS) 

for stationary engines. A summary of the public comments on the 

proposal and the EPA’s responses to the comments, as well as the 

Regulatory Impact Analysis Report, are available in Docket ID 

No. EPA–HQ–OAR–2008–0708. 

SUPPLEMENTARY INFORMATION: Organization of This Document. The 

following outline is provided to aid in locating information in 

the preamble. 

I. General Information 

A. Executive Summary 

B. Does this action apply to me? 
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Page 4 of 228 

C. Where can I get a copy of this document? 

D. Judicial Review 

II. Summary of Final Amendments 

A. Total Hydrocarbon Compliance Demonstration Option 

B. Emergency Demand Response and Reliability 

C. Peak Shaving 

D. Non-Emergency Stationary SI RICE Greater than 500 HP Located 

at Area Sources 

E. Stationary CI RICE Certified to Tier Standards 

F. Definition for Remote Areas of Alaska 

G. Requirements for Offshore Vessels 

H. Miscellaneous Corrections and Revisions 

III. Summary of Significant Changes Since Proposal 

A. Emergency Demand Response and Reliability 

B. Peak Shaving 

C. Non-Emergency Stationary SI RICE Greater than 500 HP Located 

at Area Sources 

D. Definition for Remote Areas of Alaska 

E. Requirements for Offshore Vessels 

IV. Summary of Environmental, Energy and Economic Impacts 

A. What are the air quality impacts? 

B. What are the cost impacts? 

C. What are the benefits? 

D. What are the non-air health, environmental and energy 

impacts? 

V. Statutory and Executive Order Reviews 

A. Executive Order 12866: Regulatory Planning and Review and 

Executive Order 13563: Improving Regulation and Regulatory 

Review 

B. Paperwork Reduction Act 

C. Regulatory Flexibility Act 

D. Unfunded Mandates Reform Act 

E. Executive Order 13132: Federalism 

F. Executive Order 13175: Consultation and Coordination with 

Indian Tribal Governments 

G. Executive Order 13045: Protection of Children from 

Environmental Health Risks and Safety Risks 

H. Executive Order 13211: Actions Concerning Regulations that 

Significantly Affect Energy Supply, Distribution, or Use 

I. National Technology Transfer and Advancement Act 

J. Executive Order 12898: Federal Actions to Address 

Environmental Justice in Minority Populations and Low-Income 

Populations 

K. Congressional Review Act 

I. General Information 
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Page 5 of 228 

A. Executive Summary

1. Purpose of the Regulatory Action 

The purpose of this action is to finalize amendments to the 

NESHAP for stationary RICE under section 112 of the Clean Air 

Act (CAA). This final rule was developed to address certain 

issues that were raised by various stakeholders through 

lawsuits, several petitions for reconsideration of the 2010 RICE 

NESHAP amendments and other communications. This final rule also 

provides clarifications and corrects minor technical or editing 

errors in the current RICE NESHAP and revises the NSPS for 

stationary engines, 40 CFR part 60, subparts IIII and JJJJ, for 

consistency with the RICE NESHAP. 

This action is conducted under the authority of section 112 

of the CAA, “Hazardous Air Pollutants” (HAP), which requires the 

EPA to establish NESHAP for the control of HAP from both new and 

existing sources in regulated source categories. 

2. Summary of the Major Provisions of the Regulatory Action 

After promulgation of the 2010 RICE NESHAP amendments, the 

EPA received several petitions for reconsideration, legal 

challenges, other communications raising issues related to 

practical implementation and certain factual information that 

had not been brought to the EPA’s attention during the 

rulemaking. The EPA has considered this information and comments 

submitted in response to the proposed amendments, and believes 
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Page 6 of 228 

that amendments to the rule to address certain issues are 

appropriate. Therefore, the EPA is finalizing amendments to 40 

CFR part 63, subpart ZZZZ, NESHAP for stationary RICE. The 

current regulation applies to owners and operators of existing 

and new stationary RICE at major and area sources of HAP 

emissions. The applicability of the rule remains the same and is 

not changed by this final rule. The EPA is also finalizing 

amendments to the NSPS for stationary engines to conform with 

certain amendments finalized for the RICE NESHAP. The key 

amendments to the regulations are summarized in the following 

paragraphs. 

The EPA is adding an alternative compliance demonstration 

option for stationary 4-stroke rich burn (4SRB) spark ignition 

(SI) engines subject to a 76 percent or more formaldehyde 

reduction requirement. Owners and operators of 4SRB engines will 

be permitted to demonstrate compliance with the 76 percent 

formaldehyde reduction emission standard by testing emissions of 

total hydrocarbons (THC) and showing that the engine is 

achieving at least a 30 percent reduction of THC emissions. The 

alternative compliance option provides a less expensive and less 

complex, but equally effective, method for demonstrating 

compliance than testing for formaldehyde. 

Certain stationary RICE are maintained in order to be able 

to respond to emergency power needs. This action finalizes 
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Page 7 of 228 

limitations on the operation of emergency engines for emergency 

demand response programs. The final rule limits operation of 

stationary emergency RICE as part of an emergency demand 

response program to within the 100 hours per year that were 

already permitted for maintenance and testing of the engines. 

The limitation of 100 hours per year ensures that a sufficient 

number of hours are available for engines to meet regional 

transmission organization and independent system operator 

tariffs and other requirements for participating in various 

emergency demand response programs and will assist in 

stabilizing the grid during periods of instability, preventing 

electrical blackouts and supporting local electric system 

reliability. The final rule also limits operation of certain 

emergency engines used to avert potential voltage collapse or 

line overloads that could lead to the interruption of power 

supply in a local area or region to 50 hours per year; this 

operation counts as part of the 100 hours of year permitted for 

maintenance and testing of the engine. This rule also 

establishes fuel and reporting requirements for emergency 

engines larger than 100 horsepower (HP) used for this purpose or 

used (or contractually obligated to be available) for more than 

15 hours of emergency demand response per calendar year. 

 The EPA is finalizing management practices for owners and 

operators of existing stationary 4-stroke SI engines above 500 
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Page 8 of 228 

HP that are area sources of HAP emissions and where the engines 

are remote from human activity. A remote area is defined as 

either a Department of Transportation (DOT) Class 1 pipeline 

location1

, or, if the engine is not on a pipeline, if within a 

0.25 mile radius of the facility there are 5 or fewer buildings 

intended for human occupancy. The EPA determined that a 0.25 

mile radius was appropriate because it is similar to the area 

used for the DOT Class 1 pipeline location. This final rule 

establishes management practices for these sources rather than 

numeric emission limits and associated testing and monitoring. 

This provision and the division of remote and non-remote engines 

into two separate subcategories addresses reasonable concerns 

with accessibility, infrastructure and staffing that stem from 

the remoteness of the engines and higher costs that would be 

associated with compliance with the existing requirements. 

Existing stationary 4-stroke SI engines above 500 HP at area 

sources that are in populated areas (defined as not in DOT 

pipeline Class 1 areas, or if not on a pipeline, if within a 

0.25 mile radius of the engine there are more than 5 buildings 

intended for human occupancy) are subject to an equipment 

standard that requires the installation of HAP-reducing 

 

1

 A Class 1 location is defined as an offshore area or any class 

location unit that has 10 or fewer buildings intended for human 

occupancy and no buildings with four or more stories within 220 

yards (200 meters) on either side of the centerline of any 

continuous 1-mile (1.6 kilometers) length of pipeline.
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Page 9 of 228 

aftertreatment. The EPA has the discretion to set an equipment 

standard as generally available control technology (GACT) for 

engines located at area sources of HAP. Sources are required to 

test their engines to demonstrate compliance initially, perform 

catalyst activity check-ups and either monitor the catalyst 

inlet temperature continuously or employ high temperature 

shutdown devices to protect the catalyst. 

To address how certain existing compression ignition (CI) 

engines are currently regulated, the EPA is specifying that any 

existing CI engine above 300 HP at an area source of HAP 

emissions that was certified to meet the Tier 3 engine standards2

and was installed before June 12, 2006, is in compliance with 

the NESHAP. This provision creates regulatory consistency 

between the same engines installed before and after June 12, 

2006. Engines at area sources of HAP for which construction 

commenced before June 12, 2006, are considered existing engines 

under the NESHAP. 

The EPA is finalizing amendments to the requirements for 

existing stationary Tier 1 and Tier 2 certified CI engines 

located at area sources that are subject to state and locally 

enforceable requirements requiring replacement of the engine by 

June 1, 2018. This addresses a specific concern regarding the 

 

2

 See 40 CFR part 89-- Control of Emissions from New and In-Use 

Nonroad Compression-Ignition Engines. 
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Page 10 of 228 

interaction of the NESHAP with certain rules for agricultural 

engines in the San Joaquin Valley in California. The EPA is 

allowing these engines to meet management practices under the 

RICE NESHAP from the May 3, 2013, compliance date until January 

1, 2015, or 12 years after installation date, but not later than 

June 1, 2018. This provision addresses concerns about requiring 

owners and operators to install controls on their engines in 

order to meet the RICE NESHAP, and then having to replace their 

engines shortly thereafter due to state and local rules 

specifying the replacement of engines. Owners and operators will 

have additional time to replace their engines without having to 

install controls, but are required to use management practices 

during that period. 

Another change the EPA is making is to broaden the 

definition of remote area sources in Alaska in the RICE NESHAP. 

Previously, remote areas were considered those that are not on 

the Federal Aid Highway System (FAHS). This change permits 

existing stationary CI engines at other remote area sources in 

Alaska to meet management practices rather than numerical 

emission standards likely to require aftertreatment. These 

remote areas have the same challenges as areas not on the FAHS, 

and complying with the current rule would similarly be 

prohibitively costly and potentially infeasible. In addition to 

area sources located in areas of Alaska that are not accessible 
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Page 11 of 228 

by the FAHS being defined as remote and subject to management 

practices, any stationary RICE in Alaska meeting all of the 

following conditions are subject to management practices: 

 (1) The only connection to the FAHS is through the Alaska 

Marine Highway System, or the stationary RICE operation is 

within an isolated grid in Alaska that is not connected to the 

statewide electrical grid referred to as the Alaska Railbelt 

Grid, and 

(2) At least 10 percent of the power generated by the 

stationary RICE on an annual basis is used for residential 

purposes, and 

(3) The generating capacity of the area source is less than 

12 megawatts (MW), or the stationary RICE is used exclusively 

for backup power for renewable energy. 

The last significant change the EPA is finalizing is to 

require compliance with management practices rather than numeric 

emission limits in the RICE NESHAP for existing CI RICE on 

offshore drilling vessels on the Outer Continental Shelf (OCS) 

that become subject to the RICE NESHAP as a result of the 

operation of the OCS regulations (40 CFR part 55). The final 

amendments specify that owners and operators of existing nonemergency CI RICE with a site rating greater than 300 HP on 

offshore drilling vessels on the OCS are required to change the 

oil every 1,000 hours of operation or annually, whichever occurs 
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Page 12 of 228 

first; inspect and clean air filters every 750 hours of 

operation or annually and replace as necessary; inspect fuel 

filters and belts, if installed, every 750 hours of operation or 

annually and replace as necessary; and inspect all flexible 

hoses every 1,000 hours of operation or annually and replace as 

necessary. Owners and operators can elect to use an oil analysis 

program to extend the oil change requirement. 

3. Costs and Benefits 

 These final amendments will reduce the capital and annual 

costs of the original 2010 amendments by $287 million and $139 

million, respectively. The EPA estimates that with these final 

amendments, the capital cost of compliance with the 2010 

amendments to the RICE NESHAP in 2013 is $840 million and the 

annual cost is $490 million ($2010). These costs are identical 

to the costs estimated for the amendments to the RICE NESHAP 

proposed on June 7, 2012, since the changes from the proposal do 

not affect the costs of the rule in the year 2013. The capital 

and annual costs of the original 2010 final rule and the 2010 

final rule with these final amendments incorporated into the 

rule are shown in Table 1. 

Table 1. Summary of Cost Impacts for Existing Stationary RICE

Engine 2010 Final Rule 2010 Final Rule with 

these Final Amendments 

Total Annual Cost

SI $253 million $251 million $115 million ($2010)
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Page 13 of 228 

($2009) ($2010) 

CI $373 million 

($2008) 

$375 million 

($2010) $373 million ($2010)

Total Capital Cost 

SI $383 million 

($2009) 

$380 million 

($2010) $103 million ($2010) 

CI $744 million 

($2008) 

$748 million 

($2010) $740 million ($2010) 

These final amendments would also result in decreases to 

the emissions reductions estimated in 2013 from the original 

2010 RICE NESHAP amendments. The reductions that were estimated 

for the original 2010 RICE NESHAP amendments were 7,000 tpy of 

HAP, 124,000 tpy of CO, 2,800 tpy of PM, 96,000 tpy of NOx and 

58,000 tpy of VOC. The estimated reductions in 2013 from the 

2010 RICE NESHAP rulemaking with these final amendments are 

2,800 tons per year (tpy) of HAP, 36,000 tpy of carbon monoxide 

(CO), 2,800 tpy of particulate matter (PM), 9,600 tpy of 

nitrogen oxide (NOx), and 36,000 tpy of volatile organic 

compounds (VOC). The difference in the emission reductions is 

primarily due to the changes to the requirements for existing 4-

stroke stationary SI RICE at area sources of HAP that are in 

remote areas. These emission reduction estimates are identical 

to those estimated for the June 7, 2012, proposed amendments to 

the RICE NESHAP. The emission reductions of the original 2010 

final rule and the 2010 final rule with these final amendments 

incorporated into the rule are shown in Table 2. 

Table 2. Summary of Reductions for Existing Stationary RICE 
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Page 14 of 228 

Pollutant 

Emission Reductions (tpy) 

in the year 2013 

2010 Final Rule 2010 Final Rule with 

these Final Amendments 

CI SI CI SI

HAP 1,014 6,008 1,005 1,778 

CO 14,342 109,321 14,238 22,211 

PM 2,844 N/A 2,818 N/A 

NOx N/A 96,479 N/A 9,648

VOC 27,395 30,907 27,142 9,147 

The EPA estimates the monetized co-benefits in 2013 of the 

original 2010 RICE NESHAP amendments with these final amendments 

incorporated to be $830 million to $2,100 million (2010 dollars) 

at a 3-percent discount rate and $740 million to $1,800 million 

(2010 dollars) at a 7-percent discount rate. The benefits that 

were estimated for the original 2010 RICE NESHAP amendments were 

$1,500 million to $3,600 million (2010 dollars) at a 3-percent 

discount rate and $1,300 million to $3,200 million (2010 

dollars) at a 7-percent discount rate. A summary of the 

monetized co-benefits estimates for CI and SI engines at 

discount rates of 3 percent and 7 percent for the original 2010 

final rule and the 2010 final rule with these final amendments 

incorporated into the rule is in Table 3 of this preamble. 

Table 3. Summary of the Monetized PM2.5 Co-Benefits Final 

Amendments to the NESHAP for Stationary CI and SI Engines 

(millions of 2010 dollars)a, b
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Page 15 of 228 

Pollutant 

Emission 

reductions 

(tons per 

year) 

Total monetized 

co-benefits 

(3 percent 

Discount) 

Total monetized 

co-benefits 

(7 percent 

Discount) 

Original 2010 Final Rulesc

Stationary CI Engines 

Total 

Benefits 

2,844 PM2.5

27,395 VOC $950 to $2,300 $860 to $2,100 

Stationary SI Engines 

Total 

Benefits 

96,479 NOx 

30,907 VOC $510 to $1,300 $470 to $1,100 

2010 Final Rules with these Final Amendments 

Stationary CI Engines 

Directly 

emitted PM2.5

2,818 $770 to $1,900 $690 to $1,700 

Stationary SI Engines 

NOx 9,648 $62 to $150 $55 to $140 a

 All estimates are for the analysis year (2013) and are rounded 

to two significant figures so numbers may not sum across rows. 

The total monetized co-benefits reflect the human health 

benefits associated with reducing exposure to PM2.5 through 

reductions of PM2.5 precursors, such as NOx and directly emitted 

PM2.5. It is important to note that the monetized co-benefits do 

not include reduced health effects from exposure to HAP, direct 

exposure to NO2, exposure to ozone, ecosystem effects or 

visibility impairment. 

b

 PM co-benefits are shown as a range from Pope, et al. (2002) to 

Laden, et al. (2006). These models assume that all fine 

particles, regardless of their chemical composition, are equally 

potent in causing premature mortality because the scientific 

evidence is not yet sufficient to allow differentiation of 

effects estimates by particle type. 

c

 The benefits analysis for the 2010 final rules applied outdated benefit-per-ton estimates compared to the updated 

estimates described in this preamble and reflected monetized cobenefits for VOC emissions, which limits direct comparability 

with the monetized co-benefits estimated for this final rule. In 

addition, these estimates have been updated from their original 

currency years to 2010$, so the rounded estimates for the 2010 

final rules may not match the original RIAs. 
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Page 16 of 228 

We have not re-estimated the benefits for the final rule 

compared to the proposal because the emission reductions 

estimated for the final rule are the same as those estimated for 

the proposed amendments. Since the June 7, 2012, reconsideration 

proposal, the EPA has made several updates to the approach we 

use to estimate mortality and morbidity benefits in the PM NAAQS 

Regulatory Impact Analysis (RIA),3,4 including updated 

epidemiology studies, health endpoints, and population data. 

Although the EPA has not re-estimated the benefits for this rule 

to apply this new approach, these updates generally offset each 

other, and we anticipate that the rounded benefits estimated for 

this rule are unlikely to be different than those provided 

above. 

More detail regarding the air quality and cost impacts and 

the benefits from this action can be found in section IV of this 

preamble. 

B. Does this action apply to me?

 

3

 U.S. Environmental Protection Agency (U.S. EPA). 2012a. 

Regulatory Impact Analysis for the Proposed Revisions to the

National Ambient Air Quality Standards for Particulate Matter. 

EPA-452/R-12-003. Office of Air Quality Planning and Standards, 

Health and Environmental Impacts Division. June. Available at 

http://www.epa.gov/ttnecas1/regdata/RIAs/PMRIACombinedFile_Bookm

arked.pdf. 

4

 U.S. Environmental Protection Agency (U.S. EPA). 2012b. 

Regulatory Impact Analysis for the Final Revisions to the 

National Ambient Air Quality Standards for Particulate Matter. 

EPA-452/R-12-003. Office of Air Quality Planning and Standards, 

Health and Environmental Impacts Division. December. Available 

at http://www.epa.gov/pm/2012/finalria.pdf.
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Page 17 of 228 

Regulated Entities. Categories and entities potentially 

regulated by this action include:

Category NAICS1 Examples of regulated entities 

Any industry 

using a 

stationary 

internal 

combustion engine 

as defined in the 

final amendments. 

2211 Electric power generation, 

transmission, or distribution. 

622110 Medical and surgical hospitals. 

48621 Natural gas transmission. 

211111 Crude petroleum and natural gas 

production. 

211112 Natural gas liquids producers. 

92811 National security. 

1 North American Industry Classification System. 

This table is not intended to be exhaustive, but rather provides 

a guide for readers regarding entities likely to be regulated by 

this action. To determine whether an engine is regulated by this 

action, owners and operators should examine the applicability 

criteria of this final rule. For any questions regarding the 

applicability of this action to a particular entity, consult the 

person listed in the preceding FOR FURTHER INFORMATION CONTACT

section. 

C. Where can I get a copy of this document?

In addition to being available in the docket, an electronic 

copy of this final action will also be available on the 

Worldwide Web (WWW) through the Technology Transfer Network 

(TTN). Following signature, a copy of this final action will be 

posted on the TTN’s policy and guidance page for newly proposed 

Formatted Table
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Page 18 of 228 

or promulgated rules at the following address: 

http://www.epa.gov/ttn/oarpg/. The TTN provides information and 

technology exchange in various areas of air pollution control. 

D. Judicial Review

Under section 307(b)(1) of the CAA, judicial review of this 

final rule is available only by filing a petition for review in 

the U.S. Court of Appeals for the District of Columbia Circuit 

by [INSERT DATE 60 DAYS AFTER PUBLICATION IN FEDERAL REGISTER]. 

Under section 307(d)(7)(B) of the CAA, only an objection to this 

final rule that was raised with reasonable specificity during 

the period for public comment can be raised during judicial 

review. Moreover, under section 307(b)(2) of the CAA, the 

requirements established by this final rule may not be 

challenged separately in any civil or criminal proceedings 

brought by EPA to enforce these requirements. Section 

307(d)(7)(B) of the CAA further provides that “[o]nly an 

objection to a rule or procedure which was raised with 

reasonable specificity during the period for public comment 

(including any public hearing) may be raised during judicial 

review.” This section also provides a mechanism for us to 

convene a proceeding for reconsideration, “[i]f the person 

raising an objection can demonstrate to the EPA that it was 

impracticable to raise such objection within [the period for 

public comment] or if the grounds for such objection arose after 
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Page 19 of 228 

the period for public comment (but within the time specified for 

judicial review) and if such objection is of central relevance 

to the outcome of the rule.” Any person seeking to make such a 

demonstration to us should submit a Petition for Reconsideration 

to the Office of the Administrator, U.S. EPA, Room 3000, Ariel 

Rios Building, 1200 Pennsylvania Ave., NW., Washington, DC 

20460, with a copy to both the person(s) listed in the preceding 

FOR FURTHER INFORMATION CONTACT section, and the Associate 

General Counsel for the Air and Radiation Law Office, Office of 

General Counsel (Mail Code 2344A), U.S. EPA, 1200 Pennsylvania 

Ave., NW., Washington, DC 20460. 

II. Summary of Final Amendments 

 This action finalizes amendments to the NESHAP for RICE in 

40 CFR part 63, subpart ZZZZ. This action also finalizes 

amendments to the NSPS for stationary engines in 40 CFR part 60, 

subparts IIII and JJJJ. The NESHAP for stationary RICE to 

regulate emissions of HAP was developed in several stages. The 

EPA initially addressed stationary RICE greater than 500 HP 

located at major sources of HAP emissions in 2004 (69 FR 33473). 

The EPA addressed new stationary RICE less than or equal to 500 

HP located at major sources and new stationary RICE located at 

area sources in 2008 (73 FR 3568). Most recently, requirements 

for existing stationary RICE less than or equal to 500 HP 

located at major sources and existing stationary RICE located at 
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area sources were finalized in 2010 (75 FR 9648 and 75 FR 

51570). 

 The EPA is finalizing these amendments to address a number 

of issues that have been raised by different stakeholders 

through lawsuits, several petitions for reconsideration of the 

2010 RICE NESHAP amendments, and other communications. The EPA 

is also finalizing revisions to 40 CFR part 60, subparts IIII 

and JJJJ for consistency with the RICE NESHAP and to make minor 

corrections and clarifications. The amendments that the EPA is 

finalizing in this action are discussed in this section. The 

changes from the proposal to this final rule are discussed in 

section III. 

A. Total Hydrocarbon Compliance Demonstration Option

 The EPA is adding an alternative method of demonstrating 

compliance with the NESHAP for existing and new stationary 4SRB 

non-emergency engines greater than 500 HP that are located at 

major sources of HAP emissions. Under these final amendments, 

the emission standard remains the same, that is, existing and 

new stationary 4SRB engines greater than 500 HP and located at 

major sources are still required to reduce formaldehyde 

emissions by 76 percent or more or limit the concentration of 

formaldehyde in the stationary RICE exhaust to 350 parts per 

billion by volume, dry basis or less at 15 percent oxygen (O2). 

This final rule adds an alternative compliance demonstration 
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option to the existing method of demonstrating compliance with 

the formaldehyde percent reduction standard. The current method 

is to test engines for formaldehyde. The alternative for owners 

and operators of 4SRB engines meeting a 76 percent or more 

formaldehyde reduction is to test their engines for THC showing 

that the engine is achieving at least a 30 percent reduction of 

THC emissions. Including this optional THC compliance 

demonstration option reduces the cost of compliance 

significantly while continuing to achieve the same level of HAP 

emission reduction because the emission standards would remain 

the same. As discussed in the June 7, 2012, proposal, data 

provided to EPA indicate that a strong relationship exists 

between percentage reductions of THC and percentage reductions 

of formaldehyde (the surrogate for HAP emissions in the NESHAP) 

on rich burn engines using non-selective catalytic reduction 

(NSCR). Data analyzed by the EPA indicate that if the NSCR is 

reducing THC by at least 30 percent from 4SRB engines, 

formaldehyde emissions are guaranteed to be reduced by at least 

76 percent, which is the percentage reduction required for the 

relevant engines. Indeed, the percentage reduction of 

formaldehyde is invariably well above the 76 percent level, and 

is usually above 90 percent. Therefore, the EPA concluded that 

for SI 4SRB engines using NSCR and meeting the NESHAP by showing 

a percentage reduction of HAP, it would be appropriate to allow 
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sources to demonstrate compliance with the NESHAP by showing a 

THC reduction of at least 30 percent. Owners and operators of 

existing stationary 4SRB engines less than or equal to 500 HP 

that are required to limit the concentration of formaldehyde in 

the stationary RICE exhaust to 10.3 parts per million by volume, 

dry basis (ppmvd) or less at 15 percent O2 do not have the option 

to demonstrate compliance using THC and must continue to 

demonstrate compliance by testing for formaldehyde following the 

methods and procedures specified in the rule because the EPA 

could not verify a clear relationship between concentrations of 

THC and concentrations of formaldehyde in the exhaust from these 

SI 4SRB engines. 

 Owners and operators opting to use the THC compliance 

demonstration method must demonstrate compliance by showing that 

the average reduction of THC is equal to or greater than 30 

percent. Owners and operators of 4SRB stationary RICE complying 

with the requirement to reduce formaldehyde emissions and 

demonstrating compliance by using the THC compliance 

demonstration option must conduct performance testing using 

Method 25A of 40 CFR part 60, appendix A – Determination of 

Total Gaseous Organic Concentration Using a Flame Ionization 

Analyzer. Measurements of THC at the inlet and the outlet of the 

NSCR must be on a dry basis and corrected to 15 percent O2 or 

equivalent carbon dioxide content. To correct to 15 percent O2, 
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dry basis, owners and operators must measure oxygen using Method 

3, 3A or 3B of 40 CFR part 60, appendix A, or ASTM Method D6522-

00 (2005) and measure moisture using Method 4 of 40 CFR part 60, 

appendix A, or Test Method 320 of 40 CFR part 63, appendix A, or 

ASTM D6348-03. Because owners and operators are complying with a 

percent reduction requirement, the method used must be suitable 

for the entire range of emissions since pre and post-catalyst 

emissions must be measured. Method 25A is capable of measuring 

emissions down to 5 ppmv and is, therefore, an appropriate 

method for measuring THC emissions for compliance demonstration 

purposes. The EPA is allowing sources the option to meet a 

minimum THC percent reduction of 30 percent by using Method 25A 

of 40 CFR part 60, appendix A to demonstrate compliance with the 

formaldehyde percent reduction in 40 CFR part 63, subpart ZZZZ. 

B. Emergency Demand Response and Reliability 

The EPA is finalizing certain revisions to the proposal 

regarding use of existing engines for emergency demand response 

and system reliability. Following is a summary of the prior 

requirements for these engines, including those in the 2010 

regulation, a discussion of the information and input the EPA 

received in response to the proposal, and a description of the 

provisions being finalized in this action. 

Existing emergency engines less than or equal to 500 HP 

located at major sources of HAP and existing emergency engines 
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located at area sources of HAP were not regulated under the RICE 

NESHAP rulemakings finalized in 2004 and 2008. They could 

operate uncontrolled for an unlimited amount of time. The 2010 

RICE NESHAP rulemaking for the first time established 

requirements for these existing emergency engines, requiring 

affected engines to comply by May 3, 2013, for stationary CI 

RICE and October 19, 2013, for stationary SI RICE. Under the 

RICE NESHAP requirements originally finalized in 2010, these 

existing emergency stationary engines must limit operation to 

situations like blackouts and floods and to a maximum of 100 

hours per year for other specified operations beginning with the 

applicable compliance date in 2013 for the engine. The 

limitation of 100 hours per year included maintenance checks and 

readiness testing of the engine, as well as a limit of 15 hours 

per year for use as part of a demand response program if the 

regional transmission organization or equivalent balancing 

authority and transmission operator has determined there are 

emergency conditions that could lead to a potential electrical 

blackout, such as unusually low frequency, equipment overload, 

capacity or energy deficiency, or unacceptable voltage level. 

Under the 2010 regulation, existing emergency engines were 

required to meet management practice standards based on proper 

operation and maintenance of the engine; meeting these standards 
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would not require installation of aftertreatment to control 

emissions. 

Soon after the 2010 rule was final, the EPA received 

petitions for reconsideration of the 15-hour limitation for 

emergency demand response that was finalized in the 2010 rule. 

According to one petition, the 15-hour limit, while usually 

adequate to cover the limited hours in which these engines are 

expected to be called upon, would not be sufficient to allow 

these emergency engines to participate in emergency demand 

response programs since some regional transmission organizations 

and independent system operators require engines be available 

for more than 15 hours in order to meet emergency demand 

response situations. For example, PJM’s Emergency Load Response 

Program requires that emergency engines guarantee that they will 

be available for 60 hours per year. By contrast, another 

petition asked EPA to eliminate the emergency demand response 

provision because of the adverse effects that the petitioner 

believes would result from increased emissions from these 

engines. The EPA received other comments that addressed the 

types of situations in which engines are called upon for 

emergency demand response and system reliability. 

The EPA believes that the emergency demand response 

programs that exist across the country are important programs 

that protect the reliability and stability of the national 
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electric service grid. The use of stationary emergency engines 

as part of emergency demand response programs can help prevent 

grid failure or blackouts, by allowing these engines to be used 

for limited hours in specific circumstances of grid instability 

prior to the occurrence of blackouts. A standard that requires 

owners and operators of stationary emergency engines that 

participate in emergency demand response programs to apply 

aftertreatment could make it economically infeasible for these 

engines to participate in these programs, impairing the ability 

of regional transmission organizations and independent system 

operators to use these relatively small, quick-starting and 

reliable sources of energy to protect the reliability of their 

systems in times of critical need. Information provided by 

commenters on the proposal indicates that these emergency demand 

response events are rarely called.5

 

The limited circumstances specified in the final rule for 

operation of stationary emergency engines for emergency demand 

response purposes include periods during which the Reliability 

Coordinator, or other authorized entity as determined by the 

Reliability Coordinator, has declared an Energy Emergency Alert 

(EEA) Level 2 as defined in the North American Electric 

Reliability Corporation (NERC) Reliability Standard EOP-002-3, 

 

5

 See document number EPA-HQ-OAR-2008-0708-1142 in the rulemaking 

docket.
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Capacity and Energy Emergency, and during periods where there is 

a deviation of voltage or frequency of 5 percent or more below 

standard voltage or frequency. During EEA Level 2 alerts there 

is insufficient energy supply and a true potential for 

electrical blackouts. System operators must call on all 

available resources during EEA Level 2 alerts in order to 

stabilize the grid to prevent failure. Therefore, this situation 

is a good indicator of severe instability on the system, which 

the EPA believes is appropriately considered an emergency 

situation. Consistent normal voltage provided by the utility is 

often called power quality and is an important factor in local 

electric system reliability. Reliability of the system requires 

electricity being provided at a normal expected voltage. The 

American National Standards Institute standard C84.1-1989 

defines the maximum allowable voltage sag at below 5 percent. On 

the local distribution level local voltage levels are therefore 

important and a 5 percent or more change in the normal voltage 

or frequency is substantial and an indication that additional 

resources are needed to ensure local distribution system 

reliability. 

In addition to the circumstances described above, the EPA 

also received comments on other situations where the local 

transmission and distribution system operator has determined 

that there are conditions that could lead to a blackout for the 
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local area where the ready availability of emergency engines is 

critical to system reliability. These include situations where: 

 The engine is dispatched by the local balancing authority 

or local transmission and distribution system operator. 

 The dispatch is intended to mitigate local transmission 

and/or distribution limitations so as to avert potential 

voltage collapse or line overloads that could lead to the 

interruption of power supply in a local area or region. 

 The dispatch follows reliability, emergency operation or 

similar protocols that follow specific NERC, regional, 

state, public utility commission or local standards or 

guidelines. 

The EPA believes the operation of emergency engines in these 

situations should be addressed in the final rule as well. 

Therefore, based on the EPA’s review of the petitions and 

comments that the EPA has received with respect to emergency 

demand response and system reliability, the EPA has concluded 

that it is appropriate to revise the provisions for stationary 

engines used in these limited circumstances. The provisions the 

EPA is amending are in §§63.6640(f) and 63.6675 of 40 CFR part 

63, subpart ZZZZ. The final amendments to those sections specify 

that owners and operators of stationary emergency RICE can 

operate their engines as part of an emergency demand response 

program within the 100 hours already provided for operation for 
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maintenance and testing. Owners and operators of stationary 

emergency engines can operate for up to 100 hours per year for 

emergency demand response and system reliability during periods 

in which the Reliability Coordinator, or other authorized entity 

as determined by the Reliability Coordinator, has declared an 

EEA Level 2 as defined in the NERC Reliability Standard EOP-002-

3, Capacity and Energy Emergency, and during periods where there 

is a deviation of voltage or frequency of 5 percent or greater 

below standard voltage or frequency. In addition, existing 

emergency stationary RICE at area sources of HAP can operate for 

up to 50 hours per year if all of the following conditions are 

met: 

 The engine is dispatched by the local balancing authority 

or local transmission and distribution system operator. 

 The dispatch is intended to mitigate local transmission 

and/or distribution limitations so as to avert potential 

voltage collapse or line overloads that could lead to the 

interruption of power supply in a local area or region. 

 The dispatch follows reliability, emergency operation or 

similar protocols that follow specific NERC, regional, 

state, public utility commission or local standards or 

guidelines. 
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 The owner or operator has a pre-existing plan that 

contemplates the engine’s operation under the circumstances 

described above; and 

 The owner or operator identifies and records the specific 

NERC, regional, state, public utility commission or local 

standards or guidelines that are being followed for 

dispatching the engine. The local balancing authority or 

local transmission and distribution system operator may 

keep these records on behalf of the engine owner or 

operator. 

For all engines operating to satisfy emergency demand 

response or system reliability under the circumstances described 

above, the hours spent for emergency demand response operation 

and local system reliability are added to the hours spent for 

maintenance and testing purposes and are counted towards the 

limit of 100 hours per year. If the total time spent for 

maintenance and testing, emergency demand response, and system 

reliability operation exceeds 100 hours per year, the engine 

will not be considered an emergency engine under this subpart 

and will need to meet all requirements for non-emergency 

engines. 

 As noted above, the EPA received comments expressing 

concerns about the emissions from emergency engines, noting that 

the engines are likely to be dispatched on days when energy 
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Page 31 of 228 

demand is high, which often coincides with days when air quality 

is poor. While the EPA is sensitive to these concerns, the 

availability of these engines for a more tailored response to 

emergencies may be preferable in terms of air quality impacts 

than relying on other generation, including coal-fired spinning 

reserve generation. After consideration of the concerns raised 

in the comments, the EPA is finalizing provisions that require 

stationary emergency CI RICE with a site rating of more than 100 

brake HP and a displacement of less than 30 liters per cylinder 

that operate or are contractually obligated to be available for 

more than 15 hours per year (up to a maximum of 100 hours per 

year) for emergency demand response, or that operate for local 

system reliability, to use diesel fuel meeting the 

specifications of 40 CFR 80.510(b) beginning January 1, 2015, 

except that any existing diesel fuel purchased (or otherwise 

obtained) prior to January 1, 2015, may be used until depleted. 

The specifications of 40 CFR 80.510(b) require that diesel fuel 

have a maximum sulfur content of 15 ppm and either a minimum 

cetane index of 40 or a maximum aromatic content of 35 volume 

percent; this fuel is referred to as “ultra low sulfur diesel 

fuel” (ULSD). This emission reduction requirement was not part 

of the original 2010 rulemaking. Although the EPA does not have 

information specifying the percentage of existing stationary 

emergency CI engines currently using residual fuel oil or non-
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Page 32 of 228 

ULSD distillate fuel, the most recent U.S. Energy Information 

Administration data available for sales of distillate and 

residual fuel oil to end users6

 show that significant amounts of 

non-ULSD are still being purchased by end users that typically 

operate stationary combustion sources, including stationary 

emergency CI engines. For example, in the category of Commercial 

End Use, sales data for the year 2011 show that only 56 percent 

of the total distillate and residual fuel oil sold was ULSD. The 

data provided for Electric Power End Use show that 57 percent of 

total fuel sold was residual fuel oil. For Industrial End Use, 

the percentage of total fuel that was residual fuel oil was 26 

percent. The EPA believes that requiring cleaner fuel for these 

stationary emergency CI engines will significantly limit or 

reduce the emissions of regulated air pollutants emitted from 

these engines, further protecting public health and the 

environment. Information provided to EPA by commenters7

 showed 

that the use of ULSD will significantly reduce emissions of air 

toxics, including metallic HAP (e.g., nickel, zinc, lead) and 

benzene. 

In addition to the fuel requirement, owners and operators 

of stationary emergency CI RICE larger than 100 HP that operate 

 

6

 U.S. Energy Information Administration. Distillate Fuel Oil and 

Kerosene Sales by End Use. Available at 

http://www.eia.gov/dnav/pet/pet_cons_821use_dcu_nus_a.htm.

7

 See document number EPA-HQ-OAR-2008-0708-1459 in the rulemaking 

docket.
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or are contractually obligated to be available for more than 15 

hours per year (up to a maximum of 100 hours per year) for 

emergency demand response must report the dates and times the 

engines operate for emergency demand response annually to the 

EPA, beginning with operation during the 2015 calendar year. 

Owners and operators of these engines are also required to 

report the dates, times and situations that the engines operate 

to mitigate local transmission and/or distribution limitations 

annually to the EPA, beginning with operation during the 2015 

calendar year. This information is necessary to determine 

whether these engines are operating in compliance with the 

regulations and will assist the EPA in assessing the impacts of 

the emissions from these engines. 

The EPA is adding these requirements beginning in January, 

2015, rather than upon initial implementation of the NESHAP for 

existing engines in May or October of 2013, to provide sources 

with appropriate lead time to institute these new requirements 

and make any physical adjustments to engines and other 

facilities like tanks or other containment structures, as well 

as any needed adjustments to contracts and other business 

activities, that may be necessitated by these new requirements. 

 The EPA is also amending the NSPS for stationary CI and SI 

engines in 40 CFR part 60, subparts IIII and JJJJ, respectively, 

to provide the same limitation for stationary emergency engines 
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for emergency demand response and system reliability operation 

as for engines subject to the RICE NESHAP. The NSPS regulations 

currently do not include such a provision for emergency demand 

response or system reliability operation; the issue was not 

raised during the original promulgation of the NSPS. The EPA is 

adding an emergency demand response and system reliability 

provision under the NSPS regulations in these final amendments. 

The EPA is revising the existing language in §§60.4211(f) and 

60.4219 of 40 CFR part 60, subpart IIII, and §§60.4243(d) and 

60.4248 of 40 CFR part 60, subpart JJJJ, to specify that 

emergency engines must limit operation for engine maintenance 

and testing and emergency demand response to a maximum of 100 

hours per year; 50 of the 100 hours may be used to operate to 

mitigate local reliability issues, as discussed previously for 

the RICE NESHAP. 

The EPA is also finalizing amendments to the NSPS 

regulations that require owners and operators of stationary 

emergency engines larger than 100 HP that operate or are 

contractually obligated to be available for more than 15 hours 

per year (up to a maximum of 100 hours per year) for emergency 

demand response to report the dates and times the engines 

operated for emergency demand response annually to the EPA, 

beginning with operation during the 2015 calendar year. Owners 

and operators of these engines are also required to report the 
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Page 35 of 228 

dates, times and situations that the engines operate to mitigate 

local transmission and/or distribution limitations annually to 

the EPA, beginning with operation during the 2015 calendar year. 

Emergency engines subject to 40 CFR part 60, subpart IIII are 

already required by subpart IIII to use diesel fuel that meets 

the requirements of 40 CFR 80.510(b). 

The 2010 regulation specified that existing emergency 

engines at area sources of HAP that are residential, commercial, 

or institutional facilities were not subject to the RICE NESHAP 

requirements as long as the engines were limited to no more than 

15 hours per year for emergency demand response. The EPA is 

specifying in the final rule that existing emergency engines at 

area sources of HAP that are residential, commercial, or 

institutional facilities are subject to the applicable 

requirements for stationary emergency engines in the RICE NESHAP 

if they operate or are contractually obligated to be available 

for more than 15 hours per year (up to a maximum of 100 hours 

per year) for emergency demand response, or they operate to 

mitigate local transmission and/or distribution limitations. 

Information provided by commenters on the 2010 regulation and 

the amendments proposed in June 2012 indicates that these 

engines typically operate less than 15 hours per year for 

emergency demand response. 
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 For stationary emergency engines above 500 HP at major 

sources of HAP that were installed before June 12, 2006, prior 

to these final amendments, there was no emergency demand 

response provision and there was no time limit on the use of 

emergency engines for routine testing and maintenance in 

§63.6640(f)(2)(ii). Those engines were not the focus of the 2010 

RICE NESHAP amendments; therefore, the EPA did not make any 

changes to the requirements for those engines as part of the 

2010 amendments. For consistency, the EPA is now also revising 

40 CFR part 63, subpart ZZZZ to require owners and operators of 

stationary emergency engines above 500 HP at major sources of 

HAP installed prior to June 12, 2006, to limit operation of 

their engines for maintenance and testing and emergency demand 

response program to a total of 100 hours per year. These engines 

would also be required to use diesel fuel meeting the 

specifications of 40 CFR 80.510(b) beginning January 1, 2015, 

however, if the engine operates or is contractually obligated to 

be available for more than 15 hours per year. Any existing 

diesel fuel purchased (or otherwise obtained) prior to January 

1, 2015 may be used until depleted. In addition to the fuel 

requirement, owners and operators of these engines must report 

the dates and times the engines operate for emergency demand 

response annually to the EPA, beginning with operation during 

the 2015 calendar year. 
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More detail regarding the public comments regarding 

emergency demand response and the EPA’s responses can be found 

in the Response to Public Comments document available in the 

rulemaking docket. 

C. Peak Shaving

 In the June 7, 2012, proposal, the EPA proposed a temporary 

provision for existing stationary emergency engines located at 

area sources to apply the 50 hours per year that is allowed 

under §63.6640(f) for non-emergency operation towards any nonemergency operation, including peak shaving. The peak shaving 

provision was proposed to expire in April 2017. As discussed 

further in section III.B, the EPA is not finalizing the proposed 

temporary 50-hour provision for existing stationary emergency 

engines located at area sources engaged in peak shaving and 

other non-emergency use as part of a financial arrangement with 

another entity. However, in consideration of the short time 

between this final rule and the May 3, 2013, or October 19, 

2013, compliance dates for affected sources, this final rule 

includes a provision limiting the use of existing stationary 

emergency engines located at area sources to 50 hours per year 

prior to May 3, 2014, for peak shaving or non-emergency demand 

response to generate income for a facility, or to otherwise 

supply power as part of a financial arrangement with another 

entity if the engines are operated as part of a peak shaving 
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(load management) program with the local distribution system 

operator and the power is provided only to the facility itself 

or to support the local distribution system. This extension 

provides additional time so that these sources that wish to 

engage in peak shaving can come into compliance with the 

applicable requirements for non-emergency engines. 

D. Non-Emergency Stationary SI RICE Greater than 500 HP Located 

at Area Sources

 The EPA is finalizing amendments to the requirements that 

apply to existing stationary non-emergency 4-stroke SI RICE 

greater than 500 HP located at area sources of HAP emissions, 

which are generally natural gas fired engines. 

 The EPA is creating a subcategory for existing spark 

ignition engines located in sparsely populated areas. Engines 

located in remote areas that are not close to significant human 

activity may be difficult to access, may not have electricity or 

communications, and may be unmanned most of the time. The costs 

of the emission controls, testing, and continuous monitoring 

requirements may be unreasonable when compared to the HAP 

emission reductions that would be achieved, considering that the 

engines are in sparsely populated areas. Moreover, the location 

of these engines is such that there would be limited public 

exposure to the emissions. The EPA believes that establishing a 

subcategory for SI engines at area sources of HAP located in 
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Page 39 of 228 

sparsely populated areas accomplishes the agency’s goals and is 

adequate in protecting public health. The EPA is creating this 

subcategory using criteria based on the existing DOT 

classification system for natural gas pipelines. This system 

classifies locations based on their distance to natural gas 

pipelines covered by the Pipeline and Hazardous Materials Safety 

Administration regulations. The DOT system defines a class 

location unit as an onshore area that extends 220 yards or 200 

meters on either side of the centerline of any continuous 1-mile 

(1.6 kilometers) length of natural gas pipeline. The DOT 

approach further classifies pipeline locations into Class 1 

through Class 4 locations based on the number of buildings 

intended for human occupancy. A Class 1 location is defined as 

an offshore area or any class location unit that has 10 or fewer 

buildings intended for human occupancy. The DOT classification 

system also has special provisions for locations where buildings 

with four or more stories above ground are prevalent and 

locations that lie within 100 yards (91 meters) of either a 

building or a small, well-defined outside area (such as a 

playground, recreation area, outdoor theater, or other place of 

public assembly) that is occupied by 20 or more persons on at 

least 5 days a week for 10 weeks in any 12-month period. To be 

considered remote under this final rule, a source on a pipeline 

could not fall under these special provisions and, in addition, 
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Page 40 of 228 

must be in a Class 1 location. For those engines not associated 

with pipelines, the EPA is using similar criteria. An engine 

would be considered to be in sparsely populated areas if within 

0.25 mile radius of the engine there are 5 or fewer buildings 

intended for human occupancy. 

Owners and operators of existing stationary non-emergency 

4-stroke lean burn (4SLB) and 4SRB RICE greater than 500 HP at 

area sources that are in sparsely populated areas as described 

above would be required to perform the following: 

 Change oil and filter every 2,160 hours of operation or 

annually, whichever comes first; 

 Inspect spark plugs every 2,160 hours of operation or 

annually, whichever comes first, and replace as necessary; 

and 

 Inspect all hoses and belts every 2,160 hours of operation 

or annually, whichever comes first, and replace as 

necessary. 

Sources have the option to use an oil analysis program as 

described in §63.6625(i) of the rule in order to extend the 

specified oil change requirement. The oil analysis must be 

performed at the same frequency specified for changing the oil 

in Table 2d of the rule. The analysis program must at a minimum 

analyze the following three parameters: Total Acid Number, 

viscosity, and percent water content. The condemning limits for 
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these parameters are as follows: Total Acid Number increases by 

more than 3.0 milligrams of potassium hydroxide per gram from 

Total Acid Number of the oil when new; viscosity of the oil has 

changed by more than 20 percent from the viscosity of the oil 

when new; or percent water content (by volume) is greater than 

0.5. If none of these condemning limits are exceeded, the engine 

owner or operator is not required to change the oil. If any of 

the limits are exceeded, the engine owner or operator must 

change the oil within 2 business days of receiving the results 

of the analysis; if the engine is not in operation when the 

results of the analysis are received, the engine owner or 

operator must change the oil within 2 business days or before 

commencing operation, whichever is later. The owner or operator 

must keep records of the parameters that are analyzed as part of 

the program, the results of the analysis, and the oil changes 

for the engine. The analysis program must be part of the 

maintenance plan for the engine. 

Owners and operators of existing stationary 4SLB and 4SRB 

area source engines above 500 HP in sparsely populated areas 

would also have to operate and maintain the stationary RICE and 

aftertreatment control device (if any) according to the 

manufacturer's emission-related written instructions or develop 

their own maintenance plan, which must provide to the extent 

practicable for the maintenance and operation of the engine in a 
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manner consistent with good air pollution control practice for 

minimizing emissions. 

Owners and operators of engines in sparsely populated areas 

would have to conduct a review of the surrounding area every 12 

months to determine if the nearby population has changed. If the 

engine no longer meets the criteria for a sparsely populated 

area, the owner and operator must within 1 year comply with the 

emission standards specified below for populated areas. 

 For engines in populated areas, i.e., existing stationary 

4SLB and 4SRB non-emergency engines greater than 500 HP at area 

sources that are located on DOT Class 2 through Class 4 pipeline 

segments or, for engines not associated with pipelines, that do 

not meet the 0.25 mile radius with 5 or less buildings criteria, 

the EPA is revising the requirements that were finalized in the 

2010 rule. The EPA is adopting an equipment standard requiring 

the installation of a catalyst to reduce HAP emissions. Owners 

and operators of existing area source 4SLB non-emergency engines 

greater than 500 HP in populated areas would be required to 

install an oxidation catalyst. Owners and operators of existing 

area source 4SRB non-emergency engines greater than 500 HP in 

populated areas would be required to install NSCR. Owners and 

operators must conduct an initial test to demonstrate that the 

engine achieves at least a 93 percent reduction in CO emissions 

or a CO concentration level of 47 ppmvd at 15 percent O2, if the 
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engine is a 4SLB engine. Similarly, owners and operators must 

conduct an initial performance test to demonstrate that the 

engine achieves at least either a 75 percent CO reduction, a 30 

percent THC reduction, or a CO concentration level of 270 ppmvd 

at 15 percent O2 if the engine is a 4SRB engine. The initial test 

must consist of three test runs. Each test run must be of at 

least 15 minute duration, except that each test run conducted 

using appendix A to 40 CFR part 63, subpart ZZZZ must consist of 

one measurement cycle as defined by the method and include at 

least 2 minutes of test data phase measurement. To measure CO, 

emission sources must use the CO methods already specified in 

subpart ZZZZ, or appendix A to 40 CFR part 63, subpart ZZZZ. The 

THC testing must be conducted using EPA Method 25A. 

 The owner or operator of both engine types must also use a 

high temperature shutdown device that detects if the catalyst 

inlet temperature is too high, or, alternatively, the owner or 

operator can monitor the catalyst inlet temperature continuously 

and maintain the temperature within the range specified in the 

rule. For 4SLB engines the catalyst inlet temperature must 

remain at or above 450°F and at or below 1,350°F. For 4SRB 

engines the temperature must be greater than or equal to 750°F 

and less than or equal to 1,250°F at the catalyst inlet. 

Owners and operators must in addition to the initial 

performance test conduct annual checks of the catalyst to ensure 
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proper catalyst activity. The annual check of the catalyst must 

at a minimum consist of one 15-minute run using the methods 

discussed above, except that each test run conducted using 

appendix A to 40 CFR part 63, subpart ZZZZ must consist of one 

measurement cycle as defined by the method and include at least 

2 minutes of test data phase measurement. Owners and operators 

of 4SLB engines must demonstrate during the catalyst activity 

test that the catalyst achieves at least a 93 percent reduction 

in CO emissions or that the engine exhaust CO emissions are no 

more than 47 ppmvd at 15 percent O2. Owners and operators of 4SRB 

engines must demonstrate during the catalyst activity check that 

their catalyst is reducing CO emissions by 75 percent or more, 

the CO concentration level at the engine exhaust is less than or 

equal to 270 ppmvd at 15 percent O2, or THC emissions are being 

reduced by at least 30 percent. 

If the emissions from the engine do not exceed the levels 

required for the initial test or annual checks of the catalyst, 

then the catalyst is considered to be working properly. If the 

emissions exceed the specified pollutant levels in the rule, the 

exceedance(s) is/are not considered a violation, but the owner 

or operator would be required to shut down the engine and take 

appropriate corrective action (e.g., repairs, clean or replace 

the catalyst, as appropriate). A follow-up test must be 

conducted within 7 days of the engine being started up again to 
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demonstrate that the emission levels are being met. If the 

retest shows that the emissions continue to exceed the specified 

levels, the stationary RICE must again be shut down as soon as 

safely possible, and the engine may not operate, except for 

purposes of start-up and testing, until the owner/operator 

demonstrates through testing that the emissions do not exceed 

the levels specified. 

E. Stationary CI RICE Certified to Tier Standards 

The EPA is amending the requirements for any stationary CI 

engine certified to the Tier 3 standards in 40 CFR part 89 (Tier 

2 for engines above 560 kilowatt (kW)) located at an area source 

and installed before June 12, 2006. The EPA is finalizing 

amendments to specify that any existing certified Tier 3 (Tier 2 

for engines above 560 kW) CI engine that was installed before 

June 12, 2006, is in compliance with the RICE NESHAP. This 

amendment includes any existing stationary Tier 3 (Tier 2 for 

engines above 560 kW) certified CI engine located at an area 

source of HAP emissions. Without these amendments, Tier 3 

engines, which were built to meet stringent emission standards, 

would not be able to comply with the applicable RICE NESHAP 

emission standards for existing engines without further testing 

and monitoring, and possible retrofit with further controls, due 

to differences in the emission standards and testing protocols 

in the RICE NESHAP versus the Tier 3 standards in 40 CFR part 
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89. However, an identical engine certified to the Tier 3 

standards (or Tier 2 standards for engines above 560 kW) in 40 

CFR part 89 that was installed after June 12, 2006, would not 

have to be retrofit in order to comply with the NESHAP. The EPA 

believes that the Tier 3 standards (Tier 2 for engines above 560 

kW) are technologically stringent regulations and believes it is 

unnecessary to require further regulation of engines meeting 

these standards. 

 The EPA is also amending the requirements for existing 

stationary CI engines that are certified to the Tier 1 and Tier 

2 standards in 40 CFR part 89, located at area sources of HAP, 

greater than 300 HP and subject to a state or local rule that 

requires the engine to be replaced. The EPA does not think it is 

appropriate to require emission controls on a stationary CI 

engine that is going to be retired only a short time after the 

rule goes into effect. These engines (equipped with 

aftertreatment) could end up being in operation for less than 2 

years or at most only 5 years before having to be replaced with 

a certified Tier 4 engine. It would not be reasonable to require 

the engine owner to invest in costly controls and monitoring 

equipment for an engine that will be replaced shortly after the 

installation of the controls. Consequently, the EPA is allowing 

these engines to meet management practices from the applicable 

May 3, 2013, compliance date until January 1, 2015, or 12 years 
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after installation date (whichever is later), but not later than 

June 1, 2018, after which time the CO emission standards in 

Table 2d of 40 CFR part 63, subpart ZZZZ) apply. The management 

practices include requirements for when to inspect and replace 

the engine oil and filter, air cleaner, hoses and belts. The 

complete details of which management practices are required are 

shown in Table 2d of the rule. Owners and operators of these 

existing stationary CI engines located at area sources of HAP 

emissions that intend to meet management practices rather than 

the emission limits prior to January 1, 2015, or 12 years after 

installation date, but not later than June 1, 2018, must submit 

a notification by March 3, 2013, stating that they intend to use 

this provision and identifying the state or local regulation 

that the engine is subject to. 

F. Definition for Remote Areas of Alaska

 The RICE NESHAP amendments finalized in 2010 specified less 

stringent requirements for existing non-emergency CI engines at 

area sources located in remote areas of Alaska. Remote areas are 

defined under the 2010 rule as those not accessible by the FAHS. 

In this action, the EPA is expanding the definition of remote 

areas of Alaska to extend beyond areas that are not accessible 

by the FAHS. The EPA is expanding the current definition because 

some areas that are accessible by the FAHS face the same 

challenges as areas that are not accessible, including high 
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energy costs, extreme weather conditions, lengthy travel times, 

inaccessibility, and very low population density. Many of these 

areas are not connected to the electric grid and rely on back up 

diesel generation to support fluctuating renewable energy 

systems. The energy supply system is another area that is 

particularly different in Alaska compared to the rest of the 

country where the majority of customers are connected to the 

grid. These final amendments specify that existing stationary CI 

engines at area sources of HAP in areas of Alaska that are 

accessible by the FAHS and that meet all of the following 

criteria will also be considered remote and subject to 

management practices under the rule: 

 The stationary CI engine is located in an area not 

connected to the Alaska Railbelt Grid, 

 At least 10 percent of the power generated by the engine 

per year is used for residential purposes, and 

 The generating capacity of the area source is less than 12 

MW, or the engine is used exclusively for backup power for 

renewable energy. 

The EPA is limiting the remote classification to engines that 

are used at least partially for residential purposes, where the 

impact of higher energy costs is of greatest concern. The 

classification is further limited to sources that are used 

infrequently as backup for renewable power, or that are at 
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smaller capacity facilities, which are generally in more 

sparsely populated areas. 

G. Requirements for Offshore Vessels

 The EPA is revising the requirements in the RICE NESHAP for 

existing non-emergency CI RICE greater than 300 HP on offshore 

vessels that are area sources of HAP. Engines on vessels on the 

OCS in certain circumstances become subject to the provisions of 

the RICE NESHAP as a result of the operation of the OCS 

regulations at 40 CFR part 55. The rationale for this revision 

is discussed further in section III.D. The EPA is finalizing the 

following management practice requirements for existing nonemergency CI RICE greater than 300 HP on offshore vessels that 

are area sources of HAP: 

 change oil every 1,000 hours of operation or annually, 

whichever comes first, except that sources can extend the 

period for changing the oil if the oil is part of an oil 

analysis program as discussed below and the condemning 

limits are not exceeded; 

 inspect and clean air filters every 750 hours of operation 

or annually, whichever comes first, and replace as 

necessary; 

 inspect fuel filters and belts, if installed, every 750 

hours of operation or annually, whichever comes first, and 

replace as necessary; and 

Formatted: Underline
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 inspect all flexible hoses every 1,000 hours of operation 

or annually, whichever comes first, and replace as 

necessary. 

These sources may use an oil analysis program in order to extend 

the specified oil change requirement. The analysis program must 

at a minimum analyze the following three parameters: Total Base 

Number, viscosity and percent water content. The analysis must 

be conducted at the same frequency specified for changing the 

engine oil. If the condemning limits provided below are not 

exceeded, the engine owner or operator is not required to change 

the oil. If any of the condemning limits are exceeded, the 

engine owner or operator must change the oil within two business 

days or before continuing to use the engine, whichever is later. 

The condemning limits are as follows: 

 Total Base Number is less than 30 percent of the Total Base 

Number of the oil when new; or 

 viscosity of the oil has changed by more than 20 percent 

from the viscosity of the oil when new; or 

 percent water content (by volume) is greater than 0.5. 

Owners and operators of these existing stationary CI RICE 

must develop a maintenance plan that specifies how the 

management practices will be met and keep records to demonstrate 

that the required management practices are being met. 

H. Miscellaneous Corrections and Revisions
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 The EPA is making some minor corrections and clarifications 

to the stationary engine rules to address miscellaneous issues. 

The revisions are as follows: 

 Revising Tables 1b and 2b of 40 CFR part 63, subpart ZZZZ 

to correct language requiring the pressure drop to be at 

plus or minus 10 percent of 100 percent load for all 

engines. The engines that were regulated in 2010 are not 

subject to the load requirements and therefore the EPA is 

correcting these tables to make this clear. 

 Adding a footnote to Table 1b of 40 CFR part 63, subpart 

ZZZZ stating that sources can petition the Administrator 

for a different temperature range consistent with Table 2b 

of the rule. 

 Correcting rows 8 and 10 in Table 2d of 40 CFR part 63, 

subpart ZZZZ to indicate that the requirements apply to 

non-emergency, non-black start stationary RICE greater than 

500 HP that are 4SLB and 4SRB that operate more than 24 

hours per year, as intended in the original rule. 

 Revising the language in §63.6625(b) of 40 CFR part 63, 

subpart ZZZZ that states “...in paragraphs (b)(1) through 

(5) of this section” to “in paragraphs (b)(1) through (6) 

of this section.” 
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 Changing Tables 2c and 2d of 40 CFR part 63, subpart ZZZZ, 

where it currently specifies to inspect air cleaner, to 

also specify that it must be replaced as necessary. 

 Revising §63.6620(b) of 40 CFR part 63, subpart ZZZZ to 

indicate that testing must be conducted within plus or 

minus 10 percent of 100 percent load for stationary RICE 

greater than 500 HP located at a major source (except 

existing non-emergency CI stationary RICE greater than 500 

HP located at a major source) that are subject to testing. 

 Specifying that, as was intended in the rule adding these 

requirements, the operating limitations (pressure drop and 

catalyst inlet temperature) in Tables 1b and 2b of 40 CFR 

part 63, subpart ZZZZ do not have to be met during startup. 

 For consistency, and as provided in the original RICE 

NESHAP for other stationary RICE, clarifying in 40 CFR part 

63, subpart ZZZZ that the existing stationary RICE 

regulated in 2010 (i.e., engines constructed before June 

12, 2006, that are less than or equal to 500 HP located at 

major sources or engines located at area sources) must burn 

landfill or digester gas equivalent to 10 percent or more 

of the gross heat input on an annual basis in order to 

qualify as a landfill or digester gas engine under the 

rule. 
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 Clarifying §60.4207(b) of 40 CFR part 60, subpart IIII to 

specify that owners and operators of stationary CI engines 

less than 30 liters per cylinder that are subject to the 

subpart that use diesel fuel must use diesel fuel that 

meets the requirements of 40 CFR 80.510(b), except owners 

and operators may use up any diesel fuel acquired prior to 

October 1, 2010, that does not meet the requirements of 40 

CFR 80.510(b) for nonroad diesel fuel. 

 Adding appendix A to 40 CFR part 63, subpart ZZZZ, which 

includes procedures that can be used for measuring CO 

emissions from existing stationary 4SLB and 4SRB stationary 

RICE above 500 HP located at area sources of HAP that are 

complying with the emission limits in Table 2d of 40 CFR 

part 63, subpart ZZZZ. 

 Reinstating the footnotes for Table 2 of 40 CFR part 60, 

subpart JJJJ. The footnotes were inadvertently removed when 

the rule was amended on June 28, 2011 (76 FR 37954). 

 Adding “part 60” in Table 4 of the NESHAP, in row 2 where 

it refers to 40 CFR appendix A. 

 Clarifying in §63.6625(a) of 40 CFR part 63, subpart ZZZZ 

that a continuous emission monitoring system is only 

required to be installed at the outlet of the control 
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device for engines that are complying with the requirement 

to limit the concentration of CO. 

 Adding definitions of terms used in Equation 4 of §63.6620 

of 40 CFR part 63, subpart ZZZZ. 

 Clarifying that, as was intended in the rule adding these 

requirements, all of the standards for stationary SI RICE 

in §60.4231(b) of 40 CFR part 60, subpart JJJJ are for 

stationary SI RICE that use gasoline. 

 Clarifying that, as was intended in the rule adding these 

requirements, all of the standards for stationary SI RICE 

in §60.4231(c) of 40 CFR part 60, subpart JJJJ are for 

stationary SI RICE that are rich burn engines that use 

liquified petroleum gas (LPG). 

 Clarifying that, as was intended in the rule adding these 

requirements, all of the standards for stationary SI RICE 

in §60.4231(d) of 40 CFR part 60, subpart JJJJ are for 

stationary SI RICE that are not gasoline engines or rich 

burn engines that use LPG.

 Clarifying in §63.6625(b)(1) and the entries for 

§63.8(c)(1)(i) and (iii) in Table 8 of 40 CFR part 63, 

subpart ZZZZ that a startup, shutdown, and malfunction plan 

is not required for a continuous parameter monitoring 

system.
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 Clarifying in the entry for §63.10(b)(1) in Table 8 of 40 

CFR part 63, subpart ZZZZ that the most recent two years of 

data do not have to be retained on site.

 Revising footnote 2 of Table 2c and footnote 1 of Table 2d 

of 40 CFR part 63, subpart ZZZZ to include a reference to 

§63.6625(j), as was intended in the rule addressing these 

requirements.

III. Summary of Significant Changes Since Proposal

A. Emergency Demand Response and Reliability

The EPA proposed to limit operation of emergency stationary 

RICE as part of an emergency demand response program to within 

the 100 hours per year that is already permitted for maintenance 

and testing of the engines. The EPA proposed that owners and 

operators of stationary emergency engines could operate the 

engines for emergency demand response when the Reliability 

Coordinator, or other authorized entity as determined by the 

Reliability Coordinator, has declared an EEA Level 2 as defined 

in the NERC Reliability Standard EOP-002-3, Capacity and Energy 

Emergencies, plus during periods where there is a deviation of 

voltage or frequency of 5 percent or more below standard voltage 

or frequency. After considering public comments received on the 

proposed rule, the EPA is finalizing the proposed amendment to 

limit operation for maintenance and testing and emergency demand 

response to no more than 100 hours per year. 
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The EPA received some comments in support of the provision 

for emergency demand response operation, while other commenters 

opposed the limitation. The commenters who supported the 

provision noted that the engines are rarely called for emergency 

demand response, and that the EPA has limited the emergency 

demand response operation to emergency situations where a 

blackout is imminent. The commenters also noted that the public 

health impacts created by a widespread power outage outweigh the 

air quality impacts from the engines. The EPA agrees with the 

commenters that it is appropriate to include a provision for 

operation of emergency engines for a limited number of hours per 

year as part of emergency demand response programs to help 

prevent grid failure or blackouts. Preventing stationary 

emergency engines from being able to qualify and participate in 

emergency demand response programs without having to apply 

aftertreatment could force owners and operators to remove their 

engines from these programs, which could impair the ability of 

regional transmission organizations and independent system 

operators to use these relatively small, quick-starting and 

reliable sources of energy to protect the reliability of their 

systems. 

The commenters who opposed the provision for demand 

response provided no significant argument that the conditions 
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under which these engines would be permitted to operate for 

emergency demand response would not be emergency conditions. 

Commenters who opposed the provision were concerned about the 

air quality and health impacts of emissions from stationary 

engines. The commenters were concerned that recent actions by 

the Federal Energy Regulatory Commission (FERC) that impact 

demand response compensation in organized wholesale energy 

markets will greatly increase the amount of demand response 

participating in organized wholesale capacity markets. In 

response to the commenters, the EPA notes that, prior to the 

2013 compliance dates for existing engines, there are no 

limitations on the hours of operation for those engines. The 

standards that go into effect in 2013 will for the first time 

establish requirements for these engines, including limitations 

on their hours of operation in certain situations such as 

emergency demand response, and ULSD fuel requirements which will 

reduce HAP emissions from the engines. Regarding the FERC 

regulations and their effect on use of demand response in 

capacity markets, these are comments more appropriately directed 

towards the FERC. As noted above, the emergency demand response 

situations during which the emergency engines may be used for a 

limited number of hours per year are appropriately considered 

emergency situations. 
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Commenters were also concerned that these engines would be 

called to operate for demand response on high ozone days, 

further contributing to nonattainment with ozone standards. 

However, other commenters noted that emergency demand response 

events do not predominantly occur on ozone exceedance days. 

These commenters also note that some of the commenters opposing 

use of emergency engines during emergency demand response would 

benefit by such a limitation because other emission sources may 

be used instead of the emergency engines, including sources that 

some of these commenters may operate, and that the effect on 

total emissions of using these alternative emission sources is 

not clear. Concerns about contribution to ozone nonattainment by 

stationary engines can be addressed through area-specific 

requirements such as state-based State Implementation Plans that 

would be directed towards ozone nonattainment areas. More detail 

regarding the public comments and the EPA’s responses can be 

found in the Response to Public Comments document available in 

the rulemaking docket. 

As mentioned in the previous paragraph, in response to the 

concerns about the air quality impact of emissions from 

emergency engines operating in emergency demand response 

programs, and based on public comments received on the proposed 

rule, the EPA is finalizing a requirement for owners and 

operators of existing emergency CI stationary RICE with a site 
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rating of more than 100 brake HP and a displacement of less than 

30 liters per cylinder that use diesel fuel and operate or are 

contractually obligated to be available for more than 15 hours 

per year (up to a maximum of 100 hours per year) for emergency 

demand response to use diesel fuel that meets the requirements 

in 40 CFR 80.510(b) for nonroad diesel fuel. This fuel 

requirement also applies to owners and operators of new 

emergency CI stationary RICE with a site rating of more than 500 

brake HP with a displacement of less than 30 liters per cylinder 

located at a major source of HAP that use diesel fuel and 

operate or are contractually obligated to be available for more 

than 15 hours per year (up to a maximum of 100 hours per year) 

for emergency demand response. Owners and operators must begin 

meeting this ULSD fuel requirement on January 1, 2015, except 

that any existing diesel fuel purchased (or otherwise obtained) 

prior to January 1, 2015, may be used until depleted. As noted 

by commenters on the proposed amendments and as discussed in 

section II.B, requiring the use of diesel fuel meeting the 

requirements of 40 CFR 80.510(b) is expected to reduce the HAP 

emissions significantly from the engines compared to emissions 

resulting from use of unregulated diesel fuel. The fuel 

requirement begins on January 1, 2015, in order to give affected 

sources appropriate lead time to institute these new 

requirements and make any physical adjustments to engines and 
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other facilities like tanks or containment structures, as well 

as any needed adjustments to contracts and other business 

activities, that may be necessitated by these new requirements. 

 The final amendments also require owners and operators of 

emergency stationary RICE larger than 100 HP that operate or are 

contractually obligated to be available for more than 15 hours 

per year (up to a maximum of 100 hours per year) for emergency 

demand response to submit an annual report to the EPA 

documenting the dates and times that the emergency stationary 

RICE operated for emergency demand response, beginning with the 

2015 calendar year. Commenters on the proposed amendments 

recommended that the EPA gather information on the impacts of 

the emissions from emergency engines during emergency demand 

response situations. The EPA agrees that a reporting requirement 

will increase the EPA’s ability to ensure that these engines are 

operating in compliance with the regulations and that it will 

provide further information regarding the impacts of these 

engines on emissions. In response to these comments, the EPA is 

establishing a requirement to annually report to EPA the engine 

location and duration of operation for emergency demand 

response. This information will be used by the EPA, as well as 

state and local air pollution control agencies, to assess the 

health impacts of the emissions from these engines and to aid 

the EPA in ensuring that these engines comply with the 

Deleted: 
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regulations. Additional discussion of the rationale for the fuel 

and reporting requirements, as well as responses to other 

significant comments regarding emergency engines engaged in 

emergency demand response, can be found in the Response to 

Public Comments document in the docket. 

 Public commenters, in particular the National Rural 

Electric Cooperative Association (NRECA), indicated that the 

proposed EEA Level 2 and 5 percent voltage or frequency 

deviation triggers did not account for situations when the local 

balancing authority or transmission operator for the local 

electric system has determined that electric reliability is in 

jeopardy, and recommended that the EPA include additional 

situations where the local transmission and distribution system 

operator has determined that there are conditions that could 

lead to a blackout for the local area. The comments from NRECA 

indicated that rural distribution lines are not configured in a 

typical grid pattern, but instead have distribution lines that 

can run well over 50 miles from a substation and regularly 

extend 15 miles or longer. During periods of exceptionally heavy 

stress within the region or sub-region, electricity from 

regional power generators may not be available because of 

transmission constraints, according to the commenter. The 

commenter indicated that in many cases, there may be only one 
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transmission line that feeds the rural distribution system, and 

no alternative means to transmit power into the local system. 

In response to those comments and in recognition of the 

unique challenges faced by the local transmission and 

distribution system operators in rural areas, the EPA is 

specifying in the final rule that existing emergency stationary 

RICE at area sources can be used for 50 hours per year as part 

of a financial arrangement with another entity if all of the 

following conditions are met: 

 The engine is dispatched by the local balancing authority 

or local transmission and distribution system operator. 

 The dispatch is intended to mitigate local transmission 

and/or distribution limitations so as to avert potential 

voltage collapse or line overloads that could lead to the 

interruption of power supply in a local area or region. 

 The dispatch follows reliability, emergency operation or 

similar protocols that follow specific NERC, regional, 

state, public utility commission or local standards or 

guidelines. 

 The power is provided only to the facility itself or to 

support the local transmission and distribution system. 

 The owner or operator identifies and records the specific 

NERC, regional, state, public utility commission or local 
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standards or guidelines that are being followed for 

dispatching the engine. The local balancing authority or 

local transmission and distribution system operator may 

keep these records on behalf of the engine owner or 

operator. 

Engines operating in systems that do not meet the conditions 

described here will not be considered emergency engines if they 

operate for these purposes as part of a financial arrangement 

with another entity. 

Stationary emergency CI RICE with a site rating of more 

than 100 brake HP and a displacement of less than 30 liters per 

cylinder located at area sources that operate for this purpose 

are also required to use diesel fuel meeting the specifications 

of 40 CFR 80.510(b) beginning January 1, 2015, except that any 

existing diesel fuel purchased (or otherwise obtained) prior to 

January 1, 2015, may be used until depleted. Owners and 

operators of these engines are also required to report the dates 

and times the engines operated for this purpose annually to the 

EPA, beginning with operation during the 2015 calendar year. The 

report must also identify the entity that dispatched the engine 

and the situation that necessitated the dispatch of the engine. 

Further discussion of the rationale for the changes is available 

in the Response to Public Comments document in the docket. 

B. Peak Shaving
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 The EPA proposed a temporary provision for existing 

stationary emergency engines located at area sources to apply 

the 50 hours per year that is allowed under §63.6640(f) for nonemergency operation towards any non-emergency operation, 

including operation as part of a financial agreement with 

another entity. The peak shaving provision was proposed to 

expire in April 2017. The purpose of the proposed provision for 

peak shaving was to give sources an additional resource for 

maintaining reliability while facilities are coming into 

compliance with the NESHAP From Coal and Oil-Fired Electric 

Utility Steam Generating Units (77 FR 9304). Based on public 

comments received on the proposal, the EPA is not finalizing the 

proposed provision for peak shaving in this action. As noted by 

the commenters, operation for peak shaving does not fairly come 

under the definition of emergency use as it is designed to 

increase capacity in the system, rather than responding to an 

emergency situation such as a blackout or imminent brownout. The 

EPA believes that peak shaving activity and other activities 

designed to increase capacity should be treated as part of long 

term capacity planning, not as use akin to emergencies. The EPA 

agrees with commenters who state that allowance for emergency 

engines to be used for peak shaving could well lead to increased 

use of these engines, particularly in situations that are not 

emergency situations. The EPA also agrees that use of internal 
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combustion engines for peak shaving is not based on emergency 

use, but instead is generally based on the economic benefit 

gained by operating the engine rather than another power source. 

The EPA agrees with the commenters that there is not sufficient 

information on the record to show that these engines are needed 

to maintain reliability while facilities are coming into 

compliance with the NESHAP From Coal and Oil-Fired Electric 

Utility Steam Generating Units, and the commenters who supported 

the limited temporary provision did not provide information to 

show that rule would cause reliability issues that necessitate 

the operation of these engines. The EPA believes that given this 

information, it is appropriate to treat use of internal 

combustion engines as peak power units not as emergency use but 

as normal power generation, and thus believes it is appropriate 

to require emissions aftertreatment requirements (or similar 

controls as appropriate for non-emergency engines) for engines 

engaging in these activities for compensation. Further 

discussion is available in the Response to Public Comments 

document in the docket. 

 However, in consideration of the short time between this 

final rule and the May 3, 2013, or October 19, 2013 compliance 

dates for affected sources, this final rule permits the use of 

existing stationary emergency engines located at area sources 

for 50 hours per year through May 3, 2014 for peak shaving or 
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Page 66 of 228 

non-emergency demand response to generate income for a facility, 

or to otherwise supply power as part of a financial arrangement 

with another entity if the engines are operated as part of a 

peak shaving (load management) program with the local 

distribution system operator and the power is provided only to 

the facility itself or to support the local distribution system. 

Owners and operators of these engines, which have heretofore not 

been regulated, may have taken actions based on the June 7, 

2012, proposal that would now leave them in danger of being in 

noncompliance with the applicable requirements for the engine in 

the RICE NESHAP. 

C. Non-Emergency Stationary SI RICE Greater than 500 HP Located 

at Area Sources

 The EPA proposed to require existing stationary nonemergency 4-stroke SI RICE greater than 500 HP located at area 

sources of HAP that are in sparsely populated areas to meet 

management practices. The proposed management practices required 

the engine owner and operator to change the oil and filter and 

inspect spark plugs, hoses and belts every 1,440 hours of 

operation or annually, whichever comes first. The proposed 

management practices were based on similar requirements for 

existing non-emergency stationary SI RICE smaller than 500 HP. 

The EPA received public comments indicating that the interval 

for performing the management practices for engines larger than 
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Page 67 of 228 

500 HP should be every 2,160 hours of operation or annually, 

whichever comes first. Commenters indicated that larger engines 

have increased capabilities compared to smaller size engines, 

which allows engines to extend the maintenance interval. Larger 

engines have increased oil capacities, use improved oil 

grades/synthetics, and use oil sweetening systems, according to 

the commenters. Commenters also noted that larger engines use 

better quality, more expensive spark plugs that last longer than 

1,440 hours, and that less frequent maintenance intervals reduce 

the environmental impacts associated with disposing waste oils 

and traveling to remote locations. The EPA agrees with the 

arguments presented by the commenters. Therefore, in this final 

rule, EPA is requiring engine owners and operators to change the 

oil and filter and inspect spark plugs, hoses and belts every 

2,160 hours of operation or annually, whichever comes first. 

 For existing stationary non-emergency SI 4SRB RICE that are 

in populated areas, the EPA proposed an equipment standard that 

required the installation of NSCR to reduce HAP emissions. The 

proposed rule required these engines to demonstrate that the 

catalyst achieves at least a 75 percent CO reduction or a 30 

percent THC reduction. The EPA is retaining this requirement in 

this final rule, but is adding another option in response to 

public comments that allows the owner and operator of the engine 

to demonstrate that the catalyst achieves a CO concentration 
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Page 68 of 228 

level of 270 ppmvd at 15 percent O2. As noted by the public 

comments, this represents a 75 percent reduction from typical 

uncontrolled emissions from existing stationary non-emergency SI 

4SRB RICE and is the CO standard required for new SI 4SRB 

engines in the NSPS for stationary SI engines. The EPA is also 

clarifying that, as was intended in the original proposal, 

engines located in Class 4 locations are not considered remote. 

More detail regarding the public comments and the rationale for 

these changes can be found in the Response to Public Comments 

document, which is available in the docket for this rulemaking. 

D. Definition for Remote Areas of Alaska

The EPA proposed to expand the definition of remote areas 

of Alaska to extend beyond areas that are not accessible by the 

FAHS. Specifically, the EPA proposed that areas of Alaska that 

are accessible by the FAHS and that met all of the following 

criteria would also be considered remote and subject to 

management practices under the rule: (1) the stationary CI 

engine is located in an area not connected to the Alaska 

Railbelt Grid; (2) at least 10 percent of the power generated by 

the engine per year is used for residential purposes; and (3) 

the generating capacity of the area source is less than 12 MW, 

or the engine is used exclusively for backup power for renewable 

energy and is used less than 500 hours per year on a 10-year 

rolling average. After considering the public comments received 
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Page 69 of 228 

on the proposed criteria, the EPA is finalizing the first two 

criteria as proposed, but finalizing a slightly different third 

criterion. In this final rule, existing CI engines at area 

sources of HAP are considered remote if they meet the first and 

second criteria above and they are either at a source with a 

generating capacity less than 12 MW, or used exclusively for 

backup power for renewable energy. Based on public comments 

received on the proposal, the EPA is not finalizing the 

limitation that the engine be used less than 500 hours per year 

on a 10-year rolling average. Commenters indicated that basing 

the applicability on the previous 10 years of operation would 

ignore recent investments in renewable energy that have 

significantly decreased engine hours of operation in recent 

years. The EPA is also defining “backup power for renewable 

energy” in this final rule as engines that provide backup power 

to a facility that generates electricity from renewable energy 

resources, as that term is defined in Alaska Statute 

42.45.045(l)(5). The rationale for these changes can be found in 

the Response to Public Comments document available in the 

docket. 

E. Requirements for Offshore Vessels

 The RICE NESHAP does not on its face apply to mobile 

sources, including marine vessels. However, the regulations 

applicable to sources on the OCS, codified at 40 CFR part 55, 
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Page 70 of 228 

specify that vessels are OCS sources when they are (1) 

permanently or temporarily attached to the seabed and erected 

thereon and used for the purpose of exploring, developing or 

producing resources there from, within the meaning of section 

4(a)(1) of the OCS Lands Act (43 U.S.C. §1331, et seq.); or (2) 

physically attached to an OCS facility, in which case only the 

stationary sources aspects of the vessels will be regulated. 40 

CFR 55.2. The OCS regulations provide that NESHAP requirements 

apply to a vessel that is an OCS source where the provisions are 

“rationally related to the attainment and maintenance of the 

federal or state ambient air quality standards or the 

requirements of part C of title I of the Act.” 40 CFR 55.13(e). 

The EPA received comments during the public comment period 

for the June 7, 2012, proposal recommending that the RICE NESHAP 

be amended such that for any existing non-emergency CI RICE 

above 300 HP on offshore vessels on the OCS that become subject 

to the RICE NESHAP as a result of the operation of the OCS 

regulations (40 CFR part 55), such engines may meet the NESHAP 

through management practices rather than numeric emission 

limits. This amendment was not contained or contemplated in the 

June 7, 2012, proposal. However, the comments indicated several 

significant issues related to application of the NESHAP to 

regulation of existing marine vessel engines located in the OCS 

as a result of the OCS regulations; in particular, whether the 
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Page 71 of 228 

numerical standards applicable to other CI engines located at 

area sources (marine vessels located in the OCS are generally 

located at area sources) are technologically feasible for 

existing marine engines located in the OCS. Some commenters 

noted specific technological issues relevant to engines on 

marine vessels in the OCS. The commenters indicated that 

emission controls for existing CI RICE to meet the NESHAP may be 

technically infeasible due to weight and space constraints, 

catalyst fouling from the low-load engine operation required by 

the U.S. Coast Guard, safety concerns regarding engine 

backpressure and lack of catalyst vendor experience with 

retrofitting. Commenters suggested that, to the extent marine 

vessel engines become subject to the NESHAP as a result of the 

OCS regulations, these engines should be subject to GACT 

requirements that the commenters believe are more appropriate 

for these types of engines. The commenters indicated that 

management practices similar to those currently required in the 

rule for existing non-emergency stationary CI RICE smaller than 

300 HP are more appropriate as GACT for existing non-emergency 

stationary CI RICE above 300 HP on vessels operating on the OCS. 

Based on these comments, the EPA published a reopening of 

the comment period to take further comment on whether the RICE 

NESHAP should be revised to require management practices for 

these vessels (77 FR 60341). Based on the comments received Deleted: .
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Page 72 of 228 

during the two comment periods, the EPA agrees with the 

commenters that management practices are more reasonable as GACT 

for existing non-emergency stationary CI RICE larger than 300 HP 

on vessels operating on the OCS and is finalizing management 

practices for these engines. The EPA did not receive any public 

comments indicating that HAP emission controls were generally 

available and had been demonstrated for the large engines on the 

vessels. The final management practices include changing the oil 

every 1,000 hours of operation or annually, whichever comes 

first; inspecting and cleaning air filters every 750 hours of 

operation or annually, whichever comes first, and replacing as 

necessary; inspecting fuel filters and belts, if installed, 

every 750 hours of operation or annually, whichever comes first, 

and replacing as necessary; and inspecting all flexible hoses 

every 1,000 hours of operation or annually, whichever comes 

first, and replacing as necessary. Facilities have the option of 

using an oil analysis program to extend the oil change 

requirement. Additional discussion of the rationale for these 

changes can be found in the Response to Public Comments document 

available in the docket. 

IV. Summary of Environmental, Energy and Economic Impacts 

A. What are the air quality impacts?

The EPA estimates that the rule with the final amendments 

incorporated will reduce emissions from existing stationary RICE 
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Page 73 of 228 

as shown in Table 4 of this preamble. The emissions reductions 

the EPA previously estimated for the 2010 amendments to the RICE 

NESHAP are shown for comparison. Reductions are shown for the 

year 2013, which is the first year the final RICE NESHAP will be 

implemented for existing stationary RICE. 

Table 4. Summary of Reductions for Existing Stationary RICE 

Pollutant 

Emission Reductions (tpy) 

in the year 2013 

2010 Final Rule 2010 Final Rule with 

these Final Amendments 

CI SI CI SI

HAP 1,014 6,008 1,005 1,778 

CO 14,342 109,321 14,238 22,211 

PM 2,844 N/A 2,818 N/A

NOx N/A 96,479 N/A 9,648 

VOC 27,395 30,907 27,142 9,147 

 The EPA estimates that more than 900,000 stationary CI 

engines will be subject to the rule in total, but only a small 

number of stationary CI engines are affected by the final 

amendments in this action. The EPA did not estimate any changes 

in the reductions from the 2010 rule for the amendments 

associated with emergency engines. To determine emissions from 

emergency engines for the 2010 rule, the EPA estimated that 

these types of engines would on average operate for 50 hours per 

year. The average hours of operation for emergency engines is 

not expected to change based on the final amendments and 50 

hours per year is still believed to be representative of average 

emergency engine operation. Information provided by commenters 

Formatted Table
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demonstrated that these engines have been operated very 

infrequently for emergency demand response events.8

 Therefore, 

the emissions previously calculated remain appropriate. 

It is estimated that approximately 330,000 stationary SI 

engines will be subject to the rule in total; however, only a 

subset of stationary SI engines are affected by the final 

amendments in this action. The decrease in estimated reductions 

for SI engines is primarily due to final amendments to the 

requirements for existing 4SRB and 4SLB SI engines larger than 

500 HP at area sources of HAP that are in remote areas. Those 

engines were required by the 2010 rule to meet emission limits 

that were expected to require the installation of aftertreatment 

to reduce emissions; under these final amendments, those engines 

are required to meet management practices that would not require 

the installation of aftertreatment. Further information 

regarding the estimated reductions of this final rule can be 

found in the memorandum titled, “RICE NESHAP Reconsideration 

Final Amendments - Cost and Environmental Impacts,” which is 

available in the docket (EPA-HQ-OAR-2008-0708). The EPA did not 

estimate any impacts associated with the minor changes to the 

NSPS for stationary CI and SI engines. 

B. What are the cost impacts?

 

8

See document number EPA-HQ-OAR-2008-0708-1142 in the rulemaking 

docket.
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The final amendments are expected to reduce the overall 

cost of the original 2010 RICE NESHAP amendments. The EPA 

estimates that with these final amendments incorporated, the 

cost of the rule for existing stationary RICE will be as shown 

in Table 5 of this preamble. The costs the EPA previously 

estimated for the 2010 amendments to the RICE NESHAP are shown 

for comparison. The costs that were previously estimated are 

shown in the original year ($2008 for CI and $2009 for SI), as 

well as updated to 2010 dollars. 

Table 5. Summary of Cost Impacts for Existing Stationary RICE

Engine 2010 Final Rule 2010 Final Rule with 

these Final Amendments 

Total Annual Cost 

SI $253 million 

($2009) 

$251 million 

($2010) $115 million ($2010)

CI $373 million 

($2008) 

$375 million 

($2010) $373 million ($2010)

Total Capital Cost

SI $383 million 

($2009) 

$380 million 

($2010) $103 million ($2010) 

CI $744 million 

($2008) 

$748 million 

($2010) $740 million ($2010) 

Further information regarding the estimated cost impacts of the 

final amendments, including the cost of the final amendments in 

2010 dollars, can be found in the memorandum titled, “RICE 

NESHAP Reconsideration Final Amendments - Cost and Environmental 

Impacts,” which is available in the docket (EPA-HQ-OAR-2008-

0708). The EPA did not estimate costs associated with the 

changes to the NSPS for stationary CI and SI engines. The 

Formatted Table

Formatted Table
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Page 76 of 228 

changes to the NSPS are minor and are not expected to impact the 

costs of those rules. 

C. What are the benefits?

Emission controls installed to meet the requirements of 

this final rule will generate benefits by reducing emissions of 

HAP as well as criteria pollutants and their precursors, 

including CO, NOx and VOC. NOx and VOC are precursors to PM2.5 

(particles smaller than 2.5 microns) and ozone. The criteria 

pollutant benefits are considered co-benefits for this rule. For 

this final rule, the EPA was only able to quantify the health 

co-benefits associated with reduced exposure to PM2.5 from 

emission reductions of NOx and directly emitted PM2.5. The EPA 

has not re-estimated the benefits from the proposal for this 

final rule because the emission reductions have not changed 

since the reconsideration proposal.11 

 

11 Since the June 7, 2012 reconsideration proposal, the EPA has 

made several updates to the approach used to estimate mortality 

and morbidity benefits, as demonstrated in the RIA for the PM 

NAAQS. Changes include applying the concentration-response 

functions from more recent epidemiology studies, adding some 

health endpoints, and updating population data. Although the EPA 

has not re-estimated the benefits for this rule by applying 

these changes, we anticipate that the rounded benefits estimated 

for this rule are unlikely to be very different than those 

provided here. Specifically, we anticipate that the changes that 

would likely lead to small increases in the benefits would 

likely be offset by changes that would likely lead to small 

decreases in the benefits. References for the RIA for the PM 

NAAQS are: (1) U.S. Environmental Protection Agency (U.S. EPA). 

2012a. Regulatory Impact Analysis for the Proposed Revisions to 

the National Ambient Air Quality Standards for Particulate 

Deleted: Since the June 7, 2012, 

reconsideration proposal, the EPA 

has made several updates to the 

approach we use to estimate 

mortality and morbidity benefits in 

the PM NAAQS RIA,9,10 including 

updated epidemiology studies, 

health endpoints, and population 

data. Although the EPA has not reestimated the benefits for this 

rule to apply this new approach, 

these updates generally offset each 

other, and we anticipate that the 

rounded benefits estimated for this 

rule are unlikely to be different 

than those provided above. 
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The EPA previously estimated that the monetized co-benefits 

in 2013 of the stationary CI NESHAP would be $940 million to 

$2,300 million (2008 dollars) at a 3-percent discount rate and 

$850 million to $2,100 million (2008 dollars) at a 7-percent 

discount rate.12 For stationary SI engines, EPA previously 

estimated that the monetized co-benefits in 2013 would be $510 

million to $1,200 million (2009 dollars) at a 3-percent discount 

rate) and $460 million to $1,100 million (2009 dollars) at a 7-

percent discount rate.13

The final amendments are expected to reduce the overall 

emission reductions of the rules, primarily due to the changes 

to requirements for engines in remote areas. In addition to 

revising the anticipated emission reductions, the EPA has also 

 

Matter. EPA-452/R-12-003. Office of Air Quality Planning and 

Standards, Health and Environmental Impacts Division. June. 

Available at 

http://www.epa.gov/ttnecas1/regdata/RIAs/PMRIACombinedFile_Bookm

arked.pdf. (2) U.S. Environmental Protection Agency (U.S. EPA). 

2012b. Regulatory Impact Analysis for the Final Revisions to the 

National Ambient Air Quality Standards for Particulate Matter. 

EPA-452/R-12-003. Office of Air Quality Planning and Standards, 

Health and Environmental Impacts Division. December. Available 

at http://www.epa.gov/pm/2012/finalria.pdf.

12 U.S. Environmental Protection Agency. 2010. Regulatory Impact 

Analysis (RIA) for Existing Stationary Compression Ignition 

Engines NESHAP: Final Draft. Research Triangle Park, NC. 

February. 

http://www.epa.gov/ttn/ecas/regdata/RIAs/CIRICENESHAPRIA2-17-

0cleanpublication.pdf.

13 U.S. Environmental Protection Agency. 2010. Regulatory Impact 

Analysis (RIA) for Existing Stationary Spark Ignition (SI) RICE 

NESHAP: Final Report. Research Triangle Park, NC. August. 

http://www.epa.gov/ttn/ecas/regdata/RIAs/riceriafinal.pdf.
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updated the methodology used to calculate the co-benefits to be 

consistent with methods used in more recent rulemakings, which 

is summarized below and discussed in more detail in the CI and 

SI Final Reconsideration RIAs, the RIAs for this rulemaking. The 

EPA estimates the monetized co-benefits of the final amendments 

of the CI NESHAP in 2013 to be $770 million to $1,900 million 

(2010 dollars) at a 3-percent discount rate and $690 million to 

$1,700 million (2010 dollars) at a 7-percent discount rate. For 

SI engines, the EPA estimates the monetized co-benefits of the 

final amendments in 2013 to be $62 million to $150 million (2010 

dollars) at a 3-percent discount rate and $55 million to $140 

million (2010 dollars) at a 7-percent discount rate. 

Using alternate relationships between PM2.5 and premature 

mortality supplied by experts, higher and lower co-benefits 

estimates are plausible, but most of the expert-based estimates 

fall between these two estimates.14 A summary of the monetized 

co-benefits estimates for CI and SI engines at discount rates of 

3 percent and 7 percent is in Table 6 of this preamble. 

 

14 Roman, et al., 2008. Expert Judgment Assessment of the 

Mortality Impact of Changes in Ambient Fine Particulate Matter 

in the U.S., Environ. Sci. Technol., 42, 7, 2268 – 2274. 
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Table 6. Summary of the Monetized PM2.5 Co-Benefits Final 

Amendments to the NESHAP for Stationary CI and SI Engines 

(millions of 2010 dollars)a, b

Pollutant 

Emission 

reductions 

(tons per 

year) 

Total monetized 

co-benefits 

(3 percent 

Discount) 

Total monetized 

co-benefits 

(7 percent 

Discount) 

Original 2010 Final Rulesc

Stationary CI Engines 

Total 

Benefits 

2,844 PM2.5

27,395 VOC $950 to $2,300 $860 to $2,100 

Stationary SI Engines 

Total 

Benefits 

96,479 NOx 

30,907 VOC $510 to $1,300 $470 to $1,100 

2010 Final Rules with these Final Amendments 

Stationary CI Engines 

Directly 

emitted PM2.5

2,818 $770 to $1,900 $690 to $1,700 

Stationary SI Engines 

NOx 9,648 $62 to $150 $55 to $140 a

 All estimates are for the analysis year (2013) and are rounded 

to two significant figures so numbers may not sum across rows. 

The total monetized co-benefits reflect the human health 

benefits associated with reducing exposure to PM2.5 through 

reductions of PM2.5 precursors, such as NOx and directly emitted 

PM2.5. It is important to note that the monetized co-benefits do 

not include reduced health effects from exposure to HAP, direct 

exposure to NO2, exposure to ozone, ecosystem effects or 

visibility impairment. 

b

 PM co-benefits are shown as a range from Pope, et al. (2002) to 

Laden, et al. (2006). These models assume that all fine 

particles, regardless of their chemical composition, are equally 

potent in causing premature mortality because the scientific 

evidence is not yet sufficient to allow differentiation of 

effects estimates by particle type. 

c

 The benefits analysis for the 2010 final rules applied outdated benefit-per-ton estimates compared to the updated 

estimates described in this preamble and reflected monetized cobenefits for VOC emissions, which limits direct comparability 

with the monetized co-benefits estimated for this final rule. In 

addition, these estimates have been updated from their original 

currency years to 2010$, so the rounded estimates for the 2010 

final rules may not match the original RIAs. 

Formatted Table

Formatted Table
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These co-benefits estimates represent the total monetized 

human health benefits for populations exposed to less PM2.5 in 

2013 from controls installed to reduce air pollutants in order 

to meet this final rule. To estimate human health co-benefits of 

these rules, the EPA used benefit-per-ton factors to quantify 

the changes in PM2.5-related health impacts and monetized 

benefits based on changes in directly emitted PM2.5 and NOx 

emissions. These benefit-per-ton factors were derived using the 

general approach and methodology laid out in Fann, Fulcher and 

Hubbell (2009).15 This approach uses a model to convert emissions 

of PM2.5 precursors into changes in ambient PM2.5 levels and 

another model to estimate the changes in human health associated 

with that change in air quality, which are then divided by the 

emission reductions to create the benefit-per-ton estimates. 

However, for these rules, the EPA utilized air quality modeling 

of emissions in the “Non-EGU Point other” category because the 

EPA does not have modeling specifically for stationary 

engines.16,17 The primary difference between the estimates used in 

 

15 Fann, N., C.M. Fulcher, B.J. Hubbell. 2009. The influence of 

location, source, and emission type in estimates of the human 

health benefits of reducing a ton of air pollution. Air Qual 

Atmos Health (2009) 2:169–176.

16 U.S. Environmental Protection Agency. 2012. Technical support 

document: Estimating the benefit per ton of reducing PM2.5

precursors from other point sources. Research Triangle Park, NC. 17 Stationary engines are included in the other non-EGU point 

source category. If the affected stationary engines are more 
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Page 81 of 228 

this analysis and the estimates reported in Fann, Fulcher and 

Hubbell (2009) is the air quality modeling data utilized. While 

the air quality data used in Fann, Fulcher and Hubbell (2009) 

reflects broad pollutant/source category combinations, such as 

all non-EGU stationary point sources, the air quality modeling 

data used in this analysis has narrower sector categories. In 

addition, the updated air quality modeling data reflects more 

recent emissions data (2005 rather than 2001) and has a higher 

spatial resolution (12 km rather than 36 km grid cells). The 

benefits methodology, such as health endpoints assessed, risk 

estimates applied, and valuation techniques applied did not 

change. As a result, the benefit-per-ton estimates presented 

herein better reflect the geographic areas and populations 

likely to be affected by this sector. However, these updated 

estimates still have similar limitations as all national-average 

benefit-per-ton estimates in that they reflect the geographic 

distribution of the modeled emissions, which may not exactly 

match the emission reductions in this rulemaking, and they may 

not reflect local variability in population density, 

 

rural than the average of the non-EGU sources modeled, then it 

is possible that the benefits may be somewhat less than the EPA 

has estimated here. The TSD provides the geographic distribution 

of the air quality changes associated with this sector. It is 

important to emphasize that this modeling represents the best 

available information on the air quality impact on a per ton 

basis for these sources.
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meteorology, exposure, baseline health incidence rates or other 

local factors for any specific location.18 

The EPA applies these national benefit-per-ton estimates 

calculated for this sector separately for directly emitted PM2.5

and NOx and multiply them by the corresponding emission 

reductions. The sector modeling does not provide estimates of 

the PM2.5-related benefits associated with reducing VOC 

emissions, but these unquantified benefits are generally small 

compared to other PM2.5 precursors. More information regarding the 

derivation of the benefit-per-ton estimates for this category is 

available in the Technical Support Document, which is available 

in the docket for this rulemaking. 

These models assume that all fine particles, regardless of 

their chemical composition, are equally potent in causing 

premature mortality because the scientific evidence is not yet 

 

18 To the extent that the PM2.5 improvements achieved by the 2010 

final rule would have been located in areas with lower average 

population density compared to the engines regulated under these 

amendments, there is a potential for the estimated loss in 

benefits to be overstated by the use of national-average 

benefit-per-ton estimates. For example, if only engines in areas 

with higher population density are regulated, this scenario 

should result in higher benefit-per-ton estimates than a 

scenario only regulating engines in areas with lower population 

density. It is important to note that the benefit-per-ton 

estimates that EPA applied in this assessment reflect pollution 

transport as well as a variety of emission source locations, 

including areas with high and low population density. Without 

information regarding the specific location of the engines 

affected by the 2010 final rule and the amendments, it is not 

possible to be more precise regarding the true magnitude of the 

loss in benefits. 

Deleted: technical support document
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sufficient to allow differentiation of effects estimates by 

particle type. The main PM2.5 precursors affected by this final 

rule are directly emitted PM2.5 and NOx. Even though the EPA 

assumes that all fine particles have equivalent health effects, 

the benefit-per-ton estimates vary between precursors depending 

on the location and magnitude of their impact on PM2.5 levels, 

which drive population exposure. For example, directly emitted 

NOx has a lower benefit-per-ton estimate than direct PM2.5

because it does not form as much PM2.5; thus, the exposure would 

be lower, and the monetized health benefits would be lower. 

It is important to note that the magnitude of the PM2.5 cobenefits is largely driven by the concentration response 

function for premature mortality. Experts have advised the EPA 

to consider a variety of assumptions, including estimates based 

both on empirical (epidemiological) studies and judgments 

elicited from scientific experts, to characterize the 

uncertainty in the relationship between PM2.5 concentrations and 

premature mortality. The EPA cites two key empirical studies, 

one based on the American Cancer Society cohort study19 and the 

extended Six Cities cohort study.20 In the RIA for the proposed 

 

19 Pope, et al., 2002. Lung Cancer, Cardiopulmonary Mortality, 

and Long-term Exposure to Fine Particulate Air Pollution. 

Journal of the American Medical Association 287:1132-1141. 

20 Laden, et al., 2006. Reduction in Fine Particulate Air 

Pollution and Mortality. American Journal of Respiratory and 

Critical Care Medicine 173: 667-672. 

Deleted: PM2.5
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reconsideration amendments rule, which is available in the 

docket, the EPA also includes benefits estimates derived from 

the expert judgments and other assumptions. 

The EPA strives to use the best available science to 

support our benefits analyses. The EPA recognizes that 

interpretation of the science regarding air pollution and health 

is dynamic and evolving. After reviewing the scientific 

literature, the EPA has determined that the no-threshold model 

is the most appropriate model for assessing the mortality 

benefits associated with reducing PM2.5 exposure. Consistent with 

this finding, the EPA has conformed the previous threshold 

sensitivity analysis to the current state of the PM science by 

incorporating a new “Lowest Measured Level” (LML) assessment in 

the RIA accompanying these rules. While an LML assessment 

provides some insight into the level of uncertainty in the 

estimated PM mortality benefits, the EPA does not view the LML 

as a threshold and continues to quantify PM-related mortality 

impacts using a full range of modeled air quality 

concentrations. 

Most of the estimated PM-related co-benefits for these 

rules would accrue to populations exposed to higher levels of 

PM2.5. For this analysis, policy-specific air quality data are 

not available due to time or resource limitations, and, thus, 

the EPA is unable to estimate the percentage of premature 
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Page 85 of 228 

mortality associated with this specific rule’s emission 

reductions at each PM2.5 level. As a surrogate measure of 

mortality impacts, the EPA provides the percentage of the 

population exposed at each PM2.5 level using the source 

apportionment modeling used to calculate the benefit-per-ton 

estimates for this sector. Using the Pope, et al. (2002) study, 

77 percent of the population is exposed to annual mean PM2.5

levels at or above the LML of 7.5 micrograms per cubic meter 

(μg/m3

). Using the Laden, et al. (2006) study, 25 percent of the 

population is exposed above the LML of 10 μg/m3

. It is important 

to emphasize that we have high confidence in PM2.5-related 

effects down to the lowest LML of the major cohort studies. This 

fact is important, because, as the EPA models avoided premature 

deaths among populations exposed to levels of PM2.5, the EPA has 

lower confidence in levels below the LML for each study. 

Every benefit analysis examining the potential effects of a 

change in environmental protection requirements is limited, to 

some extent, by data gaps, model capabilities (such as 

geographic coverage) and uncertainties in the underlying 

scientific and economic studies used to configure the benefit 

and cost models. Despite these uncertainties, the EPA believes 

the benefit analysis for these rules provides a reasonable 

indication of the expected health benefits of the rulemaking 

under a set of reasonable assumptions. This analysis does not 
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Page 86 of 228 

include the type of detailed uncertainty assessment found in the 

2006 PM2.5 National Ambient Air Quality Standard (NAAQS) RIA 

because the EPA lacks the necessary air quality input and 

monitoring data to run the benefits model. In addition, the EPA 

has not conducted air quality modeling for these rules, and 

using a benefit-per-ton approach adds another important source 

of uncertainty to the benefits estimates. The 2006 PM2.5 NAAQS 

benefits analysis21 provides an indication of the sensitivity of 

our results to various assumptions. 

It should be noted that the monetized co-benefits estimates 

provided above do not include benefits from several important 

benefit categories, including exposure to HAP, NOx, ozone, as 

well as ecosystem effects and visibility impairment. Although 

the EPA does not have sufficient information or modeling 

available to provide monetized estimates for these amendments, 

the EPA includes a qualitative assessment of these unquantified 

benefits in the RIAs for these final amendments. 

For more information on the benefits analysis, please refer 

to the CI and SI RIAs for these amendments, which are available 

in the docket. 

 

21 U.S. Environmental Protection Agency, 2006. Proposed 

amendments Regulatory Impact Analysis: PM2.5 NAAQS. Prepared by 

Office of Air and Radiation. October. Available on the Internet 

at http://www.epa.gov/ttn/ecas/ria.html. 
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D. What are the non-air health, environmental and energy 

impacts?

The EPA does not anticipate any significant non-air health, 

environmental or energy impacts as a result of these final 

amendments. 

V. Statutory and Executive Order Reviews 

A. Executive Order 12866: Regulatory Planning and Review and 

Executive Order 13563: Improving Regulation and Regulatory 

Review

Under section 3(f)(1) of Executive Order 12866 (58 FR 

51735, October 4, 1993), this action is an “economically 

significant regulatory action” because it is likely to have an 

annual effect on the economy of $100 million or more. 

Accordingly, the EPA submitted this action to the Office of 

Management and Budget (OMB) for review under Executive Order 

12866 and Executive Order 13563 (76 FR 3821, January 21, 2011), 

and any changes made in response to OMB recommendations have 

been documented in the docket for this action. In addition, the 

EPA prepared a RIA of the potential costs and benefits 

associated with this action. 

A summary of the monetized benefits, compliance costs and 

net benefits for the 2010 rule with the final amendments to the 

stationary CI engines NESHAP at discount rates of 3 percent and 

7 percent is in Table 7 of this preamble. The summary for 
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Page 88 of 228 

stationary SI engines is included in Table 8 of this preamble. 

OMB Circular A-4 recommends that analysis of a change in an 

existing regulatory program use a baseline that assumes “no 

change” in the existing regulation. For purposes of this final 

rule, however, the EPA has decided that it is appropriate to 

assume a baseline in which the original 2010 rule did not exist. 

The EPA feels that this baseline is appropriate because full 

implementation of this final rule has not taken place as of yet 

(it will take place in 2013). In addition, this assumption is 

consistent with the baseline definition applied in the proposed 

NESHAP for Industrial, Commercial, and Institutional Boilers (76 

FR 80532) and NSPS for Commercial/Industrial Solid Waste 

Incineration Units (76 FR 80452). We have not re-estimated the 

benefits from the proposal for this final rule because the 

emission reductions have not changed since the reconsideration 

proposal. Since the June 7, 2012, reconsideration proposal, we 

have updated the epidemiology studies used to calculate 

mortality and morbidity benefits in the PM NAAQS proposal RIA.22

These updates would reduce the monetized benefits estimated for 

the RICE NESHAP reconsideration by less than 4 percent. 

 

22 U.S. Environmental Protection Agency (U.S. EPA). 2012. 

Regulatory Impact Analysis for the Proposed Revisions to the 

National Ambient Air Quality Standards for Particulate Matter. 

EPA-452/R-12-003. Office of Air Quality Planning and Standards, 

Health and Environmental Impacts Division. June. Available at 

http://www.epa.gov/ttnecas1/regdata/RIAs/PMRIACombinedFile_Bookm

arked.pdf.
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Table 7. Summary of the Monetized Benefits, Compliance Costs and 

Net benefits for the 2010 Rule with the Final Amendments to the 

Stationary CI Engine NESHAP in 2013 (millions of 2010 dollars)a 

3-Percent Discount 

Rate 

7-Percent Discount 

Rate 

Total Monetized 

Benefitsb $770 to $1,900 $690 to $1,700 

Total Compliance 

Costsc $373 $373 

Net Benefits $400 to $1,500 $320 to $1,300 

Non-Monetized 

Benefits 

Health effects from exposure to HAP 

Health effects from direct exposure to NO2

and ozone 

Health effects from PM2.5 exposure from VOC 

Ecosystem effects 

Visibility impairment a

 All estimates are for the implementation year (2013) and are 

rounded to two significant figures. 

b

 The total monetized co-benefits reflect the human health 

benefits associated with reducing exposure to PM2.5 through 

reductions of PM2.5 precursors, such as NOx and directly emitted 

PM2.5. Co-benefits are shown as a range from Pope, et al. (2002) 

to Laden, et al. (2006). These models assume that all fine 

particles, regardless of their chemical composition, are equally 

potent in causing premature mortality because the scientific 

evidence is not yet sufficient to allow differentiation of 

effects estimates by particle type. 

c

 The engineering compliance costs are annualized using a 7- 

percent discount rate. 

Table 8. Summary of the Monetized Benefits, Compliance Costs and 

Net benefits for the 2010 Rule with the Final Amendments to the 

Stationary SI Engine NESHAP in 2013 (millions of 2010 dollars)a 

3-Percent Discount 

Rate 

7-Percent Discount 

Rate 

Total Monetized 

Benefitsb $62 to $150 $55 to $140 

Total Compliance 

Costsc $115 $115 

Net Benefits $-53 to $35 $-60 to $25 

Non-Monetized 

Benefits 

Health effects from exposure to HAP 

Health effects from direct exposure to NO2

and ozone 

Formatted Table

Formatted Table
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Page 90 of 228 

Health effects from PM2.5 exposure from VOC 

Ecosystem effects 

Visibility impairment a

 All estimates are for the implementation year (2013) and are 

rounded to two significant figures. 

b

 The total monetized co-benefits reflect the human health 

benefits associated with reducing exposure to PM2.5 through 

reductions of PM2.5 precursors, such as NOx and directly emitted 

PM2.5. Co-benefits are shown as a range from Pope, et al. (2002) 

to Laden, et al. (2006). These models assume that all fine 

particles, regardless of their chemical composition, are equally 

potent in causing premature mortality because the scientific 

evidence is not yet sufficient to allow differentiation of 

effects estimates by particle type. 

c

 The engineering compliance costs are annualized using a 7- 

percent discount rate. 

For more information on the cost-benefit analysis, please 

refer to the RIA for these final amendments, which is available 

in the docket for this rulemaking. 

B. Paperwork Reduction Act

The information collection requirements in this final rule 

for stationary SI RICE have been submitted for approval to OMB 

under the Paperwork Reduction Act, 44 U.S.C. 3501 et seq. The 

information collection requirements are not enforceable until 

OMB approves them. 

As discussed in this preamble to this final action, there 

are reporting requirements that will begin in 2016. Owners and 

operators of emergency stationary engines that operate or are 

contractually obligated to be available for more than 15 hours 

per year for emergency demand response must document their 

operation in annual reports to the EPA. These reports are 
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Page 91 of 228 

necessary to enable EPA or States to identify affected 

facilities that may not be in compliance with the requirements. 

The burden of this reporting requirement is not included in the 

ICR burden estimate because it is after the first 3 years after 

which sources must begin complying with the rule. The reporting 

burden beginning in 2016 would only be included starting with 

the first ICR renewal. The EPA estimates the annual burden of 

this reporting requirement to be approximately 77,128 labor 

hours at a cost of $4.8 million in the first year that reporting 

is required, 2015, and 24,628 labor hours at a cost of $1.7 

million in subsequent years. 

An Agency may not conduct or sponsor, and a person is not 

required to respond to a collection of information unless it 

displays a currently valid OMB control number. The OMB control 

numbers for EPA’s regulations in 40 CFR are listed in 40 CFR 

part 9. When this ICR is approved by OMB, the Agency will 

publish a technical amendment to 40 CFR part 9 in the Federal 

Register to display the OMB control number for the approved 

information collection requirements contained in this final 

rule.

The OMB has previously approved the information collection 

requirements contained in the 2010 RICE NESHAP final rulemaking, 

including those for stationary CI RICE, under the provisions of 

the Paperwork Reduction Act, 44 U.S.C. 3501 et seq. and has 
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assigned OMB control number 2060-0548. The OMB control numbers 

for the EPA's regulations in 40 CFR are listed in 40 CFR part 9. 

C. Regulatory Flexibility Act

The Regulatory Flexibility Act generally requires an agency 

to prepare a regulatory flexibility analysis of any rule subject 

to notice and comment rulemaking requirements under the 

Administrative Procedure Act or any other statute unless the 

agency certifies that the rule will not have a significant 

economic impact on a substantial number of small entities. Small 

entities include small businesses, small organizations and small 

governmental jurisdictions. 

 For purposes of assessing the impacts of this rule on small 

entities, small entity is defined as: (1) A small business as 

defined by the Small Business Administration’s (SBA) regulations 

at 13 CFR 121.201; (2) a small governmental jurisdiction that is 

a government of a city, county, town, school district or special 

district with a population of less than 50,000; and (3) a small 

organization that is any not-for-profit enterprise which is 

independently owned and operated and is not dominant in its 

field. The SBA defines a small business in terms of the maximum 

employment, annual sales, or annual energy-generating capacity 

(for electricity generating units—EGUs) of the owning entity. As 

mentioned earlier in this preamble, facilities across several 
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Page 93 of 228 

industries use affected CI and SI stationary RICE; therefore, a 

number of size standards are utilized in this analysis. 

After considering the economic impacts of this final rule 

on small entities, I certify that this action will not have a 

significant economic impact on a substantial number of small 

entities. The small entities directly regulated by this final 

rule are those in the 15 industries identified in the 6-digit 

NAICS code represented in this analysis; the employment size 

standard (where it applies) varies from 500 to 1,000 employees. 

The annual sales standard (where it applies) is as low as 0.75 

million dollars and as high as 33.5 million dollars. In 

addition, for the electric power generation industry, which is 

one of the affected industries, the small business size standard 

is an ultimate parent entity defined as having a total electric 

output of 4 million megawatt-hours in the previous fiscal year. 

We have determined that the percentage of small entities 

impacted by this final rule having annualized costs of greater 

than 1 percent of their sales is less than 2 percent of all 

affected small entities according to the small entity analysis. 

Although the final reconsideration rule will not have a 

significant economic impact on a substantial number of small 

entities, the EPA nonetheless tried to reduce the impact of this 

rule on small entities. When developing the revised standards, 

the EPA took special steps to ensure that the burdens imposed on 
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Page 94 of 228 

small entities were minimal. The EPA conducted several meetings 

with industry trade associations to discuss regulatory options 

and the corresponding burden on industry, such as recordkeeping 

and reporting. In addition, as mentioned earlier in this 

preamble, the EPA is reducing the regulatory requirements for a 

variety of area sources affected under each of the RICE rules 

with amendments to the final RICE rules promulgated in 2010. 

For more information on the small entity impacts associated 

with this rulemaking, please refer to the Economic Impact and 

Small Business Analyses in the public docket. These analyses can 

be found in the RIA for each of the rules affected by this 

action. 

D. Unfunded Mandates Reform Act

This rule does not contain a federal mandate that may 

result in expenditures of $100 million or more for state, local 

and tribal governments, in the aggregate, or the private sector 

in any one year. The EPA is finalizing management practices for 

certain existing engines located at area sources and is 

finalizing amendments that will provide owners and operators 

with alternative and less expensive compliance demonstration 

methods. As a result of these changes, the EPA anticipates a 

substantial reduction in the cost burden associated with this 

rule. Thus, this final rule is not subject to the requirements 

of sections 202 or 205 of UMRA. 
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 This final rule is also not subject to the requirements of 

section 203 of UMRA because it contains no regulatory 

requirements that might significantly or uniquely affect small 

governments. The changes being finalized in this action by the 

agency will mostly affect stationary engine owners and operators 

and will not affect small governments. These final amendments 

will lead to a reduction in the cost burden. 

E. Executive Order 13132: Federalism

 This action does not have federalism implications. It will 

not have substantial direct effects on the states, on the 

relationship between the national government and the states or 

on the distribution of power and responsibilities among the 

various levels of government, as specified in Executive Order 

13132. This action primarily affects private industry, and does 

not impose significant economic costs on state or local 

governments. Thus, Executive Order 13132 does not apply to this 

action. In the spirit of Executive Order 13132, and consistent 

with the EPA policy to promote communications between the EPA 

and state and local governments, the EPA specifically solicited 

comment on the proposed action from state and local officials. 

F. Executive Order 13175: Consultation and Coordination with 

Indian Tribal Governments

 This action does not have tribal implications, as specified 

in Executive Order 13175 (65 FR 67249, November 9, 2000). It 
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Page 96 of 228 

will not have substantial direct effects on tribal governments, 

on the relationship between the federal government and Indian 

tribes or on the distribution of power and responsibilities 

between the federal government and Indian tribes, as specified 

in Executive Order 13175. Thus, Executive Order 13175 does not 

apply to this action. In the spirit of Executive Order 13175, 

and consistent with the EPA policy to promote communications 

between the EPA and tribal governments, the EPA has conducted 

outreach to tribal governments by providing information on the 

rule during National Tribal Air Association/EPA Policy Calls. 

G. Executive Order 13045: Protection of Children from 

Environmental Health Risks and Safety Risks

The EPA interprets Executive Order 13045 (62 FR 19885, 

April 23, 1997) as applying only to those regulatory actions 

that are based on health or safety risks, such that the analysis 

required under section 5-501 of the Executive Order has the 

potential to influence the regulation. This action is not 

subject to Executive Order 13045 because it is based solely on 

technology performance. 

H. Executive Order 13211: Actions Concerning Regulations that 

Significantly Affect Energy Supply, Distribution, or Use

This action is not a “significant energy action” as defined 

in Executive Order 13211 (66 FR 28355 (May 22, 2001)), because 

it is not likely to have a significant adverse effect on the 
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Page 97 of 228 

supply, distribution or use of energy. This action reduces the 

burden of the rule on owners and operators of stationary engines 

by providing less burdensome compliance demonstration methods to 

owners and operators and greater flexibility in the operation of 

emergency engines. As a result of these changes, the EPA 

anticipates a substantial reduction in the cost burden 

associated with this rule. 

I. National Technology Transfer and Advancement Act

Section 12(d) of the National Technology Transfer and 

Advancement Act of 1995 (“NTTAA”), Public Law No. 104-113, 12(d) 

(15 U.S.C. 272 note) directs the EPA to use voluntary consensus 

standards in its regulatory activities unless to do so would be 

inconsistent with applicable law or otherwise impractical. 

Voluntary consensus standards are technical standards (e.g., 

materials specifications, test methods, sampling procedures and 

business practices) that are developed or adopted by voluntary 

consensus standards bodies. NTTAA directs the EPA to provide 

Congress, through OMB, explanations when the agency decides not 

to use available and applicable voluntary consensus standards. 

 This rulemaking involves technical standards. The EPA has 

decided to use EPA Method 25A of 40 CFR part 60, appendix A. 

While the agency identified two voluntary consensus standards as 

being potentially applicable, the EPA has decided not to use 

them in this rulemaking. The two candidate voluntary consensus 
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Page 98 of 228 

standards, ISO 14965:2000(E) and EN 12619 (1999), identified 

would not be practical due to lack of equivalency, 

documentation, validation data and other important technical and 

policy considerations. The search and review results have been 

documented and are placed in the docket for this final rule. 

J. Executive Order 12898: Federal Actions to Address 

Environmental Justice in Minority Populations and Low-Income 

Populations

 Executive Order 12898 (59 FR 7629 (February 16, 1994)) 

establishes federal executive policy on environmental justice. 

Its main provision directs federal agencies, to the greatest 

extent practicable and permitted by law, to make environmental 

justice part of their mission by identifying and addressing, as 

appropriate, disproportionately high and adverse human health or 

environmental effects of their programs, policies and activities 

on minority populations and low-income populations in the United 

States. 

The EPA has concluded that it is not feasible to determine 

whether there would be disproportionately high and adverse human 

health or environmental effects on minority, low income or 

indigenous populations from this final rule, as the EPA does not 

have specific information about the location of the stationary 

RICE affected by this final rule. The EPA has taken steps to 

reduce the impact of the final changes for SI engines by 

Deleted: 

Formatted: Indent: First line: 0.5"

Deleted: ¶

Deleted: spark ignition
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Page 99 of 228 

limiting the subcategory for remote engines to those that are 

not in populated areas. 

K. Congressional Review Act

 The Congressional Review Act, 5 U.S.C. 801 et seq., as 

added by the Small Business Regulatory Enforcement Fairness Act 

of 1996, generally provides that before a rule may take effect, 

the agency promulgating the rule must submit a rule report, 

which includes a copy of the rule, to each House of the Congress 

and to the Comptroller General of the United States. The EPA 

will submit a report containing this rule and other required 

information to the U.S. Senate, the U.S. House of 

Representatives, and the Comptroller General of the United 

States prior to publication of the rule in the Federal Register. 

A Major rule cannot take effect until 60 days after it is 

published in the Federal Register. This action is a “major rule” 

as defined by 5 U.S.C. 804(2). This rule will be effective on 

[INSERT DATE 60 DAYS AFTER PUBLICATION IN THE FEDERAL REGISTER]. 

 
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National Emission Standards for Hazardous Air Pollutants for 

Reciprocating Internal Combustion Engines; New Source 

Performance Standards for Stationary Internal Combustion Engines

Page 100 of 228

List of Subjects 

40 CFR part 60 

Administrative practice and procedure, Air pollution control, 

Incorporation by reference, Intergovernmental relations, 

Reporting and recordkeeping requirements. 

40 CFR part 63 

Administrative practice and procedure, Air pollution control, 

Hazardous substances, Incorporation by reference, 

Intergovernmental relations, Reporting and recordkeeping 

requirements. 

______________________ 

Dated: 

______________________ 

Lisa P. Jackson, 

Administrator. 

Deleted: .
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Page 101 of 228

6560-50-P 

For the reasons stated in the preamble, title 40, chapter I of 

the Code of Federal Regulations is amended as follows: 

PART 60—[AMENDED]

1. The authority citation for part 60 continues to read as 

follows: 

Authority: 42 U.S.C. 7401, et seq. 

Subpart A—[amended]

2. Section 60.17 is amended by adding paragraph (r) to read 

as follows: 

§60.17 Incorporations by reference.

* * * * * 

 (r) The following material is available from the North 

American Electric Reliability Corporation, 3353 Peachtree Road 

NE, Suite 600, North Tower, Atlanta, GA 30326, 

http://www.nerc.com, and is available at the following website: 

http://www.nerc.com/files/EOP-002-3_1.pdf. 

 (1) North American Electric Reliability Corporation, 

Reliability Standards for the Bulk of Electric Systems of North 

America, Reliability Standard EOP-002-3, Capacity and Energy 

Emergencies, updated November 19, 2012, IBR approved for 

§§60.4211(f) and 60.4243(d). 

 (2) [Reserved] 
Page 102 of 228

Subpart IIII—[amended]

3. Section 60.4207 is amended by revising paragraph (b) to 

read as follows: 

§60.4207 What fuel requirements must I meet if I am an owner or 

operator of a stationary CI internal combustion engine subject 

to this subpart?

* * * * * 

 (b) Beginning October 1, 2010, owners and operators of 

stationary CI ICE subject to this subpart with a displacement of 

less than 30 liters per cylinder that use diesel fuel must use 

diesel fuel that meets the requirements of 40 CFR 80.510(b) for 

nonroad diesel fuel, except that any existing diesel fuel 

purchased (or otherwise obtained) prior to October 1, 2010, may 

be used until depleted. 

* * * * * 

4. Section 60.4211 is amended by revising paragraph (f) to 

read as follows: 

§60.4211 What are my compliance requirements if I am an owner 

or operator of a stationary CI internal combustion engine?

* * * * * 

(f) If you own or operate an emergency stationary ICE, you 

must operate the emergency stationary ICE according to the 

requirements in paragraphs (f)(1) through (3) of this section. 

In order for the engine to be considered an emergency stationary 
Page 103 of 228

ICE under this subpart, any operation other than emergency 

operation, maintenance and testing, emergency demand response, 

and operation in non-emergency situations for 50 hours per year, 

as described in paragraphs (f)(1) through (3) of this section, 

is prohibited. If you do not operate the engine according to the 

requirements in paragraphs (f)(1) through (3) of this section, 

the engine will not be considered an emergency engine under this 

subpart and must meet all requirements for non-emergency 

engines. 

(1) There is no time limit on the use of emergency 

stationary ICE in emergency situations. 

 (2) You may operate your emergency stationary ICE for any 

combination of the purposes specified in paragraphs (f)(2)(i) 

through (iii) of this section for a maximum of 100 hours per 

calendar year. Any operation for non-emergency situations as 

allowed by paragraph (f)(3) of this section counts as part of 

the 100 hours per calendar year allowed by this paragraph 

(f)(2). 

 (i) Emergency stationary ICE may be operated for 

maintenance checks and readiness testing, provided that the 

tests are recommended by federal, state or local government, the 

manufacturer, the vendor, the regional transmission organization 

or equivalent balancing authority and transmission operator, or 

the insurance company associated with the engine. The owner or 
Page 104 of 228

operator may petition the Administrator for approval of 

additional hours to be used for maintenance checks and readiness 

testing, but a petition is not required if the owner or operator 

maintains records indicating that federal, state, or local 

standards require maintenance and testing of emergency ICE 

beyond 100 hours per calendar year. 

 (ii) Emergency stationary ICE may be operated for emergency 

demand response for periods in which the Reliability Coordinator 

under the North American Electric Reliability Corporation (NERC) 

Reliability Standard EOP-002-3, Capacity and Energy Emergencies 

(incorporated by reference, see §60.17), or other authorized 

entity as determined by the Reliability Coordinator, has 

declared an Energy Emergency Alert Level 2 as defined in the 

NERC Reliability Standard EOP-002-3. 

 (iii) Emergency stationary ICE may be operated for periods 

where there is a deviation of voltage or frequency of 5 percent 

or greater below standard voltage or frequency. 

 (3) Emergency stationary ICE may be operated for up to 50 

hours per calendar year in non-emergency situations. The 50 

hours of operation in non-emergency situations are counted as 

part of the 100 hours per calendar year for maintenance and 

testing and emergency demand response provided in paragraph 

(f)(2) of this section. Except as provided in paragraph 

(f)(3)(i) of this section, the 50 hours per calendar year for 
Page 105 of 228

non-emergency situations cannot be used for peak shaving or nonemergency demand response, or to generate income for a facility 

to an electric grid or otherwise supply power as part of a 

financial arrangement with another entity. 

 (i) The 50 hours per year for non-emergency situations can 

be used to supply power as part of a financial arrangement with 

another entity if all of the following conditions are met: 

 (A) The engine is dispatched by the local balancing 

authority or local transmission and distribution system 

operator; 

 (B) The dispatch is intended to mitigate local transmission 

and/or distribution limitations so as to avert potential voltage 

collapse or line overloads that could lead to the interruption 

of power supply in a local area or region. 

 (C) The dispatch follows reliability, emergency operation 

or similar protocols that follow specific NERC, regional, state, 

public utility commission or local standards or guidelines. 

 (D) The power is provided only to the facility itself or to 

support the local transmission and distribution system. 

 (E) The owner or operator identifies and records the entity 

that dispatches the engine and the specific NERC, regional, 

state, public utility commission or local standards or 

guidelines that are being followed for dispatching the engine. 

The local balancing authority or local transmission and 
Page 106 of 228

distribution system operator may keep these records on behalf of 

the engine owner or operator. 

 (ii) [Reserved] 

* * * * * 

 5. Section 60.4214 is amended by adding paragraph (d) to 

read as follows: 

§60.4214 What are my notification, reporting, and recordkeeping 

requirements if I am an owner or operator of a stationary CI 

internal combustion engine?

* * * * * 

 (d) If you own or operate an emergency stationary CI ICE 

with a maximum engine power more than 100 HP that operates or is 

contractually obligated to be available for more than 15 hours 

per calendar year for the purposes specified in 

§60.4211(f)(2)(ii) and (iii) or that operates for the purposes 

specified in §60.4211(f)(3)(i), you must submit an annual report 

according to the requirements in paragraphs (d)(1) through (3) 

of this section. 

 (1) The report must contain the following information: 

 (i) Company name and address where the engine is located. 

 (ii) Date of the report and beginning and ending dates of 

the reporting period. 

 (iii) Engine site rating and model year. 
Page 107 of 228

 (iv) Latitude and longitude of the engine in decimal 

degrees reported to the fifth decimal place. 

 (v) Hours operated for the purposes specified in 

§60.4211(f)(2)(ii) and (iii), including the date, start time, 

and end time for engine operation for the purposes specified in 

§60.4211(f)(2)(ii) and (iii). 

 (vi) Number of hours the engine is contractually obligated 

to be available for the purposes specified in §60.4211(f)(2)(ii) 

and (iii). 

 (vii) Hours spent for operation for the purposes specified 

in §60.4211(f)(3)(i), including the date, start time, and end 

time for engine operation for the purposes specified in 

60.4211(f)(3)(i). The report must also identify the entity that 

dispatched the engine and the situation that necessitated the 

dispatch of the engine. 

 (2) The first annual report must cover the calendar year 

2015 and must be submitted no later than March 31, 2016. 

Subsequent annual reports for each calendar year must be 

submitted no later than March 31 of the following calendar year. 

(3) The annual report must be submitted electronically 

using the subpart specific reporting form in the Compliance and 

Emissions Data Reporting Interface (CEDRI) that is accessed 

through EPA’s Central Data Exchange (CDX) (www.epa.gov/cdx). 

However, if the reporting form specific to this subpart is not 
Page 108 of 228

available in CEDRI at the time that the report is due, the 

written report must be submitted to the Administrator at the 

appropriate address listed in §60.4. 

 6. Section 60.4219 is amended by revising the definition of 

“Emergency stationary internal combustion engine” to read as 

follows: 

§60.4219 What definitions apply to this subpart?

* * * * * 

 Emergency stationary internal combustion engine means any 

stationary reciprocating internal combustion engine that meets 

all of the criteria in paragraphs (1) through (3) of this 

definition. All emergency stationary ICE must comply with the 

requirements specified in §60.4211(f) in order to be considered 

emergency stationary ICE. If the engine does not comply with the 

requirements specified in §60.4211(f), then it is not considered 

to be an emergency stationary ICE under this subpart. 

 (1) The stationary ICE is operated to provide electrical 

power or mechanical work during an emergency situation. Examples 

include stationary ICE used to produce power for critical 

networks or equipment (including power supplied to portions of a 

facility) when electric power from the local utility (or the 

normal power source, if the facility runs on its own power 

production) is interrupted, or stationary ICE used to pump water 

in the case of fire or flood, etc. 
Page 109 of 228

 (2) The stationary ICE is operated under limited 

circumstances for situations not included in paragraph (1) of 

this definition, as specified in §60.4211(f). 

 (3) The stationary ICE operates as part of a financial 

arrangement with another entity in situations not included in 

paragraph (1) of this definition only as allowed in 

§60.4211(f)(2)(ii) or (iii) and §60.4211(f)(3)(i). 

* * * * * 

Subpart JJJJ—[amended]

7. Section 60.4231 is amended by revising paragraphs (b) 

through (d) to read as follows: 

§60.4231 What emission standards must I meet if I am a 

manufacturer of stationary SI internal combustion engines or 

equipment containing such engines?

* * * * * 

(b) Stationary SI internal combustion engine manufacturers 

must certify their stationary SI ICE with a maximum engine power 

greater than 19 KW (25 HP) (except emergency stationary ICE with 

a maximum engine power greater than 25 HP and less than 130 HP) 

that use gasoline and that are manufactured on or after the 

applicable date in §60.4230(a)(2), or manufactured on or after 

the applicable date in §60.4230(a)(4) for emergency stationary 

ICE with a maximum engine power greater than or equal to 130 HP, 

to the certification emission standards and other requirements 
Page 110 of 228

for new nonroad SI engines in 40 CFR part 1048. Stationary SI 

internal combustion engine manufacturers must certify their 

emergency stationary SI ICE with a maximum engine power greater 

than 25 HP and less than 130 HP that use gasoline and that are 

manufactured on or after the applicable date in §60.4230(a)(4) 

to the Phase 1 emission standards in 40 CFR 90.103, applicable 

to class II engines, and other requirements for new nonroad SI 

engines in 40 CFR part 90. Stationary SI internal combustion 

engine manufacturers may certify their stationary SI ICE with a 

maximum engine power less than or equal to 30 KW (40 HP) with a 

total displacement less than or equal to 1,000 cubic centimeters 

(cc) that use gasoline to the certification emission standards 

and other requirements for new nonroad SI engines in 40 CFR part 

90 or 1054, as appropriate. 

(c) Stationary SI internal combustion engine manufacturers 

must certify their stationary SI ICE with a maximum engine power 

greater than 19 KW (25 HP) (except emergency stationary ICE with 

a maximum engine power greater than 25 HP and less than 130 HP) 

that are rich burn engines that use LPG and that are 

manufactured on or after the applicable date in §60.4230(a)(2) , 

or manufactured on or after the applicable date in 

§60.4230(a)(4) for emergency stationary ICE with a maximum 

engine power greater than or equal to 130 HP, to the 

certification emission standards and other requirements for new 
Page 111 of 228

nonroad SI engines in 40 CFR part 1048. Stationary SI internal 

combustion engine manufacturers must certify their emergency 

stationary SI ICE greater than 25 HP and less than 130 HP that 

are rich burn engines that use LPG and that are manufactured on 

or after the applicable date in §60.4230(a)(4) to the Phase 1 

emission standards in 40 CFR 90.103, applicable to class II 

engines, and other requirements for new nonroad SI engines in 40 

CFR part 90. Stationary SI internal combustion engine 

manufacturers may certify their stationary SI ICE with a maximum 

engine power less than or equal to 30 KW (40 HP) with a total 

displacement less than or equal to 1,000 cc that are rich burn 

engines that use LPG to the certification emission standards and 

other requirements for new nonroad SI engines in 40 CFR part 90 

or 1054, as appropriate. 

(d) Stationary SI internal combustion engine manufacturers 

who choose to certify their stationary SI ICE with a maximum 

engine power greater than 19 KW (25 HP) and less than 75 KW (100 

HP) (except gasoline and rich burn engines that use LPG and 

emergency stationary ICE with a maximum engine power greater 

than 25 HP and less than 130 HP) under the voluntary 

manufacturer certification program described in this subpart 

must certify those engines to the certification emission 

standards for new nonroad SI engines in 40 CFR part 1048. 

Stationary SI internal combustion engine manufacturers who 
Page 112 of 228

choose to certify their emergency stationary SI ICE greater than 

25 HP and less than 130 HP (except gasoline and rich burn 

engines that use LPG), must certify those engines to the Phase 1 

emission standards in 40 CFR 90.103, applicable to class II 

engines, for new nonroad SI engines in 40 CFR part 90. 

Stationary SI internal combustion engine manufacturers may 

certify their stationary SI ICE with a maximum engine power less 

than or equal to 30 KW (40 HP) with a total displacement less 

than or equal to 1,000 cc (except gasoline and rich burn engines 

that use LPG) to the certification emission standards for new 

nonroad SI engines in 40 CFR part 90 or 1054, as appropriate. 

For stationary SI ICE with a maximum engine power greater than 

19 KW (25 HP) and less than 75 KW (100 HP) (except gasoline and 

rich burn engines that use LPG and emergency stationary ICE with 

a maximum engine power greater than 25 HP and less than 130 HP) 

manufactured prior to January 1, 2011, manufacturers may choose 

to certify these engines to the standards in Table 1 to this 

subpart applicable to engines with a maximum engine power 

greater than or equal to 100 HP and less than 500 HP. 

* * * * * 

8. Section 60.4243 is amended by revising paragraph (d) to 

read as follows: 

§60.4243 What are my compliance requirements if I am an owner 

or operator of a stationary SI internal combustion engine?
Page 113 of 228

* * * * * 

(d) If you own or operate an emergency stationary ICE, you 

must operate the emergency stationary ICE according to the 

requirements in paragraphs (d)(1) through (3) of this section. 

In order for the engine to be considered an emergency stationary 

ICE under this subpart, any operation other than emergency 

operation, maintenance and testing, emergency demand response, 

and operation in non-emergency situations for 50 hours per year, 

as described in paragraphs (d)(1) through (3) of this section, 

is prohibited. If you do not operate the engine according to the 

requirements in paragraphs (d)(1) through (3) of this section, 

the engine will not be considered an emergency engine under this 

subpart and must meet all requirements for non-emergency 

engines. 

(1) There is no time limit on the use of emergency 

stationary ICE in emergency situations. 

 (2) You may operate your emergency stationary ICE for any 

combination of the purposes specified in paragraphs (d)(2)(i) 

through (iii) of this section for a maximum of 100 hours per 

calendar year. Any operation for non-emergency situations as 

allowed by paragraph (d)(3) of this section counts as part of 

the 100 hours per calendar year allowed by this paragraph 

(d)(2). 
Page 114 of 228

 (i) Emergency stationary ICE may be operated for 

maintenance checks and readiness testing, provided that the 

tests are recommended by federal, state or local government, the 

manufacturer, the vendor, the regional transmission organization 

or equivalent balancing authority and transmission operator, or 

the insurance company associated with the engine. The owner or 

operator may petition the Administrator for approval of 

additional hours to be used for maintenance checks and readiness 

testing, but a petition is not required if the owner or operator 

maintains records indicating that federal, state, or local 

standards require maintenance and testing of emergency ICE 

beyond 100 hours per calendar year. 

 (ii) Emergency stationary ICE may be operated for emergency 

demand response for periods in which the Reliability Coordinator 

under the North American Electric Reliability Corporation (NERC) 

Reliability Standard EOP-002-3, Capacity and Energy Emergencies 

(incorporated by reference, see §60.17), or other authorized 

entity as determined by the Reliability Coordinator, has 

declared an Energy Emergency Alert Level 2 as defined in the 

NERC Reliability Standard EOP-002-3. 

 (iii) Emergency stationary ICE may be operated for periods 

where there is a deviation of voltage or frequency of 5 percent 

or greater below standard voltage or frequency. 
Page 115 of 228

 (3) Emergency stationary ICE may be operated for up to 50 

hours per calendar year in non-emergency situations. The 50 

hours of operation in non-emergency situations are counted as 

part of the 100 hours per calendar year for maintenance and 

testing and emergency demand response provided in paragraph 

(d)(2) of this section. Except as provided in paragraph 

(d)(3)(i) of this section, the 50 hours per year for nonemergency situations cannot be used for peak shaving or nonemergency demand response, or to generate income for a facility 

to an electric grid or otherwise supply power as part of a 

financial arrangement with another entity. 

 (i) The 50 hours per year for non-emergency situations can 

be used to supply power as part of a financial arrangement with 

another entity if all of the following conditions are met: 

 (A) The engine is dispatched by the local balancing 

authority or local transmission and distribution system 

operator; 

 (B) The dispatch is intended to mitigate local transmission 

and/or distribution limitations so as to avert potential voltage 

collapse or line overloads that could lead to the interruption 

of power supply in a local area or region. 

 (C) The dispatch follows reliability, emergency operation 

or similar protocols that follow specific NERC, regional, state, 

public utility commission or local standards or guidelines. 
Page 116 of 228

 (D) The power is provided only to the facility itself or to 

support the local transmission and distribution system. 

 (E) The owner or operator identifies and records the entity 

that dispatches the engine and the specific NERC, regional, 

state, public utility commission or local standards or 

guidelines that are being followed for dispatching the engine. 

The local balancing authority or local transmission and 

distribution system operator may keep these records on behalf of 

the engine owner or operator. 

 (ii) [Reserved] 

* * * * * 

 9. Section 60.4245 is amended by adding paragraph (e) to 

read as follows: 

§60.4245 What are my notification, reporting, and recordkeeping 

requirements if I am an owner or operator of a stationary SI 

internal combustion engine?

* * * * * 

 (e) If you own or operate an emergency stationary SI ICE 

with a maximum engine power more than 100 HP that operates or is 

contractually obligated to be available for more than 15 hours 

per calendar year for the purposes specified in 

§60.4243(d)(2)(ii) and (iii) or that operates for the purposes 

specified in §60.4243(d)(3)(i), you must submit an annual report 
Page 117 of 228

according to the requirements in paragraphs (e)(1) through (3) 

of this section. 

 (1) The report must contain the following information: 

 (i) Company name and address where the engine is located. 

 (ii) Date of the report and beginning and ending dates of 

the reporting period. 

 (iii) Engine site rating and model year. 

 (iv) Latitude and longitude of the engine in decimal 

degrees reported to the fifth decimal place. 

 (v) Hours operated for the purposes specified in 

§60.4243(d)(2)(ii) and (iii), including the date, start time, 

and end time for engine operation for the purposes specified in 

§60.4243(d)(2)(ii) and (iii). 

(vi) Number of hours the engine is contractually obligated 

to be available for the purposes specified in §60.4243(d)(2)(ii) 

and (iii). 

 (vii) Hours spent for operation for the purposes specified 

in §60.4243(d)(3)(i), including the date, start time, and end 

time for engine operation for the purposes specified in 

60.4243(d)(3)(i). The report must also identify the entity that 

dispatched the engine and the situation that necessitated the 

dispatch of the engine. 

 (2) The first annual report must cover the calendar year 

2015 and must be submitted no later than March 31, 2016. 
Page 118 of 228

Subsequent annual reports for each calendar year must be 

submitted no later than March 31 of the following calendar year. 

(3) The annual report must be submitted electronically 

using the subpart specific reporting form in the Compliance and 

Emissions Data Reporting Interface (CEDRI) that is accessed 

through EPA’s Central Data Exchange (CDX) (www.epa.gov/cdx). 

However, if the reporting form specific to this subpart is not 

available in CEDRI at the time that the report is due, the 

written report must be submitted to the Administrator at the 

appropriate address listed in §60.4. 

 10. Section 60.4248 is amended by revising the definition 

of “Emergency stationary internal combustion engine” to read as 

follows: 

§60.4248 What definitions apply to this subpart?

* * * * * 

 Emergency stationary internal combustion engine means any 

stationary reciprocating internal combustion engine that meets 

all of the criteria in paragraphs (1) through (3) of this 

definition. All emergency stationary ICE must comply with the 

requirements specified in §60.4243(d) in order to be considered 

emergency stationary ICE. If the engine does not comply with the 

requirements specified in §60.4243(d), then it is not considered 

to be an emergency stationary ICE under this subpart. 
Page 119 of 228

 (1) The stationary ICE is operated to provide electrical 

power or mechanical work during an emergency situation. Examples 

include stationary ICE used to produce power for critical 

networks or equipment (including power supplied to portions of a 

facility) when electric power from the local utility (or the 

normal power source, if the facility runs on its own power 

production) is interrupted, or stationary ICE used to pump water 

in the case of fire or flood, etc. 

 (2) The stationary ICE is operated under limited 

circumstances for situations not included in paragraph (1) of 

this definition, as specified in §60.4243(d). 

 (3) The stationary ICE operates as part of a financial 

arrangement with another entity in situations not included in 

paragraph (1) of this definition only as allowed in 

§60.4243(d)(2)(ii) or (iii) and §60.4243(d)(3)(i). 

* * * * * 

11. Table 2 to Subpart JJJJ of Part 60 is revised to read 

as follows: 

Table 2 to Subpart JJJJ of Part 60 –- Requirements for 

Performance Tests 

As stated in §60.4244, you must comply with the following 

requirements for performance tests within 10 percent of 100 

percent peak (or the highest achievable) load: 

For each Complying 

with the 

requirement 

to 

You must Using According 

to the 

following 

requirement
Page 120 of 228

s 

1. 

Stationary 

SI internal 

combustion 

engine 

demonstrati

ng 

compliance 

according 

to 

§60.4244. 

a. limit 

the 

concentrati

on of NOx

in the 

stationary 

SI internal 

combustion 

engine 

exhaust 

i. Select 

the 

sampling 

port 

location 

and the 

number of 

traverse 

points; 

(1) Method 

1 or 1A of 

40 CFR part 

60, 

Appendix A 

or ASTM 

Method 

D6522-

00(Reapprov

ed 2005)a, 

e

. 

(a) If 

using a 

control 

device, the 

sampling 

site must 

be located 

at the 

outlet of 

the control 

device. 

ii. 

Determine 

the O2

concentrati

on of the 

stationary 

internal 

combustion 

engine 

exhaust at 

the 

sampling 

port 

location; 

(2) Method 

3, 3A, or 

3Bb

 of 40 

CFR part 

60, 

appendix A 

or ASTM 

Method 

D6522-

00(Reapprov

ed 2005)a, 

e

. 

(b) 

Measurement

s to 

determine 

O2

concentrati

on must be 

made at the 

same time 

as the 

measurement

s for NOx

concentrati

on. 

iii. If 

necessary, 

determine 

the exhaust 

flowrate of 

the 

stationary 

internal 

combustion 

engine 

exhaust; 

(3) Method 

2 or 19 of 

40 CFR part 

60, 

appendix A.
Page 121 of 228

iv. If 

necessary, 

measure 

moisture 

content of 

the 

stationary 

internal 

combustion 

engine 

exhaust at 

the 

sampling 

port 

location; 

and 

(4) Method 

4 of 40 CFR 

part 60, 

appendix A, 

Method 320 

of 40 CFR 

part 63, 

appendix A, 

or ASTM D 

6348-03e

. 

(c) 

Measurement

s to 

determine 

moisture 

must be 

made at the 

same time 

as the 

measurement

for NOx 

concentrati

on. 

v. Measure 

NOx at the 

exhaust of 

the 

stationary 

internal 

combustion 

engine. 

(5) Method 

7E of 40 

CFR part 

60, 

appendix A, 

Method 

D6522-

00(Reapprov

ed 2005)a, 

e

, Method 

320 of 40 

CFR part 

63, 

appendix A, 

or ASTM D 

6348-03e

. 

(d) Results 

of this 

test 

consist of 

the average 

of the 

three 1-

hour or 

longer 

runs. 

b. limit 

the 

concentrati

on of CO in 

the 

stationary 

SI internal 

combustion 

engine 

exhaust 

i. Select 

the 

sampling 

port 

location 

and the 

number of 

traverse 

points; 

(1) Method 

1 or 1A of 

40 CFR part 

60, 

appendix A 

or ASTM 

Method 

D6522-

00(Reapprov

ed 2005)a,e.

(a) If 

using a 

control 

device, the 

sampling 

site must 

be located 

at the 

outlet of 

the control 

device. 
Page 122 of 228

ii. 

Determine 

the O2

concentrati

on of the 

stationary 

internal 

combustion 

engine 

exhaust at 

the 

sampling 

port 

location; 

(2) Method 

3, 3A, or 

3Bb

 of 40 

CFR part 

60, 

appendix A 

or ASTM 

Method 

D6522-

00(Reapprov

ed 2005)a,e.

(b) 

Measurement

s to 

determine 

O2

concentrati

on must be 

made at the 

same time 

as the 

measurement

s for CO 

concentrati

on. 

iii. If 

necessary, 

determine 

the exhaust 

flowrate of 

the 

stationary 

internal 

combustion 

engine 

exhaust; 

(3) Method 

2 or 19 of 

40 CFR part 

60, 

appendix A.

iv. If 

necessary, 

measure 

moisture 

content of 

the 

stationary 

internal 

combustion 

engine 

exhaust at 

the 

sampling 

port 

location; 

and 

(4) Method 

4 of 40 CFR 

part 60, 

appendix A, 

Method 320 

of 40 CFR 

part 63, 

appendix A, 

or ASTM D 

6348-03e

. 

(c) 

Measurement

s to 

determine 

moisture 

must be 

made at the 

same time 

as the 

measurement

for CO 

concentrati

on. 
Page 123 of 228

v. Measure 

CO at the 

exhaust of 

the 

stationary 

internal 

combustion 

engine. 

(5) Method 

10 of 40 

CFR part 

60, 

appendix A, 

ASTM Method 

D6522-

00(Reapprov

ed 2005)a,e,

Method 320 

of 40 CFR 

part 63, 

appendix A, 

or ASTM D 

6348-03e

. 

(d) Results 

of this 

test 

consist of 

the average 

of the 

three 1-

hour or 

longer 

runs. 

c. limit 

the 

concentrati

on of VOC 

in the 

stationary 

SI internal 

combustion 

engine 

exhaust 

i. Select 

the 

sampling 

port 

location 

and the 

number of 

traverse 

points; 

(1) Method 

1 or 1A of 

40 CFR part 

60, 

appendix A.

(a) If 

using a 

control 

device, the 

sampling 

site must 

be located 

at the 

outlet of 

the control 

device. 

ii. 

Determine 

the O2

concentrati

on of the 

stationary 

internal 

combustion 

engine 

exhaust at 

the 

sampling 

port 

location; 

(2) Method 

3, 3A, or 

3Bb

 of 40 

CFR part 

60, 

appendix A 

or ASTM 

Method 

D6522-

00(Reapprov

ed 2005)

a,e. 

(b) 

Measurement

s to 

determine 

O2

concentrati

on must be 

made at the 

same time 

as the 

measurement

s for VOC 

concentrati

on. 
Page 124 of 228

iii. If 

necessary, 

determine 

the exhaust 

flowrate of 

the 

stationary 

internal 

combustion 

engine 

exhaust; 

(3) Method 

2 or 19 of 

40 CFR part 

60, 

appendix A.

iv. If 

necessary, 

measure 

moisture 

content of 

the 

stationary 

internal 

combustion 

engine 

exhaust at 

the 

sampling 

port 

location; 

and 

(4) Method 

4 of 40 CFR 

part 60, 

appendix A, 

Method 320 

of 40 CFR 

part 63, 

appendix A, 

or ASTM D 

6348-03e

. 

(c) 

Measurement

s to 

determine 

moisture 

must be 

made at the 

same time 

as the 

measurement

for VOC 

concentrati

on. 
Page 125 of 228

v. Measure 

VOC at the 

exhaust of 

the 

stationary 

internal 

combustion 

engine. 

(5) 

Methods 25A 

and 18 of 

40 CFR part 

60, 

appendix A, 

Method 25A 

with the 

use of a 

methane 

cutter as 

described 

in 40 CFR 

1065.265, 

Method 18 

of 40 CFR 

part 60, 

appendix 

Ac,d, Method 

320 of 40 

CFR part 

63, 

appendix A, 

or ASTM D 

6348-03e

. 

(d) Results 

of this 

test 

consist of 

the average 

of the 

three 1-

hour or 

longer 

runs. 

a

 You may petition the Administrator for approval to use 

alternative methods for portable analyzer. 

b

 You may use ASME PTC 19.10-1981, Flue and Exhaust Gas Analyses, 

for measuring the O2 content of the exhaust gas as an alternative 

to EPA Method 3B. 

c

 You may use EPA Method 18 of 40 CFR part 60, appendix A, 

provided that you conduct an adequate presurvey test prior to 

the emissions test, such as the one described in OTM 11 on EPA’s 

website (http://www.epa.gov/ttn/emc/prelim/otm11.pdf). 

d

 You may use ASTM D6420-99 (2004), Test Method for Determination 

of Gaseous Organic Compounds by Direct Interface Gas 

Chromatography/Mass Spectrometry as an alternative to EPA Method 

18 for measuring total nonmethane organic. 

e

 Incorporated by reference, see 40 CFR 60.17. 

PART 63--[AMENDED]

12. The authority citation for part 63 continues to read as 

follows: 
Page 126 of 228

Authority: 42 U.S.C. 7401, et seq. 

Subpart A--[amended] 

13. Section 63.14 is amended by: 

a. Revising paragraphs (b)(28) and (b)(54); 

b. Adding paragraph (d)(10); 

c. Revising paragraph (i)(1); and 

d. Adding paragraph (s) to read as follows: 

§63.14 Incorporations by reference.

* * * * * 

 (b) * * * 

(28) ASTM D6420-99 (Reapproved 2004), Standard Test Method 

for Determination of Gaseous Organic Compounds by Direct 

Interface Gas Chromatography-Mass Spectrometry (Approved October 

1, 2004), IBR approved for §§ 60.485(g), 60.485a(g), 63.457(b), 

63.772(a) and (e), 63.1282(a) and (d), 63.2351(b), 63.2354(b) 

and table 8 to subpart HHHHHHH of this part. 

* * * * * 

(54) ASTM D6348-03, Standard Test Method for Determination 

of Gaseous Compounds by Extractive Direct Interface Fourier 

Transform Infrared (FTIR) Spectroscopy, approved 2003, IBR 

approved for §§ 63.457, 63.1349, table 4 to subpart DDDD of this 

part, table 4 to subpart ZZZZ of this part, and table 8 to 

subpart HHHHHHH of this part. 

* * * * * 
Page 127 of 228

(d) * * * 

 (10) Alaska Statute, Title 42 – Public Utilities And 

Carriers And Energy Programs, Chapter 45 – Rural and Statewide 

Energy Programs, Article 1, Power Assistance Programs, Sec. 

42.45.045. Renewable energy grant fund and recommendation 

program, effective May 3, 2012, available at 

http://www.legis.state.ak.us/basis/folio.asp, IBR approved for 

§63.6675. 

* * * * * 

(i) * * * 

(1) ANSI/ASME PTC 19.10-1981, Flue and Exhaust Gas Analyses 

[Part 10, Instruments and Apparatus], issued August 31, 1981, 

IBR approved for §§ 63.309(k), 63.457(k), 63.772(e) and (h), 

63.865(b), 63.1282(d) and (g), 63.3166(a), 63.3360(e), 

63.3545(a), 63.3555(a), 63.4166(a), 63.4362(a), 63.4766(a), 

63.4965(a), 63.5160(d), 63.9307(c), 63.9323(a), 63.11148(e), 

63.11155(e), 63.11162(f), 63.11163(g), 63.11410(j), 63.11551(a), 

63.11646(a), 63.11945, table 5 to subpart DDDDD of this part, 

table 4 to subpart JJJJJ of this part, table 5 to subpart UUUUU 

of this part, and table 1 to subpart ZZZZZ of this part. 

* * * * * 

(s) The following material is available from the North 

American Electric Reliability Corporation, 3353 Peachtree Road 

NE, Suite 600, North Tower, Atlanta, GA 30326, 
Page 128 of 228

http://www.nerc.com, and is available at the following website: 

http://www.nerc.com/files/EOP-002-3_1.pdf. 

 (1) North American Electric Reliability Corporation, 

Reliability Standards for the Bulk of Electric Systems of North 

America, Reliability Standard EOP-002-3, Capacity and Energy 

Emergencies, updated November 19, 2012, IBR approved for 

§63.6640(f). 

(2) [Reserved] 

Subpart ZZZZ--[amended] 

14. Section 63.6585 is amended by adding paragraph (f) to 

read as follows: 

§63.6585 Am I subject to this subpart?

* * * * * 

(f) The emergency stationary RICE listed in paragraphs 

(f)(1) through (3) of this section are not subject to this 

subpart. The stationary RICE must meet the definition of an 

emergency stationary RICE in §63.6675, which includes operating 

according to the provisions specified in §63.6640(f). 

(1) Existing residential emergency stationary RICE located 

at an area source of HAP emissions that do not operate or are 

not contractually obligated to be available for than 15 hours 

per calendar year for the purposes specified in 

§63.6640(f)(2)(ii) and (iii) and that do not operate for the 

purpose specified in §63.6640(f)(4)(ii). 
Page 129 of 228

(2) Existing commercial emergency stationary RICE located 

at an area source of HAP emissions that do not operate or are 

not contractually obligated to be available for more than 15 

hours per calendar year for the purposes specified in 

§63.6640(f)(2)(ii) and (iii) and that do not operate for the 

purpose specified in §63.6640(f)(4)(ii). 

(3) Existing institutional emergency stationary RICE 

located at an area source of HAP emissions that do not operate 

or are not contractually obligated to be available for more than 

15 hours per calendar year for the purposes specified in 

§63.6640(f)(2)(ii) and (iii) and that do not operate for the 

purpose specified in §63.6640(f)(4)(ii). 

15. Section 63.6590 is amended by revising paragraph 

(b)(1)(i) and (b)(3)(iii) and removing paragraphs (b)(3)(vi) 

through (viii) to read as follows. 

§63.6590 What parts of my plant does this subpart cover?

* * * * * 

(b) * * * 

 (1) * * * 

 (i) The stationary RICE is a new or reconstructed emergency 

stationary RICE with a site rating of more than 500 brake HP 

located at a major source of HAP emissions that does not operate 

or is not contractually obligated to be available for more than 
Page 130 of 228

15 hours per calendar year for the purposes specified in 

§63.6640(f)(2)(ii) and (iii). 

* * * * * 

(3) * * * 

 (iii) Existing emergency stationary RICE with a site rating 

of more than 500 brake HP located at a major source of HAP 

emissions that does not operate or is not contractually 

obligated to be available for more than 15 hours per calendar 

year for the purposes specified in §63.6640(f)(2)(ii) and (iii). 

* * * * * 

16. Section 63.6595 is amended by revising paragraph (a)(1) 

to read as follows: 

§63.6595 When do I have to comply with this subpart?

(a) * * * 

(1) If you have an existing stationary RICE, excluding 

existing non-emergency CI stationary RICE, with a site rating of 

more than 500 brake HP located at a major source of HAP 

emissions, you must comply with the applicable emission 

limitations, operating limitations and other requirements no 

later than June 15, 2007. If you have an existing non-emergency 

CI stationary RICE with a site rating of more than 500 brake HP 

located at a major source of HAP emissions, an existing 

stationary CI RICE with a site rating of less than or equal to 

500 brake HP located at a major source of HAP emissions, or an 
Page 131 of 228

existing stationary CI RICE located at an area source of HAP 

emissions, you must comply with the applicable emission 

limitations, operating limitations, and other requirements no 

later than May 3, 2013. If you have an existing stationary SI 

RICE with a site rating of less than or equal to 500 brake HP 

located at a major source of HAP emissions, or an existing 

stationary SI RICE located at an area source of HAP emissions, 

you must comply with the applicable emission limitations, 

operating limitations, and other requirements no later than 

October 19, 2013. 

* * * * * 

 17. Section 63.6602 is revised to read as follows: 

§63.6602 What emission limitations and other requirements must 

I meet if I own or operate an existing stationary RICE with a 

site rating of equal to or less than 500 brake HP located at a 

major source of HAP emissions?

If you own or operate an existing stationary RICE with a 

site rating of equal to or less than 500 brake HP located at a 

major source of HAP emissions, you must comply with the emission 

limitations and other requirements in Table 2c to this subpart 

which apply to you. Compliance with the numerical emission 

limitations established in this subpart is based on the results 

of testing the average of three 1-hour runs using the testing 
Page 132 of 228

requirements and procedures in §63.6620 and Table 4 to this 

subpart. 

18. Section 63.6603 is amended by: 

a. Revising the section heading; 

b. Revising paragraph (a); 

c. Revising paragraph (b); and 

d. Adding paragraphs (c) through (f) to read as follows: 

§63.6603 What emission limitations, operating limitations, and 

other requirements must I meet if I own or operate an existing 

stationary RICE located at an area source of HAP emissions?

* * * * * 

 (a) If you own or operate an existing stationary RICE 

located at an area source of HAP emissions, you must comply with 

the requirements in Table 2d to this subpart and the operating 

limitations in Table 2b to this subpart that apply to you. 

 (b) If you own or operate an existing stationary nonemergency CI RICE with a site rating of more than 300 HP located 

at an area source of HAP that meets either paragraph (b)(1) or 

(b)(2) of this section, you do not have to meet the numerical CO 

emission limitations specified in Table 2d of this subpart. 

Existing stationary non-emergency CI RICE with a site rating of 

more than 300 HP located at an area source of HAP that meet 

either paragraph (b)(1) or (b)(2) of this section must meet the 

management practices that are shown for stationary non-emergency 
Page 133 of 228

CI RICE with a site rating of less than or equal to 300 HP in 

Table 2d of this subpart. 

 (1) The area source is located in an area of Alaska that is 

not accessible by the Federal Aid Highway System (FAHS). 

 (2) The stationary RICE is located at an area source that 

meets paragraphs (b)(2)(i), (b)(2)(ii), and (b)(2)(iii) of this 

section. 

 (i) The only connection to the FAHS is through the Alaska 

Marine Highway System (AMHS), or the stationary RICE operation 

is within an isolated grid in Alaska that is not connected to 

the statewide electrical grid referred to as the Alaska Railbelt 

Grid. 

 (ii) At least 10 percent of the power generated by the 

stationary RICE on an annual basis is used for residential 

purposes. 

 (iii) The generating capacity of the area source is less 

than 12 megawatts, or the stationary RICE is used exclusively 

for backup power for renewable energy. 

 (c) If you own or operate an existing stationary nonemergency CI RICE with a site rating of more than 300 HP located 

on an offshore vessel that is an area source of HAP and is a 

nonroad vehicle that is an Outer Continental Shelf (OCS) source 

as defined in 40 CFR 55.2, you do not have to meet the numerical 
Page 134 of 228

CO emission limitations specified in Table 2d of this subpart. 

You must meet all of the following management practices: 

 (1) Change oil every 1,000 hours of operation or annually, 

whichever comes first. Sources have the option to utilize an oil 

analysis program as described in §63.6625(i) in order to extend 

the specified oil change requirement. 

 (2) Inspect and clean air filters every 750 hours of 

operation or annually, whichever comes first, and replace as 

necessary. 

 (3) Inspect fuel filters and belts, if installed, every 750 

hours of operation or annually, whichever comes first, and 

replace as necessary. 

 (4) Inspect all flexible hoses every 1,000 hours of 

operation or annually, whichever comes first, and replace as 

necessary. 

 (d) If you own or operate an existing non-emergency CI RICE 

with a site rating of more than 300 HP located at an area source 

of HAP emissions that is certified to the Tier 1 or Tier 2 

emission standards in Table 1 of 40 CFR 89.112 and that is 

subject to an enforceable state or local standard that requires 

the engine to be replaced no later than June 1, 2018, you may 

until January 1, 2015, or 12 years after the installation date 

of the engine (whichever is later), but not later than June 1, 

2018, choose to comply with the management practices that are 
Page 135 of 228

shown for stationary non-emergency CI RICE with a site rating of 

less than or equal to 300 HP in Table 2d of this subpart instead 

of the applicable emission limitations in Table 2d, operating 

limitations in Table 2b, and crankcase ventilation system 

requirements in §63.6625(g). You must comply with the emission 

limitations in Table 2d and operating limitations in Table 2b 

that apply for non-emergency CI RICE with a site rating of more 

than 300 HP located at an area source of HAP emissions by 

January 1, 2015, or 12 years after the installation date of the 

engine (whichever is later), but not later than June 1, 2018. 

You must also comply with the crankcase ventilation system 

requirements in §63.6625(g) by January 1, 2015, or 12 years 

after the installation date of the engine (whichever is later), 

but not later than June 1, 2018. 

 (e) If you own or operate an existing non-emergency CI RICE 

with a site rating of more than 300 HP located at an area source 

of HAP emissions that is certified to the Tier 3 (Tier 2 for 

engines above 560 kilowatt (kW)) emission standards in Table 1 

of 40 CFR 89.112, you may comply with the requirements under 

this part by meeting the requirements for Tier 3 engines (Tier 2 

for engines above 560 kW) in 40 CFR part 60 subpart IIII instead 

of the emission limitations and other requirements that would 

otherwise apply under this part for existing non-emergency CI 
Page 136 of 228

RICE with a site rating of more than 300 HP located at an area 

source of HAP emissions. 

 (f) An existing non-emergency SI 4SLB and 4SRB stationary 

RICE with a site rating of more than 500 HP located at area 

sources of HAP must meet the definition of remote stationary 

RICE in §63.6675 on the initial compliance date for the engine, 

October 19, 2013, in order to be considered a remote stationary 

RICE under this subpart. Owners and operators of existing nonemergency SI 4SLB and 4SRB stationary RICE with a site rating of 

more than 500 HP located at area sources of HAP that meet the 

definition of remote stationary RICE in §63.6675 of this subpart 

as of October 19, 2013 must evaluate the status of their 

stationary RICE every 12 months. Owners and operators must keep 

records of the initial and annual evaluation of the status of 

the engine. If the evaluation indicates that the stationary RICE 

no longer meets the definition of remote stationary RICE in 

§63.6675 of this subpart, the owner or operator must comply with 

all of the requirements for existing non-emergency SI 4SLB and 

4SRB stationary RICE with a site rating of more than 500 HP 

located at area sources of HAP that are not remote stationary 

RICE within 1 year of the evaluation. 

 19. Section 63.6604 is revised to read as follows: 

§63.6604 What fuel requirements must I meet if I own or operate 

a stationary CI RICE?
Page 137 of 228

(a) If you own or operate an existing non-emergency, nonblack start CI stationary RICE with a site rating of more than 

300 brake HP with a displacement of less than 30 liters per 

cylinder that uses diesel fuel, you must use diesel fuel that 

meets the requirements in 40 CFR 80.510(b) for nonroad diesel 

fuel. 

(b) Beginning January 1, 2015, if you own or operate an 

existing emergency CI stationary RICE with a site rating of more 

than 100 brake HP and a displacement of less than 30 liters per 

cylinder that uses diesel fuel and operates or is contractually 

obligated to be available for more than 15 hours per calendar 

year for the purposes specified in §63.6640(f)(2)(ii) and (iii) 

or that operates for the purpose specified in 

§63.6640(f)(4)(ii), you must use diesel fuel that meets the 

requirements in 40 CFR 80.510(b) for nonroad diesel fuel, except 

that any existing diesel fuel purchased (or otherwise obtained) 

prior to January 1, 2015, may be used until depleted. 

(c) Beginning January 1, 2015, if you own or operate a new 

emergency CI stationary RICE with a site rating of more than 500 

brake HP and a displacement of less than 30 liters per cylinder 

located at a major source of HAP that uses diesel fuel and 

operates or is contractually obligated to be available for more 

than 15 hours per calendar year for the purposes specified in 

§63.6640(f)(2)(ii) and (iii), you must use diesel fuel that 
Page 138 of 228

meets the requirements in 40 CFR 80.510(b) for nonroad diesel 

fuel, except that any existing diesel fuel purchased (or 

otherwise obtained) prior to January 1, 2015, may be used until 

depleted. 

(d) Existing CI stationary RICE located in Guam, American 

Samoa, the Commonwealth of the Northern Mariana Islands, at area 

sources in areas of Alaska that meet either §63.6603(b)(1) or 

§63.6603(b)(2), or are on offshore vessels that meet §63.6603(c) 

are exempt from the requirements of this section. 

20. Section 63.6605 is amended by revising paragraph (a) to 

read as follows: 

§63.6605 What are my general requirements for complying with 

this subpart?

 (a) You must be in compliance with the emission 

limitations, operating limitations, and other requirements in 

this subpart that apply to you at all times. 

* * * * * 

21. Section 63.6620 is amended by revising paragraphs (b), 

(d) and (e) to read as follows: 

§63.6620 What performance tests and other procedures must I 

use?

* * * * * 

(b) Each performance test must be conducted according to 

the requirements that this subpart specifies in Table 4 to this 
Page 139 of 228

subpart. If you own or operate a non-operational stationary RICE 

that is subject to performance testing, you do not need to start 

up the engine solely to conduct the performance test. Owners and 

operators of a non-operational engine can conduct the 

performance test when the engine is started up again. The test 

must be conducted at any load condition within plus or minus 10 

percent of 100 percent load for the stationary RICE listed in 

paragraphs (b)(1) through (4) of this section. 

(1) Non-emergency 4SRB stationary RICE with a site rating 

of greater than 500 brake HP located at a major source of HAP 

emissions. 

(2) New non-emergency 4SLB stationary RICE with a site 

rating of greater than or equal to 250 brake HP located at a 

major source of HAP emissions. 

(3) New non-emergency 2SLB stationary RICE with a site 

rating of greater than 500 brake HP located at a major source of 

HAP emissions. 

(4) New non-emergency CI stationary RICE with a site rating 

of greater than 500 brake HP located at a major source of HAP 

emissions. 

* * * * * 

 (d) You must conduct three separate test runs for each 

performance test required in this section, as specified in 
Page 140 of 228

§63.7(e)(3). Each test run must last at least 1 hour, unless 

otherwise specified in this subpart. 

(e)(1) You must use Equation 1 of this section to determine 

compliance with the percent reduction requirement: 

Where: 

Ci = concentration of carbon monoxide (CO), total 

hydrocarbons (THC), or formaldehyde at the control 

device inlet, 

Co = concentration of CO, THC, or formaldehyde at the 

control device outlet, and 

R = percent reduction of CO, THC, or formaldehyde 

emissions. 

(2) You must normalize the CO, THC, or formaldehyde 

concentrations at the inlet and outlet of the control device to 

a dry basis and to 15 percent oxygen, or an equivalent percent 

carbon dioxide (CO2). If pollutant concentrations are to be 

corrected to 15 percent oxygen and CO2 concentration is measured 

in lieu of oxygen concentration measurement, a CO2 correction 

factor is needed. Calculate the CO2 correction factor as 

described in paragraphs (e)(2)(i) through (iii) of this section. 

(i) Calculate the fuel-specific Fo value for the fuel burned 

during the test using values obtained from Method 19, Section 

5.2, and the following equation: 

Ci-Co

Ci x 100 = R (Eq. 1) 

Deleted: ) (non-methane

Deleted: (non-methane),

Deleted: (non-methane),
Page 141 of 228

Where: 

Fo = Fuel factor based on the ratio of oxygen volume to the 

ultimate CO2 volume produced by the fuel at zero 

percent excess air. 

0.209 = Fraction of air that is oxygen, percent/100. 

 Fd = Ratio of the volume of dry effluent gas to the gross 

calorific value of the fuel from Method 19, dsm3

/J 

(dscf/106

 Btu). 

Fc = Ratio of the volume of CO2 produced to the gross 

calorific value of the fuel from Method 19, dsm3

/J 

(dscf/106

 Btu) 

(ii) Calculate the CO2 correction factor for correcting 

measurement data to 15 percent O2, as follows: 

Where: 

Xco2 = CO2 correction factor, percent. 

5.9 = 20.9 percent O2 - 15 percent O2, the defined O2

correction value, percent. 

(iii) Calculate the CO, THC, and formaldehyde gas 

concentrations adjusted to 15 percent O2 using CO2 as follows: 

Where: 

 Cadj = Calculated concentration of CO, THC, or formaldehyde 

adjusted to 15 percent O2. 

 Cd = Measured concentration of CO, THC, or formaldehyde, 

uncorrected. 

 XCO2 = CO2 correction factor, percent. 

 %CO2 = Measured CO2 concentration measured, dry basis, 

 percent. 

Fo = 

0.209 Fd

Fc (Eq. 2) 

XCO2 = 5.9

Fo (Eq. 3) 

Cadj = Cd

XCO2

%CO2

 (Eq. 4) 

Deleted: (non-methane),

Deleted: (non-methane),

Deleted: (non-methane),
Page 142 of 228

* * * * * 

22. Section 63.6625 is amended by: 

a. Revising the first sentence in paragraph (a); 

b. Revising the first sentence in paragraph (b); 

c. Revising paragraph (b)(1)(iv); 

d. Revising paragraph (e)(6), 

e. Revising paragraph (g), 

f. Revising paragraph (i); and 

g. Revising paragraph (j) to read as follows: 

§63.6625 What are my monitoring, installation, collection, 

operation, and maintenance requirements?

 (a) If you elect to install a CEMS as specified in Table 5 

of this subpart, you must install, operate, and maintain a CEMS 

to monitor CO and either O2 or CO2 according to the requirements 

in paragraphs (a)(1) through (4) of this section. If you are 

meeting a requirement to reduce CO emissions, the CEMS must be 

installed at both the inlet and outlet of the control device. If 

you are meeting a requirement to limit the concentration of CO, 

the CEMS must be installed at the outlet of the control device. 

* * * 

* * * * * 

 (b) If you are required to install a continuous parameter 

monitoring system (CPMS) as specified in Table 5 of this 

subpart, you must install, operate, and maintain each CPMS 
Page 143 of 228

according to the requirements in paragraphs (b)(1) through (6) 

of this section. * * * 

* * * * * 

 (iv) Ongoing operation and maintenance procedures in 

accordance with provisions in §63.8(c)(1)(ii) and (c)(3); and 

* * * * * 

(e) * * * 

 (6) An existing non-emergency, non-black start stationary 

RICE located at an area source of HAP emissions which combusts 

landfill or digester gas equivalent to 10 percent or more of the 

gross heat input on an annual basis. 

* * * * * 

 (g) If you own or operate an existing non-emergency, nonblack start CI engine greater than or equal to 300 HP that is 

not equipped with a closed crankcase ventilation system, you 

must comply with either paragraph (g)(1) or paragraph (g)(2) of 

this section. Owners and operators must follow the 

manufacturer’s specified maintenance requirements for operating 

and maintaining the open or closed crankcase ventilation systems 

and replacing the crankcase filters, or can request the 

Administrator to approve different maintenance requirements that 

are as protective as manufacturer requirements. Existing CI 

engines located at area sources in areas of Alaska that meet 

either §63.6603(b)(1) or §63.6603(b)(2) do not have to meet the 
Page 144 of 228

requirements of paragraph (g) of this section. Existing CI 

engines located on offshore vessels that meet §63.6603(c) do not 

have to meet the requirements of paragraph (g) of this section. 

 (1) Install a closed crankcase ventilation system that 

prevents crankcase emissions from being emitted to the 

atmosphere, or 

 (2) Install an open crankcase filtration emission control 

system that reduces emissions from the crankcase by filtering 

the exhaust stream to remove oil mist, particulates and metals. 

* * * * * 

 (i) If you own or operate a stationary CI engine that is 

subject to the work, operation or management practices in items 

1 or 2 of Table 2c to this subpart or in items 1 or 4 of Table 

2d to this subpart, you have the option of utilizing an oil 

analysis program in order to extend the specified oil change 

requirement in Tables 2c and 2d to this subpart. The oil 

analysis must be performed at the same frequency specified for 

changing the oil in Table 2c or 2d to this subpart. The analysis 

program must at a minimum analyze the following three 

parameters: Total Base Number, viscosity, and percent water 

content. The condemning limits for these parameters are as 

follows: Total Base Number is less than 30 percent of the Total 

Base Number of the oil when new; viscosity of the oil has 

changed by more than 20 percent from the viscosity of the oil 
Page 145 of 228

when new; or percent water content (by volume) is greater than 

0.5. If all of these condemning limits are not exceeded, the 

engine owner or operator is not required to change the oil. If 

any of the limits are exceeded, the engine owner or operator 

must change the oil within 2 business days of receiving the 

results of the analysis; if the engine is not in operation when 

the results of the analysis are received, the engine owner or 

operator must change the oil within 2 business days or before 

commencing operation, whichever is later. The owner or operator 

must keep records of the parameters that are analyzed as part of 

the program, the results of the analysis, and the oil changes 

for the engine. The analysis program must be part of the 

maintenance plan for the engine. 

 (j) If you own or operate a stationary SI engine that is 

subject to the work, operation or management practices in items 

6, 7, or 8 of Table 2c to this subpart or in items 5, 6, 7, 9, 

or 11 of Table 2d to this subpart, you have the option of 

utilizing an oil analysis program in order to extend the 

specified oil change requirement in Tables 2c and 2d to this 

subpart. The oil analysis must be performed at the same 

frequency specified for changing the oil in Table 2c or 2d to 

this subpart. The analysis program must at a minimum analyze the 

following three parameters: Total Acid Number, viscosity, and 

percent water content. The condemning limits for these 
Page 146 of 228

parameters are as follows: Total Acid Number increases by more 

than 3.0 milligrams of potassium hydroxide (KOH) per gram from 

Total Acid Number of the oil when new; viscosity of the oil has 

changed by more than 20 percent from the viscosity of the oil 

when new; or percent water content (by volume) is greater than 

0.5. If all of these condemning limits are not exceeded, the 

engine owner or operator is not required to change the oil. If 

any of the limits are exceeded, the engine owner or operator 

must change the oil within 2 business days of receiving the 

results of the analysis; if the engine is not in operation when 

the results of the analysis are received, the engine owner or 

operator must change the oil within 2 business days or before 

commencing operation, whichever is later. The owner or operator 

must keep records of the parameters that are analyzed as part of 

the program, the results of the analysis, and the oil changes 

for the engine. The analysis program must be part of the 

maintenance plan for the engine. 

23. Section 63.6630 is amended by: 

a. Revising the section heading; 

b. Revising paragraph (a); 

c. Adding paragraph (d); and 

d. Adding paragraph (e) to read as follows: 
Page 147 of 228

§63.6630 How do I demonstrate initial compliance with the 

emission limitations, operating limitations, and other 

requirements?

 (a) You must demonstrate initial compliance with each 

emission limitation, operating limitation, and other requirement 

that applies to you according to Table 5 of this subpart. 

* * * * * 

 (d) Non-emergency 4SRB stationary RICE complying with the 

requirement to reduce formaldehyde emissions by 76 percent or 

more can demonstrate initial compliance with the formaldehyde 

emission limit by testing for THC instead of formaldehyde. The 

testing must be conducted according to the requirements in Table 

4 of this subpart. The average reduction of emissions of THC 

determined from the performance test must be equal to or greater 

than 30 percent. 

(e) The initial compliance demonstration required for 

existing non-emergency 4SLB and 4SRB stationary RICE with a site 

rating of more than 500 HP located at an area source of HAP that 

are not remote stationary RICE and that are operated more than 

24 hours per calendar year must be conducted according to the 

following requirements: 

 (1) The compliance demonstration must consist of at least 

three test runs. 
Page 148 of 228

 (2) Each test run must be of at least 15 minute duration, 

except that each test conducted using the method in appendix A 

to this subpart must consist of at least one measurement cycle 

and include at least 2 minutes of test data phase measurement. 

 (3) If you are demonstrating compliance with the CO 

concentration or CO percent reduction requirement, you must 

measure CO emissions using one of the CO measurement methods 

specified in Table 4 of this subpart, or using appendix A to 

this subpart. 

(4) If you are demonstrating compliance with the THC 

percent reduction requirement, you must measure THC emissions 

using Method 25A, reported as propane, of 40 CFR part 60, 

appendix A. 

 (5) You must measure O2 using one of the O2 measurement 

methods specified in Table 4 of this subpart. Measurements to 

determine O2 concentration must be made at the same time as the 

measurements for CO or THC concentration. 

 (6) If you are demonstrating compliance with the CO or THC 

percent reduction requirement, you must measure CO or THC 

emissions and O2 emissions simultaneously at the inlet and outlet 

of the control device. 

24. Section 63.6640 is amended by: 

a. Amending the section heading; 

b. Revising paragraph (a); 
Page 149 of 228

c. Revising paragraph (c); and 

d. Revising paragraph (f) to read as follows: 

§63.6640 How do I demonstrate continuous compliance with the 

emission limitations, operating limitations, and other 

requirements?

(a) You must demonstrate continuous compliance with each 

emission limitation, operating limitation, and other 

requirements in Tables 1a and 1b, Tables 2a and 2b, Table 2c, 

and Table 2d to this subpart that apply to you according to 

methods specified in Table 6 to this subpart. 

* * * * * 

 (c) The annual compliance demonstration required for 

existing non-emergency 4SLB and 4SRB stationary RICE with a site 

rating of more than 500 HP located at an area source of HAP that 

are not remote stationary RICE and that are operated more than 

24 hours per calendar year must be conducted according to the 

following requirements: 

 (1) The compliance demonstration must consist of at least 

one test run. 

 (2) Each test run must be of at least 15 minute duration, 

except that each test conducted using the method in appendix A 

to this subpart must consist of at least one measurement cycle 

and include at least 2 minutes of test data phase measurement. 
Page 150 of 228

 (3) If you are demonstrating compliance with the CO 

concentration or CO percent reduction requirement, you must 

measure CO emissions using one of the CO measurement methods 

specified in Table 4 of this subpart, or using appendix A to 

this subpart. 

(4) If you are demonstrating compliance with the THC 

percent reduction requirement, you must measure THC emissions 

using Method 25A, reported as propane, of 40 CFR part 60, 

appendix A. 

 (5) You must measure O2 using one of the O2 measurement 

methods specified in Table 4 of this subpart. Measurements to 

determine O2 concentration must be made at the same time as the 

measurements for CO or THC concentration. 

 (6) If you are demonstrating compliance with the CO or THC 

percent reduction requirement, you must measure CO or THC 

emissions and O2 emissions simultaneously at the inlet and outlet 

of the control device. 

 (7) If the results of the annual compliance demonstration 

show that the emissions exceed the levels specified in Table 6 

of this subpart, the stationary RICE must be shut down as soon 

as safely possible, and appropriate corrective action must be 

taken (e.g., repairs, catalyst cleaning, catalyst replacement). 

The stationary RICE must be retested within 7 days of being 

restarted and the emissions must meet the levels specified in 
Page 151 of 228

Table 6 of this subpart. If the retest shows that the emissions 

continue to exceed the specified levels, the stationary RICE 

must again be shut down as soon as safely possible, and the 

stationary RICE may not operate, except for purposes of startup 

and testing, until the owner/operator demonstrates through 

testing that the emissions do not exceed the levels specified in 

Table 6 of this subpart. 

* * * * * 

(f) If you own or operate an emergency stationary RICE, you 

must operate the emergency stationary RICE according to the 

requirements in paragraphs (f)(1) through (4) of this section. 

In order for the engine to be considered an emergency stationary 

RICE under this subpart, any operation other than emergency 

operation, maintenance and testing, emergency demand response, 

and operation in non-emergency situations for 50 hours per year, 

as described in paragraphs (f)(1) through (4) of this section, 

is prohibited. If you do not operate the engine according to the 

requirements in paragraphs (f)(1) through (4) of this section, 

the engine will not be considered an emergency engine under this 

subpart and must meet all requirements for non-emergency 

engines. 

(1) There is no time limit on the use of emergency 

stationary RICE in emergency situations. 
Page 152 of 228

 (2) You may operate your emergency stationary RICE for any 

combination of the purposes specified in paragraphs (f)(2)(i) 

through (iii) of this section for a maximum of 100 hours per 

calendar year. Any operation for non-emergency situations as 

allowed by paragraphs (f)(3) and (4) of this section counts as 

part of the 100 hours per calendar year allowed by this 

paragraph (f)(2). 

 (i) Emergency stationary RICE may be operated for 

maintenance checks and readiness testing, provided that the 

tests are recommended by federal, state or local government, the 

manufacturer, the vendor, the regional transmission organization 

or equivalent balancing authority and transmission operator, or 

the insurance company associated with the engine. The owner or 

operator may petition the Administrator for approval of 

additional hours to be used for maintenance checks and readiness 

testing, but a petition is not required if the owner or operator 

maintains records indicating that federal, state, or local 

standards require maintenance and testing of emergency RICE 

beyond 100 hours per calendar year. 

 (ii) Emergency stationary RICE may be operated for 

emergency demand response for periods in which the Reliability 

Coordinator under the North American Electric Reliability 

Corporation (NERC) Reliability Standard EOP-002-3, Capacity and 

Energy Emergencies (incorporated by reference, see §63.14), or 
Page 153 of 228

other authorized entity as determined by the Reliability 

Coordinator, has declared an Energy Emergency Alert Level 2 as 

defined in the NERC Reliability Standard EOP-002-3. 

 (iii) Emergency stationary RICE may be operated for periods 

where there is a deviation of voltage or frequency of 5 percent 

or greater below standard voltage or frequency. 

 (3) Emergency stationary RICE located at major sources of 

HAP may be operated for up to 50 hours per calendar year in nonemergency situations. The 50 hours of operation in non-emergency 

situations are counted as part of the 100 hours per calendar 

year for maintenance and testing and emergency demand response 

provided in paragraph (f)(2) of this section. The 50 hours per 

year for non-emergency situations cannot be used for peak 

shaving or non-emergency demand response, or to generate income 

for a facility to supply power to an electric grid or otherwise 

supply power as part of a financial arrangement with another 

entity. 

 (4) Emergency stationary RICE located at area sources of 

HAP may be operated for up to 50 hours per calendar year in nonemergency situations. The 50 hours of operation in non-emergency 

situations are counted as part of the 100 hours per calendar 

year for maintenance and testing and emergency demand response 

provided in paragraph (f)(2) of this section. Except as provided 

in paragraphs (f)(4)(i) and (ii) of this section, the 50 hours 
Page 154 of 228

per year for non-emergency situations cannot be used for peak 

shaving or non-emergency demand response, or to generate income 

for a facility to an electric grid or otherwise supply power as 

part of a financial arrangement with another entity. 

 (i) Prior to May 3, 2014, the 50 hours per year for nonemergency situations can be used for peak shaving or nonemergency demand response to generate income for a facility, or 

to otherwise supply power as part of a financial arrangement 

with another entity if the engine is operated as part of a peak 

shaving (load management program) with the local distribution 

system operator and the power is provided only to the facility 

itself or to support the local distribution system. 

 (ii) The 50 hours per year for non-emergency situations can 

be used to supply power as part of a financial arrangement with 

another entity if all of the following conditions are met: 

 (A) The engine is dispatched by the local balancing 

authority or local transmission and distribution system 

operator. 

 (B) The dispatch is intended to mitigate local transmission 

and/or distribution limitations so as to avert potential voltage 

collapse or line overloads that could lead to the interruption 

of power supply in a local area or region. 
Page 155 of 228

 (C) The dispatch follows reliability, emergency operation 

or similar protocols that follow specific NERC, regional, state, 

public utility commission or local standards or guidelines. 

 (D) The power is provided only to the facility itself or to 

support the local transmission and distribution system. 

 (E) The owner or operator identifies and records the entity 

that dispatches the engine and the specific NERC, regional, 

state, public utility commission or local standards or 

guidelines that are being followed for dispatching the engine. 

The local balancing authority or local transmission and 

distribution system operator may keep these records on behalf of 

the engine owner or operator. 

* * * * * 

 25. Section 63.6645 is amended by adding a new paragraph 

(i) to read as follows: 

§63.6645 What notifications must I submit and when?

* * * * * 

 (i) If you own or operate an existing non-emergency CI RICE 

with a site rating of more than 300 HP located at an area source 

of HAP emissions that is certified to the Tier 1 or Tier 2 

emission standards in Table 1 of 40 CFR 89.112 and subject to an 

enforceable state or local standard requiring engine replacement 

and you intend to meet management practices rather than emission 

limits, as specified in §63.6603(d), you must submit a 
Page 156 of 228

notification by March 3, 2013, stating that you intend to use 

the provision in §63.6603(d) and identifying the state or local 

regulation that the engine is subject to. 

 26. Section 63.6650 is amended by adding paragraph (h) to 

read as follows: 

§63.6650 What reports must I submit and when? 

* * * * * 

 (h) If you own or operate an emergency stationary RICE with 

a site rating of more than 100 brake HP that operates or is 

contractually obligated to be available for more than 15 hours 

per calendar year for the purposes specified in 

§63.6640(f)(2)(ii) and (iii) or that operates for the purpose 

specified in §63.6640(f)(4)(ii), you must submit an annual 

report according to the requirements in paragraphs (h)(1) 

through (3) of this section. 

 (1) The report must contain the following information: 

 (i) Company name and address where the engine is located. 

 (ii) Date of the report and beginning and ending dates of 

the reporting period. 

 (iii) Engine site rating and model year. 

 (iv) Latitude and longitude of the engine in decimal 

degrees reported to the fifth decimal place. 

 (v) Hours operated for the purposes specified in 

§63.6640(f)(2)(ii) and (iii), including the date, start time, 
Page 157 of 228

and end time for engine operation for the purposes specified in 

§63.6640(f)(2)(ii) and (iii). 

 (vi) Number of hours the engine is contractually obligated 

to be available for the purposes specified in §63.6640(f)(2)(ii) 

and (iii). 

 (vii) Hours spent for operation for the purpose specified 

in §63.6640(f)(4)(ii), including the date, start time, and end 

time for engine operation for the purposes specified in 

§63.6640(f)(4)(ii). The report must also identify the entity 

that dispatched the engine and the situation that necessitated 

the dispatch of the engine. 

 (viii) If there were no deviations from the fuel 

requirements in §63.6604 that apply to the engine (if any), a 

statement that there were no deviations from the fuel 

requirements during the reporting period. 

(ix) If there were deviations from the fuel requirements in 

§63.6604 that apply to the engine (if any), information on the 

number, duration, and cause of deviations, and the corrective 

action taken. 

 (2) The first annual report must cover the calendar year 

2015 and must be submitted no later than March 31, 2016. 

Subsequent annual reports for each calendar year must be 

submitted no later than March 31 of the following calendar year. 
Page 158 of 228

(3) The annual report must be submitted electronically 

using the subpart specific reporting form in the Compliance and 

Emissions Data Reporting Interface (CEDRI) that is accessed 

through EPA’s Central Data Exchange (CDX) (www.epa.gov/cdx). 

However, if the reporting form specific to this subpart is not 

available in CEDRI at the time that the report is due, the 

written report must be submitted to the Administrator at the 

appropriate address listed in §63.13. 

 27. Section 63.6655 is amended by revising the introductory 

text of paragraph (f) to read as follows: 

§63.6655 What records must I keep?

* * * * * 

 (f) If you own or operate any of the stationary RICE in 

paragraphs (f)(1) through (2) of this section, you must keep 

records of the hours of operation of the engine that is recorded 

through the non-resettable hour meter. The owner or operator 

must document how many hours are spent for emergency operation, 

including what classified the operation as emergency and how 

many hours are spent for non-emergency operation. If the engine 

is used for the purposes specified in §63.6640(f)(2)(ii) or 

(iii) or §63.6640(f)(4)(ii), the owner or operator must keep 

records of the notification of the emergency situation, and the 

date, start time, and end time of engine operation for these 

purposes. * * * 
Page 159 of 228

* * * * * 

 28. Section 63.6675 is amended by: 

 a. Adding in alphabetical order the definition of Alaska 

Railbelt Grid;

 b. Adding in alphabetical order the definition of Backup 

power for renewable energy; 

c. Revising the definition of Emergency stationary RICE; 

and 

d. Adding in alphabetical order the definition of Remote

stationary RICE to read as follows. 

§63.6675 What definitions apply to this subpart?

 Alaska Railbelt Grid means the service areas of the six 

regulated public utilities that extend from Fairbanks to 

Anchorage and the Kenai Peninsula. These utilities are Golden 

Valley Electric Association; Chugach Electric Association; 

Matanuska Electric Association; Homer Electric Association; 

Anchorage Municipal Light & Power; and the City of Seward 

Electric System. 

* * * * * 

 Backup power for renewable energy means an engine that 

provides backup power to a facility that generates electricity 

from renewable energy resources, as that term is defined in 

Alaska Statute 42.45.045(l)(5) (incorporated by reference, see 

§63.14). 
Page 160 of 228

* * * * * 

 Emergency stationary RICE means any stationary 

reciprocating internal combustion engine that meets all of the 

criteria in paragraphs (1) through (3) of this definition. All 

emergency stationary RICE must comply with the requirements 

specified in §63.6640(f) in order to be considered emergency 

stationary RICE. If the engine does not comply with the 

requirements specified in §63.6640(f), then it is not considered 

to be an emergency stationary RICE under this subpart. 

 (1) The stationary RICE is operated to provide electrical 

power or mechanical work during an emergency situation. Examples 

include stationary RICE used to produce power for critical 

networks or equipment (including power supplied to portions of a 

facility) when electric power from the local utility (or the 

normal power source, if the facility runs on its own power 

production) is interrupted, or stationary RICE used to pump 

water in the case of fire or flood, etc. 

 (2) The stationary RICE is operated under limited 

circumstances for situations not included in paragraph (1) of 

this definition, as specified in §63.6640(f). 

 (3) The stationary RICE operates as part of a financial 

arrangement with another entity in situations not included in 

paragraph (1) of this definition only as allowed in 

§63.6640(f)(2)(ii) or (iii) and §63.6640(f)(4)(i) or (ii). 
Page 161 of 228

* * * * * 

Remote stationary RICE means stationary RICE meeting any of 

the following criteria: 

(1) Stationary RICE located in an offshore area that is 

beyond the line of ordinary low water along that portion of the 

coast of the United States that is in direct contact with the 

open seas and beyond the line marking the seaward limit of 

inland waters. 

(2) Stationary RICE located on a pipeline segment that 

meets both of the criteria in paragraphs (2)(i) and (ii) of this 

definition. 

(i) A pipeline segment with 10 or fewer buildings intended 

for human occupancy and no buildings with four or more stories 

within 220 yards (200 meters) on either side of the centerline 

of any continuous 1-mile (1.6 kilometers) length of pipeline. 

Each separate dwelling unit in a multiple dwelling unit building 

is counted as a separate building intended for human occupancy. 

(ii) The pipeline segment does not lie within 100 yards (91 

meters) of either a building or a small, well-defined outside 

area (such as a playground, recreation area, outdoor theater, or 

other place of public assembly) that is occupied by 20 or more 

persons on at least 5 days a week for 10 weeks in any 12-month 

period. The days and weeks need not be consecutive. The building 
Page 162 of 228

or area is considered occupied for a full day if it is occupied 

for any portion of the day. 

(iii) For purposes of this paragraph (2), the term pipeline 

segment means all parts of those physical facilities through 

which gas moves in transportation, including but not limited to 

pipe, valves, and other appurtenance attached to pipe, 

compressor units, metering stations, regulator stations, 

delivery stations, holders, and fabricated assemblies. 

Stationary RICE located within 50 yards (46 meters) of the 

pipeline segment providing power for equipment on a pipeline 

segment are part of the pipeline segment. Transportation of gas 

means the gathering, transmission, or distribution of gas by 

pipeline, or the storage of gas. A building is intended for 

human occupancy if its primary use is for a purpose involving 

the presence of humans. 

(3) Stationary RICE that are not located on gas pipelines 

and that have 5 or fewer buildings intended for human occupancy 

and no buildings with four or more stories within a 0.25 mile 

radius around the engine. A building is intended for human 

occupancy if its primary use is for a purpose involving the 

presence of humans. 

* * * * * 

 29. Table 1b to Subpart ZZZZ of Part 63 is revised to read 

as follows: 
Page 163 of 228

Table 1b to Subpart ZZZZ of Part 63. Operating Limitations for 

Existing, New, and Reconstructed SI 4SRB Stationary RICE >500 HP 

Located at a Major Source of HAP Emissions 

As stated in §§63.6600, 63.6603, 63.6630 and 63.6640, you must 

comply with the following operating limitations for existing, 

new and reconstructed 4SRB stationary RICE >500 HP located at a 

major source of HAP emissions: 

For each... You must meet the following 

operating limitation, except 

during periods of startup... 

1. existing, new and 

reconstructed 4SRB stationary 

RICE >500 HP located at a major 

source of HAP emissions 

complying with the requirement 

to reduce formaldehyde 

emissions by 76 percent or more 

(or by 75 percent or more, if 

applicable) and using NSCR; 

or 

existing, new and reconstructed 

4SRB stationary RICE >500 HP 

located at a major source of 

HAP emissions complying with 

the requirement to limit the 

concentration of formaldehyde 

in the stationary RICE exhaust 

to 350 ppbvd or less at 15 

percent O2 and using NSCR; 

 

a. maintain your catalyst so 

that the pressure drop across 

the catalyst does not change by 

more than 2 inches of water at 

100 percent load plus or minus 

10 percent from the pressure 

drop across the catalyst 

measured during the initial 

performance test; and 

b. maintain the temperature of 

your stationary RICE exhaust so 

that the catalyst inlet 

temperature is greater than or 

equal to 750°F and less than or 

equal to 1250°F.1
Page 164 of 228

2. existing, new and 

reconstructed 4SRB stationary 

RICE >500 HP located at a major 

source of HAP emissions 

complying with the requirement 

to reduce formaldehyde 

emissions by 76 percent or more 

(or by 75 percent or more, if 

applicable) and not using NSCR; 

or 

existing, new and reconstructed 

4SRB stationary RICE >500 HP 

located at a major source of 

HAP emissions complying with 

the requirement to limit the 

concentration of formaldehyde 

in the stationary RICE exhaust 

to 350 ppbvd or less at 15 

percent O2 and not using NSCR. 

Comply with any operating 

limitations approved by the 

Administrator. 

1

Sources can petition the Administrator pursuant to the 

requirements of 40 CFR 63.8(f) for a different temperature 

range. 

 30. Table 2b to Subpart ZZZZ of Part 63 is revised to read 

as follows: 

Table 2b to Subpart ZZZZ of Part 63. Operating Limitations for 

New and Reconstructed 2SLB and CI Stationary RICE >500 HP 

Located at a Major Source of HAP Emissions, New and 

Reconstructed 4SLB Stationary RICE ≥250 HP Located at a Major 

Source of HAP Emissions, Existing CI Stationary RICE >500 HP

As stated in §§63.6600, 63.6601, 63.6603, 63.6630, and 63.6640, 

you must comply with the following operating limitations for new 

and reconstructed 2SLB and CI stationary RICE >500 HP located at 

a major source of HAP emissions; new and reconstructed 4SLB 

stationary RICE ≥250 HP located at a major source of HAP 

emissions; and existing CI stationary RICE >500 HP:

For each... You must meet the following 

operating limitation, except 

during periods of startup... 

1. New and reconstructed 2SLB 

and CI stationary RICE >500 HP 

located at a major source of 

a. maintain your catalyst so 

that the pressure drop across 

the catalyst does not change by 

Formatted Table
Page 165 of 228

HAP emissions and new and 

reconstructed 4SLB stationary 

RICE ≥250 HP located at a major 

source of HAP emissions 

complying with the requirement 

to reduce CO emissions and 

using an oxidation catalyst; 

and 

New and reconstructed 2SLB and 

CI stationary RICE >500 HP 

located at a major source of 

HAP emissions and new and 

reconstructed 4SLB stationary 

RICE ≥250 HP located at a major 

source of HAP emissions 

complying with the requirement 

to limit the concentration of 

formaldehyde in the stationary 

RICE exhaust and using an 

oxidation catalyst 

more than 2 inches of water at 

100 percent load plus or minus 

10 percent from the pressure 

drop across the catalyst that 

was measured during the initial 

performance test; and 

b. maintain the temperature of 

your stationary RICE exhaust so 

that the catalyst inlet 

temperature is greater than or 

equal to 450°F and less than or 

equal to 1350°F.1

2. Existing CI stationary RICE 

>500 HP complying with the 

requirement to limit or reduce 

the concentration of CO in the 

stationary RICE exhaust and 

using an oxidation catalyst 

a. maintain your catalyst so 

that the pressure drop across 

the catalyst does not change by 

more than 2 inches of water 

from the pressure drop across 

the catalyst that was measured 

during the initial performance 

test; and 

b. maintain the temperature of 

your stationary RICE exhaust so 

that the catalyst inlet 

temperature is greater than or 

equal to 450°F and less than or 

equal to 1350°F.1
Page 166 of 228

3. New and reconstructed 2SLB 

and CI stationary RICE >500 HP 

located at a major source of 

HAP emissions and new and 

reconstructed 4SLB stationary 

RICE ≥250 HP located at a major 

source of HAP emissions 

complying with the requirement 

to reduce CO emissions and not 

using an oxidation catalyst; 

and 

New and reconstructed 2SLB and 

CI stationary RICE >500 HP 

located at a major source of 

HAP emissions and new and 

reconstructed 4SLB stationary 

RICE ≥250 HP located at a major 

source of HAP emissions 

complying with the requirement 

to limit the concentration of 

formaldehyde in the stationary 

RICE exhaust and not using an 

oxidation catalyst 

and 

existing CI stationary RICE 

>500 HP complying with the 

requirement to limit or reduce 

the concentration of CO in the 

stationary RICE exhaust and not 

using an oxidation catalyst 

Comply with any operating 

limitations approved by the 

Administrator. 

1

Sources can petition the Administrator pursuant to the 

requirements of 40 CFR 63.8(f) for a different temperature 

range. 

 31. Table 2c to Subpart ZZZZ of Part 63 is revised to read 

as follows: 

Table 2c to Subpart ZZZZ of Part 63. Requirements for Existing 

Compression Ignition Stationary RICE Located at a Major Source 

of HAP Emissions and Existing Spark Ignition Stationary RICE 

≤500 HP Located at a Major Source of HAP Emissions 

Formatted Table
Page 167 of 228

As stated in §§63.6600, 63.6602, and 63.6640, you must comply 

with the following requirements for existing compression 

ignition stationary RICE located at a major source of HAP 

emissions and existing spark ignition stationary RICE ≤500 HP 

located at a major source of HAP emissions: 

For each... You must meet the 

following requirement, 

except during periods of 

startup... 

During periods of 

startup you must... 

1. Emergency 

stationary CI 

RICE and black 

start stationary 

CI RICE.1

 

 

a. Change oil and filter 

every 500 hours of 

operation or annually, 

whichever comes first;2

b. Inspect air cleaner 

every 1,000 hours of 

operation or annually, 

whichever comes first, 

and replace as necessary; 

c. Inspect all hoses and 

belts every 500 hours of 

operation or annually, 

whichever comes first, 

and replace as 

necessary.3

Minimize the 

engine’s time spent 

at idle and minimize 

the engine’s startup 

time at startup to a 

period needed for 

appropriate and safe 

loading of the 

engine, not to 

exceed 30 minutes, 

after which time the 

non-startup emission 

limitations apply.3

 

2. NonEmergency, nonblack start 

stationary CI 

RICE <100 HP. 

 

a. Change oil and filter 

every 1,000 hours of 

operation or annually, 

whichever comes first2

; 

b. Inspect air cleaner 

every 1,000 hours of 

operation or annually, 

whichever comes first, 

and replace as necessary; 

c. Inspect all hoses and 

belts every 500 hours of 

operation or annually, 

whichever comes first, 

and replace as 

necessary.3

3. NonEmergency, nonblack start CI 

stationary RICE 

100<HP<300 HP. 

Limit concentration of CO 

in the stationary RICE 

exhaust to 230 ppmvd or 

less at 15 percent O2. 

Formatted Table
Page 168 of 228

4. NonEmergency, nonblack start CI 

stationary RICE 

300<HP<500. 

a. Limit concentration of 

CO in the stationary RICE 

exhaust to 49 ppmvd or 

less at 15 percent O2; or 

b. Reduce CO emissions by 

70 percent or more. 

5. NonEmergency, nonblack start 

stationary CI 

RICE >500 HP. 

a. Limit concentration of 

CO in the stationary RICE 

exhaust to 23 ppmvd or 

less at 15 percent O2; or 

b. Reduce CO emissions by 

70 percent or more. 

6. Emergency 

stationary SI 

RICE and black 

start stationary 

SI RICE.1

a. Change oil and filter 

every 500 hours of 

operation or annually, 

whichever comes first;2

b. Inspect spark plugs 

every 1,000 hours of 

operation or annually, 

whichever comes first, 

and replace as necessary; 

c. Inspect all hoses and 

belts every 500 hours of 

operation or annually, 

whichever comes first, 

and replace as 

necessary.3

7. NonEmergency, nonblack start 

stationary SI 

RICE <100 HP 

that are not 

2SLB stationary 

RICE. 

a. Change oil and filter 

every 1,440 hours of 

operation or annually, 

whichever comes first2

; 

b. Inspect spark plugs 

every 1,440 hours of 

operation or annually, 

whichever comes first, 

and replace as necessary; 

c. Inspect all hoses and 

belts every 1,440 hours 

of operation or annually, 

whichever comes first, 

and replace as 

necessary.3
Page 169 of 228

8. NonEmergency, nonblack start 2SLB 

stationary SI 

RICE <100 HP. 

a. Change oil and filter 

every 4,320 hours of 

operation or annually, 

whichever comes first2

; 

b. Inspect spark plugs 

every 4,320 hours of 

operation or annually, 

whichever comes first, 

and replace as necessary; 

c. Inspect all hoses and 

belts every 4,320 hours 

of operation or annually, 

whichever comes first, 

and replace as 

necessary.3

9. Nonemergency, nonblack start 2SLB 

stationary RICE 

100≤HP≤500 

Limit concentration of CO 

in the stationary RICE 

exhaust to 225 ppmvd or 

less at 15 percent O2

10. Nonemergency, nonblack start 4SLB 

stationary RICE 

100≤HP≤500 

Limit concentration of CO 

in the stationary RICE 

exhaust to 47 ppmvd or 

less at 15 percent O2

11. Nonemergency, nonblack start 4SRB 

stationary RICE 

100≤HP≤500 

Limit concentration of 

formaldehyde in the 

stationary RICE exhaust 

to 10.3 ppmvd or less at 

15 percent O2

12. Nonemergency, nonblack start 

stationary RICE 

100≤HP≤500 which 

combusts 

landfill or 

digester gas 

equivalent to 10 

percent or more 

of the gross 

heat input on an 

annual basis 

Limit concentration of CO 

in the stationary RICE 

exhaust to 177 ppmvd or 

less at 15 percent O2

1 If an emergency engine is operating during an emergency and it 

is not possible to shut down the engine in order to perform the 

work practice requirements on the schedule required in Table 2c 

of this subpart, or if performing the work practice on the 

Formatted Table
Page 170 of 228

required schedule would otherwise pose an unacceptable risk 

under federal, state, or local law, the work practice can be 

delayed until the emergency is over or the unacceptable risk 

under federal, state, or local law has abated. The work practice 

should be performed as soon as practicable after the emergency 

has ended or the unacceptable risk under federal, state, or 

local law has abated. Sources must report any failure to perform 

the work practice on the schedule required and the federal, 

state or local law under which the risk was deemed unacceptable.

2

Sources have the option to utilize an oil analysis program as 

described in §63.6625(i) or (j) in order to extend the specified 

oil change requirement in Table 2c of this subpart. 

3 Sources can petition the Administrator pursuant to the 

requirements of 40 CFR 63.6(g) for alternative work practices. 

 32. Table 2d to Subpart ZZZZ of Part 63 is revised to read 

as follows: 

Table 2d to Subpart ZZZZ of Part 63. Requirements for Existing 

Stationary RICE Located at Area Sources of HAP Emissions 

As stated in §§63.6603 and 63.6640, you must comply with the 

following requirements for existing stationary RICE located at 

area sources of HAP emissions: 

For each... You must meet the 

following 

requirement, except 

during periods of 

startup... 

During periods of 

startup you must... 

1. Non-Emergency, 

non-black start CI 

stationary RICE 

<300 HP 

 

a. Change oil and 

filter every 1,000 

hours of operation 

or annually, 

whichever comes 

first;1

b. Inspect air 

cleaner every 1,000 

hours of operation 

or annually, 

whichever comes 

first, and replace 

as necessary; 

c. Inspect all 

hoses and belts 

every 500 hours of 

Minimize the engine’s 

time spent at idle and 

minimize the engine’s 

startup time at startup 

to a period needed for 

appropriate and safe 

loading of the engine, 

not to exceed 30 

minutes, after which 

time the non-startup 

emission limitations 

apply. 

Formatted Table
Page 171 of 228

operation or 

annually, whichever 

comes first, and 

replace as 

necessary. 

2. Non-Emergency, 

non-black start CI 

stationary RICE 

300<HP<500 

a. Limit 

concentration of CO 

in the stationary 

RICE exhaust to 49 

ppmvd at 15 percent 

O2; 

or 

b. Reduce CO 

emissions by 70 

percent or more. 

3. Non-Emergency, 

non-black start CI 

stationary RICE 

>500 HP 

a. Limit 

concentration of CO 

in the stationary 

RICE exhaust to 23 

ppmvd at 15 percent 

O2; 

or 

b. Reduce CO 

emissions by 70 

percent or more.

4. Emergency 

stationary CI RICE 

and black start 

stationary CI 

RICE2

a. Change oil and 

filter every 500 

hours of operation 

or annually, 

whichever comes 

first;1

 

b. Inspect air 

cleaner every 1,000 

hours of operation 

or annually, 

whichever comes 

first, and replace 

as necessary; and 

c. Inspect all 

hoses and belts 

every 500 hours of 

operation or 

annually, whichever 

comes first, and 

replace as 

necessary. 
Page 172 of 228

5. Emergency 

stationary SI 

RICE; black start 

stationary SI 

RICE; nonemergency, nonblack start 4SLB 

stationary RICE 

>500 HP that 

operate 24 hours 

or less per 

calendar year; 

non-emergency, 

non-black start 

4SRB stationary 

RICE >500 HP that 

operate 24 hours 

or less per 

calendar year2

a. Change oil and 

filter every 500 

hours of operation 

or annually, 

whichever comes 

first;1

 

b. Inspect spark 

plugs every 1,000 

hours of operation 

or annually, 

whichever comes 

first, and replace 

as necessary; and 

c. Inspect all 

hoses and belts 

every 500 hours of 

operation or 

annually, whichever 

comes first, and 

replace as 

necessary. 

6. Non-emergency, 

non-black start 

2SLB stationary 

RICE 

a. Change oil and 

filter every 4,320 

hours of operation 

or annually, 

whichever comes 

first;1

 

b. Inspect spark 

plugs every 4,320 

hours of operation 

or annually, 

whichever comes 

first, and replace 

as necessary; and 

c. Inspect all 

hoses and belts 

every 4,320 hours 

of operation or 

annually, whichever 

comes first, and 

replace as 

necessary. 
Page 173 of 228

7. Non-emergency, 

non-black start 

4SLB stationary 

RICE ≤500 HP 

a. Change oil and 

filter every 1,440 

hours of operation 

or annually, 

whichever comes 

first;1

 

b. Inspect spark 

plugs every 1,440 

hours of operation 

or annually, 

whichever comes 

first, and replace 

as necessary; and 

c. Inspect all 

hoses and belts 

every 1,440 hours 

of operation or 

annually, whichever 

comes first, and 

replace as 

necessary. 

8. Non-emergency, 

non-black start 

4SLB remote 

stationary RICE 

>500 HP 

a. Change oil and 

filter every 2,160 

hours of operation 

or annually, 

whichever comes 

first;1

 

b. Inspect spark 

plugs every 2,160 

hours of operation 

or annually, 

whichever comes 

first, and replace 

as necessary; and 

c. Inspect all 

hoses and belts 

every 2,160 hours 

of operation or 

annually, whichever 

comes first, and 

replace as 

necessary. 
Page 174 of 228

9. Non-emergency, 

non-black start 

4SLB stationary 

RICE >500 HP that 

are not remote 

stationary RICE 

and that operate 

more than 24 hours 

per calendar year 

Install an 

oxidation catalyst 

to reduce HAP 

emissions from the 

stationary RICE 

10. Non-emergency, 

non-black start 

4SRB stationary 

RICE ≤500 HP 

a. Change oil and 

filter every 1,440 

hours of operation 

or annually, 

whichever comes 

first;1

 

b. Inspect spark 

plugs every 1,440 

hours of operation 

or annually, 

whichever comes 

first, and replace 

as necessary; and 

c. Inspect all 

hoses and belts 

every 1,440 hours 

of operation or 

annually, whichever 

comes first, and 

replace as 

necessary. 
Page 175 of 228

11. Non-emergency, 

non-black start 

4SRB remote 

stationary RICE 

>500 HP 

a. Change oil and 

filter every 2,160 

hours of operation 

or annually, 

whichever comes 

first;1

 

b. Inspect spark 

plugs every 2,160 

hours of operation 

or annually, 

whichever comes 

first, and replace 

as necessary; and 

c. Inspect all 

hoses and belts 

every 2,160 hours 

of operation or 

annually, whichever 

comes first, and 

replace as 

necessary. 

12. Non-emergency, 

non-black start 

4SRB stationary 

RICE >500 HP that 

are not remote 

stationary RICE 

and that operate 

more than 24 hours 

per calendar year 

Install NSCR to 

reduce HAP 

emissions from the 

stationary RICE 
Page 176 of 228

13. Non-emergency, 

non-black start 

stationary RICE 

which combusts 

landfill or 

digester gas 

equivalent to 10 

percent or more of 

the gross heat 

input on an annual 

basis 

a. Change oil and 

filter every 1,440 

hours of operation 

or annually, 

whichever comes 

first;1

 

b. Inspect spark 

plugs every 1,440 

hours of operation 

or annually, 

whichever comes 

first, and replace 

as necessary; and 

c. Inspect all 

hoses and belts 

every 1,440 hours 

of operation or 

annually, whichever 

comes first, and 

replace as 

necessary. 1 Sources have the option to utilize an oil analysis program as 

described in §63.6625(i) or (j) in order to extend the specified 

oil change requirement in Table 2d of this subpart. 

2 If an emergency engine is operating during an emergency and it 

is not possible to shut down the engine in order to perform the 

management practice requirements on the schedule required in 

Table 2d of this subpart, or if performing the management 

practice on the required schedule would otherwise pose an 

unacceptable risk under federal, state, or local law, the 

management practice can be delayed until the emergency is over 

or the unacceptable risk under federal, state, or local law has 

abated. The management practice should be performed as soon as 

practicable after the emergency has ended or the unacceptable 

risk under federal, state, or local law has abated. Sources must 

report any failure to perform the management practice on the 

schedule required and the federal, state or local law under 

which the risk was deemed unacceptable. 

 33. Table 3 to Subpart ZZZZ of Part 63 is revised to read 

as follows: 

Table 3 to Subpart ZZZZ of Part 63. Subsequent Performance Tests 

As stated in §§63.6615 and 63.6620, you must comply with the 

following subsequent performance test requirements: 

Formatted Table
Page 177 of 228

For each... Complying with the 

requirement to... 

You must...

1. New or 

reconstructed 2SLB 

stationary RICE 

>500 HP located at 

major sources; new 

or reconstructed 

4SLB stationary 

RICE ≥250 HP 

located at major 

sources; and new 

or reconstructed 

CI stationary RICE 

>500 HP located at 

major sources. 

Reduce CO 

emissions and not 

using a CEMS 

Conduct subsequent 

performance tests 

semiannually1

. 

2. 4SRB stationary 

RICE ≥5,000 HP 

located at major 

sources. 

Reduce 

formaldehyde 

emissions 

Conduct subsequent 

performance tests 

semiannually1

. 

3. Stationary RICE 

>500 HP located at 

major sources and 

new or 

reconstructed 4SLB 

stationary RICE 

250≤HP≤500 located 

at major sources. 

Limit the 

concentration of 

formaldehyde in 

the stationary 

RICE exhaust 

Conduct subsequent 

performance tests 

semiannually1

. 

4. Existing nonemergency, nonblack start CI 

stationary RICE 

>500 HP that are 

not limited use 

stationary RICE 

Limit or reduce CO 

emissions and not 

using a CEMS 

Conduct subsequent 

performance tests 

every 8,760 hours 

or 3 years, 

whichever comes 

first. 

5. Existing nonemergency, nonblack start CI 

stationary RICE 

>500 HP that are 

limited use 

stationary RICE 

Limit or reduce CO 

emissions and not 

using a CEMS 

Conduct subsequent 

performance tests 

every 8,760 hours 

or 5 years, 

whichever comes 

first. 

1 After you have demonstrated compliance for two consecutive 

tests, you may reduce the frequency of subsequent performance 

tests to annually. If the results of any subsequent annual 

performance test indicate the stationary RICE is not in 
Page 178 of 228

compliance with the CO or formaldehyde emission limitation, or 

you deviate from any of your operating limitations, you must 

resume semiannual performance tests. 

 34. Table 4 to Subpart ZZZZ of Part 63 is revised to read 

as follows: 

Table 4 to Subpart ZZZZ of Part 63. Requirements for Performance 

Tests 

As stated in §§63.6610, 63.6611, 63.6612, 63.6620, and 63.6640, 

you must comply with the following requirements for performance 

tests for stationary RICE: 

For 

each...

Complying 

with the 

requirement 

to... 

You 

must... 

Using... According to 

the 

following 

requirements

...

1. 2SLB, 

4SLB, and 

CI 

stationary 

RICE 

a. reduce 

CO 

emissions 

i. 

Measure 

the O2 at 

the inlet 

and 

outlet of 

the 

control 

device; 

and 

(1) 

Method 3 

or 3A or 

3B of 40 

CFR part 

60, 

appendix 

A, or 

ASTM 

Method 

D6522-00 

(Reappro

ved 

2005)a,c. 

(a) 

Measurements 

to determine 

O2 must be 

made at the 

same time as 

the 

measurements 

for CO 

concentration. 

ii. 

Measure 

the CO at 

the inlet 

and the 

outlet of 

the 

control 

device 

(1) ASTM 

D6522-00 

(Reappro

ved 

2005)a,b,c

or 

Method 

10 of 40 

CFR part 

60, 

appendix 

A. 

(a) The CO 

concentration must be 

at 15 

percent O2, 

dry basis. 
Page 179 of 228

2. 4SRB 

stationary 

RICE 

a. reduce 

formaldehyd

e emissions 

i. Select 

the 

sampling 

port 

location 

and the 

number of 

traverse 

points; 

and 

(1) 

Method 1 

or 1A of 

40 CFR 

part 60, 

appendix 

A 

§63.7(d)

(1)(i) 

(a) sampling 

sites must 

be located 

at the inlet 

and outlet 

of the 

control 

device. 

ii. 

Measure 

O2 at the 

inlet and 

outlet of 

the 

control 

device; 

and 

(1) 

Method 3 

or 3A or 

3B of 40 

CFR part 

60, 

appendix 

A, or 

ASTM 

Method 

D6522-

00(Reapp

roved 

2005)a

. 

(a) 

measurements 

to determine 

O2 

concentratio

n must be 

made at the 

same time as 

the 

measurements 

for 

formaldehyde 

or THC 

concentratio

n. 

iii. 

Measure 

moisture 

content 

at the 

inlet and 

outlet of 

the 

control 

device; 

and 

(1) 

Method 4 

of 40 

CFR part 

60, 

appendix 

A, or 

Test 

Method 

320 of 

40 CFR 

part 63, 

appendix 

A, or 

ASTM D 

6348-03a

(a) 

measurements 

to determine 

moisture 

content must 

be made at 

the same 

time and 

location as 

the 

measurements 

for 

formaldehyde 

or THC 

concentratio

n. 
Page 180 of 228

iv. If 

demonstra

ting 

complianc

e with 

the 

formaldeh

yde 

percent 

reduction 

requireme

nt, 

measure 

formaldehyde at 

the inlet 

and the 

outlet of 

the 

control 

device 

(1) 

Method 

320 or 

323 of 

40 CFR 

part 63, 

appendix 

A; or 

ASTM 

D6348-

03a

, 

provided 

in ASTM 

D6348-03 

Annex A5 

(Analyte 

Spiking 

Techniqu

e), the 

percent 

R must 

be 

greater 

than or 

equal to 

70 and 

less 

than or 

equal to 

130. 

(a) 

formaldehyde 

concentration must be 

at 15 

percent O2, 

dry basis. 

Results of 

this test 

consist of 

the average 

of the three 

1-hour or 

longer runs. 
Page 181 of 228

 v. If 

demonstra

ting 

complianc

e with 

the THC 

percent 

reduction 

requireme

nt, 

measure 

THC at 

the inlet 

and the 

outlet of 

the 

control 

device 

(1) 

Method 

25A, 

reported 

as 

propane, 

of 40 

CFR part 

60, 

appendix 

A 

(a) THC 

concentration must be 

at 15 

percent O2, 

dry basis. 

Results of 

this test 

consist of 

the average 

of the three 

1-hour or 

longer runs. 

3. 

Stationary 

RICE 

a. limit 

the 

concentration of 

formaldehyde or CO

in the 

stationary 

RICE 

exhaust 

i. Select 

the 

sampling 

port 

location 

and the 

number of 

traverse 

points; 

and 

(1) 

Method 1 

or 1A of 

40 CFR 

part 60, 

appendix 

A 

§63.7(d)

(1)(i) 

(a) if using 

a control 

device, the 

sampling 

site must be 

located at 

the outlet 

of the 

control 

device. 

ii. 

Determine 

the O2

concentra

tion of 

the 

stationar

y RICE 

exhaust 

at the 

sampling 

port 

location; 

and 

(1) 

Method 3 

or 3A or 

3B of 40 

CFR part 

60, 

appendix 

A, or 

ASTM 

Method 

D6522-

00(Reapp

roved 

2005)a

. 

(a) 

measurements 

to determine 

O2 concentration must be 

made at the 

same time 

and location 

as the 

measurements 

for 

formaldehyde 

or CO 

concentration. 

iii. 

Measure 

moisture 

(1) 

Method 4 

of 40 

(a) 

measurements 

to determine 

Deleted: non-methane 
Page 182 of 228

content 

of the 

stationary RICE 

exhaust 

at the 

sampling 

port 

location; 

and 

CFR part 

60, 

appendix 

A, or 

Test 

Method 

320 of 

40 CFR 

part 63, 

appendix 

A, or 

ASTM D 

6348-03a

moisture 

content must 

be made at 

the same 

time and 

location as 

the 

measurements 

for 

formaldehyde 

or CO 

concentratio

n. 

iv. 

Measure 

formaldehyde at 

the 

exhaust 

of the 

stationary RICE; 

or 

(1) 

Method 

320 or 

323 of 

40 CFR 

part 63, 

appendix 

A; or 

ASTM 

D6348-03

a

, 

provided 

in ASTM 

D6348-03 

Annex A5 

(Analyte 

Spiking 

Techniqu

e), the 

percent 

R must 

be 

greater 

than or 

equal to 

70 and 

less 

than or 

equal to 

130. 

(a) 

Formaldehyde 

concentratio

n must be at 

15 percent 

O2, dry 

basis. 

Results of 

this test 

consist of 

the average 

of the three 

1-hour or 

longer runs. 

v. 

measure 

CO at the 

exhaust 

(1) 

Method 

10 of 40 

CFR part 

(a) CO 

concentratio

n must be at 

15 percent 
Page 183 of 228

of the 

stationary RICE. 

60, 

appendix 

A, ASTM 

Method 

D6522-00 

(2005)a,c

, Method 

320 of 

40 CFR 

part 63, 

appendix 

A, or 

ASTM 

D6348-03

a

. 

O2, dry 

basis. 

Results of 

this test 

consist of 

the average 

of the three 

1-hour or 

longer runs. 

a

Incorporated by reference, see 40 CFR 63.14. You may also obtain 

copies from University Microfilms International, 300 North Zeeb 

Road, Ann Arbor, MI 48106.. 

b

You may also use Method 320 of 40 CFR part 63, appendix A, or 

ASTM D6348-03. 

c

 ASTM-D6522-00 (2005) may be used to test both CI and SI 

stationary RICE. 

 35. Table 5 to Subpart ZZZZ of Part 63 is revised to read 

as follows: 

Table 5 to Subpart ZZZZ of Part 63. Initial Compliance with 

Emission Limitations, Operating Limitations, and Other 

Requirements

As stated in §§63.6612, 63.6625 and 63.6630, you must initially 

comply with the emission and operating limitations as required 

by the following: 

For each . . . Complying with the 

requirement 

to . . . 

You have 

demonstrated 

initial 

compliance if . . . 

Deleted: Work Practices, and 

Management Practices
Page 184 of 228

1. New or 

reconstructed nonemergency 2SLB 

stationary RICE 

>500 HP located at 

a major source of 

HAP, new or 

reconstructed nonemergency 4SLB 

stationary RICE 

≥250 HP located at 

a major source of 

HAP, non-emergency 

stationary CI RICE 

>500 HP located at 

a major source of 

HAP, and existing 

non-emergency 

stationary CI RICE 

>500 HP located at 

an area source of 

HAP. 

a. Reduce CO 

emissions and using 

oxidation catalyst, 

and using a CPMS 

i. The average 

reduction of 

emissions of CO 

determined from the 

initial performance 

test achieves the 

required CO percent 

reduction; and 

ii. You have 

installed a CPMS to 

continuously 

monitor catalyst 

inlet temperature 

according to the 

requirements in 

§63.6625(b); and 

iii. You have 

recorded the 

catalyst pressure 

drop and catalyst 

inlet temperature 

during the initial 

performance test. 
Page 185 of 228

2. Non-emergency 

stationary CI RICE 

>500 HP located at 

a major source of 

HAP, and existing 

non-emergency 

stationary CI RICE 

>500 HP located at 

an area source of 

HAP. 

a. Limit the 

concentration of 

CO, using oxidation 

catalyst, and using 

a CPMS 

i. The average CO 

concentration 

determined from the 

initial performance 

test is less than 

or equal to the CO 

emission 

limitation; and 

ii. You have 

installed a CPMS to 

continuously 

monitor catalyst 

inlet temperature 

according to the 

requirements in 

§63.6625(b); and 

iii. You have 

recorded the 

catalyst pressure 

drop and catalyst 

inlet temperature 

during the initial 

performance test.

3. New or 

reconstructed nonemergency 2SLB 

stationary RICE 

>500 HP located at 

a major source of 

HAP, new or 

reconstructed nonemergency 4SLB 

stationary RICE 

≥250 HP located at 

a major source of 

HAP, non-emergency 

stationary CI RICE 

>500 HP located at 

a major source of 

HAP, and existing 

non-emergency 

stationary CI RICE 

>500 HP located at 

an area source of 

HAP. 

a. Reduce CO 

emissions and not 

using oxidation 

catalyst 

i. The average 

reduction of 

emissions of CO 

determined from the 

initial performance 

test achieves the 

required CO percent 

reduction; and 

ii. You have 

installed a CPMS to 

continuously 

monitor operating 

parameters approved 

by the 

Administrator (if 

any) according to 

the requirements in 

§63.6625(b); and 

iii. You have 

recorded the 
Page 186 of 228

approved operating 

parameters (if any) 

during the initial 

performance test. 

4. Non-emergency 

stationary CI RICE 

>500 HP located at 

a major source of 

HAP, and existing 

non-emergency 

stationary CI RICE 

>500 HP located at 

an area source of 

HAP. 

a. Limit the 

concentration of 

CO, and not using 

oxidation catalyst 

i. The average CO 

concentration 

determined from the 

initial performance 

test is less than 

or equal to the CO 

emission 

limitation; and 

ii. You have 

installed a CPMS to 

continuously 

monitor operating 

parameters approved 

by the 

Administrator (if 

any) according to 

the requirements in 

§63.6625(b); and 

iii. You have 

recorded the 

approved operating 

parameters (if any) 

during the initial 

performance test. 
Page 187 of 228

5. New or 

reconstructed nonemergency 2SLB 

stationary RICE 

>500 HP located at 

a major source of 

HAP, new or 

reconstructed nonemergency 4SLB 

stationary RICE 

≥250 HP located at 

a major source of 

HAP, non-emergency 

stationary CI RICE 

>500 HP located at 

a major source of 

HAP, and existing 

non-emergency 

stationary CI RICE 

>500 HP located at 

an area source of 

HAP. 

a. Reduce CO 

emissions, and 

using a CEMS 

i. You have 

installed a CEMS to 

continuously 

monitor CO and 

either O2 or CO2 at 

both the inlet and 

outlet of the 

oxidation catalyst 

according to the 

requirements in 

§63.6625(a); and 

ii. You have 

conducted a 

performance 

evaluation of your 

CEMS using PS 3 and 

4A of 40 CFR part 

60, appendix B; and 

iii. The average 

reduction of CO 

calculated using 

§63.6620 equals or 

exceeds the 

required percent 

reduction. The 

initial test 

comprises the first 

4-hour period after 

successful 

validation of the 

CEMS. Compliance 

is based on the 

average percent 

reduction achieved 

during the 4-hour 

period. 
Page 188 of 228

6. Non-emergency 

stationary CI RICE 

>500 HP located at 

a major source of 

HAP, and existing 

non-emergency 

stationary CI RICE 

>500 HP located at 

an area source of 

HAP. 

a. Limit the 

concentration of 

CO, and using a 

CEMS 

i. You have 

installed a CEMS to 

continuously 

monitor CO and 

either O2 or CO2 at 

the outlet of the 

oxidation catalyst 

according to the 

requirements in 

§63.6625(a); and 

ii. You have 

conducted a 

performance 

evaluation of your 

CEMS using PS 3 and 

4A of 40 CFR part 

60, appendix B; and 

iii. The average 

concentration of CO 

calculated using 

§63.6620 is less 

than or equal to 

the CO emission 

limitation. The 

initial test 

comprises the first 

4-hour period after 

successful 

validation of the 

CEMS. Compliance is 

based on the 

average 

concentration 

measured during the 

4-hour period. 

7. Non-emergency 

4SRB stationary 

RICE >500 HP 

located at a major 

source of HAP. 

a. Reduce 

formaldehyde 

emissions and using 

NSCR 

i. The average 

reduction of 

emissions of 

formaldehyde 

determined from the 

initial performance 

test is equal to or 

greater than the 

required 

formaldehyde 
Page 189 of 228

percent reduction, 

or the average 

reduction of 

emissions of THC 

determined from the 

initial performance 

test is equal to or 

greater than 30 

percent; and 

ii. You have 

installed a CPMS to 

continuously 

monitor catalyst 

inlet temperature 

according to the 

requirements in 

§63.6625(b); and 

iii. You have 

recorded the 

catalyst pressure 

drop and catalyst 

inlet temperature 

during the initial 

performance test. 

8. Non-emergency 

4SRB stationary 

RICE >500 HP 

located at a major 

source of HAP. 

a. Reduce 

formaldehyde 

emissions and not 

using NSCR 

i. The average 

reduction of 

emissions of 

formaldehyde 

determined from the 

initial performance 

test is equal to or 

greater than the 

required 

formaldehyde 

percent reduction 

or the average 

reduction of 

emissions of THC 

determined from the 

initial performance 

test is equal to or 

greater than 30 

percent; and 

ii. You have 
Page 190 of 228

installed a CPMS to 

continuously 

monitor operating 

parameters approved 

by the 

Administrator (if 

any) according to 

the requirements in 

§63.6625(b); and 

iii. You have 

recorded the 

approved operating 

parameters (if any) 

during the initial 

performance test. 

9. New or 

reconstructed nonemergency 

stationary RICE 

>500 HP located at 

a major source of 

HAP, new or 

reconstructed nonemergency 4SLB 

stationary RICE 

250≤HP≤500 located 

at a major source 

of HAP, and 

existing nonemergency 4SRB 

stationary RICE 

>500 HP located at 

a major source of 

HAP. 

a. Limit the 

concentration of 

formaldehyde in the 

stationary RICE 

exhaust and using 

oxidation catalyst 

or NSCR 

i. The average 

formaldehyde 

concentration, 

corrected to 15 

percent O2, dry 

basis, from the 

three test runs is 

less than or equal 

to the formaldehyde 

emission 

limitation; and 

ii. You have 

installed a CPMS to 

continuously 

monitor catalyst 

inlet temperature 

according to the 

requirements in 

§63.6625(b); and 

iii. You have 

recorded the 

catalyst pressure 

drop and catalyst 

inlet temperature 

during the initial 

performance test. 

10. New or 

reconstructed nonemergency 

a. Limit the 

concentration of 

formaldehyde in the 

i. The average 

formaldehyde 

concentration, 
Page 191 of 228

stationary RICE 

>500 HP located at 

a major source of 

HAP, new or 

reconstructed nonemergency 4SLB 

stationary RICE 

250≤HP≤500 located 

at a major source 

of HAP, and 

existing nonemergency 4SRB 

stationary RICE 

>500 HP located at 

a major source of 

HAP. 

stationary RICE 

exhaust and not 

using oxidation 

catalyst or NSCR 

corrected to 15 

percent O2, dry 

basis, from the 

three test runs is 

less than or equal 

to the formaldehyde 

emission 

limitation; and 

ii. You have 

installed a CPMS to 

continuously 

monitor operating 

parameters approved 

by the 

Administrator (if 

any) according to 

the requirements in 

§63.6625(b); and 

iii. You have 

recorded the 

approved operating 

parameters (if any) 

during the initial 

performance test. 

11. Existing nonemergency 

stationary RICE 

100≤HP≤500 located 

at a major source 

of HAP, and 

existing nonemergency 

stationary CI RICE 

300<HP≤500 located 

at an area source 

of HAP. 

a. Reduce CO 

emissions. 

i. The average 

reduction of 

emissions of CO or 

formaldehyde, as 

applicable 

determined from the 

initial performance 

test is equal to or 

greater than the 

required CO or 

formaldehyde, as 

applicable, percent 

reduction. 

12. Existing nonemergency 

stationary RICE 

100≤HP≤500 located 

at a major source 

of HAP, and 

existing nonemergency 

a. Limit the 

concentration of 

formaldehyde or CO

in the stationary 

RICE exhaust. 

i. The average 

formaldehyde or CO 

concentration, as 

applicable, 

corrected to 15 

percent O2, dry 

basis, from the 

three test runs is 
Page 192 of 228

stationary CI RICE 

300<HP≤500 located 

at an area source 

of HAP. 

less than or equal 

to the formaldehyde 

or CO emission 

limitation, as 

applicable. 

13. Existing nonemergency 4SLB 

stationary RICE 

>500 HP located at 

an area source of 

HAP that are not 

remote stationary 

RICE and that are 

operated more than 

24 hours per 

calendar year 

a. Install an 

oxidation catalyst 

i. You have 

conducted an 

initial compliance 

demonstration as 

specified in 

§63.6630(e) to show 

that the average 

reduction of 

emissions of CO is 

93 percent or more, 

or the average CO 

concentration is 

less than or equal 

to 47 ppmvd at 15 

percent O2

ii. You have 

installed a CPMS to 

continuously 

monitor catalyst 

inlet temperature 

according to the 

requirements in 

§63.6625(b), or you 

have installed 

equipment to 

automatically shut 

down the engine if 

the catalyst inlet 

temperature exceeds 

1350°F. 

14. Existing nonemergency 4SRB 

stationary RICE 

>500 HP located at 

an area source of 

HAP that are not 

remote stationary 

RICE and that are 

operated more than 

24 hours per 

calendar year 

a. Install NSCR i. You have 

conducted an 

initial compliance 

demonstration as 

specified in 

§63.6630(e) to show 

that the average 

reduction of 

emissions of CO is 

75 percent or more, 

the average CO 
Page 193 of 228

concentration is 

less than or equal 

to 270 ppmvd at 15 

percent O2, or the 

average reduction 

of emissions of THC 

is 30 percent or 

more 

ii. You have 

installed a CPMS to 

continuously 

monitor catalyst 

inlet temperature 

according to the 

requirements in 

§63.6625(b), or you 

have installed 

equipment to 

automatically shut 

down the engine if 

the catalyst inlet 

temperature exceeds 

1250°F. 

 36. Table 6 to Subpart ZZZZ of Part 63 is revised to read 

as follows: 

Table 6 to Subpart ZZZZ of Part 63. Continuous Compliance with 

Emission Limitations, and Other Requirements

As stated in §63.6640, you must continuously comply with the 

emissions and operating limitations and work or management 

practices as required by the following: 

For each . . . Complying with the 

requirement to . . 

. 

You must 

demonstrate 

continuous 

compliance by 

. . . 

1. New or 

reconstructed nonemergency 2SLB 

stationary RICE 

a. Reduce CO 

emissions and using 

an oxidation 

catalyst, and using 

i. Conducting 

semiannual 

performance tests 

for CO to 

Deleted: Operating Limitations, Work 

Practices, 

Deleted: Management Practices
Page 194 of 228

>500 HP located at 

a major source of 

HAP, new or 

reconstructed nonemergency 4SLB 

stationary RICE 

≥250 HP located at 

a major source of 

HAP, and new or 

reconstructed nonemergency CI 

stationary RICE 

>500 HP located at 

a major source of 

HAP. 

a CPMS demonstrate that 

the required CO 

percent reduction 

is achieveda

; and 

ii. Collecting the 

catalyst inlet 

temperature data 

according to 

§63.6625(b); and 

iii. Reducing these 

data to 4-hour 

rolling averages; 

and 

iv. Maintaining the 

4-hour rolling 

averages within the 

operating 

limitations for the 

catalyst inlet 

temperature; and 

v. Measuring the 

pressure drop 

across the catalyst 

once per month and 

demonstrating that 

the pressure drop 

across the catalyst 

is within the 

operating 

limitation 

established during 

the performance 

test. 

2. New or 

reconstructed nonemergency 2SLB 

stationary RICE 

>500 HP located at 

a major source of 

HAP, new or 

reconstructed nonemergency 4SLB 

stationary RICE 

a. Reduce CO 

emissions and not 

using an oxidation 

catalyst, and using 

a CPMS 

i. Conducting 

semiannual 

performance tests 

for CO to 

demonstrate that 

the required CO 

percent reduction 

is achieveda

; and 

ii. Collecting the 
Page 195 of 228

≥250 HP located at 

a major source of 

HAP, and new or 

reconstructed nonemergency CI 

stationary RICE 

>500 HP located at 

a major source of 

HAP. 

approved operating 

parameter (if any) 

data according to 

§63.6625(b); and 

iii. Reducing these 

data to 4-hour 

rolling averages; 

and 

iv. Maintaining the 

4-hour rolling 

averages within the 

operating 

limitations for the 

operating 

parameters 

established during 

the performance 

test. 

3. New or 

reconstructed nonemergency 2SLB 

stationary RICE 

>500 HP located at 

a major source of 

HAP, new or 

reconstructed nonemergency 4SLB 

stationary RICE 

≥250 HP located at 

a major source of 

HAP, new or 

reconstructed nonemergency 

stationary CI RICE 

>500 HP located at 

a major source of 

HAP, and existing 

non-emergency 

stationary CI RICE 

>500 HP. 

a. Reduce CO 

emissions or limit 

the concentration 

of CO in the 

stationary RICE 

exhaust, and using 

a CEMS 

i. Collecting the 

monitoring data 

according to 

§63.6625(a), 

reducing the 

measurements to 1-

hour averages, 

calculating the 

percent reduction 

or concentration of 

CO emissions 

according to 

§63.6620; and 

ii. Demonstrating 

that the catalyst 

achieves the 

required percent 

reduction of CO 

emissions over the 

4-hour averaging 

period, or that the 

emission remain at 

or below the CO 

concentration 

limit; and 
Page 196 of 228

iii. Conducting an 

annual RATA of your 

CEMS using PS 3 and 

4A of 40 CFR part 

60, appendix B, as 

well as daily and 

periodic data 

quality checks in 

accordance with 40 

CFR part 60, 

appendix F, 

procedure 1. 

4. Non-emergency 

4SRB stationary 

RICE >500 HP 

located at a major 

source of HAP. 

a. Reduce 

formaldehyde 

emissions and using 

NSCR 

i. Collecting the 

catalyst inlet 

temperature data 

according to 

§63.6625(b); and 

ii. reducing these 

data to 4-hour 

rolling averages; 

and 

iii. Maintaining 

the 4-hour rolling 

averages within the 

operating 

limitations for the 

catalyst inlet 

temperature; and 

iv. Measuring the 

pressure drop 

across the catalyst 

once per month and 

demonstrating that 

the pressure drop 

across the catalyst 

is within the 

operating 

limitation 

established during 

the performance 

test. 

5. Non-emergency 

4SRB stationary 

RICE >500 HP 

a. Reduce 

formaldehyde 

emissions and not 

i. Collecting the 

approved operating 

parameter (if any) 
Page 197 of 228

located at a major 

source of HAP. 

using NSCR data according to 

§63.6625(b); and 

ii. Reducing these 

data to 4-hour 

rolling averages; 

and 

iii. Maintaining 

the 4-hour rolling 

averages within the 

operating 

limitations for the 

operating 

parameters 

established during 

the performance 

test. 

6. Non-emergency 

4SRB stationary 

RICE with a brake 

HP ≥5,000 located 

at a major source 

of HAP. 

a. Reduce 

formaldehyde 

emissions 

Conducting 

semiannual 

performance tests 

for formaldehyde to 

demonstrate that 

the required 

formaldehyde 

percent reduction 

is achieved, or to 

demonstrate that 

the average 

reduction of 

emissions of THC 

determined from the 

performance test is 

equal to or greater 

than 30 percent.a

7. New or 

reconstructed nonemergency 

stationary RICE 

>500 HP located at 

a major source of 

HAP and new or 

reconstructed nonemergency 4SLB 

stationary RICE 

250≤HP≤500 located 

at a major source 

a. Limit the 

concentration of 

formaldehyde in the 

stationary RICE 

exhaust and using 

oxidation catalyst 

or NSCR 

i. Conducting 

semiannual 

performance tests 

for formaldehyde to 

demonstrate that 

your emissions 

remain at or below 

the formaldehyde 

concentration 

limita

; and 

ii. Collecting the 
Page 198 of 228

of HAP. catalyst inlet 

temperature data 

according to 

§63.6625(b); and 

iii. Reducing these 

data to 4-hour 

rolling averages; 

and 

iv. Maintaining the 

4-hour rolling 

averages within the 

operating 

limitations for the 

catalyst inlet 

temperature; and 

v. Measuring the 

pressure drop 

across the catalyst 

once per month and 

demonstrating that 

the pressure drop 

across the catalyst 

is within the 

operating 

limitation 

established during 

the performance 

test. 

8. New or 

reconstructed nonemergency 

stationary RICE 

>500 HP located at 

a major source of 

HAP and new or 

reconstructed nonemergency 4SLB 

stationary RICE 

250≤HP≤500 located 

at a major source 

of HAP. 

a. Limit the 

concentration of 

formaldehyde in the 

stationary RICE 

exhaust and not 

using oxidation 

catalyst or NSCR 

i. Conducting 

semiannual 

performance tests 

for formaldehyde to 

demonstrate that 

your emissions 

remain at or below 

the formaldehyde 

concentration 

limita

; and 

ii. Collecting the 

approved operating 

parameter (if any) 

data according to 

§63.6625(b); and 
Page 199 of 228

iii. Reducing these 

data to 4-hour 

rolling averages; 

and 

iv. Maintaining the 

4-hour rolling 

averages within the 

operating 

limitations for the 

operating 

parameters 

established during 

the performance 

test. 

9. Existing 

emergency and 

black start 

stationary RICE 

≤500 HP located at 

a major source of 

HAP, existing nonemergency 

stationary RICE 

<100 HP located at 

a major source of 

HAP, existing 

emergency and 

black start 

stationary RICE 

located at an area 

source of HAP, 

existing nonemergency 

stationary CI RICE 

≤300 HP located at 

an area source of 

HAP, existing nonemergency 2SLB 

stationary RICE 

located at an area 

source of HAP, 

existing nonemergency 

stationary SI RICE 

located at an area 

a. Work or 

Management 

practices. 

i. Operating and 

maintaining the 

stationary RICE 

according to the 

manufacturer’s 

emission-related 

operation and 

maintenance 

instructions; 

or 

ii. Develop and 

follow your own 

maintenance plan 

which must provide 

to the extent 

practicable for the 

maintenance and 

operation of the 

engine in a manner 

consistent with 

good air pollution 

control practice 

for minimizing 

emissions. 
Page 200 of 228

source of HAP 

which combusts 

landfill or 

digester gas 

equivalent to 10 

percent or more of 

the gross heat 

input on an annual 

basis, existing 

non-emergency 4SLB 

and 4SRB 

stationary RICE 

≤500 HP located at 

an area source of 

HAP, existing nonemergency 4SLB and 

4SRB stationary 

RICE >500 HP 

located at an area 

source of HAP that 

operate 24 hours 

or less per 

calendar year, and 

existing nonemergency 4SLB and 

4SRB stationary 

RICE >500 HP 

located at an area 

source of HAP that 

are remote 

stationary RICE. 

10. Existing 

stationary CI RICE 

>500 HP that are 

not limited use 

stationary RICE. 

a. Reduce CO 

emissions, or limit 

the concentration 

of CO in the 

stationary RICE 

exhaust, and using 

oxidation catalyst 

i. Conducting 

performance tests 

every 8,760 hours 

or 3 years, 

whichever comes 

first, for CO or 

formaldehyde, as 

appropriate, to 

demonstrate that 

the required CO or 

formaldehyde, as 

appropriate, 

percent reduction 

is achieved or that 

your emissions 

remain at or below 
Page 201 of 228

the CO or 

formaldehyde 

concentration 

limit; and 

ii. Collecting the 

catalyst inlet 

temperature data 

according to 

§63.6625(b); and 

iii. Reducing these 

data to 4-hour 

rolling averages; 

and 

iv. Maintaining the 

4-hour rolling 

averages within the 

operating 

limitations for the 

catalyst inlet 

temperature; and 

v. Measuring the 

pressure drop 

across the catalyst 

once per month and 

demonstrating that 

the pressure drop 

across the catalyst 

is within the 

operating 

limitation 

established during 

the performance 

test. 

11. Existing 

stationary CI RICE 

>500 HP that are 

not limited use 

stationary RICE. 

a. Reduce CO 

emissions, or limit 

the concentration 

of CO in the 

stationary RICE 

exhaust, and not 

using oxidation 

catalyst 

i. Conducting 

performance tests 

every 8,760 hours 

or 3 years, 

whichever comes 

first, for CO or 

formaldehyde, as 

appropriate, to 

demonstrate that 

the required CO or 
Page 202 of 228

formaldehyde, as 

appropriate, 

percent reduction 

is achieved or that 

your emissions 

remain at or below 

the CO or 

formaldehyde 

concentration 

limit; and 

ii. Collecting the 

approved operating 

parameter (if any) 

data according to 

§63.6625(b); and 

iii. Reducing these 

data to 4-hour 

rolling averages; 

and 

iv. Maintaining the 

4-hour rolling 

averages within the 

operating 

limitations for the 

operating 

parameters 

established during 

the performance 

test. 

12. Existing 

limited use CI 

stationary RICE 

>500 HP. 

a. Reduce CO 

emissions or limit 

the concentration 

of CO in the 

stationary RICE 

exhaust, and using 

an oxidation 

catalyst 

i. Conducting 

performance tests 

every 8,760 hours 

or 5 years, 

whichever comes 

first, for CO or 

formaldehyde, as 

appropriate, to 

demonstrate that 

the required CO or 

formaldehyde, as 

appropriate, 

percent reduction 

is achieved or 

that your emissions 
Page 203 of 228

remain at or below 

the CO or 

formaldehyde 

concentration 

limit; and 

ii. Collecting the 

catalyst inlet 

temperature data 

according to 

§63.6625(b); and 

iii. Reducing these 

data to 4-hour 

rolling averages; 

and 

iv. Maintaining the 

4-hour rolling 

averages within the 

operating 

limitations for the 

catalyst inlet 

temperature; and 

v. Measuring the 

pressure drop 

across the catalyst 

once per month and 

demonstrating that 

the pressure drop 

across the catalyst 

is within the 

operating 

limitation 

established during 

the performance 

test. 

13. Existing 

limited use CI 

stationary RICE 

>500 HP. 

a. Reduce CO 

emissions or limit 

the concentration 

of CO in the 

stationary RICE 

exhaust, and not 

using an oxidation 

catalyst 

i. Conducting 

performance tests 

every 8,760 hours 

or 5 years, 

whichever comes 

first, for CO or 

formaldehyde, as 

appropriate, to 

demonstrate that 
Page 204 of 228

the required CO or 

formaldehyde, as 

appropriate, 

percent reduction 

is achieved or 

that your emissions 

remain at or below 

the CO or 

formaldehyde 

concentration 

limit; and 

ii. Collecting the 

approved operating 

parameter (if any) 

data according to 

§63.6625(b); and 

iii. Reducing these 

data to 4-hour 

rolling averages; 

and 

iv. Maintaining the 

4-hour rolling 

averages within the 

operating 

limitations for the 

operating 

parameters 

established during 

the performance 

test. 

14. Existing nonemergency 4SLB 

stationary RICE 

>500 HP located at 

an area source of 

HAP that are not 

remote stationary 

RICE and that are 

operated more than 

24 hours per 

calendar year 

a. Install an 

oxidation catalyst 

i. Conducting 

annual compliance 

demonstrations as 

specified in 

§63.6640(c) to show 

that the average 

reduction of 

emissions of CO is 

93 percent or more, 

or the average CO 

concentration is 

less than or equal 

to 47 ppmvd at 15 

percent O2; and 
Page 205 of 228

either 

ii. Collecting the 

catalyst inlet 

temperature data 

according to 

§63.6625(b), 

reducing these data 

to 4-hour rolling 

averages; and 

maintaining the 4-

hour rolling 

averages within the 

limitation of 

greater than 450°F 

and less than or 

equal to 1350°F for 

the catalyst inlet 

temperature; or 

iii. Immediately 

shutting down the 

engine if the 

catalyst inlet 

temperature exceeds 

1350° F. 

15. Existing nonemergency 4SRB 

stationary RICE 

>500 HP located at 

an area source of 

HAP that are not 

remote stationary 

RICE and that are 

operated more than 

24 hours per 

calendar year 

a. Install NSCR i. Conducting 

annual compliance 

demonstrations as 

specified in 

§63.6640(c) to show 

that the average 

reduction of 

emissions of CO is 

75 percent or more,

the average CO 

concentration is 

less than or equal 

to 270 ppmvd at 15 

percent O2, or the 

average reduction 

of emissions of THC 

is 30 percent or 

more; and either 

ii. Collecting the 

catalyst inlet 

temperature data 

according to 

§63.6625(b), 
Page 206 of 228

reducing these data 

to 4-hour rolling 

averages; and 

maintaining the 4-

hour rolling 

averages within the 

limitation of 

greater than or 

equal to 750°F and 

less than or equal 

to 1250°F for the 

catalyst inlet 

temperature; or 

iii. Immediately 

shutting down the 

engine if the 

catalyst inlet 

temperature exceeds 

1250° F. a

After you have demonstrated compliance for two consecutive 

tests, you may reduce the frequency of subsequent performance 

tests to annually. If the results of any subsequent annual 

performance test indicate the stationary RICE is not in 

compliance with the CO or formaldehyde emission limitation, or 

you deviate from any of your operating limitations, you must 

resume semiannual performance tests. 

37. Table 7 to Subpart ZZZZ of Part 63 is revised to read 

as follows: 

Table 7 to Subpart ZZZZ of Part 63. Requirements for Reports 

As stated in §63.6650, you must comply with the following 

requirements for reports: 

For each . . . You must 

submit a . 

. . 

The report must 

contain . . . 

You must submit 

the report . . 

. 

1. Existing nonemergency, nonblack start 

stationary RICE 

100≤HP≤500 located 

at a major source 

of HAP; existing 

Compliance 

report 

a. If there are 

no deviations 

from any 

emission 

limitations or 

operating 

limitations 

i. Semiannually 

according to 

the 

requirements in 

§63.6650(b)(1)-

(5) for engines 

that are not 
Page 207 of 228

non-emergency, 

non-black start 

stationary CI RICE 

>500 HP located at 

a major source of 

HAP; existing nonemergency 4SRB 

stationary RICE 

>500 HP located at 

a major source of 

HAP; existing nonemergency, nonblack start 

stationary CI RICE 

>300 HP located at 

an area source of 

HAP; new or 

reconstructed nonemergency 

stationary RICE 

>500 HP located at 

a major source of 

HAP; and new or 

reconstructed nonemergency 4SLB 

stationary RICE 

250≤HP≤500 located 

at a major source 

of HAP 

that apply to 

you, a 

statement that 

there were no 

deviations from 

the emission 

limitations or 

operating 

limitations 

during the 

reporting 

period. If 

there were no 

periods during 

which the CMS, 

including CEMS 

and CPMS, was 

out-of-control, 

as specified in 

§63.8(c)(7), a 

statement that 

there were not 

periods during 

which the CMS 

was out-ofcontrol during 

the reporting 

period; or 

limited use 

stationary RICE 

subject to 

numerical 

emission 

limitations; 

and 

ii. Annually 

according to 

the 

requirements in 

§63.6650(b)(6)-

(9) for engines 

that are 

limited use 

stationary RICE 

subject to 

numerical 

emission 

limitations. 

b. If you had a 

deviation from 

any emission 

limitation or 

operating 

limitation 

during the 

reporting 

period, the 

information in 

§63.6650(d). If 

there were 

periods during 

which the CMS, 

including CEMS 

and CPMS, was 

out-of-control, 

as specified in 

§63.8(c)(7), 

i. Semiannually 

according to 

the 

requirements in 

§63.6650(b). 
Page 208 of 228

the information 

in §63.6650(e); 

or 

c. If you had a 

malfunction 

during the 

reporting 

period, the 

information in 

§63.6650(c)(4). 

i. Semiannually 

according to 

the 

requirements in 

§63.6650(b). 

2. New or 

reconstructed nonemergency 

stationary RICE 

that combusts 

landfill gas or 

digester gas 

equivalent to 10 

percent or more of 

the gross heat 

input on an annual 

basis 

Report a. The fuel 

flow rate of 

each fuel and 

the heating 

values that 

were used in 

your 

calculations, 

and you must 

demonstrate 

that the 

percentage of 

heat input 

provided by 

landfill gas or 

digester gas, 

is equivalent 

to 10 percent 

or more of the 

gross heat 

input on an 

annual basis; 

and 

i. Annually, 

according to 

the 

requirements in 

§63.6650. 

b. The 

operating 

limits provided 

in your 

federally 

enforceable 

permit, and any 

deviations from 

these limits; 

and 

i. See item 

2.a.i. 

c. Any problems 

or errors 

suspected with 

i. See item 

2.a.i. 
Page 209 of 228

the meters. 

3. Existing nonemergency, nonblack start 4SLB 

and 4SRB 

stationary RICE 

>500 HP located at 

an area source of 

HAP that are not 

remote stationary 

RICE and that 

operate more than 

24 hours per 

calendar year 

Compliance 

report 

a. The results 

of the annual 

compliance 

demonstration, 

if conducted 

during the 

reporting 

period. 

i. Semiannually 

according to 

the 

requirements in 

§63.6650(b)(1)-

(5) 

4. Emergency 

stationary RICE 

that operate or 

are contractually 

obligated to be 

available for more 

than 15 hours per 

year for the 

purposes specified 

in 

§63.6640(f)(2)(ii) 

and (iii) or that 

operate for the 

purposes specified 

in §63.6640(f)(4)( 

ii) 

Report a. The 

information in 

§63.6650(h)(1) 

i. annually 

according to 

the 

requirements in 

§63.6650(h)(2)-

(3) 

 38. Table 8 to Subpart ZZZZ of Part 63 is amended by: 

 a. Revising the entry for §63.8(c)(1)(i); 

 b. Revising the entry for §63.8(c)(1)(iii); and 

 c. Revising the entry for §63.10(b)(1) to read as follows: 

Table 8 to Subpart ZZZZ of Part 63. Applicability of General 

Provisions to Subpart ZZZZ. 

As stated in §63.6665, you must comply with the following 

applicable general provisions. 

 

General Subject of Citation Applie Explanation 
Page 210 of 228

Provisions 

Citation 

s to 

Subpar

t 

* * * * * * * 

§63.8(c)(1) 

(i) 

Routine and 

predictable SSM 

No 

* * * * * * * 

§63.8(c)(1) 

(iii) 

Compliance with 

operation and 

maintenance 

requirements 

No 

* * * * * * * 

§63.10(b)(1) Record retention Yes Except that the 

most recent 2 

years of data do 

not have to be 

retained on site. 

* * * * * * * 

 39. Appendix A to Subpart ZZZZ of Part 63 is added to read 

as follows: 

Appendix A 

Protocol for Using an Electrochemical Analyzer to Determine 

Oxygen and Carbon Monoxide Concentrations from Certain Engines 

1.0 Scope and Application. What is this Protocol? 

This protocol is a procedure for using portable electrochemical 

(EC) cells for measuring carbon monoxide (CO) and oxygen (O2) 

concentrations in controlled and uncontrolled emissions from 

existing stationary 4-stroke lean burn and 4-stroke rich burn 

reciprocating internal combustion engines as specified in the 

applicable rule. 

1.1 Analytes. What does this protocol determine? 
Page 211 of 228

This protocol measures the engine exhaust gas concentrations of 

carbon monoxide (CO) and oxygen (O2). 

Analyte CAS No. Sensitivity

Carbon monoxide (CO) 630-08-0 Minimum detectable 

limit should be 2 

percent of the 

nominal range or 1 

ppm, whichever is 

less restrictive. 

Oxygen (O2) 7782-44-7 

1.2 Applicability. When is this protocol acceptable? 

This protocol is applicable to 40 CFR part 63, subpart ZZZZ. 

Because of inherent cross sensitivities of EC cells, you must 

not apply this protocol to other emissions sources without 

specific instruction to that effect. 

1.3 Data Quality Objectives. How good must my collected data be? 

Refer to Section 13 to verify and document acceptable analyzer 

performance. 

1.4 Range. What is the targeted analytical range for this 

protocol? 

The measurement system and EC cell design(s) conforming to this 

protocol will determine the analytical range for each gas 

component. The nominal ranges are defined by choosing up-scale 

calibration gas concentrations near the maximum anticipated flue 

gas concentrations for CO and O2, or no more than twice the 

permitted CO level. 

Formatted Table
Page 212 of 228

1.5 Sensitivity. What minimum detectable limit will this 

protocol yield for a particular gas component? 

The minimum detectable limit depends on the nominal range and 

resolution of the specific EC cell used, and the signal to noise 

ratio of the measurement system. The minimum detectable limit 

should be 2 percent of the nominal range or 1 ppm, whichever is 

less restrictive. 

2.0 Summary of Protocol 

In this protocol, a gas sample is extracted from an engine 

exhaust system and then conveyed to a portable EC analyzer for 

measurement of CO and O2 gas concentrations. This method provides 

measurement system performance specifications and sampling 

protocols to ensure reliable data. You may use additions to, or 

modifications of vendor supplied measurement systems (e.g., 

heated or unheated sample lines, thermocouples, flow meters, 

selective gas scrubbers, etc.) to meet the design specifications 

of this protocol. Do not make changes to the measurement system 

from the as-verified configuration (Section 3.12). 

3.0 Definitions 

3.1 Measurement System. The total equipment required for the 

measurement of CO and O2 concentrations. The measurement system 

consists of the following major subsystems: 

3.1.1 Data Recorder. A strip chart recorder, computer or digital 

recorder for logging measurement data from the analyzer output. 
Page 213 of 228

You may record measurement data from the digital data display 

manually or electronically.

3.1.2 Electrochemical (EC) Cell. A device, similar to a fuel 

cell, used to sense the presence of a specific analyte and 

generate an electrical current output proportional to the 

analyte concentration.

3.1.3 Interference Gas Scrubber. A device used to remove or 

neutralize chemical compounds that may interfere with the 

selective operation of an EC cell.

3.1.4 Moisture Removal System. Any device used to reduce the 

concentration of moisture in the sample stream so as to protect 

the EC cells from the damaging effects of condensation and to 

minimize errors in measurements caused by the scrubbing of 

soluble gases.

3.1.5 Sample Interface. The portion of the system used for one 

or more of the following: sample acquisition; sample transport; 

sample conditioning or protection of the EC cell from any 

degrading effects of the engine exhaust effluent; removal of 

particulate matter and condensed moisture. 

3.2 Nominal Range. The range of analyte concentrations over 

which each EC cell is operated (normally 25 percent to 150 

percent of up-scale calibration gas value). Several nominal 

ranges can be used for any given cell so long as the calibration 
Page 214 of 228

and repeatability checks for that range remain within 

specifications. 

3.3 Calibration Gas. A vendor certified concentration of a 

specific analyte in an appropriate balance gas. 

3.4 Zero Calibration Error. The analyte concentration output 

exhibited by the EC cell in response to zero-level calibration 

gas. 

3.5 Up-Scale Calibration Error. The mean of the difference 

between the analyte concentration exhibited by the EC cell and 

the certified concentration of the up-scale calibration gas. 

3.6 Interference Check. A procedure for quantifying analytical 

interference from components in the engine exhaust gas other 

than the targeted analytes. 

3.7 Repeatability Check. A protocol for demonstrating that an EC 

cell operated over a given nominal analyte concentration range 

provides a stable and consistent response and is not 

significantly affected by repeated exposure to that gas. 

3.8 Sample Flow Rate. The flow rate of the gas sample as it 

passes through the EC cell. In some situations, EC cells can 

experience drift with changes in flow rate. The flow rate must 

be monitored and documented during all phases of a sampling run. 

3.9 Sampling Run. A timed three-phase event whereby an EC cell’s 

response rises and plateaus in a sample conditioning phase, 

remains relatively constant during a measurement data phase, 
Page 215 of 228

then declines during a refresh phase. The sample conditioning 

phase exposes the EC cell to the gas sample for a length of time 

sufficient to reach a constant response. The measurement data 

phase is the time interval during which gas sample measurements 

can be made that meet the acceptance criteria of this protocol. 

The refresh phase then purges the EC cells with CO-free air. The 

refresh phase replenishes requisite O2 and moisture in the 

electrolyte reserve and provides a mechanism to de-gas or desorb 

any interference gas scrubbers or filters so as to enable a 

stable CO EC cell response. There are four primary types of 

sampling runs: pre- sampling calibrations; stack gas sampling; 

post-sampling calibration checks; and measurement system 

repeatability checks. Stack gas sampling runs can be chained 

together for extended evaluations, providing all other 

procedural specifications are met. 

3.10 Sampling Day. A time not to exceed twelve hours from the 

time of the pre-sampling calibration to the post-sampling 

calibration check. During this time, stack gas sampling runs can 

be repeated without repeated recalibrations, providing all other 

sampling specifications have been met. 

3.11 Pre-Sampling Calibration/Post-Sampling Calibration Check.

The protocols executed at the beginning and end of each sampling 

day to bracket measurement readings with controlled performance 

checks. 
Page 216 of 228

3.12 Performance-Established Configuration. The EC cell and 

sampling system configuration that existed at the time that it 

initially met the performance requirements of this protocol. 

4.0 Interferences.

When present in sufficient concentrations, NO and NO2 are two gas 

species that have been reported to interfere with CO 

concentration measurements. In the likelihood of this 

occurrence, it is the protocol user’s responsibility to employ 

and properly maintain an appropriate CO EC cell filter or 

scrubber for removal of these gases, as described in Section 

6.2.12.

5.0 Safety. [Reserved]

6.0 Equipment and Supplies.

6.1 What equipment do I need for the measurement system? 

The system must maintain the gas sample at conditions that will 

prevent moisture condensation in the sample transport lines, 

both before and as the sample gas contacts the EC cells. The 

essential components of the measurement system are described 

below. 

6.2 Measurement System Components. 

6.2.1 Sample Probe. A single extraction-point probe constructed 

of glass, stainless steel or other non-reactive material, and of 

length sufficient to reach any designated sampling point. The 
Page 217 of 228

sample probe must be designed to prevent plugging due to 

condensation or particulate matter. 

6.2.2 Sample Line. Non-reactive tubing to transport the effluent 

from the sample probe to the EC cell. 

6.2.3 Calibration Assembly (optional). A three-way valve 

assembly or equivalent to introduce calibration gases at ambient 

pressure at the exit end of the sample probe during calibration 

checks. The assembly must be designed such that only stack gas 

or calibration gas flows in the sample line and all gases flow 

through any gas path filters. 

6.2.4 Particulate Filter (optional). Filters before the inlet of 

the EC cell to prevent accumulation of particulate material in 

the measurement system and extend the useful life of the 

components. All filters must be fabricated of materials that are 

non-reactive to the gas mixtures being sampled. 

6.2.5 Sample Pump. A leak-free pump to provide undiluted sample 

gas to the system at a flow rate sufficient to minimize the 

response time of the measurement system. If located upstream of 

the EC cells, the pump must be constructed of a material that is 

non-reactive to the gas mixtures being sampled. 

6.2.8 Sample Flow Rate Monitoring. An adjustable rotameter or 

equivalent device used to adjust and maintain the sample flow 

rate through the analyzer as prescribed. 
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6.2.9 Sample Gas Manifold (optional). A manifold to divert a 

portion of the sample gas stream to the analyzer and the 

remainder to a by-pass discharge vent. The sample gas manifold 

may also include provisions for introducing calibration gases 

directly to the analyzer. The manifold must be constructed of a 

material that is non-reactive to the gas mixtures being sampled. 

6.2.10 EC cell. A device containing one or more EC cells to 

determine the CO and O2 concentrations in the sample gas stream. 

The EC cell(s) must meet the applicable performance 

specifications of Section 13 of this protocol. 

6.2.11 Data Recorder. A strip chart recorder, computer or 

digital recorder to make a record of analyzer output data. The 

data recorder resolution (i.e., readability) must be no greater 

than 1 ppm for CO; 0.1 percent for O2; and one degree (either o

C 

or o

F) for temperature. Alternatively, you may use a digital or 

analog meter having the same resolution to observe and manually 

record the analyzer responses. 

6.2.12 Interference Gas Filter or Scrubber. A device to remove 

interfering compounds upstream of the CO EC cell. Specific 

interference gas filters or scrubbers used in the performanceestablished configuration of the analyzer must continue to be 

used. Such a filter or scrubber must have a means to determine 

when the removal agent is exhausted. Periodically replace or 
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replenish it in accordance with the manufacturer’s 

recommendations. 

7.0 Reagents and Standards. What calibration gases are needed?

7.1 Calibration Gases. CO calibration gases for the EC cell must 

be CO in nitrogen or CO in a mixture of nitrogen and O2. Use CO 

calibration gases with labeled concentration values certified by 

the manufacturer to be within ± 5 percent of the label value. 

Dry ambient air (20.9 percent O2) is acceptable for calibration 

of the O2 cell. If needed, any lower percentage O2 calibration 

gas must be a mixture of O2 in nitrogen. 

7.1.1 Up-Scale CO Calibration Gas Concentration. 

Choose one or more up-scale gas concentrations such that the 

average of the stack gas measurements for each stack gas 

sampling run are between 25 and 150 percent of those 

concentrations. Alternatively, choose an up-scale gas that does 

not exceed twice the concentration of the applicable outlet 

standard. If a measured gas value exceeds 150 percent of the upscale CO calibration gas value at any time during the stack gas 

sampling run, the run must be discarded and repeated. 

7.1.2 Up-Scale O2 Calibration Gas Concentration.

Select an O2 gas concentration such that the difference between 

the gas concentration and the average stack gas measurement or 

reading for each sample run is less than 15 percent O2. When the 

average exhaust gas O2 readings are above 6 percent, you may use 
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dry ambient air (20.9 percent O2) for the up-scale O2 calibration 

gas.

7.1.3 Zero Gas. Use an inert gas that contains less than 0.25 

percent of the up-scale CO calibration gas concentration. You 

may use dry air that is free from ambient CO and other 

combustion gas products (e.g., CO2).

8.0 Sample Collection and Analysis

8.1 Selection of Sampling Sites. 

8.1.1 Control Device Inlet. Select a sampling site sufficiently 

downstream of the engine so that the combustion gases should be 

well mixed. Use a single sampling extraction point near the 

center of the duct (e.g., within the 10 percent centroidal 

area), unless instructed otherwise.

8.1.2 Exhaust Gas Outlet. Select a sampling site located at 

least two stack diameters downstream of any disturbance (e.g., 

turbocharger exhaust, crossover junction or recirculation takeoff) and at least one-half stack diameter upstream of the gas 

discharge to the atmosphere. Use a single sampling extraction 

point near the center of the duct (e.g., within the 10 percent 

centroidal area), unless instructed otherwise.

8.2 Stack Gas Collection and Analysis. Prior to the first stack 

gas sampling run, conduct that the pre-sampling calibration in 

accordance with Section 10.1. Use Figure 1 to record all data. 

Zero the analyzer with zero gas. Confirm and record that the 
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scrubber media color is correct and not exhausted. Then position 

the probe at the sampling point and begin the sampling run at 

the same flow rate used during the up-scale calibration. Record 

the start time. Record all EC cell output responses and the flow 

rate during the “sample conditioning phase” once per minute 

until constant readings are obtained. Then begin the 

“measurement data phase” and record readings every 15 seconds 

for at least two minutes (or eight readings), or as otherwise 

required to achieve two continuous minutes of data that meet the 

specification given in Section 13.1. Finally, perform the 

“refresh phase” by introducing dry air, free from CO and other 

combustion gases, until several minute-to-minute readings of 

consistent value have been obtained. For each run use the 

“measurement data phase” readings to calculate the average stack 

gas CO and O2 concentrations.

8.3 EC Cell Rate. Maintain the EC cell sample flow rate so that 

it does not vary by more than ± 10 percent throughout the presampling calibration, stack gas sampling and post-sampling 

calibration check. Alternatively, the EC cell sample flow rate 

can be maintained within a tolerance range that does not affect 

the gas concentration readings by more than ± 3 percent, as 

instructed by the EC cell manufacturer. 

9.0 Quality Control (Reserved)

10.0 Calibration and Standardization 
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10.1 Pre-Sampling Calibration. Conduct the following protocol 

once for each nominal range to be used on each EC cell before 

performing a stack gas sampling run on each field sampling day. 

Repeat the calibration if you replace an EC cell before 

completing all of the sampling runs. There is no prescribed 

order for calibration of the EC cells; however, each cell must 

complete the measurement data phase during calibration. Assemble 

the measurement system by following the manufacturer's 

recommended protocols including for preparing and 

preconditioning the EC cell. Assure the measurement system has 

no leaks and verify the gas scrubbing agent is not depleted. Use 

Figure 1 to record all data. 

10.1.1 Zero Calibration. For both the O2 and CO cells, introduce 

zero gas to the measurement system (e.g., at the calibration 

assembly) and record the concentration reading every minute 

until readings are constant for at least two consecutive 

minutes. Include the time and sample flow rate. Repeat the steps 

in this section at least once to verify the zero calibration for 

each component gas. 

10.1.2 Zero Calibration Tolerance. For each zero gas 

introduction, the zero level output must be less than or equal 

to ± 3 percent of the up-scale gas value or ± 1 ppm, whichever 

is less restrictive, for the CO channel and less than or equal 

to ± 0.3 percent O2 for the O2 channel. 
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10.1.3 Up-Scale Calibration. Individually introduce each 

calibration gas to the measurement system (e.g., at the 

calibration assembly) and record the start time. Record all EC 

cell output responses and the flow rate during this “sample 

conditioning phase” once per minute until readings are constant 

for at least two minutes. Then begin the “measurement data 

phase” and record readings every 15 seconds for a total of two 

minutes, or as otherwise required. Finally, perform the “refresh 

phase” by introducing dry air, free from CO and other combustion 

gases, until readings are constant for at least two consecutive 

minutes. Then repeat the steps in this section at least once to 

verify the calibration for each component gas. Introduce all 

gases to flow through the entire sample handling system (i.e., 

at the exit end of the sampling probe or the calibration 

assembly). 

10.1.4 Up-Scale Calibration Error. The mean of the difference of 

the “measurement data phase” readings from the reported standard 

gas value must be less than or equal to ± 5 percent or ± 1 ppm 

for CO or ± 0.5 percent O2, whichever is less restrictive, 

respectively. The maximum allowable deviation from the mean 

measured value of any single "measurement data phase" reading 

must be less than or equal to ± 2 percent or ± 1 ppm for CO or 

± 0.5 percent O2, whichever is less restrictive, respectively. 
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10.2 Post-Sampling Calibration Check. Conduct a stack gas postsampling calibration check after the stack gas sampling run or 

set of runs and within 12 hours of the initial calibration. 

Conduct up-scale and zero calibration checks using the protocol 

in Section 10.1. Make no changes to the sampling system or EC 

cell calibration until all post-sampling calibration checks have 

been recorded. If either the zero or up-scale calibration error 

exceeds the respective specification in Sections 10.1.2 and 

10.1.4 then all measurement data collected since the previous 

successful calibrations are invalid and re-calibration and resampling are required. If the sampling system is disassembled or 

the EC cell calibration is adjusted, repeat the calibration 

check before conducting the next analyzer sampling run. 

11.0 Analytical Procedure 

The analytical procedure is fully discussed in Section 8.

12.0 Calculations and Data Analysis

Determine the CO and O2 concentrations for each stack gas 

sampling run by calculating the mean gas concentrations of the 

data recorded during the “measurement data phase”. 

13.0 Protocol Performance

Use the following protocols to verify consistent analyzer 

performance during each field sampling day. 

13.1 Measurement Data Phase Performance Check. Calculate the 

mean of the readings from the “measurement data phase”. The 
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maximum allowable deviation from the mean for each of the 

individual readings is ± 2 percent, or ± 1 ppm, whichever is 

less restrictive. Record the mean value and maximum deviation 

for each gas monitored. Data must conform to Section 10.1.4. The 

EC cell flow rate must conform to the specification in Section 

8.3. 

Example: A measurement data phase is invalid if the maximum 

deviation of any single reading comprising that mean is greater 

than ± 2 percent or ± 1 ppm (the default criteria). For example, 

if the mean = 30 ppm, single readings of below 29 ppm and above 

31 ppm are disallowed).

13.2 Interference Check. Before the initial use of the EC cell 

and interference gas scrubber in the field, and semi-annually 

thereafter, challenge the interference gas scrubber with NO and 

NO2 gas standards that are generally recognized as representative 

of diesel-fueled engine NO and NO2 emission values. Record the 

responses displayed by the CO EC cell and other pertinent data 

on Figure 1 or a similar form. 

13.2.1 Interference Response. The combined NO and NO2

interference response should be less than or equal to ± 5 

percent of the up-scale CO calibration gas concentration. 

13.3 Repeatability Check. Conduct the following check once for 

each nominal range that is to be used on the CO EC cell within 5 

days prior to each field sampling program. If a field sampling 
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program lasts longer than 5 days, repeat this check every 5 

days. Immediately repeat the check if the EC cell is replaced or 

if the EC cell is exposed to gas concentrations greater than 150 

percent of the highest up-scale gas concentration.

13.3.1 Repeatability Check Procedure. Perform a complete EC cell 

sampling run (all three phases) by introducing the CO 

calibration gas to the measurement system and record the 

response. Follow Section 10.1.3. Use Figure 1 to record all 

data. Repeat the run three times for a total of four complete 

runs. During the four repeatability check runs, do not adjust 

the system except where necessary to achieve the correct 

calibration gas flow rate at the analyzer.

13.3.2 Repeatability Check Calculations. Determine the highest 

and lowest average “measurement data phase” CO concentrations 

from the four repeatability check runs and record the results on 

Figure 1 or a similar form. The absolute value of the difference 

between the maximum and minimum average values recorded must not 

vary more than ± 3 percent or ± 1 ppm of the up-scale gas value, 

whichever is less restrictive. 

14.0 Pollution Prevention (Reserved)

15.0 Waste Management (Reserved) 

16.0 Alternative Procedures (Reserved) 

17.0 References
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(1) “Development of an Electrochemical Cell Emission Analyzer 

Test Protocol”, Topical Report, Phil Juneau, Emission 

Monitoring, Inc., July 1997. 

(2) “Determination of Nitrogen Oxides, Carbon Monoxide, and 

Oxygen Emissions from Natural Gas-Fired Engines, Boilers, and 

Process Heaters Using Portable Analyzers”, EMC Conditional Test 

Protocol 30 (CTM-30), Gas Research Institute Protocol GRI96/0008, Revision 7, October 13, 1997. 

(3) "ICAC Test Protocol for Periodic Monitoring”, EMC 

Conditional Test Protocol 34 (CTM-034), The Institute of Clean 

Air Companies, September 8, 1999. 

(4) “Code of Federal Regulations”, Protection of Environment, 

40 CFR, Part 60, Appendix A, Methods 1-4; 10. 

Table 1: Appendix A - Sampling Run Data. 

Facility________________ Engine I.D.______________ Date_________ 

 Run Type: (__) (__) (__) (__) 

 (X) Pre-Sample Stack Gas Post-Sample Repeatability 

 Calibration Sample Cal. Check Check 

 

Run # 1 1 2 2 3 3 4 4 Time Scrub. 

OK 

FlowRate 

Gas O2 CO O2 CO O2 CO O2 CO 

Sample 

Cond. 

Phase 

“ 

“ 

“ 

“ 

Formatted Table
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Measurement 

Data 

Phase 

“ 

“ 

“ 

“ 

“ 

“ 

“ 

“ 

“ 

“ 

 Mean

Refresh 

Phase 

“ 

“ 

“ 

“