39602 Federal Register / Vol. 67, No. 111 / Monday, June 10, 2002 / Rules and Regulations 

1EPA recognizes that the United States Court of 

Appeals has remanded certain issues regarding the 

NOX SIP call to the Agency. See Michigan v. EPA, 

213 F. 3d 663 (D.C. Cir. 2000), and Appalachian 

Power Co. v. EPA, No. 99–1268, United States Court 

of Appeals for the District of Columbia Circuit, slip 

op. Issued June 8, 2001. Those issues, however, do 

not include the reporting requirements and the 

consolidation of those requirements does not 

represent any prejudgment of the issues on remand 

to the Agency.

Captain of the Port or his designated 

representative. The Captain of the Port 

can be contacted at telephone number 

(757) 441–3298. 

(3) No vessel movement is allowed 

within the safety zone unless expressly 

authorized by the COTP or his 

designated representative. 

(d) Effective Dates. This section will 

be effective from 8:30 a.m. local time, 

June 3, 2002, to 4 p.m. local time June 

21, 2002.

Dated: May 31, 2002. 

L.M. Brooks, 

Captain, U.S. Coast Guard, Captain of the 

Port, Hampton Roads.

[FR Doc. 02–14521 Filed 6–7–02; 8:45 am] 

BILLING CODE 4910–15–P

ENVIRONMENTAL PROTECTION 

AGENCY 

40 CFR Part 51 

[AD–FRL–7223–8] 

RIN 2060–AH25 

Consolidated Emissions Reporting

AGENCY: Environmental Protection 

Agency (EPA).

ACTION: Final rule.

SUMMARY: This action simplifies and 

consolidates emission inventory 

reporting requirements to a single 

location within the Code of Federal 

Regulations (CFR), establishes new 

reporting requirements related to PM2.5

and regional haze, and establishes new 

requirements for the statewide reporting 

of area source and mobile source 

emissions. Many State and local 

agencies asked EPA to take this action 

to: Consolidate reporting requirements; 

improve reporting efficiency; provide 

flexibility for data gathering and 

reporting; and better explain to program 

managers and the public the need for a 

consistent inventory program. 

Consolidated reporting should increase 

the efficiency of the emission inventory 

program and provide more consistent 

and uniform data.

DATES: The regulatory amendments 

announced in this rule take effect on 

August 9, 2002.

ADDRESSES: Docket. Supporting material 

used in developing the proposal and 

final regulatory revisions is contained in 

Docket Number A–98–40. This docket is 

available for public inspection and 

copying between 8:30 a.m. and 5:30 

p.m., Monday through Friday. The 

address of the EPA air docket is: Air and 

Radiation Docket and Information 

Center (6102), Attention Docket Number 

A–98–40, U.S. Environmental 

Protection Agency, 401 M Street, SW., 

Washington, DC 20460. The Docket is 

located in Room M–1500, Waterside 

Mall (ground floor). The telephone 

number for the EPA air docket is (202) 

260–7548. A reasonable fee may be 

charged for copying.

FOR FURTHER INFORMATION CONTACT:

William B. Kuykendal, Emissions, 

Monitoring, and Analysis Division 

(MD–C205–01), Office of Air Quality 

Planning and Standards, U.S. 

Environmental Protection Agency, 

Research Triangle Park, North Carolina, 

27711, Telephone: (919) 541–5372, 

email: kuykendal.bill@epa.gov.

SUPPLEMENTARY INFORMATION: 

I. Authority 

Sections 110(a)(2)(F), 110(a)(2)(K), 

110(a)(2)(J), 110(p), 172(c)(3), 182(a)(3), 

187(a)(5), 301(a) of the Clean Air Act. 

II. Background 

Emission inventories are critical for 

the efforts of State, local, and federal 

agencies to attain and maintain the 

National Ambient Air Quality Standards 

(NAAQS) that EPA has established for 

criteria pollutants such as ozone, 

particulate matter, and carbon 

monoxide. Pursuant to its authority 

under section 110 of Title I of the Clean 

Air Act (CAA), EPA has long required 

State Implementation Plans (SIPs) to 

provide for the submission by States to 

EPA of emission inventories containing 

information regarding the emissions of 

criteria pollutants and their precursors 

(e.g., volatile organic compounds 

(VOC)). The EPA codified these 

requirements in 40 CFR part 51, subpart 

Q in 1979 and amended them in 1987. 

The 1990 Amendments to the CAA 

revised many of the provisions of the 

CAA related to the attainment of the 

NAAQS and the protection of visibility 

in mandatory Class I Federal areas 

(certain national parks and wilderness 

areas). These revisions established new 

periodic emission inventory 

requirements applicable to certain areas 

that were designated nonattainment for 

certain pollutants. For example, section 

182(a)(3)(A) required States to submit an 

emission inventory every three years for 

ozone nonattainment areas beginning in 

1993. Emissions reported must include 

VOC, nitrogen oxides (NOX), and carbon 

monoxide (CO) for point, area, mobile 

(onroad and nonroad), and biogenic 

sources. Similarly, section 187(a)(5) 

required States to submit an inventory 

every three years for CO nonattainment 

areas for the same source classes, except 

biogenic sources. The EPA, however, 

did not codify these statutory 

requirements in the Code of Federal 

Regulations (CFR), but simply relied on 

the statutory language to implement 

them. 

The EPA has promulgated the NOX

SIP Call (§ 51.121) which calls on the 

affected States and the District of 

Columbia to submit SIP revisions 

providing for NOX reductions in order 

to reduce the amount of ozone and 

ozone precursors transported among 

States. As part of that rule, EPA 

established emissions reporting 

requirements to be included in the SIP 

revisions to be submitted by States in 

accordance with that action.1

This rule consolidates the various 

emissions reporting requirements that 

already exist into one place in the CFR, 

establishes new reporting requirements 

related to PM2.5 and regional haze, and 

establishes new requirements for the 

statewide reporting of area source and 

mobile source emissions. This rule also 

includes the reporting provisions for the 

NOX SIP call. The NOX SIP call 

reporting requirements are very detailed 

and are specified in 40 CFR 51.122; this 

rule references these requirements. 

In this action, we refer to the required 

types of inventories as the following: 

• Annual inventories. 

• 3-year cycle inventories.

The EPA anticipates that States will 

use data obtained through their current 

annual source reporting requirements 

(annual inventories) to report emissions 

from larger point sources annually. 

States will need to get data from smaller 

point sources only every third year. 

States may also take advantage of data 

from Emission Statements that are 

available to States but not reported to 

EPA. As appropriate, States may use 

these data to meet their reporting 

requirements for point sources. States 

will also be required to inventory area 

and mobile source emissions on a 

Statewide basis for the 3-year cycle 

inventory. We will be furnishing each 

State the National Emission Inventory 

(NEI) which should be a good starting 

point for estimating area source 

emissions. Mobile source emissions 

should be estimated by using the latest 

emissions models and planning 

assumptions available. The MOBILE 

emissions factor model should be used 

to estimate emissions from on-road

Federal Register / Vol. 67, No. 111 / Monday, June 10, 2002 / Rules and Regulations 39603

transportation sources, in combination 

with the latest available estimates of 

vehicle miles traveled (VMT). The 

NONROAD model can be used for offroad mobile sources as appropriate. By 

merging this information into a 

comprehensive emission inventory, 

State and local agencies may do the 

following: 

• Measure their progress in reducing 

emissions. 

• Have a tool they can use to support 

future trading programs. 

• Set a baseline from which to do 

future planning. 

• Answer the public’s request for 

information. 

We intend these inventories to help 

nonattainment areas develop and meet 

SIP requirements to reach the NAAQS 

and comply with the regional haze 

regulation. 

For the first time, all States will need 

to inventory direct emissions of PM2.5

and ammonia (NH3). Since PM2.5 is both 

a NAAQS pollutant and a major 

contributor to visibility impairment, we 

feel it is appropriate to begin collecting 

this emissions data. These PM2.5 related 

data elements are needed as input to 

emission models. Emissions data will 

also be a factor in the development of 

PM2.5 nonattainment area boundaries. 

The Administrator has determined 

that States should submit statewide 

annual and 3-year cycle inventories for 

PM10, PM2.5, and regional haze, 

consistent with the data requirements 

for O3 and CO. Sections 110(a)(2)(F) and 

172(c)(3) provide ample statutory 

authority for this rule. Section 

110(a)(2)(F) provides that SIPs are to 

require ‘‘as may be prescribed by the 

Administrator * * * (ii) periodic 

reports on the nature and amounts of 

emissions and emissions-related data 

from such sources.’’ Section 172(c)(3) 

provides that SIPs for nonattainment 

areas are to ‘‘include a comprehensive, 

accurate, current inventory of actual 

emissions from all sources of the 

relevant pollutant or pollutants in such 

area, including such periodic revisions 

as the Administrator may determine 

necessary to assure that the 

requirements of this part are met.’’

Additional statutory authority for 

emissions inventories from 1-hour 

ozone nonattainment areas is provided 

by section 182(a)(3)(A) and for 

emissions inventories from CO 

nonattainment areas is provided by 

section 187(a)(5). Section 301(a) 

provides authority for EPA to 

promulgate regulations embodying these 

provisions. 

What Is the Purpose of the Consolidated 

Emissions Reporting Rule (CERR)? 

The purpose of this rule is fivefold: 

• Simplify emissions reporting, 

• Offer options for data submittal, 

• Unify reporting dates for various 

categories of inventories, 

• Include reporting fine particulate 

matter and NH3 (Note: Initially PM2.5

and NH3 reporting will only be required 

for area and mobile sources. States will 

be required to commence point source 

reporting of PM2.5 and NH3 at a later 

date as detailed in § 51.30.) and, 

• Include Statewide reporting for area 

and mobile sources. 

Previous requirements may have, at 

times, led to inefficient reporting. This 

rule provides for options for reporting 

that allow States to match their ongoing 

activities with federal requirements. 

This action also consolidates existing 

and new requirements of emission 

inventory programs for annual and 3-

year cycle inventories. 

Who Will Have To Comply With the 

CERR Requirements? 

This rule will apply to State air 

pollution control agencies. In the 

special case where a State 

Implementation Plan provides for 

independent jurisdiction for local air 

pollution control agencies, these local 

agencies will also have to comply with 

the CERR requirements. In the rule, we 

have adopted ‘‘plain English language’’. 

When ‘‘you’’ is used, we mean the State 

or local agency. When ‘‘we’’ is used, 

EPA is meant. 

How Will This Rule Affect Tribes? 

One of the principal goals of the 

Tribal Authority Rule (TAR) is to allow 

tribes the flexibility to develop and 

administer their own CAA programs to 

as full an extent as they elect, while at 

the same time ensuring that the health 

and safety of the public are protected. In 

seeking to achieve this principal goal, 

the TAR adopts a modular approach, 

that is, it authorizes tribes to develop 

and implement only discrete portions of 

CAA programs, instead of entire 

complex programs. Neither the CAA nor 

the TAR require tribes to adopt and 

manage CAA programs. Accordingly, 

the tribes are not required to develop an 

emissions inventory for sources within 

their jurisdiction. However, the 

emissions inventory is an important part 

of understanding the air quality status 

on the reservations and would be 

helpful in determining the best 

approach for addressing any air quality 

issues identified. Therefore, EPA 

expects that many of the tribes will wish 

to develop emissions inventories. This 

rule can provide valuable guidance to 

the tribes on how to develop these 

inventories, for example, by pointing 

out that any inventory data that are 

collected should be quality assured, and 

explaining how to do so. In addition, it 

would be very helpful if this 

information were recorded in EPA’s 

National Emission Inventory (NEI) data 

format. This would make it possible to 

include the tribal data in the NEI which 

should facilitate future efforts by EPA 

when working with the tribes to develop 

air quality plans for reservations. 

How Are the CERR’s Requirements 

Different From Existing Requirements? 

(a) Additional Pollutants 

Your State’s inventory will add PM2.5

and the precursor NH3 to the criteria 

pollutants. (Note: Initially PM2.5 and 

NH3 reporting will only be required for 

area and mobile sources. States will be 

required to commence point source 

reporting of PM2.5 and NH3 at a later 

date as detailed in § 51.30.)

(b) Geographic Coverage of Inventory 

Your State now reports point source 

emissions statewide and emissions from 

area and mobile sources by 

nonattainment area. Your State’s new 

inventory will be statewide by county 

for all source types, regardless of the 

attainment status. 

(c) Frequency of Reporting 

Your State will continue to report 

emissions from larger point sources (See

Table 1 of Appendix A) annually. Your 

State has a choice to report smaller 

point sources every three years or onethird of the sources each year. Your 

State will continue to report emissions 

from nonattainment areas for area and 

mobile sources every three years. Area 

and mobile source emissions in all other 

areas will be required to be reported for 

the first time, also every three years. 

How Will EPA Use the Data Collected 

Under This Reporting Requirement? 

The EPA uses emission inventories 

for the following purposes: 

• Modeling analyses, 

• Projecting future control strategies, 

• Tracking progress to meet 

requirements of the CAA, 

• Calculating risk and 

• Responding to public inquiries. 

How Will Others Use My Data Collected 

Under This Requirement? 

Some States need emissions data for 

areas outside their borders. Programs 

such as the Ozone Transport 

Assessment Group, the Ozone Transport 

Commission NOX Baseline Study, and 

the Grand Canyon Visibility Transport

39604 Federal Register / Vol. 67, No. 111 / Monday, June 10, 2002 / Rules and Regulations 

Commission demonstrated this need. As 

we recognize pollution as a regional 

problem, agencies will need multistate 

inventories more often to do such things 

as regional modeling. The EPA has 

established five Regional Planning 

Organizations (RPOs) that cover the 

nation. The RPOs are initially charged 

with developing regional strategies to 

address visibility concerns. Each RPO 

will be developing a regional emission 

inventory that will be used in regional 

scale modeling. 

We can meet our common needs by 

creating a central repository of data from 

State and local agencies, or a group of 

regional emissions databases. Such 

repositories offer the advantage of ready 

access and availability, common 

procedures for ensuring the quality of 

data, and an ability to meet the general 

needs of many potential users. 

What Happens if EPA Doesn’t Get My 

Agency’s Emissions Data? 

We have structured this rule and our 

own emission inventory development 

plans so that the chance of this 

happening is minimized. We will 

develop our own preliminary National 

Emission Inventory (NEI) and furnish it 

to each State. You may choose to use the 

NEI as a starting point for development 

of your Statewide emission inventory. 

We strongly urge you to develop your 

own emission inventory. However, you 

may choose to accept all or part of the 

area source, mobile source and biogenic 

portions of the NEI as estimated by EPA 

without change and use these as your 

submittal to EPA. To do this, you can 

certify that you accept the EPA 

developed portions as your own 

estimates. Since you have been required 

to submit point source inventories to us 

since 1979 and since today’s action 

reduces your point source reporting 

burden, you cannot use the NEI to 

satisfy your obligation to submit point 

source data. 

If we don’t receive your emissions 

information at the time this rule 

specifies, we’ll use our preliminary NEI 

to produce final emissions estimates for 

your geographical area. 

The CAA provides for certain actions 

if we do not receive your data, 

depending on the type of area, the 

pollutants involved, and the type of 

inventory submittal in question. All of 

the emissions information submissions 

specified by this rule are required 

submissions under section 110(p) of the 

CAA. There are also required 

submissions under the provisions of 

each existing approved State 

Implementation Plan, by virtue of 

section 110(a)(2)(F)(ii). If States do not 

make the required data submissions, we 

may make a finding of failure to 

implement the SIP even though we have 

substituted our preliminary estimates 

for the data you were required to submit 

but did not. In some cases, for example 

the three-year periodic emission 

inventories in ozone nonattainment 

areas, the submissions are statutorily 

required SIP revisions. Accordingly, we 

may also or instead make a finding of 

failure to submit. 

III. Comments Received on the Proposal 

The forty-five day comment period for 

the May 23, 2000 proposal (65 FR 

33268) expired on July 7, 2000. We 

received comments from forty-one 

respondents. These comments were 

submitted by twenty-eight State and 

local agency representatives, eleven 

industrial organizations and two 

environmental organizations. We have 

addressed all comments in detail and 

placed them in the docket. The major 

comments and their resolution are 

discussed below. As an aid to the 

reader, we have grouped related 

comments under broad topical 

headings. 

A. Hazardous Air Pollutant Reporting 

A number of commenters responded 

to the section in the preamble of the 

proposed rule, ‘‘What Additional 

Reporting Requirements Is EPA 

Considering?’’. This section discussed 

how EPA might require the reporting of 

hazardous air pollutants (HAPs) in the 

final rule. The predominant comment 

was that EPA should not include HAP 

reporting requirements in the final rule 

until the specific HAP reporting 

requirements were proposed. We have 

carefully considered this comment and 

agree. We have limited this rulemaking 

to the criteria pollutants including PM2.5

and NH3. We plan to develop HAP 

reporting measures at a future date. At 

that time, we will address all other HAP 

related comments. 

B. Criteria Point Source Reporting 

We received several comments 

addressing the proposed applicability 

threshold (the emission limit at which 

a State is required to report a facility as 

a point source), the associated basis for 

determining applicability (applicability 

based on either ‘‘actual’’ or ‘‘Title V 

permitted’’ criteria pollutant emissions), 

and reporting frequency. 

Existing rules require State agencies 

to annually report criteria pollutant 

emission inventory information for all 

qualifying point sources statewide. The 

reporting thresholds in place prior to 

this rule were for any point source with 

actual emissions greater than or equal to 

any one of the following levels: 100 tons 

per year for SOX, NOX, VOC, and PM10; 

1000 tons per year for CO and 5 tons per 

year for lead. This rule revises the 

applicability threshold by assigning the 

point sources into two categories termed 

Type A (large point sources) and Type 

B (all point sources), and reduces the 

reporting frequency for the smaller 

sources. Qualification as either a Type 

A or B source is still based upon a point 

source’s actual emissions of the same 

criteria pollutants. Under our new 

terminology, all of the sources that were 

defined as a point source under the old 

thresholds are defined as Type B 

sources. Type A sources are the larger 

emitting sources and are a subset of the 

Type B sources. The reporting 

thresholds for Type A and Type B 

sources are presented in Table 1 of 

Appendix A. 

Several State and local agencies 

indicated that the proposed Type A and 

B categories and associated emission 

thresholds were confusing and 

increased their reporting burden. These 

commenters recommended that we use 

the CAA’s Title V definition of major 

source instead of the two subsets for 

determining point source applicability 

for this rule. (Note: for criteria 

pollutants, a major source under Title V 

is any stationary source or any group of 

stationary sources located within a 

contiguous area and under common 

control that has the potential to emit 

100 tons per year. However, sources 

located in nonattainment areas can have 

lower emission thresholds that would 

define them as major sources.) In 

addition to lowering the applicability 

threshold, use of the Title V definition 

would shift the basis for determining 

the applicability of the rule from 

‘‘actual’’ to ‘‘potential’’ emissions. 

Commenters advocating the use of the 

Title V major source definition 

indicated that they maintain emission 

inventory data on all of their Title V 

sources and their reporting burden 

would increase if we required them to 

designate sources in their database as 

Type A (large point sources) vs Type B 

(all point sources).

We also received comments opposing 

the use of the Title V major source 

definition for determining applicability. 

These commenters indicated that such a 

requirement would increase their 

reporting burden since they currently do 

not gather the required emission 

inventory information for all of the Title 

V sources located in their jurisdiction. 

In addition to the Title V applicability 

issue, we received comments, both 

advocating and opposing, the proposed 

10 tpy VOC applicability threshold for 

sources located in all ozone 

nonattainment areas. Commenters

Federal Register / Vol. 67, No. 111 / Monday, June 10, 2002 / Rules and Regulations 39605

opposed to the proposed VOC 

applicability threshold recommended 

that the existing 10 tpy level be raised 

to the major source threshold. (The 

major source threshold for VOC varies 

between 10 and 100 tons per year of 

potential emissions depending on the 

ozone nonattainment classification.) 

Other commenters advocated finalizing 

the proposed 10 tpy VOC applicability 

threshold. 

Existing emission inventory reporting 

rules require State and local agencies to 

report emission inventory information 

for all qualifying point sources on an 

annual basis. The frequency for 

reporting emission inventory 

information was revised in the proposal. 

As proposed, States would be required 

to report emission inventory data for 

Type A (large point sources) on an 

annual basis and Type B (all point 

sources) on a 3-year cycle. In response 

to this revision, we received comments 

both opposing the reduction and 

comments advocating further reductions 

in the reporting frequency. Commenters 

opposing the reduction recommended 

that we maintain the existing annual 

reporting frequency for both Type A and 

Type B sources. Commenters advocating 

further reporting reductions wanted to 

increase the time for reporting Type B 

sources from 3 to 5 years. 

After careful consideration of the 

comments on the point source 

applicability and reporting, we have 

decided to promulgate the proposed 

Type A (large point sources) and Type 

B (all point sources) categories and the 

associated criteria pollutant emission 

thresholds, except for VOC, and the 

reporting frequency. Regarding the VOC 

applicability threshold for sources 

located in ozone nonattainment areas, 

we have decided to revise this 

threshold, proposed as 10 tpy for all 

ozone nonattainment areas, to be 

consistent with the CAA definition of 

major source in the respective ozone 

nonattainment areas except that it will 

apply to actual rather than to potential 

emissions. 

When assessing comments on 

applicability and reporting issues, we 

considered the fact that this proposal 

was developed with input from a work 

group that included representatives 

from three states (California, New Jersey 

and Texas) and EPA. In addition to this 

workgroup, we maintained an active 

dialog about this proposal with a larger 

number of States through the State and 

Territorial Air Pollution Program 

Administrators (STAPPA) and the 

Association of Local Air Pollution 

Control Officials (ALAPCO). The fact 

that this proposal received strong 

support from the same State and local 

agencies that are responsible for 

complying with this rule was a factor in 

our decision to promulgate these 

revisions. Another factor that affected 

our decision is that the revisions to both 

the point source category and reporting 

frequency were proposed to reduce the 

reporting burden on State agencies. 

Because of their large size, the annual 

requirement for Type A sources will 

affect relatively few sources, yet capture 

a large percentage of the emissions that 

would be reported if all Type B sources 

reported annually. Thus, we believe that 

the promulgated revisions to 

applicability threshold and reporting 

frequency will not adversely affect our 

effort to implement the CAA nor 

diminish the usefulness of emission 

inventory data accessible to the public. 

We are sympathetic with the 

additional reporting burden that this 

rule would place on those agencies that 

currently collect the required items of 

emission inventory information on all 

Title V sources, if they were required to 

remove all data for smaller point 

sources when preparing their annual 

report on Type A (large point sources) 

or their triennial report on Type B (all 

point sources). Recognizing the need to 

provide State agencies with additional 

reporting flexibility and to reduce 

reporting burden, the final rule is 

explicit that we will accept emission 

inventory information submitted by the 

States that was collected and stored 

using any more stringent definition of 

point source and basis for determining 

source applicability within the Title V 

definition. Thus, an annual submission 

of a point source emission inventory 

that uses the Title V major source 

definition and potential emissions as 

qualification factors for inclusion in a 

State’s emission inventory will be 

accepted.

We believe that the promulgated rule 

establishes the baseline or minimal data 

requirements needed to implement the 

CAA. We believe that requiring State 

and local agencies to report sources 

below the baseline established by this 

rule would increase the reporting 

burden with only a minimal increase in 

the usefulness of the inventory. 

However, this rule is not intended to 

relax existing reporting thresholds and 

frequencies established by State and 

local agencies. We recognize that State 

and local agencies may need emission 

information on sources more frequently 

and below the baseline established by 

this rule in order to manage their air 

quality. Thus States and local agencies 

will have the flexibility to establish 

lower reporting thresholds and more 

frequent reporting requirements than 

those promulgated in this rule. 

Several commenters noted that the 

applicability limits for sources subject 

to annual reporting specified in § 51.1 

were incorrect. We agree with these 

comments and have appropriately 

modified the regulatory language. 

One commenter noted that many of 

the data elements required by this rule 

for a point source are more appropriate 

for an ‘‘emission unit’’. The commenter 

recommended that the final rule include 

thresholds for reporting emission unit or 

stack data within a point source. After 

reviewing this comment, we believe that 

it would be confusing and would add 

additional reporting burden to require 

reporting thresholds below the facility 

level. Therefore, we have decided not to 

expand the reporting threshold 

requirements below the facility level. 

However, if States choose to report at 

the sub-facility level, Table 2a in 

Appendix A includes provisions for 

reporting at the point, process and stack 

levels. 

C. Criteria Area/Mobile/Biogenics 

Reporting 

One commenter noted that we are 

requiring States to submit criteria 

pollutant emission estimates for all 

counties regardless of an area’s 

classification (attainment or 

nonattainment) and that States, having 

historically done a good job when 

concentrating on problem areas, 

generally do not have the resources to 

perform a good job on every county 

especially when estimating area, 

nonroad, and mobile sources in small 

metropolitan areas. The commenter 

recommended that we develop these 

estimates and not burden the States. 

For the 1996 emission inventory, we 

prepared an estimate of the criteria 

pollutants from point, area, mobile, 

nonroad and biogenic sources and 

provided these data to the States for 

their review prior to their initiating the 

emission inventory reporting effort. The 

States were able to use the EPA 

estimates as they prepared their 1996 

emission inventory. For area sources, 

mobile sources and biogenic sources, we 

offered States the option of either 

notifying us that they agreed with our 

estimate or revising the estimate and 

providing us with updated information. 

The States were still required to provide 

State developed estimates for point 

sources. Recognizing the burden to 

States, we plan to continue to provide 

States with our emissions estimate for 

their review and use in future emission 

inventory preparation. 

Another commenter noted that in the 

proposed preamble section ‘‘What 

happens if EPA doesn’t get my agency’s 

emissions Data?’’ that we state that we

39606 Federal Register / Vol. 67, No. 111 / Monday, June 10, 2002 / Rules and Regulations 

will generate the non-supplied data 

using our own techniques. The 

commenter wondered if the State could 

simply accept the data we developed. 

The commenter also stated that if we 

developed data not supplied by the 

State, that we should label the data as 

our estimates. The commenter stated 

that our estimates made without State 

agreement could be challenged with due 

cause. We have rewritten this section of 

the preamble to explicitly state that we 

will furnish each State with an 

inventory that we prepared for that State 

(the National Emission Inventory (NEI)). 

The States may use the NEI as they 

prepare their State inventories. The 

States are strongly encouraged to 

improve upon our NEI estimates. 

However, they may choose to resubmit 

all or part of the NEI to us as their 

State’s inventory. If they do this, then 

they are certifying that the adopted NEI 

portions are their estimates. If States 

ignore the requirements of this rule and 

do not make a timely inventory 

submittal to us, we will use our NEI to 

fill data gaps that will allow us to 

proceed with our various analyses. 

D. PM2.5 and Precursors 

One commenter stated that we should 

revise our list of reported pollutants 

under § 51.20 to include only specific 

compounds or groups of compounds. 

This commenter wanted us to remove 

‘‘PM2.5 precursors’’ from our list of 

pollutants. We have carefully evaluated 

this comment and agree that the term 

‘‘PM2.5 precursor’’ is not precise. There 

is not an acceptable enforceable 

definition of this term. When ‘‘PM2.5

precursor’’ was used in the proposed 

rule, the compounds or groups of 

compounds SOX, VOC, NOX and NH3

were meant. Since the CERR specifically 

requires the reporting of SOX, VOC and 

NOX, we have dropped the term ‘‘PM2.5

precursors’’ and substituted NH3 in the 

list of required pollutants. The proposed 

rule specifically stated that NH3 was a 

‘‘PM2.5 precursor’’, so this modification 

merely simplifies the list of required 

pollutants; it does not add a new 

pollutant to the list.

E. Tools 

Several commenters stated that the 

emissions estimation tools were 

inadequate to produce acceptable 

emission inventories. These 

commenters pointed out specific types 

of estimation tools that they believed 

were either not available at all or were 

not adequate. These included EPAdeveloped models including the 

MOBILE model, the NONROAD model, 

and the PART model and emission 

factors, especially ones for PM2.5 and 

NH3. We agree that improvements in 

many of the emission estimation 

techniques are highly desirable, 

particularly in some of the areas 

identified by the commenters. However, 

we know that there will always be the 

opportunity to improve emission 

estimation techniques and that this is an 

evolutionary process. The CERR does 

not require the use of any specific 

emission estimation technique. There 

are emission estimation techniques 

available for all of the required 

pollutants and their major sources. 

Therefore, we believe that State or local 

agencies should be able to make 

emission inventory submittals that will 

be acceptable to EPA using current 

state-of-the-art techniques. 

F. Reporting Deadlines/schedules 

As proposed, this rule would have 

been applicable for the 1999 reporting 

year. Commenters noted that States had 

already begun compiling their 1999 

point source inventories. These 

commenters would like for us to 

incorporate a phase-in or 

implementation schedule into the rule 

that would allow sufficient time for 

some agencies to go through a 

rulemaking process to align their 

requirements with the new 

requirements specified by this rule. In 

addition, lead time is required for some 

agencies to conform to the standard data 

format for the first time. After careful 

consideration of these comments, we 

have decided to change the first year 

that States will be required to report 

under this rule. The first ‘‘Annual Cycle 

Inventory’’ will be for the year 2001. 

The first ‘‘Three-year Cycle Inventory’’

will be for the year 2002. Thus when 

States begin to develop their 2001 

annual cycle emission inventory, they 

will only be required to submit the plant 

information and emission data for Type 

A (large point sources) as outlined by 

this rule. Since the basic requirement 

for point source reporting is not new, 

the States should be able to comply. 

Another reporting related issue 

identified by the commenters was the 

difference in the reporting schedule 

between the proposed rule which 

requires all States to report annual 

emissions for certain sources and the 

NOX SIP call rule which requires only 

affected States to report ozone season 

emissions. Some commenters 

recommended that the reporting 

schedule for these two inventories 

should be the same. Specifically, the 

NOX SIP call specifies that States must 

report their ozone season emissions 

inventory for subject facilities within 12 

months after the end of the reporting 

year. The proposed rule would require 

States to report both annual and the 3-

year cycle inventories for subject 

facilities within 17 months after the end 

of the reporting year. The commenters 

recommended that the reporting 

schedule for the NOX SIP call inventory 

be revised and made consistent with the 

annual and three-year cycle inventories. 

After considering the comment, we 

have decided to maintain the NOX SIP 

call reporting schedule on its 12-month 

cycle. Maintaining the 12-month 

reporting requirement for the NOX SIP 

call inventory allows both the States 

and us to take note of higher than 

planned emissions early enough to give 

an opportunity for action before the next 

ozone season. Furthermore, for many 

large NOX sources (e.g., utilities) that 

must report directly to us, the NOX SIP 

call rule does not require any State 

reporting. Thus, the 12-month reporting 

requirement is not a burden on the 

States for these sources. We will 

continue to consider the points made by 

the commenters in light of the 

experience that both of us have with the 

12 month preparation and submission of 

annual inventories. We may re-open this 

requirement for comment at a later date.

One commenter noted that we did not 

revise 40 CFR 51.321 to agree with the 

proposed § 51.35. Each of these sections 

contains due dates which did not agree. 

We agree with this comment and have 

rewritten both sections to ensure 

consistency of the reporting dates. 

G. Reporting Stack Data 

One commenter noted that while the 

proposed rule text required the 

reporting of stack data every three years, 

the blocks for stack data were not 

checked in Table 2a for the column 

Entire US’’. We acknowledge that the 

omission of the checks was a mistake in 

Table 2a for the data elements: 40. Stack 

Height, 41. Stack Diameter, 42. Exit Gas 

Temperature, 43. Exit Gas Velocity and 

44. Exit Gas Flow rate for the columns 

‘‘Entire US’’. We have corrected this; the 

column ‘‘Entire US’’ has been relabeled 

‘‘Every 3 Years’. 

H. Funding Issues 

A number of commenters raised the 

issue of sufficient funding being 

available to pay for these new emission 

inventory requirements. These 

commenters questioned whether we 

would make additional monies available 

to the States specifically to comply with 

the provisions of the CERR. We are 

aware that the CERR does apply 

additional reporting burden on the 

States. In this preamble, under ‘‘IV. 

Administrative Requirements, C. 

Paperwork Reduction Act,’’ we have 

estimated the incremental burden of the

Federal Register / Vol. 67, No. 111 / Monday, June 10, 2002 / Rules and Regulations 39607

new requirements to be about 

$2,133,000 per year nationally. This 

estimate is based on information 

supplied by the States to us during the 

comment period and assumes that the 

States will be doing new work. 

However, in this preamble, under ‘‘II. 

Background, What happens if EPA 

doesn’t get my agency’s data?’’ we 

discuss how you may use the EPAsupplied NEI in the preparation of your 

emission inventory. If you choose to use 

the NEI estimates for area, mobile and 

biogenic sources as your State’s 

estimates, your cost would be limited to 

the preparation of your point source 

inventory. We acknowledge that quality 

of this NEI-based inventory would be 

lower, but it would satisfy the specific 

reporting requirements of the CERR. We 

hope that future budgets at both the 

Federal and State levels will improve 

emission inventory funding. For FY 

2001, the Congress authorized an 

increase in the total air grant funds to 

the States and the multi-State Regional 

Planning Organizations. Some of these 

funds were used for emission inventory 

improvement. However, no new monies 

are being made available through this 

rulemaking. 

I. General 

Several commenters stated that they 

support EPA’s efforts to consolidate and 

improve emission inventory reporting 

on a national level. The respondents 

benefit from the data collected under 

the CERR since consistently developed 

statewide emission inventories assist in 

regional planning processes, especially 

for those downwind States whose 

nonattainment status is caused in part 

by pollution transported across State 

boundaries. In addition, the collection 

of PM2.5 and NH3 data will support 

future State efforts to reach the visibility 

improvement goals in Class I areas and 

to attain the revised PM NAAQS. 

We received several comments on our 

estimate of reporting burden contained 

in the proposed rule. These comments 

are addressed in this preamble under 

‘‘IV. Administrative Requirements, B. 

Paperwork Reduction Act’’. 

J. EPA Initiated Changes 

In addition to the above changes in 

response to specific comments, we have 

made other changes. Most of these 

changes were editorial to improve 

clarity or to correct grammatical 

mistakes. The references to sections 

182(a)(3)(A) and 182(a)(3)(B) under 

‘‘Authority’’ have been combined to 

refer to section 182(a)(3) as a 

simplification. An additional reference 

under ‘‘Authority’’ has been added for 

section 110(p). The preamble, Section G. 

‘‘Executive Order 13132: Federalism’’, 

has been revised as discussed in that 

section. In the ‘‘Background’’ section of 

the preamble, we have added the new 

subsection ‘‘How will this rule affect 

Tribes?’’. This subsection immediately 

follows ‘‘Who will have to comply with 

the CERR requirements?’’ and clarifies 

how Tribes will be affected by this rule. 

We changed the name of four data 

elements in Table 2a of Appendix A and 

relocated one of them in the table. In the 

proposed rule the data elements were: 7. 

Federal ID code (plant), 8. Federal ID 

code (point), 9. Federal ID code 

(process) and 37. Federal ID code (stack 

number). There is no ‘‘Federal ID code’’. 

These data elements were renamed and 

numbered as follows: 7. Facility ID 

code, 8. Point ID code, 9. Process ID 

code and 10. Stack ID code. In addition, 

a check mark was inadvertently omitted 

in the proposed rule for data element 

‘‘10. Stack ID code’’ for the column 

‘‘Annual (Type A Sources)’’. We have 

added this check mark in the final rule. 

The Glossary in Appendix A was also 

revised to include these new names. 

In the proposed rule under ‘‘§ 51.40 In 

what form should my State report the 

data to EPA?’’ and ‘‘§ 51.45 Where 

should my State report the data?’’, we 

proposed two specific electronic format 

options and identified means of 

reporting these data to us. Because 

electronic reporting technology changes 

frequently and is expected to become 

even more efficient in the future, we 

believe that structuring the final rule to 

limit reporting to these formats in the 

final rule unnecessarily restricts the 

flexibility for both the States and EPA. 

For this reason, we have revised both of 

these sections to allow for the use of 

new reporting formats in the future. 

These changes do not substantively alter 

this rule since, at this time, we will 

support both of the formats identified in 

the proposal; the National Emission 

Trends (NET) format (renamed as the 

National Emission Inventory (NEI) 

format) and Electronic Data Interchange 

(EDI) format, based on user needs.

We have also made changes to the 

portions of the rule that were concerned 

with the NOX SIP Call reporting 

requirements. In the proposed rule, the 

NOX SIP Call reporting requirements 

were detailed in the regulatory text and 

in the tables in Appendix A. However, 

these requirements are actually 

established in § 51.122 and are 

presented in detail. In order to avoid 

confusion and possible inconsistencies, 

we have removed the NOX SIP Call 

requirements and instead reference 

them in this rule. Because § 51.122 

establishes the reporting requirements, 

the changes that we have made to the 

CERR do not represent new 

requirements for the States. 

K. Changes Resulting from OMB Review 

In their review of the Paperwork 

Reduction Act portion of this rule, the 

Office of Management and Budget 

(OMB) has raised concerns about that 

portion of the Information Collection 

Request that addresses the reporting of 

point source PM2.5 and NH3 emissions. 

Rather than delay the compliance date 

of the rule, EPA has elected to delay 

compliance with that portion which 

concerns the collection of information 

on point source PM2.5 and NH3

emissions. As modified, the rule now 

provides that States must commence 

reporting point source emissions of 

PM2.5 and NH3 on June 1, 2004 provided 

that, at least 60 days prior, we have 

published an approved revised ICR 

which addresses this subsection of the 

rule. If we fail to meet the deadline for 

June 1, 2004 reporting, States must 

commence reporting point source 

emissions of PM2.5 and NH3 on the next 

applicable reporting date that is at least 

60 days after we publish an approved 

ICR addressing this subsection of the 

rule. 

IV. Administrative Requirements 

A. Docket 

The docket for this regulatory action 

is A–98–40. The docket is an organized 

and complete file of all the information 

submitted to, or otherwise considered 

by, EPA in the development of this 

rulemaking. The principal purposes of 

the docket are: (1) To allow interested 

parties a means to identify and locate 

documents so that the parties can 

effectively participate in the rulemaking 

process and (2) to serve as the record in 

case of judicial review (except for 

interagency review materials). The 

docket is available for public inspection 

at EPA’s Air Docket, which is listed 

under the ADDRESSES section of this 

document. 

B. Executive Order 12866, Regulatory 

Planning and Review 

Under Executive Order 12866 (58 FR 

51735, October 4, 1993), EPA must 

determine whether the regulatory action 

is ‘‘significant’’ and therefore subject to 

review by the Office of Management and 

Budget (OMB) and the requirements of 

the Executive Order. The Executive 

Order defines ‘‘significant regulatory 

action’’ as one that is likely to result in 

a rule that may: 

(1) Have an annual effect on the 

economy of $100 million or more or 

adversely affect in a material way the 

economy, a sector of the economy,

39608 Federal Register / Vol. 67, No. 111 / Monday, June 10, 2002 / Rules and Regulations 

productivity, competition, jobs, the 

environment, public health or safety, or 

State, local, or tribal governments or 

communities; 

(2) Create a serious inconsistency or 

otherwise interfere with an action taken 

or planned by another agency; 

(3) Materially alter the budgetary 

impact of entitlements, grants, user fees, 

or loan programs, or the rights and 

obligation of recipients thereof; or 

(4) Raise novel legal or policy issues 

arising out of legal mandates, the 

President’s priorities, or the principles 

set forth in the Executive Order. 

Pursuant to the terms of Executive 

Order 12866, OMB has notified EPA 

that it considers this a ‘‘significant 

regulatory action’’ within the meaning 

of the Executive Order. The EPA has 

submitted this action to OMB for 

review. Changes made in response to 

OMB suggestions or recommendations 

have been documented in the public 

record. 

C. Paperwork Reduction Act 

The information collection 

requirements in this rule have been 

submitted for approval to the Office of 

Management and Budget (OMB) under 

the Paperwork Reduction Act, 44 U.S.C. 

3501 et seq. Earlier the Office of 

Management and Budget approved the 

current information collection 

requirements in part 51 under the 

Paperwork Reduction Act and has 

assigned OMB control number 2060–

0088 (EPA ICR No. 0916.09). The 

Information Collection Request (ICR) 

document for the new information 

collection requirements has been 

prepared by EPA (ICR No. 0916.10 ) and 

a copy may be obtained from Sandy 

Farmer by mail at Collection Strategies 

Division; U.S. Environmental Protection 

Agency (2822); 1200 Pennsylvania Ave., 

NW., Washington, DC 20460, by email 

at farmer.sandy@epa.gov, or by calling 

(202) 260–2740. A copy may also be 

downloaded from the internet at

http://www.epa.gov/icr. The information 

requirements are not enforceable until 

OMB approves them. 

Today’s action revises part 51 to 

consolidate old reporting requirements, 

adds new requirements for PM2.5 and 

NH3 (Note: Initially PM2.5 and NH3

reporting will only be required for area 

and mobile sources. States will be 

required to commence point source 

reporting of PM2.5 and NH3 at a later 

date as detailed in § 51.30.) and adds 

new Statewide reporting requirements 

for area and mobile sources. Data from 

new reporting will be used to: 

• Support modeling analyses, 

• Project future control strategies, 

• Track progress to meet 

requirements of the CAA, and, 

• Respond to public inquiries.

The rule contains mandatory 

information reporting requirements; 

EPA considers all information reported 

under this rule to be in the public 

domain and therefore cannot be treated 

as confidential. 

The information in the following table 

was summarized from ICR 0916.10 and 

presents the reporting burden estimates.

BURDEN ESTIMATE SUMMARY

Reporting requirement Number of respondents 

Hours per respondent Total hours 

per year 

Total labor 

costs per year 

Total annual 

capital costs 

Total annual 

O&M costs 

Current .................................................. 104 ................... 118 12,271 $365,756 $218,400 $12,480 

Statewide Reporting, State agencies ... Varies ............... 1,120 42,630 1,267,126 ........................ ........................

Statewide Reporting, Local agencies ... Varies ............... 574 15,022 446,511 ........................ ........................

PM2.5 and NH3 Reporting ...................... 104 ................... 84 8,736 259,667 ........................ ........................

CERR-Compatible Reporting ................ Varies ............... 84 5,376 159,795 ........................ ........................

Total ............................................... Varies ............... 1,980 84,035 $2,498,855 $218,400 $12,480 

The reporting burden is broken down 

into ‘‘current requirements’’, ‘‘statewide 

area and mobile source reporting 

requirements’’, ‘‘PM2.5 and NH3

reporting requirements’’, and ‘‘CERRcompatible reporting’’. This has been 

done to highlight the major areas 

changed by the CERR and to show the 

impact of these changes on the 

estimated burden. Significant public 

comments received concerning each of 

these components are discussed, as well 

as any resulting changes made to the 

burden estimates. 

The burden hours estimated for all of 

the emission inventory reporting 

requirements in place prior to this rule 

are labeled ‘‘current’’ and equal 118 

hours per respondent per year. Because 

of the streamlining and flexibility 

offered by the CERR, these ‘‘current’’

requirements are reduced from the 

original burden estimate of 212 hours 

per respondent; a savings of 94 hours 

per respondent per year. Several 

commenters had stated that the number 

of respondents used to estimate burden 

in the proposed ICR (i.e., 55) 

underestimates the total number of 

respondents, and does not include local 

air pollution agencies. The EPA agrees 

that the estimated total number of State, 

Territorial and local agencies reporting 

emissions inventory data directly to 

EPA should be accounted for. This 

number was estimated to be 104 

respondents (i.e., 55 State and 

Territorial agencies, plus 49 local 

agencies). As a result, the total burden 

hours per year for ‘‘current’’

requirements has increased, but the 

corresponding hours per respondent has 

actually decreased. 

The reporting requirements for 

statewide area and mobile source 

reporting add 57,652 hours per year. 

Several commenters indicated that they 

believed the burden estimate in the 

proposed ICR to underestimate the 

actual reporting burden to States. One 

commenter stated that ‘‘while 

consolidation may ease the current 

burden on some state and local 

agencies, it will have little effect on 

others.’’ The EPA acknowledges that 

certain State or local agencies are farther 

along than others in developing 

statewide emission estimation 

procedures. For States without 

nonattainment areas, this would be a 

new requirement, and the burden to 

comply with this requirement may be 

significant. Several commenters 

indicated that the burden to perform 

this activity will be zero since they are 

already performing statewide 

inventories. To respond to these 

comments, the final ICR presents 

increased burden estimates for a 

percentage of State agencies to comply 

with this provision of the rule, and the 

remaining state respondents were 

assumed not to incur additional burden 

for this activity. Since local agencies are 

presumed to have jurisdiction over 

fewer counties than a State agency, the 

statewide inventory burden for local 

agencies was estimated to be one-half

Federal Register / Vol. 67, No. 111 / Monday, June 10, 2002 / Rules and Regulations 39609

the time for the State agencies. In 

addition, area and mobile source 

reporting responsibility was only 

attributed to one-half of the local agency 

respondents. 

The PM2.5 and NH3 reporting 

requirements add 8,736 hours per year. 

Several commenters stated that the 

burden estimate for PM2.5 reporting was 

low and did not take into account the 

amount of time needed to develop 

emission factors since very little 

dependable PM2.5 emissions factor 

information exists. Several commenters, 

however, indicated that the burden to 

perform this activity will be zero since 

they are already compiling PM2.5

inventories for their own emissions 

inventory or modeling purposes. The 

EPA agrees that burden hours associated 

with PM2.5 reporting were 

underestimated in the proposed ICR. 

EPA updated the one-time burden 

estimate for the final CERR to reflect the 

time it will take an average State or local 

agency to generate a more representative 

PM2.5 and NH3 emissions inventory, and 

if necessary, to update agency reporting 

systems to include PM2.5 and NH3. The 

revised estimate of 8736 hours includes 

the effort for a State or local agency to 

update their emissions reporting system 

to include PM2.5 and NH3. Although 

States are not required to commence 

reporting of PM2.5 and NH3 point source 

emissions until June 1, 2004, this 

burden estimate includes the effort for 

a State to update their point source data 

base in anticipation of this requirement. 

Commenters questioned why EPA did 

not include an estimate for industry 

respondents for PM2.5 reporting, since 

States may look to industry to provide 

PM2.5 information. Another commenter 

maintained that it seems inappropriate 

to include industry respondents when 

developing the burden estimates. The 

EPA will include an estimate of the 

burden hours required by industry, as 

well as by State and local agencies, to 

report PM2.5 and NH3 from point sources 

in a subsequent revised ICR. States will 

be required to commence point source 

reporting of PM2.5 and NH3 at a later 

date as detailed in § 51.30.

Finally, several commenters believed 

that the capital and operations and 

maintenance costs were not 

representative of actual costs that would 

be incurred by respondents. The EPA 

agrees and we have increased the costs 

to reflect a higher number of work 

stations, and multiplied costs per 

respondent by an increased number of 

respondents. In addition, although not 

included as a capital cost, EPA 

accounted for the labor hours and 

associated costs of respondents to 

convert their reporting systems to CERRcompatible format, since all agencies’

reporting systems are not presently 

compatible with EPA’s NEI Input 

format. 

The total burden impact of the CERR 

is estimated to be 84,035 hours per year 

for State, Territorial and local 

respondents. It should be noted that, of 

this total of 84,035 hours per year, 

approximately 34,000 hours per year are 

associated with start-up costs that will 

no longer be incurred after the first three 

years. Thus, after three years, the 

estimated burden becomes about 50,000 

hours per year. 

We did not include Tribes in our 

estimate of burden. While Tribes may 

report their emissions to us, under the 

Tribal Authority Rule they are not 

required to do so. If the Tribes do not 

provide emissions estimates to us, we 

will estimate their emissions for them. 

Generally, the emissions from tribal 

lands are not major and therefore the 

burden associated with estimating these 

emissions is not large. 

Burden means the total time, effort, or 

financial resources expended by persons 

to generate, maintain, retain, or disclose 

or provide information to or for a 

Federal agency. This includes the time 

needed to review instructions; develop, 

acquire, install, and utilize technology 

and systems for the purposes of 

collecting, validating, and verifying 

information, processing and 

maintaining information, and disclosing 

and providing information; adjust the 

existing ways to comply with any 

previously applicable instructions and 

requirements; train personnel to be able 

to respond to a collection of 

information; search data sources; 

complete and review the collection of 

information; and transmit or otherwise 

disclose the information. 

An Agency may not conduct or 

sponsor, and a person is not required to 

respond to a collection of information 

unless it displays a currently valid OMB 

control number. The OMB control 

numbers for EPA’s regulations are listed 

in 40 CFR part 9 and 48 CFR chapter 15. 

The OMB control number for the 

information collection requirements in 

this rule will be listed in an amendment 

to [40 CFR part 9 or 48 CFR chapter 15] 

in a subsequent Federal Register 

document after OMB approves the ICR. 

D. Impact on Small Entities 

The Regulatory Flexibility Act (RFA), 

as amended by the Small Business 

Regulatory Enforcement Fairness Act of 

1966 (SBREFA), 5 U.S.C. 601 et seq.

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 today’s rule on small entities, small 

entity is defined as: (1) A small business 

is defined in the Small Business 

Administration’s (SBA) regulations at 13 

CFR 121.201. SBA defines small 

business by category of business using 

North American Industry Classification 

System (NAICS) codes; (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-forprofit enterprise which is independently 

owned and operated and is not 

dominant in its field. 

The EPA has determined that this 

final rule will not have a significant 

economic impact on a substantial 

number of small entities. As stated in 

the preamble under ‘‘Who will have to 

comply with the CERR requirements?’’

and in the rule under § 51.1, the rule 

applies only to State agencies, which do 

not constitute small entities within the 

meaning of the RFA.

E. Executive Order 13045: Children’s 

Health Protection 

Executive Order 13045: ‘‘Protection of 

Children from Environmental Health 

Risks and Safety Risks’’ (62FR19885, 

April 23, 1997) applies to any rule that: 

(1) Is determined to be ‘‘economically 

significant’’ as defined under Executive 

Order 12866, and (2) concerns an 

environmental health or safety risk that 

EPA has reason to believe may have a 

disproportionate effect on children. If 

the regulatory action meets both criteria, 

the Agency must evaluate the 

environmental health or safety effects of 

the planned rule on children, and 

explain why the planned regulation is 

preferable to other potentially effective 

and reasonably feasible alternatives 

considered by the Agency. 

The EPA interprets Executive Order 

13045 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 Order has the potential to influence 

the regulation. This rule is not subject 

to Executive Order 13045 because it is 

based on the need for information to 

characterize health and safety risks 

themselves.

39610 Federal Register / Vol. 67, No. 111 / Monday, June 10, 2002 / Rules and Regulations 

F. The National Technology Transfer 

and Advancement Act 

Section 12(d) of the National 

Technology Transfer and Advancement 

Act of 1995 (NTTAA), Public Law 104–

113, § 12(d) (15 U.S.C. 272 note) directs 

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. The NTTAA directs EPA to 

provide Congress, through OMB, 

explanations when the Agency decides 

not to use available and applicable 

voluntary consensus standards. 

This rule does not involve technical 

standards. Therefore, EPA is not 

considering the use of any voluntary 

consensus standards. 

G. Unfunded Mandates Reform Act 

Title II of the Unfunded Mandates 

Reform Act of 1995 (UMRA), Public 

Law 104–4, establishes requirements for 

Federal agencies to assess the effects of 

their regulatory actions on State, local, 

and tribal governments and the private 

sector. Under section 202 of the UMRA, 

EPA generally must prepare a written 

statement, including a cost-benefit 

analysis, for proposed and final rules 

with ‘‘Federal mandates’’ that may 

result in expenditures to State, local, 

and tribal governments, in the aggregate, 

or to the private sector, of $100 million 

or more in any one year. Before 

promulgating an EPA rule for which a 

written statement is needed, section 205 

of the UMRA generally requires EPA to 

identify and consider a reasonable 

number of regulatory alternatives and 

adopt the least costly, most costeffective or least burdensome alternative 

that achieves the objectives of the rule. 

The provisions of section 205 do not 

apply when they are inconsistent with 

applicable law. Moreover, section 205 

allows EPA to adopt an alternative other 

than the least costly, most cost-effective 

or least burdensome alternative if the 

Administrator publishes with the final 

rule an explanation why that alternative 

was not adopted. Before EPA establishes 

any regulatory requirements that may 

significantly or uniquely affect small 

governments, including tribal 

governments, it must have developed 

under section 203 of the UMRA a small 

government agency plan. The plan must 

provide for notifying potentially 

affected small governments, enabling 

officials of affected small governments 

to have meaningful and timely input in 

the development of EPA regulatory 

proposals with significant Federal 

intergovernmental mandates, and 

informing, educating, and advising 

small governments on compliance with 

the regulatory requirements. 

The EPA has determined that 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 

additional work required by this rule 

takes advantage of information already 

in the possession of reporting groups. 

Using existing data leverages past work 

and reduces the burden of this rule. 

This conclusion is supported by the 

analysis done in support of EPA ICR No. 

0916.10, which shows that total costs 

will be about $2,730,000. The EPA has 

also determined that this rule does not 

apply to small government entities. As 

discussed in this preamble under 

section ‘‘D. Impact on Small Entities’’, 

this rule applies only to State 

governments. Thus, today’s rule is not 

subject to the requirements of sections 

202, 203 and 205 of the UMRA. 

H. Executive Order 13132: Federalism 

Executive Order 13132, entitled 

‘‘Federalism’’ (64 FR 43255, August 10, 

1999), requires EPA to develop an 

accountable process to ensure 

‘‘meaningful and timely input by State 

and local officials in the development of 

regulatory policies that have federalism 

implications.’’ ‘‘Policies that have 

federalism implications’’ is defined in 

the Executive Order to include 

regulations that 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.’’

Under section 6 of Executive Order 

13132, EPA may not issue a regulation 

that has federalism implications, that 

imposes substantial direct compliance 

costs, and that is not required by statute, 

unless the Federal government provides 

the funds necessary to pay the direct 

compliance costs incurred by State and 

local governments, or EPA consults with 

State and local officials early in the 

process of developing the proposed 

regulation. The EPA also may not issue 

a regulation that has federalism 

implications and that preempts State 

law, unless the Agency consults with 

State and local officials early in the 

process of developing the proposed 

regulation. 

If EPA complies by consulting, 

Executive Order 13132 requires EPA to 

provide to the Office of Management 

and Budget (OMB), in a separately 

identified section of the preamble to the 

rule, a federalism summary impact 

statement (FSIS). The FSIS must include 

a description of the extent of EPA’s 

prior consultation with State and local 

officials, a summary of the nature of 

their concerns and the agency’s position 

supporting the need to issue the 

regulation, and a statement of the extent 

to which the concerns of State and local 

officials have been met. Also, when EPA 

transmits a draft final rule with 

federalism implications to OMB for 

review pursuant to Executive Order 

12866, EPA must include a certification 

from the agency’s Federalism Official 

stating that EPA has met the 

requirements of Executive Order 13132 

in a meaningful and timely manner. 

In the proposed rule (65 FR 33273), 

EPA proposed to conclude that this rule 

did have federalism implications. This 

was based on the fact the proposed rule 

would require States to report their 

emissions Statewide and to report PM2.5

and NH3 emissions. It was also assumed 

that since such reporting may impose 

direct costs on State or local 

governments, and since the Federal 

government will not provide the funds 

necessary to pay those costs, that the 

federalism provisions would apply. The 

EPA has reconsidered this position. The 

federalism provisions are intended to 

apply to rules that substantially alter the 

relationship between the Federal 

Government and State governments. 

This rule in large measure consolidates 

pre-existing reporting requirements and 

the incremental burden of the new 

requirements is about $2,133,000 

annually. While this rule will impact 

State governments by imposing new 

emission inventory reporting 

requirements, EPA does not believe that 

this causes a substantial change in 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. Thus, the 

requirements of section 6 of the 

Executive Order do not apply to this 

rule. 

I. Executive Order 13175: Consultation 

and Coordination With Indian Tribal 

Governments 

Executive Order 13175, entitled 

‘‘Consultation and Coordination with 

Indian Tribal Governments’’ (65 FR 

67249, November 6, 2000), requires EPA 

to develop an accountable process to 

ensure ‘‘meaningful and timely input by 

tribal officials in the development of 

regulatory policies that have tribal 

implications.’’ ‘‘Policies that have tribal

Federal Register / Vol. 67, No. 111 / Monday, June 10, 2002 / Rules and Regulations 39611

implications’’ is defined in the 

Executive Order to include regulations 

that have ‘‘substantial direct effects on 

one or more Indian tribes, on the 

relationship between the Federal 

government and the Indian tribes, or on 

the distribution of power and 

responsibilities between the Federal 

government and Indian tribes.’’

This final rule does not have tribal 

implications. It 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. The 

Tribal Authority Rule means that Tribes 

cannot be required to report their 

emissions to us. Thus, Executive Order 

13175 does not apply to this rule. 

J. Executive Order 13211: Actions 

Concerning Regulations That 

Significantly Affect Energy Supply, 

Distribution, or Use 

This rule is not a ‘‘significant energy 

action’’ as defined in Executive Order 

13211, ‘‘Actions Concerning Regulations 

That Significantly Affect Energy Supply, 

Distribution, or Use’’ (66 FR 28355 (May 

22, 2001)) because it is not likely to 

have a significant adverse effect on the 

supply, distribution, or use of energy. 

This rule defines the requirements for 

the reporting of emission inventories by 

State and local agencies to EPA. We do 

not believe that this rule will effect the 

supply, production, availability, cost or 

use on energy in the United States. 

Further, we have concluded that this 

rule is not likely to have any adverse 

energy effects. 

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. 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 not a ‘‘major rule’’ as 

defined by 5 U.S.C. 804(2). This rule 

will become effective 60 days after it is 

published in the Federal Register.

List of Subjects in 40 CFR Part 51 

Environmental protection, 

Administrative practice and procedure, 

Air pollution control, Intergovernmental 

relations, Reporting and recordkeeping 

requirements.

Dated: May 23, 2002. 

Christine Todd Whitman, 

Administrator.

For the reasons stated in the 

preamble, title 40, chapter I, of the Code 

of Federal Regulations is amended as 

follows:

PART 51—[AMENDED] 

1. The authority citation for part 51 

continues to read as follows:

Authority: 23 U.S.C. 101; 42 U.S.C. 7401—

7671q.

2. Part 51 is amended by adding 

subpart A to read as follows:

Subpart A—Emission Inventory Reporting 

Requirements 

General Information for Inventory Preparers 

Sec. 

51.1 Who is responsible for actions 

described in this subpart? 

51.5 What tools are available to help 

prepare and report emissions data? 

51.10 How does my State report emissions 

that are required by the NOX SIP Call? 

Specific Reporting Requirements 

51.15 What data does my State need to 

report to EPA? 

51.20 What are the emission thresholds that 

separate point and area sources? 

51.25 What geographic area must my State’s 

inventory cover? 

51.30 When does my State report the data 

to EPA?

51.35 How can my State equalize the effort 

for annual reporting? 

51.40 In what form should my State report 

the data to EPA? 

51.45 Where should my State report the 

data?

Appendix A to Subpart A of Part 51—Tables 

and Glossary 

Appendix B to Subpart A of Part 51 

[Reserved]

Subpart A—Emission Inventory 

Reporting Requirements 

General Information for Inventory 

Preparers

§ 51.1 Who is responsible for actions 

described in this subpart? 

State agencies whose geographic 

coverage include any point, area, 

mobile, or biogenic sources must 

inventory these sources and report this 

information to EPA.

§ 51.5 What tools are available to help 

prepare and report emissions data? 

We urge your State to use estimation 

procedures described in documents 

from the Emission Inventory 

Improvement Program (EIIP). These 

procedures are standardized and ranked 

according to relative uncertainty for 

each emission estimating technique. 

Using this guidance will enable others 

to use your State’s data and evaluate its 

quality and consistency with other data.

§ 51.10 How does my State report 

emissions that are required by the NOX SIP 

Call? 

The States and the District of 

Columbia that are subject to the NOX

SIP Call (§ 51.121) should report their 

emissions under the provisions of 

§ 51.122. To avoid confusion, these 

requirements are not repeated here. 

Specific Reporting Requirements

§ 51.15 What data does my State need to 

report to EPA? 

(a) Pollutants. Report actual emissions 

of the following (see Glossary to 

Appendix A to this subpart for precise 

definitions as required): 

(1) Required Pollutants: 

(i) Sulfur oxides. 

(ii) VOC. 

(iii) Nitrogen oxides. 

(iv) Carbon monoxide. 

(v) Lead and lead compounds. 

(vi) Primary PM2.5. 

(vii) Primary PM10. 

(viii) NH3. 

(2) Optional Pollutant: 

(i) Primary PM. 

(ii) [Reserved] 

(b) Sources. Emissions should be 

reported from the following sources: 

(1) Point. 

(2) Area. 

(3) Onroad mobile. 

(4) Nonroad mobile. 

(5) Biogenic. 

(c) Supporting information. Report the 

data elements in Tables 2a through 2d 

of Appendix A to this subpart. 

Depending on the format you choose to 

report your State data, additional 

information not listed in Tables 2a 

through 2d will be required. We may 

ask you for other data on a voluntary 

basis to meet special purposes. 

(d) Confidential data. We don’t 

consider the data in Tables 2a through 

2d of Appendix A to this subpart 

confidential, but some States limit 

release of this type of data. Any data 

that you submit to EPA under this rule 

will be considered in the public domain 

and cannot be treated as confidential. If 

Federal and State requirements are 

inconsistent, consult your EPA Regional 

Office for a final reconciliation.

§ 51.20 What are the emission thresholds 

that separate point and area sources? 

(a) All anthropogenic stationary 

sources must be included in your

39612 Federal Register / Vol. 67, No. 111 / Monday, June 10, 2002 / Rules and Regulations 

inventory as either point or area 

sources. 

(b) See Table 1 of Appendix A to this 

subpart for minimum reporting 

thresholds on point sources. 

(c) Your State has two alternatives to 

the point source reporting thresholds in 

paragraph (b) of this section: 

(1) You may choose to define point 

sources by the definition of a major 

source used under CAA Title V, see 40 

CFR 70.2. 

(2) If your State has lower emission 

reporting thresholds for point sources 

than paragraph (b) of this section, then 

you may use these in reporting your 

emissions to EPA.

(d) All stationary sources that have 

actual emissions lower than the 

thresholds specified in paragraphs (b) 

and (c) of this section, should be 

reported as area sources.

§ 51.25 What geographic area must my 

State’s inventory cover? 

Because of the regional nature of these 

pollutants, your State’s inventory must 

be statewide, regardless of an area’s 

attainment status.

§ 51.30 When does my State report the 

data to EPA? 

Your State is required to report two 

basic types of emission inventories to 

us: Annual Cycle Inventory; and Threeyear Cycle Inventory. 

(a) Annual cycle. You are required to 

report annually data from Type A (large) 

point sources. Except as provided in 

paragraph (e) of this section, the first 

annual cycle inventory will be for the 

year 2001 and must be submitted to us 

within 17 months, i.e., by June 1, 2003. 

Subsequent annual cycle inventories 

will be due 17 months following the end 

of the reporting year. See Table 2a of 

Appendix A to this subpart for the 

specific data elements to report 

annually. 

(b) Three-year cycle. You are required 

to report triennially, data for Type B 

(all) point sources, area sources and 

mobile sources. Except as provided in 

paragraph (e) of this section, the first 

three-year cycle inventory will be for 

the year 2002 and must be submitted to 

us within 17 months, i.e., by June 1, 

2004. Subsequent three-year cycle 

inventories will be due 17 months 

following the end of the reporting year. 

See Tables 2a, 2b and 2c of Appendix 

A to this subpart for the specific data 

elements that must be reported 

triennially. 

(c) NOX SIP call. There are specific 

annual and three-year reporting 

requirements for States subject to the 

NOX SIP call. See § 51.122 for these 

requirements. 

(d) Biogenic emissions. Biogenic 

emissions are part of your 3-year cycle 

inventory. Your State must establish an 

initial baseline for biogenic emissions 

that is due as specified under paragraph 

(b) of this section. Your State need not 

submit more biogenic data unless land 

use characteristics or the methods for 

estimating emissions change 

substantially. If either of these changes, 

your State must report the biogenic 

emission data elements shown in Table 

2d of Appendix A to this subpart. 

Report these data elements 17 months 

after the end of the reporting year. 

(e) Point Sources. States must 

commence reporting point source 

emissions of PM2.5 and NH3 on June 1, 

2004 unless that date is less than 60 

days after EPA publishes an approved 

Information Collection Request (ICR) 

addressing this section of the rule. If 

EPA fails to publish an approved ICR 60 

days in advance of June 1, 2004, States 

must commence reporting point source 

emissions of PM2.5 and NH3 on the next 

annual or triennial reporting date (as 

appropriate) that is at least 60 days after 

EPA publishes an approved ICR 

addressing this section.

§ 51.35 How can my State equalize the 

effort for annual reporting? 

(a) Compiling a 3-year cycle inventory 

means much more effort every three 

years. As an option, your State may ease 

this workload spike by using the 

following approach: 

(1) Annually collect and report data 

for all Type A (large) point sources (This 

is required for all Type A point sources). 

(2) Annually collect data for one-third 

of your smaller point sources (Type B 

point sources minus Type A (large) 

point sources). Collect data for a 

different third of these sources each year 

so that data has been collected for all of 

the smaller point sources by the end of 

each three-year cycle. You may report 

these data to EPA annually, or as an 

option you may save three years of data 

and then report all of the smaller point 

sources on the three-year cycle due date. 

(3) Annually collect data for one-third 

of the area, nonroad mobile, onroad 

mobile and, if required, biogenic 

sources. You may report these data to 

EPA annually, or as an option you may 

save three years of data and then report 

all of these data on the three-year cycle 

due date. 

(b) For the sources described in 

paragraph (a) of this section, your State 

will therefore have data from three 

successive years at any given time, 

rather than from the single year in 

which it is compiled. 

(c) If your State chooses the method 

of inventorying one-third of your 

smaller point sources and 3-year cycle 

area, nonroad mobile, onroad mobile 

sources each year, your State must 

compile each year of the three-year 

period identically. For example, if a 

process hasn’t changed for a source 

category or individual plant, your State 

must use the same emission factors to 

calculate emissions for each year of the 

three-year period. If your State has 

revised emission factors during the 

three years for a process that hasn’t 

changed, resubmit previous year’s data 

using the revised factor. If your State 

uses models to estimate emissions, you 

must make sure that the model is the 

same for all three years. 

(d) If your State chooses the method 

of inventorying one-third of your 

smaller point sources and 3-year cycle 

area, nonroad mobile, onroad mobile 

sources each year and reporting them on 

the 3-year cycle due date, the first 

required date for you to report on all 

such sources will be June 1, 2004 as 

specified in § 51.25. You can satisfy the 

2004 reporting requirement by either: 

Starting to inventory one third of your 

sources in 2000; or doing a one-time 

complete 3-year cycle inventory for 

2002, then changing to the option of 

inventorying one third of your sources 

for subsequent years. 

(e) If your State needs a new reference 

year emission inventory for a selected 

pollutant, your State can’t use these 

optional reporting frequencies for the 

new reference year. 

(f) If your State is a NOX SIP call 

State, you can’t use these optional 

reporting frequencies for NOX SIP call 

reporting.

§ 51.40 In what form should my State 

report the data to EPA? 

You must report your emission 

inventory data to us in electronic form. 

We support specific electronic data 

reporting formats and you are required 

to report your data in a format 

consistent with these. Because 

electronic reporting technology 

continually changes, contact the 

Emission Factor and Inventory Group 

(EFIG) for the latest specific formats. 

You can find information on the current 

formats at the following Internet 

address: http://www.epa.gov/ttn/chief. 

You may also call our Info CHIEF help 

desk at (919) 541–1000 or email to 

info.chief@epa.gov.

§ 51.45 Where should my State report the 

data? 

(a) Your State submits or reports data 

by providing it directly to EPA.

(b) The latest information on data 

reporting procedures is available at the

Federal Register / Vol. 67, No. 111 / Monday, June 10, 2002 / Rules and Regulations 39613

following Internet address: http://

www.epa.gov/ttn/chief.

You may also call our Info CHIEF 

help desk at (919)541–1000 or email to 

info.chief@epa.gov.

Appendix A to Subpart A of Part 51—

Tables and Glossary

TABLE 1.—MINIMUM POINT SOURCE REPORTING THRESHOLDS BY POLLUTANT(tpy 1) 

Pollutant Annual cycle

(type A sources) 

Three-year cycle 

Type B sources 2 NAA3

1. SOx ............................................................................................................ ≥2500 ≥100 ≥100 

2. VOC ........................................................................................................... ≥250 ≥100 03 (moderate)≥100 

3. VOC ........................................................................................................... ................................ ................................ O3 (serious)≥50 

4. VOC ........................................................................................................... ................................ ................................ O3 (severe)≥25 

5. VOC ........................................................................................................... ................................ ................................ O3 (extreme)≥10 

6. NOX ............................................................................................................ ≥2500 ≥100 ≥100 

7. CO .............................................................................................................. ≥2500 ≥1000 O3 (all areas)≥100 

8. CO .............................................................................................................. ................................ ................................ CO (all areas)≥100 

9. Pb ............................................................................................................... ................................ ≥5 ≥5 

10. PM10 ......................................................................................................... ≥250 ≥100 PM1010 (moderate)≥100 

11. PM10 ......................................................................................................... ................................ ................................ PM10 (serious)≥70 

12. PM2.5 ........................................................................................................ ≥250 ≥100 ≥100 

13. NH3 .......................................................................................................... ≥250 ≥100 ≥100 

1 tpy = tons per year of actual emissions. 

2Type A sources are a subset of the Type B sources and are the larger emitting sources by pollutant. 

3 NAA = Nonattainment Area. Special point source reporting thresholds apply for certain pollutants by type of nonattainment area. The pollutants by nonattainment area are: Ozone: VOC, NOX, CO; CO: CO; PM10: PM10. 

TABLE 2A.—DATA ELEMENTS THAT STATES MUST REPORT FOR POINT SOURCES

Data elements Annual (Type A 

sources) 

Every 3 years 

(Type B sources 

and NAAs) 

1. Inventory year .......................................................................................................................................... ✔ ✔

2. Inventory start date .................................................................................................................................. ✔ ✔

3. Inventory end date ................................................................................................................................... ✔ ✔

4. Inventory type .......................................................................................................................................... ✔ ✔

5. State FIPS code ...................................................................................................................................... ✔ ✔

6. County FIPS code ................................................................................................................................... ✔ ✔

7. Facility ID code ........................................................................................................................................ ✔ ✔

8. Point ID code ........................................................................................................................................... ✔ ✔

9. Process ID code ...................................................................................................................................... ✔ ✔

10. Stack ID code ........................................................................................................................................ ✔ ✔

11. Site name .............................................................................................................................................. ✔ ✔

12. Physical address ................................................................................................................................... ✔ ✔

13. SCC or PCC .......................................................................................................................................... ✔ ✔

14. Heat content (fuel) (annual average) .................................................................................................... ✔ ✔

15. Ash content (fuel) (annual average) ...................................................................................................... ✔ ✔

16. Sulfur content (fuel) (annual average) .................................................................................................. ✔ ✔

17. Pollutant code ........................................................................................................................................ ✔ ✔

18. Activity/throughput (annual) ................................................................................................................... ✔ ✔

19. Activity/throughput (daily) ...................................................................................................................... ✔ ✔

20. Work weekday emissions ...................................................................................................................... ✔ ✔

21. Annual emissions .................................................................................................................................. ✔ ✔

22. Emission factor ...................................................................................................................................... ✔ ✔

23. Winter throughput (%) ........................................................................................................................... ✔ ✔

24. Spring throughput (%) ........................................................................................................................... ✔ ✔

25. Summer throughput (%) ........................................................................................................................ ✔ ✔

26. Fall throughput (%) ................................................................................................................................ ✔ ✔

27. Hr/day in operation ................................................................................................................................ ✔ ✔

28. Start time (hour) .................................................................................................................................... ✔ ✔

29. Day/wk in operation ............................................................................................................................... ✔ ✔

30. Wk/yr in operation ................................................................................................................................. ✔ ✔

31. X stack coordinate (latitude) .................................................................................................................. .............................. ✔

32. Y stack coordinate (longitude) ............................................................................................................... .............................. ✔

33. Stack Height .......................................................................................................................................... .............................. ✔

34. Stack diameter ....................................................................................................................................... .............................. ✔

35. Exit gas temperature ............................................................................................................................. .............................. ✔

36. Exit gas velocity ..................................................................................................................................... .............................. ✔

37. Exit gas flow rate ................................................................................................................................... .............................. ✔

38. SIC/NAICS ............................................................................................................................................. .............................. ✔

39. Design capacity ..................................................................................................................................... .............................. ✔

40. Maximum namemplate capacity ............................................................................................................ .............................. ✔

41. Primary control eff (%) .......................................................................................................................... .............................. ✔

39614 Federal Register / Vol. 67, No. 111 / Monday, June 10, 2002 / Rules and Regulations 

TABLE 2A.—DATA ELEMENTS THAT STATES MUST REPORT FOR POINT SOURCES—Continued

Data elements Annual (Type A 

sources) 

Every 3 years 

(Type B sources 

and NAAs) 

42. Secondary control eff (%) ...................................................................................................................... .............................. ✔

43. Control device type ................................................................................................................................ .............................. ✔

44. Rule effectiveness (%) .......................................................................................................................... .............................. ✔

TABLE 2B.—DATA ELEMENTS THAT

STATES MUST REPORT FOR AREA

AND NONROAD MOBILE SOURCES

Data elements Every 3 

years 

1. Inventory year ....................... ✔

2. Inventory start date .............. ✔

3. Inventory end date ............... ✔

4. Inventory type ....................... ✔

5. State FIPS code ................... ✔

6. County FIPS code ................ ✔

7. SCC or PCC ......................... ✔

8. Emission factor ..................... ✔

9. Activity/throughput level (annual) ...................................... ✔

10. Total capture/control efficiency (%) ............................. ✔

11. Rule effectiveness (%) ....... ✔

12. Rule penetration (%) .......... ✔

13. Pollutant code ..................... ✔

14. Summer/winter work weekday emissions ....................... ✔

15. Annual emissions ............... ✔

16. Winter throughput (%) ........ ✔

17. Spring throughput (%) ........ ✔

18. Summer throughput (%) ..... ✔

19. Fall throughput (%) ............. ✔

20. Hrs/day in operation ........... ✔

21. Days/wk in operation .......... ✔

22. Wks/yr in operation ............ ✔

TABLE 2C.—DATA ELEMENTS THAT

STATES MUST REPORT FOR

ONROAD MOBILE SOURCES

Data elements Every 3 

years 

1. Inventory year ....................... ✔

2. Inventory start date .............. ✔

3. Inventory end date ............... ✔

4. Inventory type ....................... ✔

5. State FIPS code ................... ✔

6. County FIPS code ................ ✔

7. SCC or PCC ......................... ✔

8. Emission factor ..................... ✔

9. Activity (VMT by Roadway 

Class) .................................... ✔

10. Pollutant code ..................... ✔

11. Summer/winter work weekday emissions ....................... ✔

12. Annual emissions ............... ✔

TABLE 2D.—DATA ELEMENTS THAT

STATES MUST REPORT FOR BIOGENIC SOURCES

Data elements Every 3 

years 

1. Inventory year ....................... ✔

TABLE 2D.—DATA ELEMENTS THAT

STATES MUST REPORT FOR BIOGENIC SOURCES—Continued

Data elements Every 3 

years 

2. Inventory start date .............. ✔

3. Inventory end date ............... ✔

4. Inventory type ....................... ✔

5. State FIPS code ................... ✔

6. County FIPS code ................ ✔

7. SCC or PCC ......................... ✔

8. Pollutant code ....................... ✔

9. Summer/winter work weekday emissions ....................... ✔

10. Annual emissions ............... ✔

Glossary 

Activity rate/throughput (annual)—A 

measurable factor or parameter that relates 

directly or indirectly to the emissions of an 

air pollution source. Depending on the type 

of source category, activity information may 

refer to the amount of fuel combusted, raw 

material processed, product manufactured, or 

material handled or processed. It may also 

refer to population, employment, number of 

units, or miles traveled. Activity information 

is typically the value that is multiplied 

against an emission factor to generate an 

emissions estimate. 

Activity rate/throughput (daily)—The 

beginning and ending dates and times that 

define the emissions period used to estimate 

the daily activity rate/throughput. 

Annual emissions—Actual emissions for a 

plant, point, or process—measured or 

calculated that represent a calendar year. 

Area sources—Area sources collectively 

represent individual sources that have not 

been inventoried as specific point, mobile, or 

biogenic sources. These individual sources 

treated collectively as area sources are 

typically too small, numerous, or difficult to 

inventory using the methods for the other 

classes of sources. 

Ash content—Inert residual portion of a 

fuel. 

Biogenic sources—Biogenic emissions are 

all pollutants emitted from nonanthropogenic sources. Example sources 

include trees and vegetation, oil and gas 

seeps, and microbial activity. 

Control device type—The name of the type 

of control device (e.g., wet scrubber, flaring, 

or process change). 

County FIPS Code—Federal Information 

Placement System (FIPS) is the system of 

unique numeric codes the government 

developed to identify States, counties and 

parishes for the entire United States, Puerto 

Rico, and Guam. 

Day/wk in operations—Days per week that 

the emitting process operates—average over 

the inventory period. 

Design capacity—A measure of the size of 

a point source, based on the reported 

maximum continuous capacity of the unit. 

Emission factor—Ratio relating emissions 

of a specific pollutant to an activity or 

material throughput level.

Exit gas flow rate—Numeric value of stack 

gas’s flow rate. 

Exit gas temperature—Numeric value of an 

exit gas stream’s temperature. 

Exit gas velocity—Numeric value of an exit 

gas stream’s velocity. 

Facility ID code—Unique code for a plant 

or facility, containing one or more pollutantemitting sources. This is the data element in 

Appendix A, Table 2a, that is defined 

elsewhere in this glossary as a ‘‘point 

source’’. 

Fall throughput(%)—Part of the 

throughput for the three Fall months 

(September, October, November). This 

expresses part of the annual activity 

information based on four seasons—typically 

spring, summer, fall, and winter. It can be a 

percentage of the annual activity (e.g.,

production in summer is 40% of the year’s 

production) or units of the activity (e.g., out 

of 600 units produced, spring = 150 units, 

summer = 250 units, fall = 150 units, and 

winter = 50 units). 

Heat content—The amount of thermal heat 

energy in a solid, liquid, or gaseous fuel. Fuel 

heat content is typically expressed in units 

of Btu/lb of fuel, Btu/gal of fuel, joules/kg of 

fuel, etc. 

Hr/day in operations—Hours per day that 

the emitting process operates—average over 

the inventory period. 

Inventory end date—Last day of the 

inventory period. 

Inventory start date—First day of the 

inventory period. 

Inventory type—Type of inventory 

represented by data (i.e., point, 3-year cycle, 

daily). 

Inventory year—The calendar year for 

which you calculated emissions estimates. 

Lead (Pb)—As defined in 40 CFR 50.12, 

lead should be reported as elemental lead 

and its compounds. 

Maximum nameplate capacity—A measure 

of a unit’s size that the manufacturer puts on 

the unit’s nameplate. 

Mobile source—A motor vehicle, nonroad 

engine or nonroad vehicle. 

• A ‘‘motor vehicle’’ is any self-propelled 

vehicle used to carry people or property on 

a street or highway. 

• A ‘‘nonroad engine’’ is an internal 

combustion engine (including fuel system) 

that is not used in a motor vehicle or vehicle 

only used for competition, or that is not 

affected by sections 111 or 202 of the CAA.

Federal Register / Vol. 67, No. 111 / Monday, June 10, 2002 / Rules and Regulations 39615

• A ‘‘nonroad vehicle’’ is a vehicle that is 

run by a nonroad engine and that is not a 

motor vehicle or a vehicle only used for 

competition.

PM (Particulate Matter)—Particulate matter 

is a criteria air pollutant. For the purpose of 

this subpart, the following definitions apply: 

(1) Primary PM: Particles that enter the 

atmosphere as a direct emission from a stack 

or an open source. It is comprised of two 

components: Filterable PM and Condensible 

PM. (As specified in § 51.15 (a)(2), these two 

PM components are the components 

measured by a stack sampling train such as 

EPA Method 5 and have no upper particle 

size limit.) 

(2) Filterable PM: Particles that are directly 

emitted by a source as a solid or liquid at 

stack or release conditions and captured on 

the filter of a stack test train. 

(3) Condensible PM: Material that is vapor 

phase at stack conditions, but which 

condenses and/or reacts upon cooling and 

dilution in the ambient air to form solid or 

liquid PM immediately after discharge from 

the stack. 

(4) Secondary PM: Particles that form 

through chemical reactions in the ambient air 

well after dilution and condensation have 

occurred. Secondary PM is usually formed at 

some distance downwind from the source. 

Secondary PM should NOT be reported in 

the emission inventory and is NOT covered 

by this subpart. 

(5) Primary PM2.5: Also PM2.5 (or Filterable 

PM2.5 and Condensible PM individually. 

Note that all Condensible PM is assumed to 

be in the PM2.5 size fraction)—Particulate 

matter with an aerodynamic diameter equal 

to or less than 2.5 micrometers. 

(6) Primary PM10: Also PM10 (or Filterable 

PM10 and Condensible PM individually)—

Particulate matter with an aerodynamic 

diameter equal to or less than 10 

micrometers. 

PCC—Process classification code. A 

process-level code that describes the 

equipment or operation which is emitting 

pollutants. This code is being considered as 

a replacement for the SCC. 

Physical address—Street address of a 

facility. This is the address of the location 

where the emissions occur; not, for example, 

the corporate headquarters. 

Point ID code—Unique code for the point 

of generation of emissions, typically a 

physical piece of equipment.

Point source—Point sources are large, 

stationary (non-mobile), identifiable sources 

of emissions that release pollutants into the 

atmosphere. As used in this rule, a point 

source is defined as a facility that annually 

emits more than a ‘‘threshold’’ value as 

defined under § 51.20. 

Pollutant code—A unique code for each 

reported pollutant assigned in the Emission 

Inventory Improvement Program (EIIP) Data 

Model. The EIIP model was developed to 

promote consistency in organizations sharing 

emissions data. The model uses character 

names for criteria pollutants and Chemical 

Abstracts Service (CAS) numbers for all other 

pollutants. You may be using SAROAD codes 

for pollutants, but you should be able to map 

them to the pollutant codes in the EIIP Data 

Model. 

Process ID code—Unique code for the 

process generating the emissions, typically a 

description of a process. 

Roadway class—A classification system 

developed by the Federal Highway 

Administration that defines all public 

roadways as to type. Currently there are four 

roadway types: (1) Freeway, (2) freeway 

ramp, (3) arterial/collector and (4) local. 

Rule effectiveness (RE)—How well a 

regulatory program achieves all possible 

emission reductions. This rating reflects the 

assumption that controls typically aren’t 100 

percent effective because of equipment 

downtime, upsets, decreases in control 

efficiencies, and other deficiencies in 

emission estimates. RE adjusts the control 

efficiency. 

Rule penetration—The percentage of an 

area source category covered by an applicable 

regulation. 

SCC—Source classification code. A 

process-level code that describes the 

equipment and/or operation which is 

emitting pollutants. 

Seasonal activity rate/throughput—A 

measurable factor or parameter that relates 

directly or indirectly to the pollutant season 

emissions of an air pollution source. 

Depending on the type of source category, 

activity information may refer to the amount 

of fuel combusted, raw material processed, 

product manufactured, or material handled 

or processed. It may also refer to population, 

employment, number of units, or miles 

traveled. Activity information is typically the 

value that is multiplied against an emission 

factor to generate an emissions estimate. 

Seasonal fuel heat content—The amount of 

thermal heat energy in a solid, liquid, or 

gaseous fuel used during the pollutant 

season. Fuel heat content is typically 

expressed in units of Btu/lb of fuel, Btu/gal 

of fuel, joules/kg of fuel, etc. 

Secondary control eff (%)—The emission 

reduction efficiency of a secondary control 

device. Control efficiency is usually 

expressed as a percentage or in tenths.

SIC/NAICS—Standard Industrial 

Classification code. NAICS (North American 

Industry Classification System) codes will 

replace SIC codes. U.S. Department of 

Commerce’s code for businesses by products 

or services. 

Site name—The name of the facility. 

Spring throughput (%)—Part of throughput 

or activity for the three spring months 

(March, April, May). See the definition of 

Fall Throughput. 

Stack diameter—A stack’s inner physical 

diameter. 

Stack height—A stack’s physical height 

above the surrounding terrain. 

Stack ID code—Unique code for the point 

where emissions from one or more processes 

release into the atmosphere. 

Start time (hour)—Start time (if available) 

that you used to calculate the emissions 

estimates. 

State FIPS Code—Federal Information 

Placement System (FIPS) is the system of 

unique numeric codes the government 

developed to identify States, counties and 

parishes for the entire United States, Puerto 

Rico, and Guam. 

Sulfur content—Sulfur content of a fuel, 

usually expressed as percent by weight. 

Summer throughput(%)—Part of 

throughput or activity for the three summer 

months (June, July, August). See the 

definition of Fall Throughput. 

Summer/winter work weekday 

emissions—Average day’s emissions for a 

typical day. Ozone daily emissions = summer 

work weekday; CO and PM daily emissions 

= winter work weekday. 

Total capture/control efficiency—The 

emission reduction efficiency of a primary 

control device, which shows the amount 

controls or material changes reduce a 

particular pollutant from a process’

emissions. Control efficiency is usually 

expressed as a percentage or in tenths. 

Type A source—Large point sources with 

actual annual emissions greater than or equal 

to any of the emission thresholds listed in 

Table 1 for Type A sources. 

Type B source—Point sources with actual 

annual emissions during any year of the three 

year cycle greater than or equal to any of the 

emission thresholds listed in Table 1 for 

Type B sources. Type B sources include all 

Type A sources. 

VMT by Roadway Class—Vehicle miles 

traveled (VMT) expresses vehicle activity and 

is used with emission factors. The emission 

factors are usually expressed in terms of 

grams per mile of travel. Because VMT 

doesn’t correlate directly to emissions that 

occur while the vehicle isn’t moving, these 

nonmoving emissions are incorporated into 

the emission factors in EPA’s MOBILE 

Model. 

VOC—Volatile Organic Compounds. The 

EPA’s regulatory definition of VOC is in 40 

CFR 51.100. 

Winter throughput (%)—Part of throughput 

or activity for the three winter months 

(December, January, February, all from the 

same year, e.g., Winter 2000 = January 2000 

+ February, 2000 + December 2000). See the 

definition of Fall Throughput. 

Wk/yr in operation—Weeks per year that 

the emitting process operates. 

Work Weekday—Any day of the week 

except Saturday or Sunday. 

X stack coordinate (latitude)—An object’s 

north-south geographical coordinate. Y stack 

coordinate (longitude)—An object’s east-west 

geographical coordinate.

Appendix B to Subpart A of Part 51—

[Reserved]

Subpart Q—[Amended] 

3. Section 51.321 is revised to read as 

follows:

§ 51.321 Annual source emissions and 

State action report. 

The State agency shall report to the 

Administrator (through the appropriate 

Regional Office) information as 

specified in §§ 51.322 through 51.326. 

4. Section 51.322 is revised to read as 

follows:

§ 51.322 Sources subject to emissions 

reporting. 

The requirements for reporting 

emissions data under the plan are in 

subpart A of this part 51.

39616 Federal Register / Vol. 67, No. 111 / Monday, June 10, 2002 / Rules and Regulations 

5. Section 51.323 is revised to read as 

follows:

§ 51.323 Reportable emissions data and 

information. 

The requirements for reportable 

emissions data and information under 

the plan are in subpart A of this part 51.

[FR Doc. 02–14037 Filed 6–7–02; 8:45 am] 

BILLING CODE 6560–50–P

ENVIRONMENTAL PROTECTION 

AGENCY 

40 CFR Part 52 

[CA 207–0336a; FRL–7224–1] 

Revisions to the California State 

Implementation Plan, Great Basin 

Unified Air Pollution Control District 

and South Coast Air Quality 

Management District

AGENCY: Environmental Protection 

Agency (EPA).

ACTION: Direct final rule.

SUMMARY: EPA is taking direct final 

action to approve revisions to the Great 

Basin Unified Air Pollution Control 

District (GBUAPCD) portion and the 

South Coast Air Quality Management 

District (SCAQMD) portion of the 

California State Implementation Plan 

(SIP). These revisions concern the 

emission of particulate matter (PM–10) 

from GBAPCD open burning/open 

detonation (OB/OD) of propellants, 

explosives, and pyrotechnics (PEP); 

from SCAQMD storage, handling, and 

transport of coke, coal and sulfur; and 

from SCAQMD paved and unpaved 

roads and livestock operations. We are 

approving local rules that regulate these 

emission sources under the Clean Air 

Act as amended in 1990 (CAA or the 

Act).

DATES: This rule is effective on August 

9, 2002, without further notice, unless 

EPA receives adverse comments by July 

10, 2002. If we receive such comments, 

we will publish a timely withdrawal in 

the Federal Register to notify the public 

that this rule will not take effect.

ADDRESSES: Mail comments to Andy 

Steckel, Rulemaking Office Chief (AIR–

4), U.S. Environmental Protection 

Agency, Region IX, 75 Hawthorne 

Street, San Francisco, CA 94105. 

You can inspect copies of the 

submitted rule revisions and EPA’s 

technical support document (TSD) at 

our Region IX office during normal 

business hours. You may also see copies 

of the submitted rule revisions and TSD 

at the following locations:

Environmental Protection Agency, Air 

Docket (6102), Ariel Rios Building, 

1200 Pennsylvania Avenue, NW, 

Washington DC 20460. 

California Air Resources Board, 

Stationary Source Division, Rule 

Evaluation Section, 1001 ‘‘I’’ Street, 

Sacramento, CA 95814. 

Great Basin Unified Air Pollution 

Control District, 157 Short Street, 

Bishop, CA 93514. 

South Coast Air Quality Management 

District, 21865 East Copley Drive, 

Diamond Bar, CA 91765.

FOR FURTHER INFORMATION CONTACT: Al 

Petersen, Rulemaking Office (AIR–4), 

U.S. Environmental Protection Agency, 

Region IX; (415) 947–4118.

SUPPLEMENTARY INFORMATION:

Throughout this document, ‘‘we,’’ ‘‘us’’

and ‘‘our’’ refer to EPA.

Table of Contents 

I. The State’s Submittal 

A. What rules did the State submit? 

B. Are there other versions of these rules? 

C. What are the changes in the submitted 

rules?

II. EPA’s Evaluation and Action 

A. How is EPA evaluating the rules? 

B. Do the rules meet the evaluation 

criteria? 

C. EPA recommendations to further 

improve the rules 

D. Public comment and final action 

III. Background Information 

A. Why were these rules submitted? 

IV. Administrative Requirements

I. The State’s Submittal 

A. What Rules Did the State Submit? 

Table 1 lists the rules we are 

approving with the date that they were 

adopted by the local air agency and 

submitted by the California Air 

Resources Board (CARB).

TABLE 1.—SUBMITTED RULES

Local agency Rule # Rule title Adopted Submitted 

GBUAPCD ............................... 432 .......................................... Open Burn/Open Detonation Operations on Military 

Bases.

05/08/96 03/10/98 

SCAQMD ................................. 1158 ........................................ Storage, Handling, and Transport of Coke, Coal 

and Sulfur.

06/11/99 10/29/99 

SCAQMD ................................. 1186 ........................................ PM 10 Emissions from Paved and Unpaved Roads 

and Livestock Operations.

09/10/99 01/21/00 

On May 21, 1998, December 16, 1999, 

and March 1, 2000, these submittals 

were found to meet the completeness 

criteria in 40 CFR part 51 Appendix V, 

which must be met before formal EPA 

review. 

B. Are There Other Versions of These 

Rules? 

GBUAPCD Rule 432 is a new rule. We 

approved into the SIP on January 15, 

1987 (52 FR 1627) a version of 

SCAQMD Rule 1158, adopted on 

December 2, 1983. We approved into the 

SIP on February 17, 2000 (65 FR 8057) 

a version of SCAQMD Rule 1186, 

adopted on December 11, 1998. 

C. What Are the Changes in the 

Submitted Rules? 

GBUAPCD Rule 432 is a new rule for 

open burning/open detonation of 

propellants, explosives, and 

pyrotechnics (PEP) at military bases that 

includes the following provisions: 

• Burn plans are required that specify 

detonation or combustion methods and 

limit the category and amount of PEP 

destroyed in burn operations. 

• OB/OD operations are not allowed 

when smoke can contribute to an 

exceedance of the NAAQS or cause a 

public nuisance. Burning is prohibited 

on ‘‘No-Burn Days’’ determined by the 

California Air Resources Board. 

• PEP destroyed in OB/OD operations 

cannot contain other hazardous waste. 

• PEP destroyed in OB/OD operations 

must be in a condition to minimize 

smoke emission. 

• OB/OD must be limited to PEP 

generated from operations at the 

military base where destroyed. 

• Records of OB/OD must be retained 

for five years. 

SCAQMD Rule 1158 changes are as 

follows: 

• An existing exemption to requiring 

the enclosure of open coke storage piles 

is deleted. 

• The rule is expanded to include 

coverage of coal and sulfur in addition 

to coke.