o Environmental

Protection Agency

Ted Strickland, Governor

lee Fisher, Lt. Governor

Chris Korles"ki, Director

NOV f 52010

Ms. Susan Hedman

Regional Administrator

U.S. EPA Region V

77 W. Jackson Blvd.

Chicago, IL 60604

Re: Requestfor Approval ofOhio Administrative Code ("OAC") Chapter 3745-14 NOx

SIP call Rule Changes into Ohio's State Implementation Plan ("SIP")

Dear Ms. Hedman:

On October 8,2010, Ohio EPA adopted (effective on October 18,2010) amended rule

language for rules 3746-14-01 and 3746-14-06 (NOx SIP call) of the Ohio Administrative

Code (OAC). A change in the applicability exemption section of OAC rule 3746-14-01, was

made to facilitate the transition of affected units from the NOx SIP call into the Clean Air

Interstate Rule (CAIR) program (OAC Chapter 3746-109) and to begin the process of

'sunsetting" the parts of OAC Chapter 3746-14 which will no longer be needed. A new

paragraph, (E)(4)(d) in OAC rule 3746-14-06, was also added to deal with this transition

concerning any possible excess emissions in the 2008 compliance accounts.

At this time, Ohio EPA is requesting U.S. EPA approval ofthese changes for incorporation

into the SIP. The following documents are attached for your consideration per the

requirements of 40 CFR Part 61, Appendix V:

This letter should meet the requirements in 40 CFR Part 61, Appendix V, Section 2.1 (a): a

"formal letter of submittal from the Governor or his designee, requesting EPA approval of

the plan or revision."

Article One addresses the following two requirements:

40 CFR Part 61, Appendix V, Section 2.1 (b)

Evidence that the State has adopted the plan in the State code or body of regulations;

or issued the permit, order, consent agreement (hereafter "document") in final form.

That evidence shall include the date of adoption or final issuance as well as the

effective date of the plan, if different from the adoption/issuance date.

40 CFR Part 61, Appendix V, Section 2.1 (d)

A copy of the actual regulation, or document submitted for approval and incorporation

by reference into the plan, including indication of the changes made to the existing

50 West Town Street, Suite 700

P.O, Box 1049

Columbus, OH 43216-1049

61 4 16443020

61416443164 (fax)

www.epa.ohio.gov
approved plan, where applicable. The submittal shall be a copy of the official State

regulation /document signed, stamped, and dated by the appropriate State official

indicating that it is fully enforceable by the State. The effective date of the

regulation/document shall, whenever possible, be indicated in the document itself.

Certified copies of the 3745-14 rules, in redline and strikeout, are being submitted for

approval and incorporation by reference into the plan. The copies are included as evidence

that the State has adopted the body of regulations in final form. This submittal includes

copies ofthe official State regulations signed, stamped, and dated by the appropriate State

official indicating that they are fUlly enforceable by the State. The effective date of each

regulation is indicated in the document itself. Please consider that Ohio has an electronic

rule filing system and all certifications/signatures of regulations are done electronically.

Article Two addresses the following requirement:

;Copies of the public notice of adoption and Director's Findings & Orders have been

included as evidence of the date of adoption as well as the effective date ofthe regulations

and evidence that public notice was given of the proposed changes consistent with

procedures approved by EPA, including the date of publication of such notice.

Requirements of 40 CFR Part 51, Appendix V, Section 2.1 (c):

Evidence that the State has the necessary legal authority under State law to adopt

and implement the plan.

Ohio's legislature has given Ohio EPA authority under paragraphs (A) and (E) of Section

3704.03 of the Ohio Revised Code (ORC) to enact these rules. Copies ofthese sections of

the ORC can be provided upon request.

Article Three addresses the following requirements:

40 CFR Part 51, Appendix V, Section 2.1(e)

Evidence that the State followed all ofthe procedural requirements ofthe State's laws

and constitution in conducting and completing the adoption/issuance of the plan.

40 CFR Part 51, Appendix V, Section 2.1 (f)

Evidence that public notice was given of the proposed change consistent with

procedures approved by EPA, including the date of publication of such notice.

Ohio EPA has included a narrative and several attachments as evidence that the State

followed all of the procedural requirements of the State's laws and constitution in

conducting and completing the adoption/issuance of the plan.
Article Four

40 CFR Part 51, Appendix V, Section 2.1 (g)

Certification that public hearings(s) were held in accordance with the information

provided in the public notice and the State's laws and constitution, if applicable.

A copy of the transcript from the public hearing has been provided as certification that a

public hearing was held in accordance with the information provided in the public notice

and the State's laws and constitution, if applicable.

Article Five

40 CFR Part 51, Appendix V, Section 2.1 (h)

Compilation of public comments and the State's response thereto.

Copies of the Response to Comments documents for both the draft language and

proposed language comment periods are attached.

Ohio EPA asks that the above mentioned rules be accepted as revisions to Ohio's SIP

We would appreciate if U.S. EPA would expedite the review of this material. Please

contact Bob Hodanbosi if you have any questions about this submittal.

Sincerely, Cl?w

Chris Korleski

Director

cc: Bob Hodanbosi, Chief Division of Air Pollution Control

Attachment
Article I

Certified Copy of Rules
ACTION: Final I DATE: 10/08/20108:07 AM I

3745-14-01 Definitions and general provisions.

[Comment: For dates of non-regulatory government publications, publications of

recognized organizations and associations, federal rules, and federal statutory provisions

referenced in tbis rule, see the "Incorporation by Reference" section at the end of this

rule.]

(A) This chapter establishes the provisions and requirements to implement a NOx budget

trading, portland cement kilns, and a stationary (large) internal combustion engines

program in the state of Ohio as a means of control and reduction ofNOx emissions.

The director authorizes the administrator to assist the director in implementing the

state NOx budget trading program as a participant in the federal NOx budget

trading program by carrying out the functions set forth for the administrator in this

chapter.

(B) Definitions.

(I) Except as otherwise provided in this rule, the definitions in rule 3745-15-01 of

the Administrative Code shall apply to this chapter.

(2) As used in this rule and in rules 3745-14-02 to 3745-14-10 of the

Administrative Code (pertaining to NOx budget trading program and other

sources identified in paragraph (A) ofthis rule):

(a) "Account certificate of representation" means the completed and signed

submission required by rule 3745-14.02 ofthe Administrative Code for

certifYing the designation of a NOx authorized account representative,

for a NOx budget source or a group of identified NOx budget sources,

who is authorized to represent the owners and operators ofsuch source

or sources and of the NOx budget units at such source or sources with

regard to matters under the NOx budget trading program.

(b) "Account number" means the identification number given by the

administrator to each NOx allowance tracking system account.

(c) "Acid Rain emissions limitation" means, as defined in 40 CFR 72.2, a

limitation on emissions of sulfur dioxide or NOx under the acid rain

program under Title IV ofthe Clean Air Act.

(d) "Administrator" means the administrator of the United States

environmental protection agency or the administrator's duly authorized

representative.

(e) "Allocate" or "allocation" means the determination by the director of the

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3745-14-01 2

number ofNOx allowances to be initially credited to a NOx budget unit

or an allocation set-aside.

(f) "ASTM" means the "American Society for Testing and Materials," 100

Barr Harbor Drive, West Conshohocken, Pennsylvania.

(g) "Automated data acquisition and handling system" or "DABS" means that

component of the CEMS, or other emissions monitoring system

approved for use under rule 3745-14-08 of the Administrative Code,

designed to interpret and convert individual output signals from

pollutant concentration monitors, flow monitors, diluent gas monitors,

and other component parts of the monitoring system to produce a

continuous record ofthe measured parameters in the measurement units

required by rule 3745-14-08 ofthe Administrative Code.

(h) "Boiler" means an enclosed fossil or other fuel-fired combustion device

used to produce heat and to transfer heat to recirculating water, steam,

or other medium, excluding CO boilers associated with combusting CO

from fluidized catalytic crackers at petroleum refineries.

(i) "Btu" means British thermal unit.

G) "CAA" means the Clean Air Act as contained in 42 USC 7401 to 7671q.

(k) "CO" means carbon monoxide.

(I) "Combined cycle system" means a system comprised of one or more

combustion turbines, heat recovery stearn generators, and steam

turbines configured to improve overall efficiency of electricity

generation or steam production.

(m) "Combustion turbine" means an enclosed fossil or other fuel-fired device

that is comprised of a compressor, a combustor, and a turbine, and in

which the flue gas resulting from the combustion of fuel in the

combustor passes through the turbine, rotating the turbine.

(n) "Commence commercial operation" means, with regard to a unit that

serves a generator, to have begun to produce steam, gas, or other heated

medium used to generate electricity for sale or use, including test

generation. Except as provided in paragraph (C)(2) or (D) ofthis rule or

rule 3745-14-09 of the Administrative Code, for a unit that is a NOx

budget unit under paragraph (C)(l) of this rule on the date the unit
3745-14-01 3

commences commercial operation, such date shall remain the unit's date

of commencement of commercial operation even if the unit is

subsequently modified, reconstructed, or repowered. Except as

provided in paragraph (C)(2) or (D) of this rule or rule 3745-14-09 of

the Administrative Code, for a unit that is not a NOx budget unit under

paragraph (C)(l) of this rule on the date the unit commences

commercial operation, the date the unit becomes a NOx budget unit

under paragraph (C)(I) of this rule shall be the unit's date of

commencement of commercial operation.

(0) "Commence operation" means to have begun any mechanical, chemical,

or electronic process, including, with regard to a unit, start-up of a unit's

combustion chamber. Except as provided in paragraph (C)(2) or (D) of

this rule or rule 3745-14-09 of the Administrative Code, for a unit that

is a NOx budget unit under paragraph (C)(l) ofthis rule on the date of

commencement of operation, such date shall remain the unit's date of

commencement of operation even if the unit is subsequently modified,

reconstructed, or repowered. Except as provided in paragraph (C)(2) or

(D) of this rule or rule 3745-14-09 of the Administrative Code, for a

unit that is not a NOx budget unit under paragraph (C)(I) ofthis rule on

the date of commencement of operation, the date the unit becomes a

NOx budget unit under paragraph (C)(l) of this rule shall be the unit's

date of commencement of operation.

(P) "Common stack" means a single flue through which emissions from two

or more units are exhausted.

(q) "Compliance account" means a NOx allowance tracking system account,

established by the administrator for a NOx budget unit under rule

3745-14-06 of the Administrative Code in which the NOx allowance

allocations for the unit are initially recorded and in which are held NOx

allowances available for use by the unit for a control period for the

purpose ofmeeting the unit's NOx budget emission limitation.

(r) "Continuous emission monitoring system" or "CEMS" means the

equipment required under rule 3745-14-08 of the Administrative Code

to sample, analyze, measure, and provide, by readings taken at least

once every fifteen minutes (using an automated DAHS, a permanent

record of NOx emissions, stack gas volumetric flow rate or stack gas

moisture content (as applicable), in a manner consistent with rule

3745-14-08 ofthe Administrative Code. The following are the principal

types of continuous emission monitoring systems required under rule

3745-14-08 ofthe Administrative Code and 40 CPR Part 75:
3745-14-01 4

(i) A flow monitoring system, consisting of a stack flow rate monitor

and an automated DAHS. A flow monitoring system provides a

permanent, continuous record of stack gas volumetric flow rate,

in units ofstandard cubic feet per hour (scth).

(ii) A NOx concentration monitoring system, consisting of a NOx

pollutant concentration monitor and an automated DAHS. A NOx

concentration monitoring system provides a permanent,

continuous record of NOx emissions in units of parts per million

(ppm).

(iii) A NOx emiSSIOn rate (or NOx-diluent) monitoring system,

consisting of a NOx pollutant concentration monitor, a diluent gas

(carbon dioxide or oxygen) monitor, and an automated DAHS. A

NOx concentration monitoring system provides a permanent,

continuous record of: NOx concentration in units of parts per

million, diluent gas concentration in units of percent carbon

dioxide or oxygen, and NOx emission rate in units of pounds per

mmBtu.

(iv) A moisture monitoring system, as defined in 40 CFR 75.11(b)(2).

A moisture monitoring system provides a permanent, continuous

record of the stack gas moisture content, in units of per cent

water.

(s) "Control period" means the period beginning May first of a year and

ending on September thirtieth ofthe same year, inclusive.

(t) "DAHS" means data acquisition and handling system.

(u) "Director" means the director of the Ohio environmental protection

agency.

(v) "Electricity for sale under firm contract to the grid" means electricity for

sale where the capacity involved is intended to be available at all times

during the period covered by a guaranteed commitment to deliver, even

under adverse conditions.

(w) "Emissions" means air pollutants exhausted from a unit or source into the

atmosphere, as measured, recorded, and reported to the Administrator

by the NOx authorized account representative and as determined by the

Administrator in accordance with rule 3745-14-08 of the
3745-14-01 5

Administrative Code.

(x) "Energy efficiency/renewable energy project" means any project that,

during the control period, reduces end-use demand for electricity,

including demand-side management practices, or displace electrical

energy utilization through the use of wind power, solar power, biomass

or landfill methane generation.

(y) "Energy infonnation administration" means the energy infonnation

administration ofthe United States department of energy.

(z) "Excess emissions" means any tonnage of NOx emitted by a NOx budget

unit during a control period that exceeds the NOx budget emissions

limitation for the unit.

(aa) "Fossil fuel" means natural gas, petroleum, coal, or any form of solid,

liquid, or gaseous fuel derived from such material.

(bb) "Fossil fuel-fired" means, with regard to a unit:

(i) For units that commenced operation before January 1, 1996, the

combustion of fossil fuel, alone or in combination with any other

fuel, where fossil fuel actually combnsted comprises more than

fifty per cent of the annnal heat input, on a Btu basis, dnring

1995, or, if a unit had no heat input in 1995, during the last year

of operation ofthe unit prior to 1995;

(ii) For units that commenced operation on or after January 1, 1996 and

before January I, 1997, the combustion of fossil fuel, alone or in

combination with any other fuel, where fossil fuel actually

combusted comprises more than fifty per cent of the annual heat

input, on a Btu basis, during 1996; or

(iii) For units that commence operation on or after January 1, 1997:

(a) The combustion of fossil fuel, alone or in combination with

any other fuel, where fossil fuel actually combusted

comprises more than fifty per cent ofthe annual heat input,

on a Btu basis, during any year; or

(b) The combustion of fossil fuel, alone or in combination with

any other fuel, where fossil fuel is projected to comprise
3745-14-01 6

more than fifty per cent of the annual heat input, on a Btu

basis, during any year, provided that the unit shall be "fossil

fuel-fired" as of the date, during such year, on which the

unit begins combusting fossil fuel.

(cc) "General account" means a NOx allowance tracking system account,

established under rule 3745-14-06 of the Administrative Code, that is

not a compliance account or an overdraft account.

(dd) "Generator" means a device that produces electricity.

(ee) "Heat input" means the product (in mmBtu per time) of the gross

calorific value ofthe fuel (in mmBtu per pound) and the fuel feed rate

into a combustion device (in pounds of fuel per time), as measured,

recorded, and reported to the director by the NOx authorized account

representative and as determined by the director in accordance with rule

3745-14-08 of the Administrative Code, and does not include the heat

derived from preheated combustion air, recirculated flue gases, or

exhaust from other sources.

(ff) "Heat input rate" means the amount of heat input (in mmBtu) divided by

unit operating time (in hours) or, with regard to a specific fuel, the

amount of heat input attributed to the fuel (in mmBtu) divided by the

unit operating time (in hours) during which the unit combusts the fuel.

(gg) "Innovative technology project" means any project utilizing technology

that has not been adequately demonstrated in practice, but that would

have a substantial likelihood of reducing NOx emissions compared to

current practices. An innovative technology project could include

technology to decrease electrical energy or fuel use either in stationary

or mobile sources.

(hh) "Life-of-the-unit, firm power contractual arrangement" means a unit

participation power sales agreement under which a utility or industrial

customer reserves, or is entitled to receive, a specified amount or

percentage of nameplate capacity and associated energy from any

specified unit and pays its proportional amount ofsuch unit's total costs,

pursuant to a contract:

(i) For the life ofthe unit; or

(ii) For a cumulative term of no less than thirty years, including
3745-14-01 7

contracts that pennit an election for early tennination; or

(iii) For a period equal to or greater than twenty-five years or seventy

per cent ofthe economic useful life of the unit determined as of

the time the unit is built, with option rights to purchase or release

some portion of the nameplate capacity and associated energy

generated by the unit at the end ofthe period.

(ii) "Maximum design heat input" means the ability of·a unit to combust a

stated maximum amount of fuel per hour on a steady state basis, as

detennined by the physical design and physical characteristics of the

unit.

(jj) "Maximum potential hourly heat input" means an hourly heat input used

for reporting purposes when a unit lacks certified monitors to report

heat input. If the unit intends to use Appendix D of 40 CFR Part 75 to

report heat input, this value must be calculated, in accordance with 40

CFR Part 75, using the maximum fuel flow rate and the maximum

gross calorific value. If the unit intends to use a flow monitor and a

diluent gas monitor, this value must be reported, in accordance with 40

CFR Part 75, using the maximum potential flow rate and either the

maximum carbon dioxide concentration (in per cent carbon dioxide) or

the minimum oxygen concentration (in per cent oxygen).

(kk) "Maximum potential NOx emission rate" means the emission rate of

NOx (in pounds per mmBtu) calculated in accordance with Section 3 of

Appendix F of 40 CFR Part 75, using the maximum potential

concentration ofNOx as defined in Section 2 ofAppendix A of 40 CFR

Part 75, and either the maximum oxygen concentration (in per cent

oxygen) or the minimum carbon dioxide concentration (in per cent

carbon dioxide), under all operating conditions of the unit except for

unit start up, shutdown, and upsets.

(II) "Maximum rated hourly heat input" means a unit-specific maximum

hourly heat input (mmBtu) which is the higher of the manufacturer's

maximum rated hourly heat input or the highest observed hourly heat

input.

(mm) "mmBtu" means million. British thennal unit.

(un) "MWe" means megawatt electrical.
3745-14-01 8

(00) "Monitoring system" means any monitoring system that meets the

requirements ofrule 3745-14-08 of the Administrative Code, including

a continuous emissions monitoring system, an excepted monitoring

system, or an alternative monitoring system.

(Pp) "Most stringent state or federal NOx emissions limitation" means the

lowest NOx emission limitation (in pounds per mmBtu) that is

applicable to the unit under state or federal law, regardless of the

averaging period to which the emissions limitation applies.

(qq) "Nameplate capacity" means the maximum electrical generating output

(in MWe) that a generator can sustain over a specified period of time

when not restricted by seasonal or other deratings as measured in

accordance with the United States department of energy standards.

(rr) "Non-Title V permit" means a federally enforceable permit administered

by the director pursuant to the Clean Air Act and regulatory authority

under the Clean Air Act, other than Title V of the Clean Air Act and

Chapter 3745-77 ofthe Administrative Code.

(ss) "NOx" means all oxides of nitrogen which are determined to be ozone

precursors, including, but not limited to, nitrogen oxide and nitrogen

dioxide, but excluding nitrous oxide.

(tt) "NOx allowance" means a limited authorization by the director or the

Administrator under the NOx budget trading program to emit up to one

ton of NOx during the control period of the specified year or of any

year thereafter, except as provided under paragraph (E)(6) of rule

3745-14-06 of the Administrative Code. No provision of the NOx

budget trading program, the NOx budget permit application, the NOx

budget permit, or an exemption under paragraph (C)(2)(a) or (D) ofthis

rule and no provision of law shall be construed to limit the authority of

the United States to terminate or limit such authorization, which does

not constitute a property right. For purposes of this chapter, except

paragraph (B), (C) or (D) of rule 3745-14-05 of the Administrative

Code or paragraph (1) of rule 3745-14-09 of the Administrative Code,

"NOx allowance" also includes an authorization to emit up to one ton of

NOx during the control period of the specified year or of any year

thereafter by the state or the Administrator in accordance with a state

NOx budget trading program established, and approved and

administered by the Administrator, pursuant to 40 CFR 51.121 or in

accordance with the NOx budget trading program established by the

Administrator in accordance with 40 CFR 52.34.
3745-14-01 9

(uu) "NOx allowance deduction" or "deduct NOx allowances" means the

permanent withdrawal of NOx allowances by the administrator from a

NOx allowance tracking system compliance account or overdraft

account to account for the number of tons of NOx emissions from a

NOx budget unit for a control period, determined in accordance with

rules 3745-14-06 and 3745-14-08 of the Administrative Code, or for

any other allowance surrender obligation under this chapter.

(vv) "NOx allowances held" or "hold NOx allowances" means the NOx

allowances recorded by the administrator, or submitted to the

administrator for recordation, in accordance with rule 3745-14-06 ofthe

Administrative Code, in a NOx allowance tracking system account.

(ww) "NOx allowance tracking system" means the system by which the

administrator records allocations, deductions, and transfers of NOx

allowances under the NOx budget trading program.

(xx) "NOx allowance tracking system account" means an account in the NOx

allowance tracking system established by the administrator for purposes

of recording the allocation, holding, transferring, or deducting of NOx

allowances.

(yy) "NOx allowance transfer deadline" means midnight of November

thirtieth or, ifNovember thirtieth is not a business day, midnight ofthe

first business day thereafter and is the deadline by which NOx

allowances may be submitted for recordation in a NOx budget unit's

compliance account, or the overdraft account of the source where the

unit is located, in order to meet the unit's NOx budget emissions

limitation for the control period immediately preceding such deadline.

(zz) "NOx authorized account representative" means, for a NOx budget

source or NOx budget unit at the source, the natural person who is

authorized by the owners and operators of the source and all NOx

budget units at the source, in accordance with rule 3745-14-02 of the

Administrative Code, to represent and legally bind each owner and

operator in matters pertaining to the NOx budget trading program or,

for a general account, the natural person who is authorized, in

accordance with rule 3745-14-06 of the Administrative Code, to

transfer or otherwise dispose of NOx allowances held in the general

account.

(aaa) "NOx budget emissions limitation" means, for a NOx budget unit, the
3745-14-01 10

tonnage equivalent of the NOx allowances available for compliance

deduction for the unit under paragraphs (E)(l), (E)(2), (E)(5) and (E)(6)

of rule 3745-14-06 of the Administrative Code in a control period

adjusted by deductions of such NOx allowances to account for actual

heat input under paragraph (C)(5) of rule 3745-14-05 of the

Administrative Code for the control period, or to account for excess

emissions for a prior control period under paragraph (E)(4) of rule

3745-14-06 of the Administrative Code, or to account for withdrawal

from the NOx budget trading program or for a change in regulatory

status, of a NOx budget opt-in unit under paragraph (G) or (H) of rule

3745-14-09 ofthe Administrative Code.

(bbb) "NOx budget opt-in permit" means a NOx budget permit covering a

NOx budget opt-in unit.

(ccc) "NOx budget opt-in unit" means a unit that has been elected to become

a NOx budget unit under the NOx budget trading program and whose

NOx budget opt-in permit has been issued and is in effect under rule

3745-14-09 ofthe Administrative Code.

(ddd) "NOx budget permit" means the legally binding and federally

enforceable written document, or portion of such document, issued by

the director, including any permit revisions, specifying the NOx budget

trading program requirements applicable to a NOx budget source, to

each NOx budget unit at the NOx budget source, and to the owners and

operators and the NOx authorized account representative of the NOx

budget source and each NOx budget unit.

(eee) "NOx budget source" means a source that includes one or more NOx

budget units.

(fff) "NOx budget trading program" means a multi-state NOx air pollution

control and emission reduction program approved and administered by

the Administrator pursuant to 40 CFR 51.121 or established by the

Administrator pursuant to 40 CFR 52.34, as a means of mitigating the

interstate transport of ozone and NOx.

(ggg) "NOx budget unit" means a unit that is subject to the NOx emissions

limitation under paragraph (C) of this rule or paragraph (A) of rule

3745-14-09 ofthe Administrative Code.

(hOO) "Operating" means, with regard to a unit under paragraph (C)(I)(d)(ii)

of rule 3745-14-03 or paragraph (A) of rule 3745-14-09 of the
3745-14-01 11

Administrative Code, having docnmented heat input for more than eight

hundred seventy-six hours in the six months immediately preceding the

submission of an application for an initial NOx budget permit under

paragraph (D)(l) of rule 3745-14-09 of the Administrative Code. The

unit's documented heat input shall be determined in accordance with 40

CPR Part 75 ifthe unit was otherwise subject to the requirements of 40

CPR Part 75 during that six-month period or shall be based on the best

available data reported to the director for the unit if the unit was not

otherwise subject to the requirements of 40 CPR Part 75 during that

six-month period.

(iii) "Operator" means any person who operates, controls, or supervises a

NOx budget unit, a NOx budget source, or unit for which an application

for a NOx budget opt-in permit under paragraph (D) ofrule 3745-14-09

of the Administrative Code is submitted and not denied or withdrawn

and shall include, bnt not be limited to, any holding company, utility

system, or plant manager ofsuch a unit or source.

OiD "Opt-in" means to be elected to become a NOx budget unit under the

NOx budget trading program through a final, effective NOx budget

opt-in permit under rule 3745-14-09 ofthe Administrative Code.

(kkk) "Overdraft account" means the NOx allowance tracking system

account, established by the administrator under rule 3745-14-06 of the

Administrative Code, for each NOx budget source where there are two

or more NOx budget units.

(lll) "Owner" means any ofthe following persons:

(i) Any holder of any portion of the legal or equitable title in a NOx

budget unit or in a unit for which an application for a NOx budget

opt-in permit under paragraph (D) of rule 3745-14-09 of the

Administrative Code submitted and not denied or withdrawn; or

(ii) Any holder of a leasehold interest in a NOx budget unit or in a unit

for which an application for a NOx budget opt-in permit under

paragraph (D) of rule 3745-14-09 of the Administrative Code is

submitted and not denied or withdrawn; or

(iii) Any purchaser of power from a NOx budget unit or from a unit for

which an application for a NOx budget opt-in permit under.

paragraph (D) of rule 3745-14-09 of the Administrative Code is

submitted and not denied or withdrawn under a life-of-the-unit,
3745-14-01 12

fIrm power contractual arrangement (however, unless expressly

provided for in a leasehold agreement, owner shall not include a

passive lessor, or a person who has an equitable interest through

such lessor, whose rental payments are not based, either directly

or indirectly, upon the revenues or income from the NOx budget

unit or the unitfor which an application for a NOx budget opt-in

permit under paragraph (D) of rule 3745-14-09 of the

Administrative Code is submitted and not denied or withdrawn);

or

(iv) With respect to any general account, any person who has an

ownership interest with respect to the NOx allowances held in the

general account and who is subject to the binding agreement for

the NOx authorized account representative to represent that

person's ownership interest with respect to the NOx allowances.

(mmm) "Per cent monitor data availability" means, for purposes of paragraph

(D)(I) of rule 3745-14-05 and paragraph (E)(2) of rule 3745-14-09 of

the Administrative Code, total unit operating hours for which

quality-assured data were recorded in accordance with rule 3745-14-08

of the Administrative Code in a control period divided by the total

number of unit operating hours in the control period, and multiplied by

one hundred per cent.

(nun) "Potential electrical output capacity" means thirty three per cent of a

unit's maximum design heat input.

(000) "Receive" or "receipt of" means, when referring to the director or the

administrator, to come into possession of a document, information, or

correspondence (whether sent in writing or by authorized electronic

transmission), as indicated in an offIcial correspondence log, or by a

notation made on the document, information, or correspondence, by the

director or the Administrator in the regular course ofbusiness.

(Ppp) "Recordation," "record," or "recorded" means, with regard to NOx

allowances, the movement of NOx allowances by the administrator

from one NOx allowance tracking system account to another, for

purposes of allocation, transfer, or deduction.

(qqq) "Reference method" means any direct test method of sampling and

analyzing for an air pollutant as specifIed in Appendix A of 40 CFR

Part 60.
3745-14-01 13

(rn) "Serial number" means, when referring to NOx allowances, the unique

identification number assigned to each NOx allowance by the

administrator, under paragraph (D)(3) of rule 3745-14-06 of the

Administrative Code.

(sss) "Source" means any governmental, institutional, commercial, or

industrial structure, installation, plant, building, or facility that emits or

has the potential to emit any regulated air pollutant under the Clean Air

Act. For purposes of Section 502(c) of the Clean Air Act, a source,

including a source with multiple units, shall be considered a single

facility.

(ttt) "State" means one ofthe forty-eight contiguous states or a portion thereof

or the District of Columbia that is subject to a NOx budget trading

program under Section IIO(c) or Section 126 ofthe Clean Air Act.

(uuu) "State trading program budget" means the total number of NOx tons

apportioned to all NOx budget units in the state, in accordance with the

NOx budget trading program, for use in a given control period.

(vvv) "Submit" or "serve" means to send or transmit a document, information,

or correspondence to the person specified in accordance with the

applicable regulation:

(i) In person;

(ii) By United States postal service; or

(iii) By other means of dispatch or transmission and delivery.

Compliance with any submission, service, or mailing deadline

shall be determined by the date of dispatch, transmission, or

mailing and not the date ofreceipt.

(www) "Title V operating permit" means a permit issued under Chapter

3745-77 ofthe Administrative Code.

(xxx) "Title V operating permit regulations" means Chapters 3745-77 and

3745-78 ofthe Administrative Code.

(yyy) "Ton" or "tonnage" means any "short ton" (i.e., two thousand pounds).
3745-14-01 14

For the purpose of determining compliance with the NOx budget

emissions limitation, total tons for a control period shall be calculated

as the sum of all recorded hourly emissions (or the tonnage equivalent

of the recorded hourly emissions rates) in accordance with rule

3745-14-08 ofthe Administrative Code, with any remaining fraction of

a ton equal to or greater than 0.50 ton deemed to equal one ton and any

fraction of a ton less than 0.50 ton deemed to equal zero tons.

(zzz) "Unit" means a fossil fuel-fired stationary boiler, combustion turbine, or

combined cycle system.

(aaaa) "Unit operating day" means a calendar day in which a unit combusts

any fuel.

(bbbb) "Unit operating hour" or "hour of unit operation" means any hour (or

fraction of an hour) during which a unit combusts any fuel.

(cccc) "Utilization" means the heat input (expressed in mmBtu/time) for a

unit. The unit's total heat input for the control period in each year shall

be determined in accordance with 40 CFR Part 75 if the NOx budget

unit was otherwise subject to the requirements of 40 CFR Part 75 for

the year, or shall be based on the best available data reported to the

administrator for the unit if the unit was not otherwise subject to the

requirements of 40 CFR Part 75 for the year.

(3) As used in rule 3745-14-11 of the Administrative Code (pertaining to NOx

budget program requirements for portland cement manufacturing):

(a) "Clinker" means the product of a portland cement kiln from which

finished cement is manufactured by milling and grinding.

(b) "Long dry kiln" means a kiln fourteen feet or larger in diameter, four

hundred feet or greater in length, which employs no preheating of the

feed. The inlet feed to the kiln is dry.

(c) "Long wet kiln" means a kiln fourteen feet or larger in diameter, four

hundred feet or greater in length, which employs no preheating of the

feed. The inlet feed to the kiln is a slurry.

(d) "Low-NOx burners" means combustion equipment designed to reduce

flame turbulence, delay fuel/air mixing, and establish fuel-rich zones

for initial combustion.
3745-14-01 15

(e) "Malfunction" means any sudden, infrequent, and not reasonably

preventable failure of air pollution control equipment, process

equipment, or a process to operate in a normal or usual manner.

Failures that are caused in part by poor maintenance or careless

operation are not malfunctions.

(f) "Mid-kiln system firing" means the secondary firing in kilns by injecting

solid fuel at an intermediate point in the kiln system using a specially

designed feed injection mechanism for the purpose of decreasing NOx

emissions through:

(i) Burning part ofthe fuel at a lower temperature; and

(ii) Reducing conditions at the solid fuel injection point that may

destroy some of the NOx formed upstream in the kiln burning

zone.

(g) "Portland cement" means a hydraulic cement produced by pulverizing

clinker consisting essentially of hydraulic calcium silicates, usually

containing one or more of the forms of calcium sulfate as an

interground addition.

(h) "Portland cement kiln" means a system, including any solid, gaseous or

liquid fuel combustion equipment, used to heat, calcine and fuse raw

materials, including limestone and clay, to produce portland cement

clinker.

(i) "Precalciner kiln" means a kiln system where the feed to the kiln is

preheated in cyclone chambers which utilize a second burner to calcine

material in a separate vessel attached to the preheater prior to the final

fusion in a kiln which forms clinker.

0) "Preheater kiln" means a kiln system where the feed to the kiln is

preheated in cyclone chambers prior to the final fusion in a kiln which

forms clinker.

(k) "Shutdown" means the cessation of operation of a portland cement kiln

for any purpose.

(1) "Startup" means the setting in operation of a portland cement kiln for any

purpose.
3745-14-01 16

(4) As used in rule 3745-14-12 of the Administrative Code (pertaining to NOx

budget program requirements for stationary internal combustion engines):

(a) "Affected engine" means any stationary internal combustion engine that is

a large NOx SIP call engine, or other stationary internal combustion

engine that is subject to NOx control under a compliance plan

established pursuant to paragraph (B) of rule 3745-14-12 of the

Administrative Code.

(b) "Engine seasonal NOx 2007 tonnage reduction" means the year 2007

control period NOx emissions reductions value for a large NOx SIP call

engine which is calculated as the difference between the 2007 base

NOx emissions and the 2007 budget NOx emissions contained in the

NOx SIP call engine inventory. The total engine seasonal NOx 2007

tonnage reduction for all large NOx SIP call engines in Ohio is 2730

tons.

(c) "Facility seasonal NOx 2007 tonnage reduction" means the total of the

engine seasonal NOx 2007 tonnage reductions attributable to all of an

owner/operator's large NOx SIP call engines.

(d) "Large NOx SIP call engine" means a stationary internal combustion

engine identified and designated as "large" in the NOx SIP call engine

inventory (as defined in paragraph (B)(4)(e) of this rule) as emitting

more than one ton of NOx emissions per average control period day in

1995.

(e) "NOx SIP call engine inventory" means the inventory of internal

combustion engines compiled by the United States environmental

protection agency as part of the NOx SIP call rule, including the

Federal Register notice entitled "Technical Amendment to the Finding

of Significant Contribution and Rulemaking for Certain States for

Purposes of Reducing Regional Transport of Ozone," and the

adjustment ofthe 2007 budget NOx control efficiency to eighty-two per

cent for large gas-fired engines discussed in the Federal Register notice

entitled "Interstate Ozone Transport: Response to Court Decisions on

the NOX SIP Call, NOX SIP Call Technical Amendments, and Section

126 Rules."

(f) "Past NOx emission rate" means the emission rate of an affected engine in

grams per brake horsepower-hour as determined by performance testing

consistent with the requirements of 40 CFR Part 60, Appendix A.
3745-14-01 17

Where such performance test data are not available, the appropriate past

NOx emission rate shall be evaluated and approved or denied by the

director on a case-by-case basis using, for example, appropriate

emission factors or data from the NOx SIP call engine inventory. For

large NOx SIP call engines, the past NOx emission rate is the

uncontrolled emission rate.

(g) "Projected operating hours" means the projected actual number of hours

of operation per control period for an affected engine.

(h) "Projected NOx emission rate" means the projected emission rate in

grams per brake horsepower-hour after installation of controls on an

affected engine.

(i) "Stationary internal combustion engine" means any internal combustion

engine ofthe reciprocating type that is either attached to a foundation at

a facility or is designed to be capable of being carried or moved from

one location to another and remains at a single site at a building,

structure, facility, or installation for more than twelve consecutive

months. Any engine (or engines) that replaces an engine at a site that is

intended to perform the same or similar function as the engine replaced

is included in calculating the consecutive time period.

(C) Applicability.

(I) The following units shall be NOx budget units, and any source that includes one

or more such units shall be a NOx budget source, subject to the requirements

ofthis chapter:

(a) For EGUs:

(i) For units, other than cogeneration units, that commenced operation

before January 1, 1997, a unit serving during 1995 or 1996 a

generator that had a nameplate capacity greater than twenty-five

MWe and produced electricity for sale under a firm contract to

the electric grid;

(ii) For units, other than cogeneration units, that commenced operation

on or after January 1, 1997 and before January 1, 1999, a unit

serving during 1997 or 1998 a generator that had a nameplate

capacity greater than twenty-five MWe and produced electricity

for sale under a firm contract to the electric grid; and
3745-14-01 18

(iii) For units, other than cogeneration units, that commence operation

on or after January 1, 1999, a unit serving at any time a generator

that has a nameplate capacity greater than twenty-five MWe and

produces electricity for sale.

(iv) For cogeneration units:

(a) For units commencing operation before January 1, 1997, a

unit serving during 1995 or 1996 a generator with a

nameplate capacity greater than twenty-five MWe and

failing to qualify as an unaffected unit under 40 CFR

72.6(b)(4) for 1995 or 1996 under the "Acid Rain

Program;"

(b) For units commencing operation in 1997 or 1998, a unit

serving during 1997 or 1998 a generator with a nameplate

capacity grater than twenty-five MWe and failing to qualify

as an unaffected unit under 40 CFR 72.6(b)(4) for 1997 or

1998 under the "Acid Rain Program;"

(c) For units commencing operation on or after January 1, 1999, a

unit serving at any time a generator with a nameplate

capacity greater than twenty-five MWe and failing to

qualify as an unaffected unit under 40 CFR 72.6(b)(4) under

the "Acid Rain Program" for any year.

(b) For non-EGUs:

(i) For units, other than cogeneration units, that commenced operation

before January 1, 1997, a unit that has a maximum design heat

input greater than two hundred fifty mmBtu per hour and that did

not serve during 1995 or 1996 a generator producing electricity

for sale under a firm contract to the electric grid;

(ii) For units, other than cogeneration units, that commenced operation

on or after January 1, 1997 and before January 1, 1999, a unit that

has a maximum design heat input greater than two hundred fifty

mmBtu per hour and that did not serve during 1997 or 1998 a

generator producing electricity for sale under a firm contract to

the electric grid;

(iii) For units, other than cogeneration units, that commence operation
3745-14-01 19

on or after January 1, 1999, a unit with a maximum design heat

input greater than two hundred fifty mmBtu per hour that:

(a) At no time serves a generator producing electricity for sale; or

(b) At any time serves a generator producing electricity for sale, if

any such generator has a nameplate capacity of twenty-five

MWe or less and has the potential to use no more than fifty

per cent of the potential electrical output capacity of the

unit.

(iv) For cogeneration units:

(a) For units commencing operation before January I, 1997, a

unit with a maximum design heat input greater than two

hundred fifty mmBtu per hour and qualifying as an

unaffected unit under 40 CFR n.6(b)(4) under the "Acid

Rain Program" for 1995 and 1996;

(b) For units commencing operation in 1997 or 1998, a unit with a

maximum design heat input greater than two hundred fifty

mmBtu per hour and qualifYing as an unaffected unit under

40 CFR n.6(b)(4) under the "Acid Rain Program" for 1997

and 1998;

(c) For units commencing on or after January 1, 1999, a unit with

a maximum design heat input greater than two hundred fifty

mmBtu per hour and qualifying as an unaffected unit under

40 CFR n.6(b)(4) under the "Acid Rain Program" for each

year.

(2) The following units shall be exempt from the requirements of the NOx budget

trading program:

(a) Any unit to which Chapter 3745-109 ofthe Administratiye Code applies.

[Comment: The above exemption applies to units under paragraph

(C)(l) of this rule or units under paragraph (A) of rule 3745-14-09 of

the Administratiye Code, for any ozone season to which 40 CFR

51.1210:) applies. Ohio EPA is inserting this language because the

United States environmental protection agency will not administer the

NOx SIP Call trading program after 2008 (see 40 CFR 51.1210:)). In

order to continue to meet the Ohio's NOx SIP Call obligations. Ohio
3745-14-01 20

has chosen to expand the applicability of Ohio's CArR program as it

pertains to the CAIR ozone season rules (rules 3745-109-01 and

3745-109-15 to 3745-109-21 of the Administrative Code) to cover all

units that would otherwise be covered by Ohio's NOx SIP Call trading

program (see 40 CFR 51.123(bb)(I) and (3)).

The federal CAIR program was vacated by the D.C. Circuit Court of

Appeals on July 1J. 2008. The court then remanded. without vacatur.

the federal CAIR program on December 23, 2008 allowing the full

operation of the federal CArR program and Ohio's CArR program

beginning with the January J. 2009 control period. The court's remand

requires the United States environmental protection agency to provide

for remedy of certain flaws identified by the court in the original

vacatur. An effective federal CArR trading program is necessary for the

operation of Ohio's CArR program. Should the United States

environmental protection agency eliminate or suspend the CArR

program, units under paragraph (C)(l) of this rule or units under

paragraph (A) of rule 3745-14-09 of the Administrative Code would

need to meet the requirements ofthis chapter following the elimination

or suspension of the federal CArR program, provided that 40 CFR

51.121(r) no longer applies and the Administrator will cavy out the

functions set forth for the Administrator in this chapter.]

W.Qil. A unit under paragraph (C)(I) of this rule that has a federally

enforceable permit that includes a NOx emission limitation restricting

NOx emissions during a control period to twenty-five tons or less and

restricts the unit to burning only natural gas or fuel oil during a control

period in 2004 or later and that includes the special provisions in

paragraph (C)(2)WW of this rule shall be exempt from the

requirements of the NOx budget trading program, except for the

provisions of this paragraph, paragraphs (B), (C)(I) and (F) of this rule

and rules 3745-14-05 to 3745-14-07 of the Administrative Code. The

NOx emission limitation under this paragraph shall restrict NOx

emissions during the control period by one ofthe following methods:

(i) A restriction on unit operating hours calculated by dividing the

federally enforceable emission limitation, in tons, determined in

accordance with paragraph (C)(2)W.Qil. of this rule, by the unit's

maximum potential hourly NOx mass emissions, which shall

equal the unit's maximum rated hourly heat input multiplied by

the highest default NOx emission rate applicable to the unit under

40 CFR 75.19(c), Table LM-2; or

(ii) A restriction on unit fuel usage calculated by dividing the federally
3745-14-01 21

enforceable emiSSIOn limitation, in tons, determined in

accordance with paragraph (C)(2)Ea)® of this rule, by the

product of the heat value of the fuel to be used multiplied by the

default NOx emission rate for the fuel to be used as specified in

40 CFR 75.19(c), Table LM-2.

tat1£) The exemption under paragraph (C)(2)Ea)® of this rule shall become

effective as follows:

(i) The exemption shall become effective on the date on which the NOx

emission limitation and the special provisions in the permit under

paragraph (C)(2)Ea)® ofthis rule become final; or

(ii) If the NOx emission limitation and the special provisions in the

permit under paragraph (C)(2)W.(!l) of this rule become final

during a control period and after the first date on which the unit

operates during such control period, then the exemption shall

become effective on May first of such control period, provided

that such NOx emission limitation and the special provisions

apply to the unit as of such first date of operation. If such NOx

emission limitation and special provisions do not apply to the unit

as of such first date of operation, then the exemption under

paragraph (C)(2)Ea)® of this rule shall become effective on

October first of the year during which such NOx emission

limitation and the special provisions become final.

fe1@ The director shall provide the Administrator written notice of the

issuance of any permit under paragraph (C)(2)Ea)® of this rule and,

upon request, a copy ofthe permit.

ftI1W The following special provisions apply to units exempt under

paragraph (C)(2)Ea)® ofthis rule.

(i) A unit exempt under paragraph (C)(2)Ea)® ofthis rule shall comply

with the restriction on unit operating hours and fuel use described

in paragraph (C)(2)Ea)® of this rule during the control period in

each year. .

(ii) NOx allowances shall be allocated to the unit in accordance with

paragraphs (B)(l) to (B)(3) and (C)(l) to (C)(3) of rule

3745-14-05 of the Administrative Code. For each control period

for which the unit is allocated NOx allowances under this

paragraph:
3745-14-01 22

(a) The owners and operators of the unit must specify a general

account, in which the administrator will record the NOx

allowances; and

(b) After the administrator records a NOx allowance allocation

under paragraphs (B)(l) to (B)(3) and (C)(l) to (C)(3) of

rule 3745-14-05 of the Administrative Code, the

administrator will deduct, from the general account under

paragraph (C)(2)WW(ii)(a) of this rule, NOx allowances

that are allocated for the same or a prior control period as

the NOx allowances allocated to the unit under paragraphs

(B)(l) to (B)(3) and (C)(l) to (C)(3) of rule 3745-14-05 of

the Administrative Code and that equal the NOx emission

limitation (in tons of NOx) on which the unit's exemption

under paragraph (C)(2)W® ofthis rule is based. The NOx

authorized account representative shall ensure that such

general account contains the NOx allowances necessary for

completion ofsuch deduction.

(iii) A unit exempt under paragraph (C)(2)W® ofthis rule shall report

hours of unit operation or fuel usage during the control period in

each year to the director by November first ofthat year.

(iv) For a period of five years from the date the records are created, the

owners and operators of a unit exempt under paragraph

(C)(2)W® ofthis rule shall retain, at the source that includes the

unit, records demonstrating that the conditions of the federally

enforceable permit under paragraph (C)(2)W.(]ll of this rule were

met, including the restrictions on unit operating hours and fuel

usage. The five-year period for keeping records may be extended

for cause, at any time prior to the end ofthe period, in writing by

the director or the administrator. The owners and operators bear

the burden of proof that the unit met the restriction on unit

operating hours and fuel use.

(v) The owners and operators and, to the extent applicable, the NOx

authorized account representative of a unit exempt under

paragraph (C)(2)W® of this rule shall comply with the

requirements of the NOx budget trading program concerning all

periods·for which the exemption is not in effect, even if such

requirements arise, or must be complied with, after the exemption

takes effect.
3745-14-01 23

(vi) On the earlier ofthe following dates, a unit exempt under paragraph

(C)(2)WDil ofthis rule shall lose its exemption:

(a) The date on which the restriction on unit operating hours and

fuel use described in paragraph (C)(2)WDil of this rule is

removed from the unit's federally enforceable permit or

otherwise becomes no longer applicable to any control

period starting in 2004; or

(b) The first date on which the unit fails to comply, or with regard

to which the owners and operators fail to meet their burden

of proving that the unit is complying, with the restriction on

unit operating hours and fuel use described in paragraph

(C)(2)WDil ofthis rule during any control period starting in

2004.

(vii) A unit that loses its exemption in accordance with paragraph

(C)(2)WW(vi) ofthis rule shall be subject to the requirements of

this chapter. For the purpose of applying permitting requirements

under rule 3745-14-03 of the Administrative Code, allocating

allowances under rule 3745-14-05 of the Administrative Code,

and applying monitoring requirements under rule 3745-14-08 of

the Administrative Code, the unit shall be treated as commencing

operation and, if the unit is covered by paragraph (C)(I)WDil of

this rule, commencing commercial operation on the date the unit

loses its exemption.

(viii) A unit that is exempt under paragraph (C)(2)wDil of this rule is

not eligible to be a NOx budget opt-unit under rule 3745-14-09 of

the Administrative Code.

(D) Retired unit exemption.

(I) This rule applies to any NOx budget unit, other than a NOx budget opt-in unit,

that is permanently retired.

(2) Standard provisions.

(a) Any NOx budget unit, other than a NOx budget opt-in unit, that is

permanently retired shall be exempt from the NOx budget trading

program, except for the provisions of this rule and rules 3745-14-05 to

3745-14-07 ofthe Administrative Code.
3745-14-01 24

(b) The exemption under paragraph (D)(2)(a) of this rule shall become

effective the day on which the unit is permanently retired. Within thirty

days of permanent retirement, the NOx authorized account

representative of the unit shall submit a statement to the director. A

copy of the statement shall be submitted to the administrator. The

statement shall state (in a format prescribed by the director) that the unit

is permanently retired and will comply with the requirements of

paragraph (D)(3) ofthis rule.

(c) After receipt of the statement under paragraph (D)(2)(b) of this rule, the

director shall amend any permit covering the source at which the unit is

located to add the provisions and requirements of the exemption under

paragraphs (D)(2)(a) and (D)(3) ofthis rule.

(3) Special provisions.

(a) A unit exempt under paragraph (D) of this rule shall not emit any NOx,

starting on the date that the exemption takes effect.

(b) The director shall allocate NOx allowances under rule 3745-14-05 of the

Administrative Code to a unit exempt under paragraph (D) of this rule.

For each control period for which the unit is allocated one or more NOx

allowances, the owners and operators ofthe unit shall specifY a general

account, in which the administrator will record such NOx allowances.

(c) For a period offive years from the date the records are created, the owners

and operators of a unit exempt under paragraph (D) of this rule shall

retain at the source that includes the unit, records demonstrating that the

unit is permanently retired. The five-year period for keeping records

may be extended for cause, at any time prior to the end ofthe period, in

writing by the director or the administrator. The owners and operators

bear the burden ofproofthat the unit is permanently retired.

(d) The owners and operators and, to the extent applicable, the NOx

authorized account representative of a unit exempt under this rule shall

comply with the requirements of the NOx budget trading program

concerning all periods for which the exemption is not in effect, even if

such requirements arise, or must be complied with, after the exemption

takes effect.

(e) Returning retired units to service.
3745-14-01 25

(i) A unit exempt under paragraph (D) of this rule and located at a

source that is required, or but for this exemption would be

required, to have a Title V operating permit shall not resume

operation unless the NOx authorized account representative ofthe

source submits a complete NOx budget permit application for the

unit not less than twelve months before the later of May I, 2004

or the date on which the unit resumes operation.

(ii) A unit exempt under paragraph (D) of this rule and located at a

source that is required, or but for this exemption would be

required, to have a non-Title V permit shall not resume operation

unless the NOx authorized account representative of the source

submits a complete NOx budget permit application for the unit

not less than twelve months before the later ofMay 1, 2004 or the

date on which the unit is to first resume operation.

(f) On the earlier ofthe following dates, a unit exempt under paragraph (D) of

this rule shall lose its exemption:

(i) The date on which the NOx authorized account representative

submits a NOx budget permit application under paragraph

(D)(3)(e) ofthis rule;

(ii) The date on which the NOx authorized account representative is

required under paragraph (D)(3)(e) of this rule to submit a NOx

budget permit application; or

(iii) The date on which the unit resumes operation, if the unit is not

required to submit a NOx budget permit application.

(g) For the purpose of applying monitoring requirements under rule

3745-14-08 of the Administrative Code, a unit that loses its exemption

under paragraph (D) of this rule shall be treated as a unit that

commences operation or commercial operation on the first date on

which the unit resumes operation.

(h) A unit that is exempt under paragraph (D) ofthis rule is not eligible to be

a NOx budget opt-in unit under rule 3745-14-09 of the Administrative

Code.

(E) Standard requirements.
3745-14-01

(l) Permit requirements.

26

(a) The NOx authorized account representative of each NOx budget unit or

NOx budget source required to have a federally enforceable permit for

the unit or source shall: .

(i) Submit to the director a complete NOx budget permit application in

accordance with the deadlines specified in paragraphs (B)(2) and

(B)(3) ofrule 3745-14-03 ofthe Administrative Code;

(ii) Submit in a timely manner any supplemental information that the

director determines is necessary in order to review a NOx budget

permit application and issue or deny a NOx budget permit.

(b) The owners and operators of each NOx budget unit or source required to

have a federally enforceable permit shall have a NOx budget permit

issued by the director and operate the unit in compliance with such

NOx budget permit.

(c) The owners and operators of a NOx budget source that is not otherwise

required to have a federally enforceable permit are not required to

submit a NOx budget permit application, and to have a NOx budget

permit for such NOx budget source.

(2) Monitoring requirements.

(a) The owners and operators and, to the extent applicable, the NOx

authorized account representative of each NOx budget source and each

NOx budget unit at the source shall comply with the monitoring

requirements ofrule 3745-14-08 ofthe Administrative Code.

(b) The emissions measurements recorded and reported in accordance with

rule 3745-14-08 of the Administrative Code shall be used to determine

compliance by the unit with the NOx budget emissions limitation under

paragraph (E)(3) ofthis rule.

(3) NOx allowances.

(a) The owners and operators of each NOx budget source and each NOx

budget unit at the source shall hold NOx allowances available for

compliance deductions under paragraph (E) of rule 3745-14-06 of the
3745-14-01 27

Administrative Code, as ofthe NOx allowance transfer deadline, in the

unit's compliance account and the source's overdraft account in an

amount not less than the total NOx emissions for the control period

from the unit, as determined in accordance with rule 3745-14-08 ofthe

Administrative Code, plus any amount necessary to account for actual

utilization under paragraph (C)(5) of rule 3745-14-05 of the

Administrative Code for the control period.

(b) Each ton of NOx emitted in excess of the NOx budget emiSSIOns

limitation shall constitute a separate violation ofthis chapter, the Clean

Air Act, and applicable Ohio law.

(c) A NOx budget unit shall be subject to the requirements under paragraph

(E)(3)(a) ofthis rule starting on the later ofMay 31, 2004 or the date on

which the unit commences operation.

(d) NOx allowances shall be held in, deducted from, or transferred among

NOx allowance tracking system accounts in accordance with rules

3745-14-05, 3745-14-06, 3745-14-07 and 3745-14-09 of the

Administrative Code.

(e) A NOx allowance shall not be deducted, in order to comply with the

requirements under paragraph (E)(3)(a) ofthis rule, for a control period

in a year prior to the year for which the NOx allowance was allocated.

(f) A NOx allowance allocated by the director under the NOx budget trading

program is a limited authorization to emit one ton of NOx in

accordance with the NOx budget trading program. No provision of the

NOx budget trading program, the NOx budget permit application, the

NOx budget permit, or an exemption under paragraph (C)(2) or (D) of

this rule and no provision of law shall be construed to limit the

authority of the United States or the state of Ohio to terminate or limit

such authorization.

(g) A NOx allowance allocated by the director under the NOx budget trading

program does not constitute a property right.

(h) Upon recordation by the administrator under rules 3745-14-06 and

3745-14-07 of the Administrative Code, every allocation, transfer, or

deduction of a NOx allowance to or from a NOx budget unit's

compliance account or the overdraft account of the source where the

unit is located is deemed to amend automatically, and become a part of,

any NOx budget permit of the NOx budget unit by operation of law
3745-14-01

without any further review.

28

(4) The owners and operators of a NOx budget unit that has excess emissions in any

control period shall:

(a) Surrender the NOx allowances required for deduction under paragraph

(E)(4)(a) ofrule 3745-14-06 ofthe Administrative Code; and

(b) Pay any fine, penalty, or assessment or comply with any other remedy

imposed under paragraph (E)(4)(c) of rule 3745-14-06 of the

Administrative Code.

(5) Record keeping and reporting requirements.

(a) Unless otherwise provided, the owners and operators of a NOx budget

source and each NOx budget unit at the source shall keep on site at the

source, or at a central location in Ohio for unattended sources, each of

the following documents for a period of five years from the date the

document is created: (This period may be extended for cause, at any

time prior to the end of five years, in writing by the director or the

administrator. Records for unattended sources retained at a central

location shall be available immediately at the central location upon the

request ofthe director or administrator and within three days following

receipt of a written request from the director or administrator.)

(i) The account certificate of representation for the NOx authorized

account representative for the source and each NOx budget unit at

the source and all documents that demonstrate the truth of the

statements in the account certificate of representation, in

accordance with paragraph (D) of rule 3745-14-02 of the

Administrative Code, provided that the certificate and documents

shall be retained on site at the source beyond such five-year

period until such documents are superseded because of the

submission of a new account certificate of representation

changing the NOx authorized account representative;

(ii) All emissions monitoring information, in accordance with rule

3745-14-08 ofthe Administrative Code;

(iii) Copies of all reports, compliance certifications, and other

submissions and all records made or required under the NOx

budget trading program; and
3745-14-01 29

(iv) Copies of all documents used to complete a NOx budget pennit

application and any other submission under the NOx budget

trading program or to demonstrate compliance with the

requirements ofthe NOx budget trading program.

(b) The NOx authorized account representative of a NOx budget source and

each NOx budget unit at the source shall submit the reports and

compliance certifications required under the NOx budget trading

program, including those under rules 3745-14-04, 3745-14-08 and

3745-14-09 ofthe Administrative Code.

(6) Liability.

(a) Any person who knowingly violates any requirement or prohibition ofthe

NOx budget trading program, a NOx budget pennit, or an exemption

under paragraph (C)(2) or (D) of this rule shall be subject to

enforcement pursuant to applicable state and federal law.

(b) Any person who knowingly makes a false material statement in any

record, submission, or report under the NOx budget trading program

shall be subject to criminal enforcement pursuant to applicable state and

federal law.

(c) No pennit revision shall excuse any violation of the requirements of the

NOx budget trading program that occurs prior to the date that the

revision takes effect.

(d) Each NOx budget source and each NOx budget unit shall meet the

requirements ofthe NOx budget trading program.

(e) Any provision of the NOx budget trading program that applies to a NOx

budget source (including a provision applicable to the NOx authorized

account representative of a NOx budget source) shall also apply to the

owners and operators ofsuch source and ofthe NOx budget units at the

source.

(f) Any provision of the NOx budget trading program that applies to a NOx

budget unit (including a provision applicable to the NOx authorized

account representative of a NOx budget unit) shall also apply to the

owners and operators of such unit. Except with regard to the

requirements applicable to units with a common stack under rule

3745-14-08 of the Administrative Code, the owners and operators and
3745-14-01 30

the NOx authorized account representative of one NOx budget tmit

shall not be liable for any violation by any other NOx budget unit of

which they are not owners or operators or the NOx authorized account

representative and that is located at a source of which they are not

owners or operators or the NOx authorized account representative.

(7) No provision of the NOx budget trading program, a NOx budget permit

application, a NOx budget permit, or an exemption under paragraph (C)(2) or

(D) ofthis rule shall be construed as exempting or excluding the owners and

operators and, to the extent applicable, the NOx authorized account

representative of a NOx budget source or NOx budget unit from compliance

with any other provision of the applicable, approved state implementation

plan, a federally enforceable permit, or the Clean Air Act.

(F) Computation oftime.

(1) Unless otherwise stated, any time period scheduled, under the NOx budget

trading program, to begin on the occurrence of an act or event shall begin on

the day the act or event occurs.

(2) Unless otherwise stated, any time period scheduled, under the NOx budget

trading program, to begin before the occurrence of an act or event shall be

computed so that the period ends the day before the act or event occurs.

(3) Unless otherwise stated, if the final day of any time period under the NOx

budget trading program, except for the control period defined in paragraph

(B)(2)(r) ofthis rule, falls on a weekend or a state or federal holiday, the time

period shall be extended to the next business day.

(G) Incorporation by reference. This chapter includes references to certain matter or

materials. The text of the incorporated materials is not included in the regulations

contained in this chapter. The materials are hereby made a part ofthe regulations in

this chapter. For materials subject to change, only the specific version specified in

the regulation are incorporated. Material is incorporated as it exists on the effective

date ofthis rule. Except for subsequent annual publication of existing (unmodified)

Code of Federal Regulation compilations, any amendment or revision to a

referenced document is not incorporated unless and until this rule has been

amended to specify the new dates.

(I) Availability. The materials incorporated by reference are available as follows:

(a) Clean Air Act as defined in this rule. Information and copies may be
3745-14-01 31

obtained by writing to: "Superintendent of Documents, Attn: New

Orders, PO Box 371954, Pittsburgh, PA 15250-7954." The full text of

the Act as amended in 1990 is also available in electronic format at

www.epa.gov/oar/caal. A copy of the Act is also available for

inspection and copying at most public libraries and "The State Library

of Ohio."

(b) Code of Federal Regulations. Information and copies may be obtained by

writing to: "Superintendent of Documents, Attn: New Orders, PO Box

371954, Pittsburgh, PA 15250-7954." The full text of the CFR is also

available in electronic format at www.access.gpo.gov/naralcfr/. The

CFR compilations are also available for inspection and copying at most

Ohio public libraries and "The State Library ofOhio."

(c) Ohio EPA weekly review. Information and copies may be obtained by

writing to: "Ohio EPA Legal Department, 122 S. Front Street,

Columbus, Ohio, 43125." The full text of the Ohio EPA Weekly

Review is also available in electronic format at

www.epa.state.oh.us/legallpubnote.htmll. The Ohio EPA Weekly

Review compilations are also available for inspection and copying at

most Ohio public libraries and "The State Library ofOhio."

(d) Federal Registrar. Information and copies may be obtained by writing to:

"Superintendent of Documents, Attn: New Orders, PO Box 371954,

Pittsburgh, PA 15250-7954." Text of the Federal Register is also

available in electronic format at www.gpoaccess.gov/fr/index.html. The

Federal Register is also available for inspection and copying at most

Ohio public libraries and "The State Library of Ohio."

(e) American Society for Testing Materials (ASTM). Information and copies

may be obtained by writing to: "ASTM International, 100 Bar Harbor

Drive, P.O. Box C700, West Conshohocken, Pennsylvania

19426-2959." These documents are available for purchase at

www.astm.org. ASTM documents are also generally available at local

public libraries and "The State Library of Ohio."

(2) Incorporated materials.

(ft) 40 CPR 52.3 4; "AefieR eR reaaeRs stfflffiittee tH1eer seefieR 126 re1atiflg

te effiissieRs ef Ritregefl eldees;" 64 FR 28318,MflJ' 25, 1999, as

llI1'1eReeellt 64 FR 33961, JmIe 24,1999; 65 PR 2042, Jllfl. 13,2000; 65

FR 2726, Jllfl. 18,2000; 69 PR 31505, JtIfle 3, 2004.
3745-14-01 32

fb:IDD 40 CFR 51.121; "Findings and requirements for submission of State

implementation plan revisions relating to emissions of oxides of

nitrogen;"63 FR 57491, Oct. 27, 1998, as amended at 63 FR 71225,

Dec. 24, 1998; 64 FR 26305, May 14, 1999; 65 FR 11230, Mar. 2,

2000; 65 FR 56251, Sept. 18,2000 ; 69 FR 21642, Apr. 21, 2004; 70

FR 25317, May 12,2005; 70 FR 51597, Aug. 31,2005.73 FR 21538.

Apr. 22. 2008.

(11) 40 CFR 52.34: "Action on petitions submitted under section 126 relating

to emissions of nitrogen oxides:" 64 FR 28318. May 25. 1999. as

amended at 64 FR 33961, June 24, 1999; 65 FR 2042. Jan. 13,2000; 65

FR 2726. Jan. 18. 2000; 69 FR 31505. June 3. 2004.

(c) 40 CFR Part 60; "Standards of Performance for New Stationary Sources;"

as published in the July I,;ww. 2008 Code ofFederal Regulations.

(d) 40 CFR Part 60, Appendix A; "Test Methods 1 through 29;" as published

in the July 1,;ww. 2008 Code ofFederal Regulations.

(e) 40 CFR Part 72; "Permits Regulation;" as published in the July 1, ;ww.

2008 Code ofFederal Regulations.

(f) 40 CFR 72.2; "Definitions;" as published in the July 1,;ww. 2008 Code of

Federal Regulations.

(g) 40 CFR 72.6; "Applicability;" 58 FR 3650, Jan. II, 1993, as amended at

58 FR 15648, Mar. 23, 1993; 62 FR 55475, Oct. 24, 1997; 64 FR

28588, May 26, 1999; 66 FR 12978, Mar. 1,2001, .

(h) 40 CFR Part 75; "Continuous Emission Monitoring;" as published in the

July 1,;ww. 2008 Code ofFederal Regulations.

(i) 40 CFR 75.10; "General operating requirements;" 58 FR 3701, Jan. 11,

1993, as amended at 60 FR 26519, May 17, 1995; 64 FR 28590, May

26,1999; 67 FR 40422, June 12,2002; 70 FR 28678, May 18,2005.

(j) 40 CFR 75.11; "Specific provisions for monitoring S02 emissions (S02

and flow monitors);" 58 FR 3701, Jan. 11, 1993, as amended at 60 FR

26520, 26566, May 17, 1995; 61 FR 59157, Nov. 20, 1996; 63 FR

57499, Oct. 27, 1998; 64 FR 28590, May 26, 1999; 67 FR 40423, June

12,2002, 73 FR 4342. Jan. 24. 2008.
3745-14-01 33

(k) 40 CFR 75.17; "Specific provisions for monitoring emissions from

common, bypass, and multiple stacks for NOX emission rate;" 58 FR

3701, Jan. 11, 1993, as amended at 60 FR 26523, May 17, 1995; 63 FR

57499, Oct. 27, 1998; 64 FR 28592, May 26, 1999; 67 FR 40424, June

12, 2002, 73 FR 4343, Jan. 24, 2008.

(I) 40 CFR 75.19; "Optional S02, NOX, and C02 emissions calculation for

low mass emissions (LME) units;" 63 FR 57500, Oct. 27, 1998, as

amended at 64 FR 28592, May 26, 1999; 64 FR 37582, July 12, 1999;

67 FR 40424, 40425, June 12, 2002; 67 FR 53504, Aug. 16, 2002, 73

FR 4344. Jan. 24. 2008.

(m) 40 CFR 75.20; "Initial certification and recertification procedures;" 58

FR 3701, Jan. 11, 1993, as amended at 60 FR 26524, May 17, 1995; 60

FR 40296, Aug. 8, 1995; 61 FR 59158, Nov. 20, 1996; 63 FR 57506,

Oct. 27, 1998; 64 FR 28592, May 26, 1999; 67 FR 40431, June 12,

2002; 70 FR 28678, May 18,2005.72 FR 51527, Sept. 7, 2007: 73 FR

4345,Jan.24.2008.

(n) 40 CFR 75.21; "Quality assurance and quality control requirements;" 58

FR 3701, Jan. 11, 1993, as amended at 60 FR 26527,26566, May 17,

1995; 61 FR 25582, May 22, 1996; 61 FR 59159, Nov. 20,1996; 64 FR

28599, May 26, 1999; 67 FR 40433, June 12,2002; 67 FR 53505, Aug.

16,2002; 70 FR 28679, May 18,2005.73 FR 4345. Jan. 24. 2008.

(0) 40 CFR 75.34; "Units with add-on emission controls;" 60 FR 26567, May

17, 1995, as amended at 61 FR 59160, Nov. 20, 1996; 64 FR 28604,

May 26, 1999; 67 FR 40438, June 12, 2002. 73 FR 4348. Jan. 24. 2008.

(P) 40 CFR 75.61; "Notifications;" 60 FR 26538, May 17, 1995, as amended

at 61 FR 25582, May 22, 1996; 61 FR 59162, Nov. 22, 1996; 64 FR

28620, May 26, 1999; 67 FR 40442, 40443, June 12,2002,73 FR 4356.

Jan. 24, 2008.

(q) 40 CFR 75.62; "Monitoring plan submittals;" 58 FR 3701, Jan. 11, 1993,

as amended at 60 FR 26539, May 17, 1995; 64 FR 28621, May 26,

1999; 67 FR 40443, June 12,2002,73 FR 4356, Jan. 24. 2008.

(r) 40 CFR 75.64; "Quarterly Reports;" 64 FR 28622, May 26, 1999, as

amended at 67 FR 40444, June 12,2002.73 FR 4357. Jan. 24, 2008.

(s) 40 CFR 75.66; "Petitions to the Administrator;" 58 FR 3701, Jan. 11,
3745-14-01 34

1993, as amended at 60 FR 26540, 26569, May 17, 1995; 61 FR 59162,

Nov. 20, 1996; 64 FR 28623, May 26, 1999; 67 FR 40444, June 12,

2002.73 FR 4358. Jan. 24. 2008.

(t) 40 CFR 75.70; "NOX mass emissions provisions;" 63 FR 57507, Oct. 27,

1998, as amended at 64 FR 28624, May 26, 1999; 67 FR 40444, June

12,2002.

(u) 40 CFR 75.71; "Specific provisions for monitoring NOX and heat input

for the purpose of calculating NOX mass emissions;" 63 FR 57508,

Oct. 27, 1998, as amended at 64 FR 28624, May 26, 1999; 67 FR

40444, 40445, June 12, 2002; 67 FR 53505, Aug. 16, 2002. 73 FR

4358 Jan. 24. 2008.

(v) 40 CFR 75.72; "Determination of NOX mass emissions;" 63 FR 57507,

Oct. 27, 1998, as amended at 67 FR 40445, June 12,2002.73 FR 4358.

Jan. 24. 2008.

(w) 40 CFR 75.74; "Annual and ozone season monitoring and reporting

requirements;" 63 FR 57507, Oct. 27, 1998, as amended at 64 FR

28627, May 26, 1999; 67 FR 40446, 40447, June 12, 2002; 67 FR

57274, Sept. 9, 2002. 73 FR 4360. Jan. 24. 2008.

(x) 40 CFR Part 75, Appendix A; "Specifications and Test Procedures;" as

published in the July 1,;WW: 2008 Code ofFederal Regulations.

(y) 40 CFR Part 75, Appendix B; "Quality Assurance and Quality Control

Procedures;" 58 FR 3701, Jan. 11, 1993, as amended at 60 FR 26546,

26571, May 17, 1995; 61 FR 59165, Nov. 20, 1996; 64 FR 28644, May

26, 1999; 64 FR 37582, July 12, 1999; 67 FR 40456, 40457, June 12,

2002; 67 FR 53505, Aug. 16,2002; 67 FR 57274, Sept. 9, 2002; 70 FR

28693, May 18, 2005, 72 FR 51528. Sept. 7. 2007; 73 FR 4367. Jan.

24.2008.

(z) 40 CFR Part 75, Appendix D; "Optional S02 Emissions Data Protocol for

Gas-Fired and Oil-Fired Units;" 58 FR 3701, Jan. 11, 1993, as amended

at 60 FR 26548,26551, May 17, 1995; 61 FR 25585, May 22, 1996; 61

FR 59166, Nov. 20, 1996; 63 FR 57513, Oct. 27, 1998; 64 FR

28652-28663, May 26, 1999; 64 FR 37582, July 12, 1999; 67 FR

40460, 40472, June 12, 2002; 67 FR 53505, Aug. 16, 2002. 73 FR

4369. Jan. 24. 2008.
3745-14-01 35

(aa) 40 CFR Part 75, Appendix E; "Optional NOX Emissions Estimation

Protocol for Gas-Fired Peaking Units and Oil-Fired Peaking Units;" 58

FR 3701, Jan. 11, 1993, as amended at 60 FR 26551-26553, May 17,

1995; 64 FR 28665, May 26, 1999; 67 FR 40473, 40474, June 12,

2002; 67 FR 53505, Aug. 16,2002,73 FR 4372. Jan. 24. 2008.

(bb) 40 CFR Part 75, Appendix F; "Conversion Procedures;" 58 FR 3701,

Jan. 11, 1993; Redesignated and amended at 60 FR 26553-26556,

26571, May 17,1995; 61 FR 25585, May 22,1996; 61 FR 59166, Nov.

20, 1996; 63 FR 57513, Oct. 27, 1998; 64 FR 28666-28671, May 26,

1999; 64 FR 37582, July 12, 1999; 67 FR 40474, 40475, June 12,2002;

67 FR 53505, Aug. 16,2002.70 FR 28695, May 18, 2005: 73 FR 4372.

Jan. 24. 2008.

(cc) 40 CFR Part 75, Subpart D; "Missing Data Substitution Procedures;" as

published in the July 1, '2OO't 2.Q.Q.8. Code ofFederal Regulations.

(dd) 40 CFR Part 75, Subpart E; "Alternative Monitoring Systems;" as

published in the July I, '2OO't 2008 Code ofFederal regulations.

(ee) 40 CFR Part 75, Subpart F; "Recordkeeping Requirements;" as published

in the July I, '2OO't 2008 Code ofFederal Regulations.

(ff) 40 CFR Part 75, Subpart G; "Reporting Requirements;" as published in

the July 1, '2OO't 2008 Code ofFederal Regulations.

(gg) 40 CFR Part 75, Subpart H; "NOX mass emissions provisions;" as

published in the July I, '2OO't 2008 Code ofFederal Regulations.

(hh) ASTM D6522-00(2005); "Standard Test Method for Determination of

Nitrogen Oxides, Carbon Monoxide, and Oxygen Concentrations in

Emissions from Natural Gas-Fired Reciprocating Engines, Combustion

Turbines, Boilers, and Process Heaters Using Portable Analyzers;"

approved February 10,2000, reapproved October I, 2005.

(ii) Clean Air Act, as contained in 42 USC 7401 to 7671q; "Air Pollution

Prevention and Control; " published January 3, 2.QQ1 in

8t1\'lplemeflt IV efthe WOO 2006 edition ofthe United States Code.

OJ) "Interstate Ozone Transport: Response to Court Decisions on the NOX

SIP Call, NOX SIP Call Technical Amendments, and Section 126
3745-14-01 36

Rules;" 69 FR 21603 to 69 FR 21648, April 21, 2004,

(kk) Section 110 of the Clean Air Act; contained in 42 USC 7410; "State

implementation plans for national primary and secondary ambient air

quality standards;" published January 3, 2007 in Sl:lllflleffieat IV

efthe;woo 2006 Edition ofthe United States Code,

(II) Section 126 of the Clean Air Act; contained in 42 USC 7426; "Interstate

pollution abatement;" published January 3, 2007 in Sl:lllflleffieflt

fV-ef the ;WOO 2006 Edition ofthe United States Code,

(mm) Section 502 ofthe Clean Air Act; contained in 42 USC 7661a; "Permit

programs;" published January 3, 2007 in Sl:lllflleffieflt IV ef the

;WOO 2006 Edition ofthe United States Code,

(nn) "Technical Amendment to the Finding of Significant Contribution and

Rulemaking for Certain States for Purposes of Reducing Regional

Transport ofOzone;" 65 FR 11222 to 65 FR 11231, March 2, 2000,

(00) Title IV of the Clean Air Act, contained in 42 USC 7651 to 76510;

"Acid deposition control;" published January 3, 2007 in

Sl:lflflleffieat Pi efthe ;WOO 2006 Edition ofthe United States Code,

(pp) Title V of the Clean Air Act, contained in 42 USC 7661 to 7661f;

"Permits;" published January 3, 2007 in Sl:lllflleffieflt IV ef the

;WOO 2006 Edition ofthe United States Code,

(qq) USEPA Method I; contained in 40 CFR Part 60, Appendix A; "Sample

and velocity traverses for stationary sources;" as published in the July I,

WG'7 2008 Code ofFederal Regulations,

(rr) USEPA Method 2; contained in 40 CFR Part 60, Appendix A;

"Determination ofstack gas velocity and volumetric flow rate (Type S

pitot tube);" as published in the July I, WG'7 2008 Code of Federal

Regulations,

(ss) USEPA Method 3; contained in 40 CFR Part 60, Appendix A; "Gas

analysis for the determination of dry molecular weight;" as published in

the July I, WG'7 2008 Code ofFederal Regulations,

(tt) USEPA Method 4; contained in 40 CFR Part 60, Appendix A;"

Determination of moisture content in stack gases;" as published in the
3745-14-01 37

July 1, 2008 Code ofFederal Regulations.

(uu) USEPA Method 7; contained in 40 CFR Part 60, Appendix A;

"Determination of nitrogen oxide emissions from stationary sources;"

as published in the July 1, 2.Q!lli Code ofFederal Regulations.

(vv) USEPA Method 7a; contained in 40 CFR Part 60, Appendix A;

"Determination of nitrogen oxide emissions from stationary sources-Ion

chromatographic method;" as published in the July 1, 2.Q!lli Code

ofFederal Regulations.

(ww) USEPA Method 7c; contained in 40 CFR Part 60, Appendix A;

"Determination of nitrogen oxide emissions from stationary

sources-Alkaline-permanganate/colorimetric method;" as published in

the July 1, 2008 Code ofFederal Regulations.

(xx) USEPA Method 7e; contained in 40 CFR Part 60, Appendix A;

"Detennination of Nitrogen Oxides Emissions From Stationary Sources

(Instrumental Analyzer Procedure);" as published in the July 1,

2008 Code ofFederal Regulations.
3745-14-01

Effective:

R.C. 119.032 review dates:

CERTIFIED ELECTRONICALLY

Certification

10/08/2010

Date

Promulgated Under:

Statutory Authority:

Rule Amplifies:

Prior Effective Dates:

10/18/2010

07/19/2013

119.03

3704.03(E)

3704.03(A), 3704.03(D), 3704.03(E)

5/25/04,517105,7/19/08

38
ACTION: Final I DATE: 10/08/2010 8:07 AM I

3745-14-06 The NOx allowance tracking system.

[Comment: For dates of non-regulatory government publications, publications of

recognized organizations and associations, federal rules, and federal statutory provisions

referenced in this rule, see the "Incorporation by Reference" section at the end of rule

3745-14-01 ofthe Administrative Code.]

(A) NOx allowance tracking system accounts.

(1) Consistent with paragraph (B)(l) of this rule, the administrator shall establish

one compliance account for each NOx budget unit and one overdraft account

for each source with two or more NOx budget units. Allocations of NOx

allowances pursuant to rule 3745-14-05 or 3745-14-09 of the Administrative

Code and deductions or transfers of NOx allowances pursuant to paragraphs

(E) and (G) of this rule, paragraph (B) of rule 3745-14-04, and rules

3745-14-07 and 3745-14-09 of the Administrative Code shall be recorded in

the compliance accounts or overdraft accounts in accordance with this rule.

(2) Consistent with paragraph (B)(2) of this rule, the administrator shall establish,

upon request, a general account for any person. Transfers of allowances

pursuant to rule 3745-14-07 of the Administrative Code shall be recorded in

the general account in accordance with this rule.

(B) Establishment of accounts.

(I) Upon receipt of a complete account certificate of representation, the

administrator shall establish:

(a) A compliance account for each NOx budget unit for which the account

certificate ofrepresentation was submitted; and

(b) An overdraft account for each source for which the account certificate of

representation was submitted and that has two or more NOx budget

units.

(2) General accounts.

(a) Any person may apply to open a general account for the purpose of

holding and transferring allowances. An application for a general

account may designate one and only one NOx authorized account

representative and one and only one alternate NOx authorized account

representative who may act on behalf of the NOx authorized account

representative. The agreement by which the alternate NOx authorized

account representative is selected shall include a procedure for

po; 1'(1'
3745-14-06 2

authorizing the alternate NOx authorized account representative to act

in lieu of the NOx authorized account representative. A complete

application for a general account shall be submitted to the administrator

and shall include the following elements in a format prescribed by the

administrator: .

(i) Name, mailing address, e-mail address (if any), telephone number,

and facsimile transmission number (if any) ofthe NOx authorized

account representative and any alternate NOx authorized account

representative;

(ii) At the option of the NOx authorized account representative,

organization name and type of organization;

(iii) A list of all persons subject to a binding agreement for the NOx

authorized account representative or any alternate NOx

authorized account representative to represent their ownership

interest with respect to the allowances held in the general account;

(iv) The following certification statement by the NOx authorized

account representative and any alternate NOx authorized account

representative:

"I certify that I was selected as the NOx authorized account

representative or the NOx alternate authorized account

representative, as applicable, by an agreement that is binding on

all persons who have an ownership interest with respect to NOx

allowances held in the general account. I certify that I have all the

necessary authority to carry out my duties and responsibilities

under the NOx budget trading program on behalf ofsuch persons

and that each such person shall be fully bound by my

representations, actions, inactions, or submissions and by any

order or decision issued to me by the Administrator or a court

regarding the general account."

(v) The signature ofthe NOx authorized account representative and any

alternate NOx authorized account representative and the dates

signed.

Unless otherwise required by the director or the administrator,

documents of agreement referred to in the account certificate of

representation shall not be submitted to the director or the

administrator. Neither the director nor the administrator shall be

under any obligation to review or evaluate the sufficiency ofsuch
3745-14-06 3

documents, ifsubmitted.

(b) Upon receipt by the administrator of a complete application for a general

account under paragraph (B)(2)(a) ofthis rule:

(i) The administrator shall establish a general account for the person or

persons for whom the application is submitted.

(ii) The NOx authorized account representative and any alternate NOx

authorized account representative for the general account shall

represent and, by his or her representations, actions, inactions, or

submissions, legally bind each person who has an ownership

interest with respect to NOx allowances held in the general

account in all matters pertaining to the NOx budget trading

program, notwithstanding any agreement between the NOx

authorized account representative or any alternate NOx

authorized account representative and such person. Any such

person shall be bound by any order or decision issued to the NOx

authorized account representative or any alternate NOx

authorized account representative by the administrator or a court

regarding the general account.

(iii) Any representation, action, inaction or submission by an alternate

NOx authorized account representative shall be deemed to be a

representation, action, inaction or submission by the NOx

authorized account representative.

(iv) Each submission concerning the general account shall be

submitted, signed, and certified by the NOx authorized account

representative or any alternate NOx authorized account

representative for the persons having an ownership interest with

respect to NOx allowances held in the general account. Each such

submission shall include the following certification statement by

the NOx authorized account representative or any alternate NOx

authorized account representative:

"I am authorized to make this submission on behalf ofthe persons

having an ownership interest with respect to the NOx allowances

held in the general account. I certify under penalty of law that I

have personally examined, and am familiar with, the statements

and information submitted in this document and all its

attachments. Based on my inquiry of those individuals with

primary responsibility for obtaining the information, I certify that
3745-14-06 4

the statements and information are to the best of my knowledge

and belief true, accurate, and complete. I am aware that there are

significant penalties for submitting false statements and

information or omitting required statements and information,

including the possibility offine or imprisonment."

(v) The administrator shall accept or act on a submission concerning the

general account only if the submission has been made, signed,

and certified in accordance with paragraph (B)(2)(b)(iv) of this

rule.

(c) Change of NOx authorized account representative or alternate NOx

authorized account representative.

(i) The NOx authorized account representative for a general account

may be changed at any time upon receipt by the administrator of a

superseding complete application for a general account under

paragraph (B)(2)(b) of this rule. Notwithstanding any such

change, all representations, actions, inactions, and submissions by

the previous NOx authorized account representative prior to the

time and date when the administrator receives the superseding

application for a general account shall be binding on the new

NOx authorized account representative and the persons with an

ownership interest with respect to the allowances in the general

account.

(ii) The alternate NOx authorized account representative for a general

account may be changed at any time upon receipt by the

administrator of a superseding complete application for a general

account under paragraph (B)(2)(b) of this rule. Notwithstanding

any such change, all representations, actions, inactions, and

submissions by the previous alternate NOx authorized account

reprcsentative prior to the time and date when the administrator

receives the superseding application for a general account shall be

binding on the new alternate NOx authorized account

representative and the persons with an ownership interest with

respect to the allowances in the general account.

(d) Change in owners.

(i) In the event a new person having an ownership interest with respect

to NOx allowances in the general account is not included in the

list of such persons in the account certificate of representation,

such new person shall be deemed to be subject to and bound by
3745-14-06 5

the account certificate of representation, the representation,

actions, inactions, and submissions of the NOx authorized

account representative and any alternate NOx authorized account

representative of the source or unit, and the decisions, orders,

actions, and inactions of the administrator, as if the new person

were included in such list.

(ii) Within thirty days following any change in the persons having an

ownership interest with respect to NOx allowances in the general

account, including the addition of persons, the NOx authorized

account representative or any alternate NOx authorized account

representative shall submit a revision to the application for a

general account amending the list of persons having an ownership

interest with respect to the NOx allowances in the general account

to include the change.

(e) Administrator's reliance on general account application.

(i) Once a complete application for a general account has been

submitted and received, the administrator shall rely on the

application unless and until a superseding complete application

for a general account is received by the administrator.

(ii) Except as provided in paragraph (B)(2)(d) of this rule, no objection

or other communication submitted to the administrator

concerning the authorization, or any representation, action,

inaction, or submission of the NOx authorized account

representative or any alternate NOx authorized account

representative for a general account shall affect any

representation, action, inaction, or submission of the NOx

authorized account representative or any alternate NOx

authorized account representative or the finality of any decision

or order by the administrator under the NOx budget trading

program.

(iii) The administrator shall not adjudicate any private legal dispute

concerning the authorization or any representation, action,

inaction, or submission of the NOx authorized account

representative or any alternate NOx authorized account

representative for a general account, including private legal

disputes concerning the proceeds ofNOx allowance transfers.

(3) The administrator shall assign a unique identifying number to each account
3745-14-06

established under paragraph (B)(1) or (B)(2) ofthis rule.

6

(C) NOx allowance tracking system responsibilities of the NOx authorized account

representative.

(1) Following the establishment of a NOx allowance tracking system account, all

submissions to the administrator pertaining to the account, including, but not

limited to, submissions concerning the deduction or transfer of NOx

allowances in the account, shall be made only by the NOx authorized account

representative for the account.

(2) The administrator shall assign a unique identifYing number to each NOx

authorized account representative.

(D) Recording NOx allowance allocations.

(1) The administrator shall record the NOx allowances for 2004 in the NOx budget

unit's compliance accounts and the allocation set-asides, as allocated under

rule 3745-14-05 of this chapter. The administrator shall also record the NOx

allowances allocated under paragraph (I)(1)(a) of rule 3745-14-09 of the

Administrative Code for each NOx budget opt-in unit in its compliance

account.

(2) Each year, after the administrator has made all deductions from a NOx budget

unit's compliance account and the overdraft account pursuant to paragraph

(E) of mle 3745-14-06 of the Administrative Code, the administrator shall

record NOx allowances, as allocated to the unit under mle 3745-14-05 ofthe

Administrative Code or paragraph (I)(1)(b) of rule 3745-14-09 of the

Administrative Code, in the compliance account for the year after the last

year for which allowances were previously allocated to the compliance

account. Each year, the administrator shall also record NOx allowances, as

allocated under rule 3745-14-05 ofthe Administrative Code, in the allocation

set-aside for the year after the last year for which allowances were previously

allocated to an allocation set-aside.

(3) When allocating NOx allowances to and recording them in an account, the

administrator shall assign each NOx allowance a unique identification

number that shall include digits identifYing the year for which the NOx

allowance is allocated.

(E) Compliance.
3745-14-06 7

(l) The NOx allowances are available to be deducted for compliance with a unit's

NOx budget emissions limitation for a control period in a given year only if

the NOx allowances:

(a) Were allocated for a control period in a prior year or the same year; and

(b) Are held in the unit's compliance account, or the overdraft account ofthe

source where the unit is located, as of the NOx allowance transfer

deadline for that control period or are transferred into the compliance

account or overdraft account by a NOx allowance transfer correctly

submitted for recording under paragraph (A) of rule 3745-14-07 of the

Administrative Code by the NOx allowance transfer deadline for that

control period.

(2) Deductions for compliance.

(a) Following the recording, in accordance with paragraph (B) of rule

3745-14-07 of the Administrative Code, of NOx allowance transfers

submitted for recording in the unit's compliance account or the

overdraft account of the source where the unit is located by the NOx

allowance transfer deadline for a control period, the administrator shall

deduct NOx allowances available under paragraph (E)(l) of this rule to

cover the unit's NOx emissions, as determined in accordance with rule

3745-14-08 of the Administrative Code, or to account for actual

utilization under paragraph (C)(5) of rule 3745-14-05 of the

Administrative Code, for the control period as follows:

(i) From the compliance account; and

(ii) Only if no more NOx allowances available under paragraph (E)(l)

of this rule remain in the compliance account, from the overdraft

account. [In deducting allowances for units at the source from the

overdraft account, the administrator shall begin with the unit

having the compliance account with the lowest NOx allowance

tracking system account number and end with the unit having the

compliance account with the highest NOx allowance tracking

system account number. Account numbers shall be sorted

beginning with the leftmost character and ending with the

rightmost character and the letter characters assigned values in

alphabetical order and less than all numeric characters.]

(b) The administrator shall deduct NOx allowances first under paragraph
3745-14-06 8

(E)(2)(a)(i) of this rule and then under paragraph (E)(2)(a)(ii) ofthis

rule:

(i) Until the number ofNOx allowances deducted for the control period

equals the number of tons of NOx emissions, determined in

accordance with rule 3745-14-08 of the Administrative Code,

from the unit for the control period for which compliance is being

determined, plus the number of NOx allowances required for

deduction to account for actual utilization under paragraph (C)(5)

of rule 3745-14-05 of the Administrative Code for the control

period; or

(ii) Until no more NOx allowances available under paragraph (E)(1) of

this rule remain in the respective account.

(3) Identification ofNOx allowances by serial number.

(a) The NOx authorized account representative for each compliance account

may identify by serial number the NOx allowances to be deducted from

the unit's compliance account under paragraph (E)(2), (E)(4), (E)(5) or

(E)(6) of this rule. Such identificationshall be made in the compliance

certification report submitted in accordance with paragraph (A) of rule

3745-14-04 ofthe Administrative Code.

(b) The administrator shall deduct NOx allowances for a control period from

the compliance account, in the absence of an identification or in the

case of a partial identification of NOx allowances by serial number

under paragraph (E)(3)(a) of this rule, or the overdraft account on a

first-in-first-out accounting basis in the following order:

(i) Those NOx allowances that were allocated for the control period to

the unit under rule 3745-14-05 or 3745-14-09 of the

Administrative Code;

(ii) Those NOx allowances that were allocated for the control period to

any unit and transferred and recorded in the account pursuant to

rule 3745-14-07 of the Administrative Code, in order of their

recorded date;

(iii) Those NOx allowances that were allocated for a prior control

period to the unit under rule 3745-14-05 or 3745-14-09 of the

Administrative Code; and
3745-14-06 9

(iv) Those NOx allowances that were allocated for a prior control

period to any unit and transferred and recorded in the account

pursuant to rule 3745-14-07 ofthe Administrative Code, in order

oftheir recorded date.

(4) Deductions for excess emissions.

(a) After making the deductions for compliance under paragraph (E)(2) of

this rule, the administrator shall deduct from the unit's compliance

account or the overdraft account ofthe source where the unit is located

a number of NOx allowances, allocated for a control period after the

control period in which the unit has excess emissions, equal to three

times the number ofthe unit's excess emissions.

(b) Ifthe compliance account or overdraft account does not contain sufficient

NOx allowances, the administrator shall deduct the required number of

NOx allowances (i.e., three times the number of the unit's excess

emissions) regardless of the control period for which they were

allocated whenever NOx allowances are recorded in either account.

(c) Any allowance deduction required under paragraph (E)(4)(a) or (E)(4)(b)

of this rule shall not affect the liability of the owners and operators of

the NOx budget unit for any fine, penalty, or assessment, or their

obligation to comply with any other remedy, for the same violation, as

ordered under the Clean Air Act or applicable state law. The following

guidelines shall be followed in assessing fines, penalties or other

obligations:

(i) For purposes of determining the number of days of violation, if a

NOx budget unit has excess emissions for a control period, each

day in the control period constitutes a day in violation unless the

owners and operators ofthe unit demonstrate that a lesser number

of days should be considered;

(ii) Each ton of excess emissions is a separate violation.

(d) For a unit with excess emissions for the 2008 control period. the

requirements of paragraphs (E)(4)(a) to (E)(4)(c) ofthis rule shall apply

except that the administrator shall deduct. from the compliance account

covering the unit in the CAIR NOx ozone season trading program (in

lieu of the accounts listed in paragraphs (E)(4)(a) and (E)(4)(b) of this

rule). CAIR NOx ozone season allowances (in lieu of NOx allowances
3745-14-06

under the NOx budget trading program).

10

(5) In the case of units sharing a common stack and having emissions that are not

separately monitored or apportioned in accordance with rule 3745-14-08 of

the Administrative Code:

(a) The NOx authorized account representative of the units may identify the

percentage of NOx allowances to be deducted from each such unit's

compliance account to cover the unit's share ofNOx emissions from the

common stack for a control period. Such identification shall be made in

the compliance certification report submitted in accordance with

paragraph (A) ofrule 3745-14-04 ofthe Administrative Code.

(b) Notwithstanding paragraph (E)(2)(b)(i) ofthis rule, the administrator shall

deduct NOx allowances for each such unit until the number of NOx

allowances deducted equals the unit's identified percentage, under

paragraph (E)(5)(a) of this rule, of the number of tons of NOx

emissions, as determined in accordance with rule 3745-14-08 of the

Administrative Code, from the common stack for the control period for

which compliance is being determined or, if no percentage is identified,

an equal percentage for each such unit, plus the number of allowances

required for deduction to account for actual utilization under paragraph

(C)(5) of rule 3745-14-05 of the Administrative Code for the control

period.

(6) Each year starting in 2005, after the administrator has completed the designation

of banked NOx allowances under paragraph (F)(1)(b) of this rule and before

May first of the year, the administrator shall determine the extent to which

banked NOx allowances otherwise available under paragraph (E)(1) of this

rule are available for compliance in the control period for the current year, as

follows:

(a) The administrator shall determine the total number of banked NOx

allowances held in compliance accounts, overdraft accounts, or general

accounts.

(b) If the total number of banked NOx allowances determined to be held in

compliance accounts, overdraft accounts, or general accounts is less

than or equal to ten per cent of the sum of the state trading program

budgets for the control period, any banked NOx allowance may be

deducted for compliance in accordance with paragraphs (E)(1) to (E)(5)

ofthis rule.
3745-14-06 II

(c) If the total number of banked NOx allowances determined to be held in

compliance accounts, overdraft accounts, or general accounts exceeds

ten per cent of the sum of the state trading program budgets for the

control period, any banked allowance may be deducted for compliance

in accordance with paragraphs (E)(I) to (E)(5) of this rule, except as

follows:

(i) The administrator shall determine the following ratio: 0.10

multiplied by the sum ofthe state trading program budgets for the

control period divided by the total number of banked NOx

allowances determined to be held in compliance accounts,

overdraft accounts, or general accounts.

(ii) The administrator shall multiply the number of banked NOx

allowances in each compliance account or overdraft account by

the ratio determined under paragraph (E)(6)(c)(i) ofthis rule. The

resulting product is the number of banked NOx allowances in the

account that may be deducted for compliance in accordance with

paragraphs (E)(l) to (E)(5) of this rule. Any banked NOx

allowances in excess ofthe resulting product may be deducted for

compliance in accordance with paragraphs (E)(l) to (E)(5) ofthis

rule, except that, if such NOx allowances are used to make a

deduction under paragraphs (E)(2) to (E)(5) of this rule, two

(rather than one) such NOx allowances shall authorize one ton of

NOx emissions during the control period and must be deducted

for each deduction of one NOx allowance required under

flflfltgffi\'lh paragraphs (E)(2) to (E)(5) ofthis rule.

(7) The administrator shall record in the appropriate compliance account or

overdraft account all deductions from such an account pursuant to paragraphs

(E)(2), (E)(4), (E)(5) and (E)(6) ofthis rule.

(F) Banking.

(I) NOx allowances shall be banked for future use or transfer in a compliance

account, an overdraft account, or a general account, as follows:

(a) Any NOx allowance that is held in a compliance account, an overdraft

account, or a general account shall remain in such account unless and

until the NOx allowance is deducted or transferred pursuant to

paragraphs (E) and (G) of this rule, paragraph (B) of rule 3745-14-04,

and rules 3745-14-07 and 3745-14-09 ofthe Administrative Code.
3745-14-06 12

(b) The administrator shall designate, as a "banked" NOx allowance, any

NOx allowance that remains in a compliance account, an overdraft

account, or a general account after the administrator has made all

deductions for a given control period from the compliance account or

overdraft account pursuant to paragraph (E) of this rule (except

deductions pursuant to paragraph (E)(4)(b) of this rule) and that were

allocated for that control period or a control period in a prior year.

(G) The administrator may, at his or her sole discretion and on his or her own motion,

correct any error in any NOx allowance tracking system account. Within ten

business days of making such correction, the administrator shall notif'y the NOx

authorized account representative for the account.

(H) Closing of general accounts.

(1) The NOx authorized account representative of a general account may instruct

the administrator to close the account by submitting a statement requesting

deletion of the account from the NOx allowance tracking system and by

correctly submitting for recording, under paragraph (A) ofrule 3745-14-07 of

the Administrative Code, an allowance transfer of all NOx allowances in the

account to one or more other NOx allowance tracking system accounts.

(2) If a general account shows no activity for a period of a year or more and does

not contain any NOx allowances, the administrator shall notif'y the NOx

authorized account representative for the account that the account will be

closed and deleted from the NOx allowance tracking system following twenty

business days after the notice is sent. The account shall be closed after the

twenty-day period unless, before the end of the twenty-day period, the

administrator receives a correctly submitted transfer of NOx allowances into

the account under paragraph (A) of rule 3745-14-07 of the Administrative

Code or a statement submitted by the NOx authorized account representative

demonstrating to the satisfaction of the administrator good cause as to why

the account should not be closed.
3745-14-06

Effective:

R.C. 119.032 review dates:

CERTIFIED ELECTRONICALLY

Certification

10/0812010

Date

Promulgated Under:

Statutory Authority:

Rule Amplifies:

Prior Effective Dates:

10118/2010

07/19/2013

119.03

3704.03(E)

3704.03(A), 3704.03(0), 3704.03(E)

7/18/02, 11124/03,7/19/08

13
Article II

Copy of Public Notice and

Director's Findings &Orders
Oi·"O BEFORE THE /, c.,P.di.

,,'"orT -,Q ? . .;, if)' I. ".c'" V L/}lll

OHIO ENVIRONMENTAL PROTECTION AG'E:lIIG't,i,.,- " -L.-i (" "" 1\ .j j"~ ,,. , vW~I~~1

In the Matter of: ""'."

The Adoption of amended

Rules 3745·14·01 and 3745·14·06

of the Administrative Code

Director's Final Findings and

Orders

I celiify this to be a true and accurate copy of the

ofi1ciai documents as filed in the records of the Ohio

Environmental Protection Agency.

FINDINGS AND ORDERS

The Director of Environmental Protection, having considered in compliance with the

Administrative Procedure Act the adoption, in final form, of the proposed amended rules of

the Ohio Administrative Code cited above, finds:

1. That due notice of a public hearing in this matter pursuant to the Administrative

Procedure Act was given, that a public hearing was held on December 1, 2009, in

Columbus, Ohio, and that all interested persons were afforded the opportunity to be

heard; and

2. That upon due consideration, the adoption, in final form, of the proposed amended

rules of the Ohio Administrative Code cited above, is reasonable and lawful and

within the purview of authority provided by law.

It is therefore

ORDERED that amended rules 3745-14-01 and 3745-14-06 of the Ohio

Administrative Code be adopted in final form.

It is further

ORDERED that the effective date of said amended rules shall be OCT 182010 -----"----

1
It is further

ORDERED that copies of these Findings and Orders and certified copies of said amended

rules, in final form, shall be filed with the Secretary of State, the Joint Committee on

Agency Rule Review, the Legislative Services Commission, and the Department of

Development's Office of Small and Developing Business, as required by law.

APPEAL RIGHTS

Notice is hereby given that this action of the Director is final and may be appealed to the

Environmental Review Appeals Commission pursuant to Section 3745.04 of the Ohio

Revised Code. The appeal must be in writing and set forth the action complained of and

the grounds upon which the appeal is based. The appeal must be filed with the

Commission within thirty (30) days after notice of the Director's action. The appeal must be

accompanied by a filing fee of $70.00 which the Commission, in its discretion, may reduce

if by affidavit you demonstrate that payment of the full amount of the fee would cause

extreme hardship. Notice of the filing of the appeal shall be filed with the Director within

three (3) days of filing with the Commission. Ohio EPA requests that a copy of the appeal

be served upon the Ohio Attomey General's Office, Environmental Enforcement Section.

An appeal may be filed with the Environmental Review Appeals Commission at the

following address:

Environmental Review Appeals Commission

309 South Fourth Street, Room 222

Columbus,OH 43215

Chris Korleski, Director

Ohio Environmental Protection Agency

Issued at Columbus, Ohio this 'if13. day of Oe.. -/;6) b.e.c

2

, 1..4>/D
IDATE: 10/08110 11:29 AM I

State of Ohio

Environmental Protection Agency

Notice of Adoption of Rules

Notice is hereby given that the Director of Environmental Protection, under the authority of

Ohio Revised Code Section 3704.03 has adopted amended rules 3745-14-01 and 3745-14-

06 (NOx SIP call) of the Ohio Administrative Code (OAC).

The primary purpose ofthis rulemaking is to amend rule language consisting ofthe addition

of new language in paragraph (C)(2)(a) of OAC rule 3745-14-01 and paragraph (E)(4)(d) of

OAC rule 3745-14-06. The change in the applicability exemption section ofOAC rule 3745-

14-01, was made to facilitate the transition of affected units from the NOx SIP call into the

Clean Air Interstate Rule (CAIR) program (OAC Chapter 3745-109) and to begin the

process of 'sunsetting" the parts of OAC Chapter 3745-14 which will no longer be needed.

New paragraph (E)(4)(d) in OAC rule 3745-14-06 was also added to deal with this transition

concerning any possible excess emissions in the 2008 compliance accounts.

Pursuant to Section 121.39 of the Ohio Revised Code, DAPC is required to consult with

interested parties affected by the rules before the division formal adopts them. On August

11, 2009, these rules went out for a 30 day review by interested parties. Pursuant to

Section 119.03 of the Ohio Revised Code, a pUblic hearing on these rule changes was

conducted on December 1, 2009 in Columbus, Ohio. There was one comment received

during the comment period and as a result Ohio EPA added a short "clarification sentence"

to the proposed language in OAC rule 3745-14-01. The addition of this sentence did not

change the substance or intent of the language. The Director's order of adoption was

issued on October 8, 2010. The effective date of these rules is October 18, 2010.

To request a copy of these rUles, obtain further information, or inspect or request copies of

agency files and records pertaining to the proceeding contact Lee Burkleca, Ohio EPA,

Division of Air Pollution Control, Lazarus Government Center, PO Box 1049, Columbus,

Ohio 43216-1049 or call Lee at 614-728-1344. The rules are available on the Web page for

electronic downloading. The URL is: http://epa.ohio.gov/dapc/regs/regs.aspx.

This action of the Director is final and may be appealed to the Environmental Review

Appeals Commission (ERAC) pursuant to Section 3745.04 of the Ohio Revised Code. The

appeal must be in writing and set forth the action complained of and the grounds upon

which the appeal is based. The appeal must be filed with ERAC within thirty (30) days after

notice of the Director's action, at 309 South Fourth Street, Suite 222, Columbus, Ohio

43215. Copies of the appeal must be served upon the Director ofthe Ohio EPA within three

(3) days of filing with ERAC. The appeal must be accompanied by a filing fee of $70.00

which the Commission, in its discretion, may reduce if by affidavit you demonstrate that

payment of the full amount of the fee would cause extreme hardship. Ohio EPA also

requests that a copy of the appeal be served upon the Environmental Enforcement Section

of the Ohio Attorney General's Office.
Article III

Evidence Ohio EPA

Followed Rule Adoption

Procedures
Evidence Ohio EPA Followed Rule Adoption Procedures

Ohio Revised Code (ORC) 119.03, Procedures for adoption, amendment, or rescission of

rules; finding that fiscal analysis is incomplete or inaccurate, outlines the requirements

Ohio EPA must follow during the rule-making process. A copy of ORC 119.03 can be

provided upon request. Ohio EPA fully complied with the requirements of this law and has

provided evidence on the major requirements below:

1. ORC 119.03(A): Reasonable public notice shall be given in the register of Ohio at

least 30 days prior to the date set for a hearing.

Ohio's electronic rule filing system automatically posts public notices in the Ohio

Register when rules are proposed. A copy of the Public Hearing notice can be

provided upon request. The Public Hearing notice was placed in the Ohio Register

on October 22, 2009. Ohio EPA held a public hearing on December 1, 2009 in

Columbus, Ohio. This hearing was held 30 days after the notice was placed in the

register. The ORC 119.03 requirements for pUblic notice contents were met as

evidenced by comparing the public notice and ORC 119.03 (A)(1 )-(4). In addition to

the Register of Ohio, Ohio EPA also placed an advertisement in the major

newspapers throughout the state. Copies can be provided upon request.

2. ORC 119.03(B): The required materials must be filed with the secretary of state and

the director of the legislative service commission (LSC).

Ohio's electronic filing system automatically generates a letterwhen all the required

elements have been uploaded on the system and the PClckage is proposed. This

letter is included (Attachment A).

Ohio EPA also complied with all requirements for incorporated materials. In

addition, the answers to questions eight and nine of each of the Rule Summary and

Fiscal Analysis (RSFA) documents are provided (Attachment B).

3. ORC 119.03(C): Conduct public hearings as advertised.

Ohio EPA conducted the public hearing on December 1, 2009 as identified in the

Public Hearing notice. A copy of the hearings transcript may be provided upon

request.

4. ORC 119.03(0): After the period of time when legislative review and invalidation

may occur expires, the agency may issue an order adopting the rule.

The Joint Committee on Agency Rule Review (JCARR) oversees agency rule

making in Ohio. A hearing was held with JCARR on September 13, 2010 where

these rules were placed on the consent agenda as item 33 (Attachment C). No

testimony, questions or invalidation of the rules occurred during this hearing.

JCARR jurisdiction expired on September 23,2010 as evidenced by the JCARR
consent agenda.

Ohio EPA issued the order to adopt the rules on October 8,2010 as evidenced by

the Director's Findings &Orders and the Public Notice (both contained in Article 2).

The Secretary of the State and Director of the LSC once again received a letter of

notice (Attachment D).

5. ORC 119.03(E): Provide notice to public prior to effective date of rules.

Ohio EPA provided an update of the adoption of the rules through the Ohio EPA

website and through an e-mail notice to all interested parties on October 8,2010. A

copy of these notifications can be provided upon request.

ORC 121.39, Provisions applicable to proposed legislation or administrative rules

concerning environmental protection, imposes further requirements for interested party

review specific to environmental rule adoption. Ohio EPA fully complied with the

requirements of this law and has provided evidence on the major requirements below:

1. ORC 121.39(B): Legislation dealing with the environment must be accompanied by

a statement identifying if it is necessary to comply with a federal requirement. It

must also include information on the estimated cost of compliance.

The RSFA and Environmental Rule Adoption/Amendment Form (ERAF) documents

are automatically generated questions that are part of the States electronic rule

filing system (Attachment B). The questions are intended to address the items in

ORC 121.39. As evidenced in Question 6 of the RSFA documents and item (C) of

the ERAF for the rule, Ohio EPA stated the adoption of this rule, or a version as

stringent as, is required by U.S. EPA. The RSFA documents also contain a section

entitled Fiscal Analysis which addresses potential costs. Our responses met the

requirements of this law as evidenced in the consent by JCARR who reviews these

documents.

2. ORC 121.39(D): Prior to adopting any environmental rule, the agency must consult

with interested parties, consider all documentation relevant to the need for the rule

making, identify any need to adopt in order to maintain approval to administer a

federal environmental law, and it must include an RSFA.

On August 11,2009, Ohio EPA notified interested parties via e-mail of the draft rule

language. A copy of the notification may be provided upon request. We provided a

30 day comment period closing September 11, 2009. The interested parties list

included Ohio EPA, DAPC's general rule making list. A copy of the e-mail and

interested party list will be provided upon request.

As evidenced in item (C) of the ERAF for each rule, Ohio EPA stated the adoption

of this rule is required in order to maintain approval to administer a federal

environmental law.
As evidenced in item (A) of the ERAF for each rule, Ohio EPA identified that it

considered all documentation relevant to the need for the rule making and identified

those documents in list form.
Article III

Attachment A

Letter to Secretary of State

and Director of LSC
Rule Fili

The Honorable Jennifer Brunner

secretary of State

180 E. Broad St., 15th Floor

Columbus,OH 43215

Mark Flanders, Director

Legislative Service Commission

77 South High St., 9th Floor

Columbus.OH 43215

William L. Hills, Executive Director

Joint Committee on Agency Rule Review

77 South High St.. Concourse Level

Columbus.OH 43215

Lisa PattMMcDaniel, Director

Department of Development

n South High St.. 27th Floor

Columbus,OH 43215

It is hereby confirmed that the Ohio Environmental Protection Agency original filed the following rule(s) pursuant to section 119.03 of

the Ohio Revised Code.

Package Number:

File Date and Time:

Confirmation Number:

ORIGINAL FILE

56477

10/22/200901:08 PM

5a3854b1d41 c49bfb8f6ff5adadOca40

Rule Number FYR? JE Date

3745-14-01

3745-14-06

Type

Amendment N

Amendment N

12/26/2009

12/26/2009

Eft Date Next FYR Tagline

Definitions and general provisions.

The NOx allowance tracking system.

Page 1
Article III

Attachment B

RSFAs
ACTION: Final I DATE: 10/08/20108:07 AM I

Rule Summary and Fiscal Analysis (Part A)

Ohio Environmental Protection Agency

Agency Name

Division of Air Pollution Control <DAPC)

Division

50 West Town Street. Suite 700 PO Box 1049

Columbus OR 43216-1049

Agency Mailing Address (Plus Zip)

Lee Burkleca

Contact

614-644-2270

Phone

614-644-3681

Fax

3745-14-01

Rule Number

Rule Title/Tag Line

AMENDMENT

TYPE of rule filing

Definitions and general provisions.

RULE SUMMARY

1. Is the rule being filed consistent with the requirements of the RC 119.032

review? No

2. Are you proposing this rule as a result of recent legislation? No

3. Statute prescribing the procedure in

accordance with the agency is required

to adopt the rule: 119.03

4. Statute(s) authorizing agency to

adopt the rule: 3704.03(E)

5. Statute(s) the rule, as filed, amplifies

or implements: 3704.03(A), 3704.03(D),

3704.03(E)

6. State the reason(s) for proposing (i.e., why are you filing,) this rule:

Amendments (new language) were needed in this rule as per US EPA's

recommendations to provide affected units transition from Ohio's NOx Budget

trading program into Ohio's CArR trading program beginning in 2009.

7. If the rule is an AMENDMENT, then summarize the changes and the content

of the proposed rule; If the rule type is RESCISSION, NEW or NO CHANGE,

then summarize the content of the rule:

PM
· Page 2 Rule Number: 3745-14-01

New paragraph (C)(2)(a) was added to rule 3745-14-01 ofthe Administrative Code.

8. If the rule incorporates a text or other material by reference and the agency

claims the incorporation by reference is exempt from compliance with sections

121.71 to 121.74 of the Revised Code because the text or other material is

generally available to persons who reasonably can be expected to be affected

by the rule, provide an explanation of how the text or other material is generally

available to those persons:

This rule contains references to the Ohio Administrative Code (OAC). While

copies ofthese rules and statutes are generally available to the public through

libraries and on-line sources, including the Ohio EPA website, ORC 121.76 (A)

exempts such references from the provisions ofORC 121.71 through 121.75.

This rule also contains references to the Code of Federal Regulations (CFR). These

rules are generally available through libraries, Ohio EPA and U.S. EPA websites.

CFR references have also been dated to reference the specific version ofthe rules.

ORC 121.75 (D) exempts such references from the requirements ofORC 121.71

through 121.74.

This rule also contains references to the Clean Air Act (CAA). Copies ofthe Act

are generally available through libraries, Ohio EPA and Government Printing

Office's websites. CAA references have also been dated to reference the specific

version ofthe rules. ORC 121.75 (D) exempts such references from the

requirements ofORC 121.71 through 121.74.

The rule also contains references to analytical test methods used to determine

parameters for materials subject to this rule or other materials utilized by regulators

and impacted parties to determine or achieve compliance with these rules. These

test methods and materials are commonly known and utilized by laboratories

performing this type of analytical work. Copies ofthese test methods are available

in libraries and the website for (ASTM, ANSI, NFPA, NACE, etc.).

Referenced materials are cited, dated and availability noted in the last paragraph of

this rule.

9. If the rule incorporates a text or other material by reference, and it was

infeasible for the agency to file the text or other material electronically, provide

an explanation of why filing the text or other material electronically was

infeasible:

"Not applicable".

10. If the rule is being rescinded and incorporates a text or other material by
Page 3 Rule Number: 3745-14-01

reference, and it was infeasible for the agency to file the text or other material,

provide an explanation of why filing the text or other material was infeasible:

Not Applicable.

11. If revising or refiling this rule, identify changes made from the previously

filed version of this rule; if none, please state so:

A minor language change for clarification was made in the beginning ofparagraph

(C)(2)(a) as the result of a comment received during the public comment period

from the affected parties.

12. 119.032 Rule Review Date: 7/19/2013

(If the rule is not exempt and you answered NO to question No.1, provide the

scheduled review date. If you answered YES to No.1, the review date for this

rule is the filing date.)

NOTE: If the rule is not exempt at the time of final filing, two dates are required:

the current review date plus a date not to exceed 5 years from the effective date

for Amended rules or a date not to exceed 5 years from the review date for No

Change rules.

FISCAL ANALYSIS

13. Estimate the total amount by which this proposed rule would increase I

decrease either revenues I expenditures for the agency during the current

biennium (in dollars): Explain the net impact of the proposed changes to the

budget of your agency/department.

This will have no impact on 'revenues or expenditures.

0.00

"Not applicable."

14. Identify the appropriation (by line item etc.) that authorizes each expenditure

necessitated by the proposed rule:

"Not applicable".

15. Provide a summary of the estimated cost of compliance with the rule to all

directly affected persons. When appropriate, please include the source for your

information/estimated costs, e.g. industry, CFR, internal/agency:
Page 4 Rule Number: 3745-14-01

There is no cost for compliance associated with this rule as it contains definitions

and information on the applicability ofthe rules to affected units.

16. Does this rule have a fiscal effect on school districts, counties, townships, or

municipal corporations? No

17. Does this rule deal with environmental protection or contain a component

dealing with environmental protection as defined in R. C. 121.39? Yes

You must complete the Environmental rule Adoption/Amendment Form in order to

comply with Am. Sub. 106 ofthe 121st General Assembly.
ACTION: Final

Page E-1

I DATE: 10/08/20108:07 AM I

Rule Number: 3745-14-01

Environmental Rule Adoption/Amendment Form

Pursuant to Am. Sub. H.B. 106 of the 121st General Assembly, prior to adopting a rule

or an amendment to a rule dealing with environmental protection, or containing a

component dealing with environmental protection, a state agency shall:

(1) Consult with organizations that represent political subdivisions, environmental

interests, business interests, and other persons affected by the proposed rule or

amendment.

(2) Consider documentation relevant to the need for, the environmental benefits or

consequences of, other benefits of, and the technological feasibility of the

proposed rule or rule amendment.

(3) Specifically identify whether the proposed rule or rule amendment is being adopted

or amended to enable the state to obtain or maintain approval to administer and

enforce a federal environmental law or to participate in a federal environmental

program, whether the proposed rule or rule amendment is more stringent than its

federal counterpart, and, if the proposed rule or rule amendment is more

stringent, the rationale for not incorporating its federal counterpart.

(4) Include with the proposed rule or rule amendment and rule summary and fiscal

analysis required to be filed with the Joint Committee on Agency Rule Review

information relevant to the previously listed requirements.

(A) Were organizations that represent political subdivisions, environmental

interests, business interests, and other persons affected by the proposed

rule or amendment consulted ? Yes

Please list each contact.

On August 11, 2009 a draft ofthis rule was submitted to interested parties for a

thirty day review and comment period. A list ofinterested parties can be provided

on request.

(B) Was documentation that is relevant to the need for, the environmental

benefits or consequences of, other benefits of, and the technological

feasibility of the proposed rule or amendment considered? Yes

Please list the information provided and attach a copy of each piece of

documentation to this form. (A SUMMARY OR INDEX MAY BE ATTACHED

IN LIEU OF THE ACTUAL DOCUMENTATION.)

Ohio EPA used internal review and discussion in concert with US EPA Region 5

and US EPA Clean Markets Division in the development ofthe amendments for

this rule.

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Page E-2 Rule Number: 3745-14-01

(C) Is the proposed rule or rule amendment being adopted or amended to enable

the state to obtain or maintain approval to administer and enforce a federal

environmental law or to participate in a federal environmental program?

Yes

Is the proposed rule or rule amendment more stringent than its federal

counterpart? No

(0) If this is a rule amendment that is being adopted under a state statute that

establishes standards with which the amendment is to comply, is the

proposed rule amendment more stringent than the rule that it is proposing

to amend? No

Not Applicable
ACTION: Final I DATE: 10108/2010 8:07 AM I

Rule Summary and Fiscal Analysis (Part A)

Ohio Environmental Protection Agency

Agency Name

Division ofAir Pollution Control WAPC)

Division

50 West Town Street. Suite 700 PO Box 1049

Columbus OH 43216-1049

Agency Mailing Address (Plus Zip)

Lee Btirkleca

Contact

614-644-2270

Phone

614-644-3681

Fax

3745-14-06

Rule Number

Rule Title/Tag Line

AMENDMENT

TYPE of rule filing

The NOx allowance tracking system.

RULE SUMMARY

1. Is the rule being filed consistent with the requirements of the RC 119.032

review? No

2. Are you proposing this rule as a result of recent legislation? No

3. Statute prescribing the procedure in

accordance with the agency is required

to adopt the rule: 119.03

4. Statute(s) authorizing agency to

adopt the rule: 3704.03(E)

5. Statute(s) the rUle, as filed, amplifies

or implements: 3704.03(A),3704.03(D),

3704.03(E)

6. State the reason(s) for proposing (I.e., why are you filing,) this rule:

Amendments were needed in this rule per US EPA's recommendations to cover

affected units transition from Ohio's NOx budget trading program into Ohio's CAIR

program beginning in 2009.

7. If the rule is an AMENDMENT, then summarize the changes and the content

of the proposed rule; If the rule type is RESCISSION, NEW or NO CHANGE,

then summarize the content of the rule:
Page 2 Rule Number: 3745-14-06

New paragraph (E)(4)(d) in OAC rule 3745-14-06 was added to deal with the

transition from the NOx budget program into Ohio's CAIR program concerning any

possible excess emissions in the 2008 compliance accounts.

8. If the rule incorporates a text or other material by reference and the agency

claims the incorporation by reference is exempt from compliance with sections

121.71 to 121.74 of the Revised Code because the text or other material is

generally available to persons who reasonably can be expected to be affected

by the rule, provide an explanation of how the text or other material is generally

available to those persons: .

This rule contains references to the Ohio Administrative Code (OAC). While

copies ofthese rules and statutes are generally available to the public through

libraries and on-line sources, including the Ohio EPA website, ORC 121.76 (A)

exempts such references from the provisions ofORC 121.71 through 121.75.

This rule also contains references to the Clean Air Act (CAA). Copies ofthe Act

are generally available through libraries, Ohio EPA and Government Printing

Office's websites. CAA references have also been dated to reference the specific

version ofthe mles. ORC 121.75 (D) exempts such references from the

requirements ofORC 121.71 through 121.74.

Referenced materials are cited, dated and availability noted in paragraph (G) ofrule

3745-14-01 ofthe Administrative Code.

9. If the rule incorporates a text or other material by reference, and it was

infeasible for the agency to file the text or other material electronically, provide

an explanation of why filing the text or other material electronically was

infeasible:

"Not applicable".

10. If the rule is being rescinded and incorporates a text or other material by

reference, and it was infeasible for the agency to file the text or other material,

provide an explanation of why filing the text or other material was infeasible:

Not Applicable.

11. If revising or refiling this rule, identify changes made from the previously

filed version of this rule; if none, please state so:

The rule was originally TBR'ed to keep it on the same jurisdictional timeframe as

the rest ofthis package. While the rule was TBR'ed, however, Ohio EPA took the
Page 3 Rule Number: 3745-14-06

opportunity to correct several minor LSC formatting issues including the removal

of excess spaces in the text and correcting the word "paragraphs" in paragraph

(E)(6)(c)(ii).

12. 119.032 Rule Review Date: 7/19/2013

(If the rule is not exempt and you answered NO to question No.1, provide the

scheduled review date. If you answered YES to No.1, the review date for this

rule is the filing date.)

NOTE: If the rule is not exempt at the time of final filing, two dates are required:

the current review date plus a date not to exceed 5 years from the effective date

for Amended rules or a date not to exceed 5 years from the review date for No

Change rules.

FISCAL ANALYS/S

13. Estimate the total amount by which this proposed rule would increase I

decrease either revenues I expenditures for the agency during the current

biennium (in dollars): Explain the net impact of the proposed changes to the

budget of your agency/department.

This will have no impact on revenues or expenditures.

0.00

"Not applicable".

14. Identify the appropriation (by line item etc.) that authorizes each expenditure

necessitated by the proposed rule:

"Not applicable".

15. Provide a summary of the estimated cost of compliance with the rule to all

directly affected persons. When appropriate, please include the source for your

information/estimated costs, e.g. industry, CFR, internal/agency:

There is no cost for compliance for this rule as its costs to affected persons have

been transferred into Ohio's CAIR program equivalent rule beginning in 2009.

16. Does this rule have a fiscal effect on school districts, counties, townships, or

municipal corporations? No
Page 4 Rule Number: 3745-14-06

17. Does this rule deal with environmental protection or contain a component

dealing with environmental protection as defined in R. C. 121.39? Yes

You must complete the Environmental rule Adoption!Amendment Form in order to

comply with Am. Sub. 106 ofthe 121st General Assembly.
ACTION: Final

Page E-1

I DATE: 10/08/20108:07 AM I

Rule Number: 3745-14-06

Environmental Rule Adoption/Amendment Form

Pursuant to Am. Sub. H.B. 106 of the 121st General Assembly. prior to adopting a rule

or an amendment to a rule dealing with environmental protection, or containing a

component dealing with environmental protection, a state agency shall:

(1) Consult with organizations that represent political subdivisions. environmental

interests. business interests. and other persons affected by the proposed rule or

amendment.

(2) Consider documentation relevant to the need for, the environmental benefits or

consequences of. other benefits of, and the technological feasibility of the

proposed rule or rule amendment.

(3) Specifically identify whether the proposed rule or rule amendment is being adopted

or amended to enable the state to obtain or maintain approval to administer and

enforce a federal environmental law or to participate in a federal environmental

program, whether the proposed rule or rule amendment is more stringent than its

federal counterpart. and, if the proposed rule or rule amendment is more

stringent. the rationale for not incorporating its federal counterpart.

(4) Include with the proposed rule or rule amendment and rule summary and fiscal

. analysis required to be filed with the Joint Committee on Agency Rule Review

information relevant to the previously listed requirements.

(A) Were organizations that represent political subdivisions, environmental

interests. business interests, and other persons affected by the proposed

rule or amendment consulted? Yes

Please list each contact.

On August 11, 2009 a draft ofthis rule was submitted to interested parties for a

thirty day review and comment period. A list of interested parties can be provided

on request.

(B) Was documentation that is relevant to the need for. the environmental

benefits or consequences of, other benefits of, and the technological

feasibility of the proposed rule or amendment considered? Yes

Please list the information provided and attach a copy of each piece of

documentation to this form. (A SUMMARY OR INDEX MAY BE ATTACHED

IN LIEU OF THE ACTUAL DOCUMENTATION.)

Ohio EPA used internal review and discussion in concert with US EPA Region 5

and US EPA Clean Markets Division in the development ofthe amendments for

this rule.

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Page E-2 Rule Number: 3745-14-06

(C) Is the proposed rule or rule amendment being adopted or amended to enable

the state to obtain or maintain approval to administer and enforce a federal

environmental law or to participate in a federal environmental program?

Yes

Is the proposed rule or rule amendment more stringent than its federal

counterpart? No .

(D) If this is a rule amendment that is being adopted under a state statute that

establishes standards with which the amendment is to comply, is the

proposed rule amendment more stringent than the rule that it is proposing

to amend? No

Not Applicable
Article III

Attachment C

JCARR Agenda
JOINT COMMITTEE ON AGENCY RULE REVIEW

Agenda - 9/13/2010 - 1:30 P.M.

Senate Finance Hearing Room (Finan Hearing Room)

FINAL AGENDA FINAL AGENDA

Consent

1 Department of Aging'

Total Rules: 1 Original Filing Date: 6/15/2010 Date of Reflled Filing: 8/18/2010 Jurisdiction Ends: 9/1712010

Rule Type Action FYR? Rule Number Rule Title

New Rule Refiled Filing No 173-39-02.20 Enhanced community living service.

2 Department of Aging •

Public Hearing: 9/2/2010

Total Rules: 2 Original Filing Date: 6/15/2010 Date of Reflled Filing: 8/19/2010 Jurisdiction Ends: 9/18/2010 Public Hearing: 9/2/2010

Rule Type Action EYB1 Rule Number Rule Title

Rescission Refiled Filing Yes 173-39-02.6 Emergency response system service.

New Rule Refiled Filing No 173-39-02.6 Emergency response service.

3 Department of Acina •

Total Rules: 2 Original Filing Date: 6/15/2010 Date of Refiled Filing: 8/27/2010 Jurisdiction Ends: 9/26/2010 Public Hearing: 9/212010

Rule Type Action EYB1 Rule Number Rule Title

Rescission Refiled Filing Yes 173-39-02.14 Home-delivered meal service.

New Rule Refiled Filing No 173-39-02.14 Home-delivered meal service.

4 Department of Alcohol and Drug Addiction Services' Credentialing Standards

Total Rules: 5 Original Filing Date: 7/23/2010 Jurisdiction Ends: 9/26/2010 Public Hearing: 8/30/2010

Rule Type Action EYB1 Rule Number Rule Title

Rescission Original Filing Yes 3793:3-1-01 Credentialing of chemical dependency counselors.

Rescission Original Filing Yes 3793:3-1-02 Certification/credentialing fees.

Rescission Original Filing Yes 3793:3-1-03 Chemical dependency counselor code of ethics.

Rescission Original Filing Yes 3793:3-1-04 Code of ethics for certified prevention professionals and applicants.

Rescission Original Filing Yes 3793:3-1-05 Certification of prevention specialists.

5 Department of Alcohol and Drug Addiction Services' Departmental Administration

JCARR 77 South High Street· Concourse Level· Columbus, Ohio 43215· (614) 466~4086· wwwJcarr.state.oh.us· Page 1· 9/13/2010
FINAL AGENDA

JOINT COMMITTEE ON AGENCY RULE REVIEW

9/13/2010 -1:30 P.M.

Senate Finance Hearing Room (Finan Hearing Room)

FINAL AGENDA

Total Rules: 1 Original Filing Date: 7/23/2010 Date of Revised Filing: 8/17/2010 Jurisdiction Ends: 9/26/2010 Public Hearing: 8/30/2010

Rule Type Action ITE1 Rule Number Rule Title

Amendment Revised Filing Yes 3793:1-1-01 Public hearing notice for administrative rules.

6 Department of Alcohol and Drug Addiction Services· Program Standards

Total Rules: 1 Original Filing Date: 7/20/2010 Date of Revised Filing: 8/18/2010 Jurisdiction Ends: 9/23/2010 Public Hearing: 8/27/2010

Rule Type Action FYR? Rule Number Rule Title

Amendment Revised Filing Yes 3793:2-1-08 Treatment services.

7 pepartment of Commerce· Division of Financial Institutions: Consumer Finance

Total Rules: 12 Original Filing Date: 7/19/2010

Rule Type Action FYR?

Rescission Original Filing Yes

Rescission Original Filing Yes

New Rule Original Filing No

Rescission Original Filing Yes

Rescission Original Filing Yes

New Rule Original Filing No

Rescission Original Filing Yes

New Rule Original Filing No

Rescission Original Filing Yes

Rescission Original Filing Yes

New Rule Original Filing No

Rescission Original Filing Yes

Total Rules: 1 Original Filing Date: 7/19/2010

Jurisdiction Ends: 9/22/2010 Public Hearing: 8/24/2010

Rule Number Rule Title

1301 :8-5-01 Liquid assets.

1301 :8-5-02 Advertising.

1301 :8-5-02 Advertising.

1301 :8-5-03 Notifications to the superintendent.

1301 :8-5-04 Obstruction of inspection; verification; recordkeeping.

1301 :8-5-04 Obstruction of inspection; statement to pledgor; authorized fees.

1301 :8-5-06 Purchase/repurchase transactions.

1301 :8-5-06 Purchases; list of property held for sale.

1301 :8-5-07 Purchases; list of property held for sale.

1301:8-5-08 Payments on a pawn loan.

1301:8-5-08 Continuing education.

1301 :8-5-09 Continuing education.

Date of ReWed Filing: 8/27/2010 Jurisdiction Ends: 9/26/2010 Public Hearing: 8/24/2010

Date of ReWed Filing: 9/1/2010

Rule Type Action FYR?

New Rule Refiled Filing No

Total Rules: 2 Original Filing Date: 7/19/2010

Rule Type Action ITE1

New Rule Refiled Filing No

New Rule Refiled Filing No

Rule Number

1301 :8-5-07

Rule Number

1301:8-5-01

1301:8-5-03

Rule Title

Payments on a pawn loan.

Jurisdiction Ends: 1011/2010

Rule Title

Definitions.

Notifications.

Public Hearing: 8/24/2010

JCARR 77 South High Street· Concourse Level- Columbus, Ohio 43215· (614) 466-4086· www.jcarr.state.oh.us' Page 2.9113/2010
FINAL AGENDA

JOINT COMMITTEE ON AGENCY RULE REVIEW

9/13/2010 -1:30 P.M.

Senate Finance Hearing Room (Finan Hearing Room)

FINAL AGENDA

8 Department of Job and Family Services· Division of Food Stamps

Total Rules: 1 Original Filing Date: 5/28/2010 Date of Refiled Filing: 8/16/2010 Jurisdiction Ends: 9/15/2010

Rule Type Action EYB1 Rule Number Rule Title

Amendment Refiled Filing Yes 5101:4-4-03.3 Food stamps: resources excluded by law.

9 Department of Job and Family Services· Division of Medical Assistance

Public Hearing:

Total Rules: 8 Original Filing Date: 7/27/2010 Jurisdiction Ends: 9/30/2010 Public Hearing: 8/31f2010

5101:3-3-30

5101:3-3-30.3

5101 :3-3-30.2

5101 :3-3-30

5101:3-3-30.4

5101:3-3-30.1

5101:3-3-30.2

5101:3-3-30.1

Rule Number

No

No

Yes

Yes

No

Yes

Yes

Yes

EYB1

Original Filing

Original Filing

Original Filing

Original Filing

Original Filing

Original Filing

Action

Original Filing

New Rule

New Rule

Rescission

Rescission

Amendment Original Filing

Rescission

Rule Type

New Rule

Rescission

Rule Title

Beds and facilities subject to the franchise permit fee (FPF) for nursing facilities

(NFs), nursing homes (NHs), hospitals, and intermediate care facilities for the

mentally retarded/developmentally disabled (ICFs-MRlDD).

Beds excluded from the franchise permit fee (FPF) for intermediate care facilities

for the mentally retarded (ICFs-MR).

Calculation, billing, payment remittance, and appeal process for the franchise

permit fee (FPF) for nursing facilities (NFs), nursing homes (NHs), hospitals, and

intermediate care facilities for the mentally retarded/developmentally disabled

(ICFs-MRlDD).

Appeal of the franchise permit fee (FPF) determination.

Enforcement of the franchise permit fee (FPF) program for nursing facilities (NFs),

nursing homes (NHs), hospitals, and intermediate care facilities for the mentally

retarded/developmentally disabled (ICFs-MRlDD).

Prohibition against billing residents for the franchise permit fee (FPF).

Distribution method for franchise permit fee (FPF) proceeds from nursing facilities

(NFs), nursing homes (NHs), hospitals, and intermediate care facilities for the

mentally retarded/developmentally disabled (ICFs-MRlDD).

Procedure for terminating the franchise permit fee (FPF) assessment for nursing

facilities (NFs), nursing homes (NHs), hospitals, and intermediate care facilities for

the mentally retarded/developmentally disabled (ICFs-MRlDD).

10 Department of Job and Family Services· Division of Medical Assistance

Total Rules: 4 Original Filing Date: 7/14/2010 Jurisdiction Ends: 9/17f2010 Public Hearing: 8/17f2010

Rule Type Action

Amendment Original Filing

Rescission Original Filing

EYB1

Yes

Yes

Rule Number

5101:3-3-01

5101:3-3-43.1

Rule Title

Definitions.

Nursing facility (NF) case mix assessment instrument: minimum data set version

2.0 (MDS 2.0).

JCARR 77 South High Street· Concourse Level- Columbus, Ohio 43215· (614) 4664086" www.jcarr.state.oh.us"Page3"911312010
FINAL AGENDA

JOINT COMMITTEE ON AGENCY RULE REVIEW

9/13/2010 - 1:30 P.M.

Senate Finance Hearing Room (Finan Hearing Room)

FINAL AGENDA

Public Hearing: 8/17/2010

5101:3-3-43.2 Resource utilization groups, version III (RUG III): the nursing facility case mix

payment system.

5101:3-3-43.4 Exception review process for nursing facilities (NFs).

Date of Revised Filing: 7/20/2010 Jurisdiction Ends: 9/17/2010

Rescission Original Filing Yes

Amendment Original Filing Yes

Total Rules: 3 Original Filing Date: 7/14/2010

Rule Type Action

New Rule Revised Filing

New Rule Revised Filing

Amendment Revised Filing

Ei1S1

No

No

Yes

Rule Number

5101:3-3-43.1

5101:3-3-43.2

5101 :3-3-43.3

Rule Title

Nursing facility (NF) case mix assessment instrument: minimum data set version

3.0 (MDS 3.0).

Resource utilization groups, version III (RUG III): the nursing facility case mix

payment system.

Calculation of quarterly, semiannual and annual nursing facility (NF) average case

mix scores.

11 Department of Job and Family Services· Division of Medical Assistance

Total Rules: 5 Original Filing Date: 7/29/2010 Jurisdiction Ends: 10/2/2010 Public Hearing: 8/31/2010

5101:3-6-11

Rule Number

Yes

Rule Type Action FYR?

Amendment Original Filing

Rule Title

Covered services and materials not purchased under the vision volume purchase

contract.

Amendment Original Filing Yes 5101:3-7-01 Eligible providers of podiatric services.

Amendment Original Filing Yes 5101:3-7-02 Scope of coverage.

Amendment Original Filing Yes 5101:3-7-03 Covered podiatric services and associated limitations.

Amendment Original Filing Yes 5101:3-7-04 Podiatry: noncovered services.

12 Department of Job and Family Services' Division of Medical Assistance

Total Rules: 4 Original Filing Date: 7/20/2010 Jurisdiction Ends: 9/23/2010 Public Hearing: 8/24/2010

Rule Type Action FYR? Rule Number

Amendment Original Filing Yes 5101 :3-27-05

Amendment Original Filing Yes 5101:3-27-07

Amendment Original Filing Yes 5101 :3-30-04

Amendment Original Filing Yes 5101 :3-30-06

Rule Title

Reimbursement and rate setting for community mental health medicaid services.

Cost reconciliation requirements for medicaid covered mental health services.

Reimbursement and rate setting for community medicaid alcohol and other drug

services.

Cost reconciliation requirements for medicaid covered alcohol and drug addiction

treatment services.

13 Department of Job and Family Services· Division of Medical Assistance

Total Rules: 1 Original Filing Date: 7/16/2010 Date of Revised Filing: 8/17/2010 Jurisdiction Ends: 9/19/2010 Public Hearing: 8/19/2010

JCARR 77 South High Street· Concourse Level' Columbus, Ohio 43215· (614) 466-4086· www.jcarr.state.ohus·Page4· 9/13/2010
FINAL AGENDA

JOINT COMMITTEE ON AGENCY RULE REVIEW

9/13/2010 -1:30 P.M.

Senate Finance Hearing Room (Finan Hearing Room)

FINAL AGENDA

Rule Type Action

Amendment Revised Filing

FYR?

Yes

Rule Number

5101:3-9-12

Rule Title

Ohio department of job and family services list of drugs covered without prior

authorization.

Rule Title

Medicaid: continuous eligibility for children younger than age nineteen.

14 Department of Job and Family Services' Division of Public Assistance

Total Rules: 1 Original Filing Date: 7/21/2010

Rule Type Action FYR? Rule Number

Amendment Original Filing No 5101:1-38-30

15 Department of Natural Resources' Division of Wildlife

Jurisdiction Ends: 9/24/2010 Public Hearing:

Total Rules: 1 Original Filing Date: 7/16/2010 Jurisdiction Ends: 9/19/2010 Public Hearing:

Rule Type Action

Amendment Original Filing

FYR?

Yes

Rule Number

1501:31-7-05

Rule Title

Seasons and limits on rail, commonsnipe, woodcock, gallinules (common

moorhens), teal, geese and mourning doves.

Jurisdiction Ends: 9/29/2010 Public Hearing:

Rule Tjlle

Reporting requirements for state universities and colleges; fiscal watch and

governance authority procedures. 126:3-1-01

Rule Number

Amendment Original Filing Yes

16 Office of Budget and Management· Higher Education Fiscal Watch

Total Rules: 1 Original Filing Date: 7/26/2010

Rule Type Action FYR?

17 Ohio Air Quality Development Authority •

Total Rules: 1 Original Filing Date: 7/13/2010 Date of Revised Filing: 8/16/2010 Jurisdiction Ends: 9/16/2010 Public Hearing: 8/16/2010

Rule Type Action FYR?

Amendment Revised Filing Yes

18 Ohio Air Quality Development Authority •

Rule Number

3706-1-02

Rule Title

Public notice.

Rule Title

Definitions.

Procedures for accessing confidential personal information.

Valid reasons for accessing confidential personal information.

Confidentiality statutes.

Restricting and logging access to confidential personal information in computerized

personal information systems.

Total Rules: 5 Original Filing Date: 7/14/2010

Rule Type Action FYR? Rule Number

New Rule Original Filing No 3706-3-01

New Rule Original Filing No 3706-3-02

New Rule Original Filing No 3706-3-03

New Rule Original Filing No 3706-3-04

New Rule Original Filing No 3706-3-05

Jurisdiction Ends: 9/17/2010 Public Hearing: 8/16/2010

JCARR 77 South High Street- Concourse Level· Columbus, Ohio 43215· (614) 466-4086· wwwJcarr.state.oh.us· Page 5.9/13/2010
FINAL AGENDA

JOINT COMMITTEE ON AGENCY RULE REVIEW

9/13/2010 -1:30 P.M.

Senate Finance Hearing Room (Finan Hearing Room)

FINAL AGENDA

19 Ohio Athletic Commission'

Rule Title

Definitions.

Personal information systems.

Procedures for accessing personal information.

Valid reasons for accessing confidential personal information.

Restricting and logging access to confidential personal information in computerized

personal information systems.

Total Rules: 5

Rule Type

New Rule

New Rule

New Rule

New Rule

New Rule

Original Filing Date: 7/16/2010

Action EXB.7.

Original Filing No

Original Filing No

Original Filing No

Original Filing No

Original Filing No

Rule Number

3773-9-01

3773-9-02

3773-9-03

3773-9-04

3773-9-06

Jurisdiction Ends: 9/19/2010 Public Hearing: 8/17/2010

Total Rules: 1 Original Filing Date: 7/16/2010

Rule Type Action

New Rule Revised Filing

20 Ohio Athletic Commission'

FYR?

No

Date of Revised Filing: 8/3/2010 Jurisdiction Ends: 9/19/2010

Rule Number Rule Title

3773-9-05 Confidential information.

Public Hearing: 8/17/2010

Total Rules: 1 Original Filing Date: 7/30/2010 Date of Revised Filing: 8/18/2010 Jurisdiction Ends: 10/3/2010 Public Hearing: 8/31/2010

Rule Type Action

Amendment Revised Filing

21 Ohio Board of Regents'

FYR?

Yes

Rule Number

3773-1-05

Rule Title

Fees for licenses and permits.

Total Rules: 1 Original Filing Date: 7/19/2010 Jurisdiction Ends: 9/22/2010 Public Hearing: 8/25/2010

Rule Title

The "Ohio Instructional Grant" program.

Jurisdiction Ends: 9/29/2010 • Public Hearing: 8/26/2010

Rule Title

3333-1-19 The selective service registration rule.

FYR? Rule Number

Yes

Rule Type Action

Amendment Original Filing

22 Ohio Board of Regents'

Total Rules: 1 Original Filing Date: 7/2612010

Rule Type Action EXB.7. Rule Number

Rescission Original Filing Yes 3333-1-09

23 Ohio Board of Regents'

Total Rules: 1 Original Filing Date: 7/1912010

Rule Type Action

Rescission Revised Filing

24 Ohio Board of Regents'

FYR?

Yes

Date of Revised Filing: 7/26/2010 Jurisdiction Ends: 9/2212010 Public Hearing: 8/25/2010

Rule Number Rule Title

3333-1-17 The Ohio student choice grant program administrative rules.

JCARR 77 South High Street· Concourse Level' Columbus, Ohio 43215· (614) 466-4086- www.jcarr.state.oh:us· Page 6' 9/1312010
FINAL AGENDA

JOINT COMMITTEE ON AGENCY RULE REVIEW

9/13/2010 -1:30 P.M.

Senate Finance Hearing Room (Finan Hearing Room)

FINAL AGENDA

Public Hearing: 8/25/2010

Public Hearing: 8/25/2010

Jurisdiction Ends: 9/24/2010

Rule Title

Student workforce development grant program.

Date of Revised Filing: 7/26/2010

Date of Revised Filing: 7/26/2010 Jurisdiction Ends: 9/24/2010

Rule Number Rule Title

3333-1-25 Ohio 12th grade proficiency tests scholarship program.

Rule Number

3333-1-26

FYR?

Yes

Total Rules: 1 Original Filing Date: 7/21/2010

Rule Type Action

Rescission Revised Filing

25 Ohio Board of Regents •

Total Rules: 1 Original Filing Date: 7/21/2010

Rule Type Action FYR?

Rescission Revised Filing Yes

26 Ohio Board of Regents'

Jurisdiction Ends: 9/22/2010 Public Hearing: 8/25/2010

3333-1-18

Date of Revised Filing: 7/26/2010

Rule Number Rule Title

The regents graduatelprofessional fellowship program administrative rules and

procedures.

Original Filing Date: 7/19/2010

Action FYR?

Rescission Revised Filing Yes

Total Rules: 1

Rule Type

27 Ohio Board of Regents'

Total Rules: 1 Original Filing Date: 7/28/2010

Rule Type Action FYR? Rule Number

Amendment Original Filing Yes 3333-1-24

Jurisdiction Ends: 10/1/2010 Public Hearing: 8130/2010

Rule Title

Local administration of capital projects receiving over four million dollars in state

capital appropriations.

Rule Title

Procedures to be followed in allocating state support to the Ohio aerospace

institute.

28 Ohio Board of Regents •

Total Rules: 1 Original Filing Date: 7/20/2010

Rule Type Action FYR?

Amendment Original Filing Yes

Rule Number

3333-1-20

Jurisdiction Ends: 9/23/2010 Public Hearing: 8/25/2010

29 Ohio Board of Regents •

Total Rules: 1 Original Filing Date: 7/19/2010 Jurisdiction Ends: 9/2212010 Public Hearing: 8/20/2010

Rule Type Action

Amendment Original Filing

30 Ohio Board of Regents •

FYR?

Yes

Rule Number

3333-1-11

Rule Title

The "Ohio Academic Scholarship Program" procedures.

Total Rules: 1 Original Filing Date: 7/21/2010 Date of Revised Filing: 8/20/2010 Jurisdiction Ends: 9/24/2010 Public Hearing: 8/26/2010

JCARR 77 South High Street· Concourse Level- Columbus, Ohio 43215· (614) 466-4086' wwwjcarr.state.oh.us· Page 7.9/13/2010
FINAL AGENDA

JOINT COMMITTEE ON AGENCY RULE REVIEW

9/13/2010 -1:30 P.M.

Senate Finance Hearing Room (Finan Hearing Room)

FINAL AGENDA

Jurisdiction Ends: 9/23/2010 Public Hearing:

Rule Title

To approve or disapprove the creation of service districts in Ohio for two-year

campuses.

Rule Title

Definition of full-time equivalent students and requirements for reporting.

Definition of headcount enrollment and full-time equivalent enrollment, and

requirements for higher education data reporting.

Relationship of enrollment data to state funding of higher education.

Rule Type Action .EYE1 Rule Number

Amendment Revised Filing Yes 3333-1-27

31 Ohio Board of Regents'

Total Rules: 1 Original Filing Date: 7/20/2010

Rule Tvpe Action .EYE1 Rule Number

Amendment Original Filing Yes 3333-1-23

32 Ohio Board of Regents'

Total Rules: 3 Original Filing Date: 7/19/2010

Rule Type Action .EYE1 Rule Number

Rescission Original Filing Yes 3333-1-02

New Rule Original Filing No 3333-1-02

New Rule Original Fiiing No 3333-1-02.1

33 QhioEnvironmentaL!'rotection AQencJ1 •

Rule Title

Membership and participation in OhioLink.

Jurisdiction Ends: 9/22/2010 Public Hearing: 8/26/2010

Total Rules: 2 Original Filing Date: 10/22/2009 Date of Refiled Filing: 8/2312010 Jurisdiction Ends: 9/22/2010

Rule Type Action .EYE1 Rule Number Rule Title

Amendment Refiled Filing No 3745-14-01 Definitions and general provisions.

Amendment Refiled Filing No 3745-14-06 The NOx allowance tracking system.

34 Ohio Public EmployMs Deferred Compensation Board'

Public Hearing: 12/1/2009

Rule Title

Ohio public employees deferred compensation program.

Public notice of meetings.

Total Rules: 2 Original Filing Date: 7/22/2010

Rule Type Action .EYE1

Amendment Original Filing Yes

Amendment Original Filing Yes

35 Ohio Tuition Trust Authoritv •

Rule Number

148-1-01

148-1-02

Jurisdiction Ends: 9125/2010 Public Hearing: 8/26/2010

Rule Title

Definitions.

Procedures for accessing confidential personal information.

Total Rules: 5

Rule Type

New Rule

New Rule

Original Filing Date: 7/19/2010

Action EYR?

Original Filing No

Original Filing No

Rule Number

3334-1-15

3334-1-16

Jurisdiction Ends: 9/2212010 Public Hearing: 8/23/2010

JCARR 77 South High Street· Concourse Level· Columbus, Ohio 43215· (614) 466-4086· wwwJcarr.state.oh.us· Page 8·911312010
FINAL AGENDA

JOINT COMMITTEE ON AGENCY RULE REVIEW

9/13/2010 -1:30 P.M.

Senate Finance Hearing Room (Finan Hearing Room)

FINAL AGENDA

New Rule

New Rule

New Rule

Original Filing

Original Filing

Original Filing

No

No

No

3334-1-17

3334-1-18

3334-1-19

Valid reasons for accessing confidential personal information.

Confidentiality Statutes.

Restricting and logging access to confidential personal information in computerized

personal information systems.

36 Rehabilitation Services Commission·

Total Ruies: 2 Original Filing Date: 7/27/2010 Jurisdiction Ends: 9/30/2010 Public Hearing: 8/27/2010

Rule Type Action .EYB1 Rule Number Rule Title

Amendment Original Filing Yes 3304-1-02 RSC administrative rules.

New Rule Original Filing No 3304-1-15 Employee access to confidential information.

37 Southern Ohio Agricultural and Community Development Foundation·

Rule Title

Definitions for accessing confidential personal information.

Procedures for accessing confidential personal information.

Valid reasons for accessing confidential personal information.

Confidentiality statutes.

Restricting and logging access to confidential personal information in computerized

personal information systems.

Total Rules: 5 Original Filing Date: 7/19/2010

Rule Type Action .EYB1 Rule Number

New Rule Original Filing No 182-1-05

New Rule Original Filing No 182-1-06

New Rule Original Filing No 182-1-07

New Rule Original Filing No 182-1-08

New Rule Original Filing No 182-1-09

Jurisdiction Ends: 9/22/2010 Public Hearing: 8/20/2010

Definitions.

Procedures for accessing confidential personal information.

Valid reasons for accessing confidential person information.

Confidentiality statutes.

Restricting and logging access to confidential personal information in computerized

personal information systems.

38 State Board of Sanitarian Registration·

Total Rules: 5 Original Filing Date: 7/30/2010

Rule Type Action FYR?

New Rule Revised Filing No

New Rule Revised Filing No

New Rule Revised Filing No

New Rule Revised Filing No

New Rule Revised Filing No

39 State Chiropractic Board •

Date of Revised Filing: 8/25/2010

Rule Number Rule Title

4736-16-01

4736-16-02

4736-16-03

4736-16-04

4736-16-05

Jurisdiction Ends: 10/3/2010 Public Hearing: 9/8/2010

Total Rules: 9 Original Filing Date: 7/16/2010 Jurisdiction Ends: 9/19/2010 Public Hearing: 8/17/2010

Rule Type Action .EYB1 Rule Number Rule Title

JCARR 77 South High Street e Concourse Level- Columbus, Ohio 43215· (614) 466-4086· wwwJcarr.state.oh.us· Page 9· 911312010
FINAL AGENDA

JOINT COMMITTEE ON AGENCY RULE REVIEW

9/13/2010 -1:30 P.M.

Senate Finance Hearing Room (Finan Hearing Room)

FINAL AGENDA

Rescission Original Filing Yes 4734-3-01

New Rule Original Filing No 4734-3-01

Rescission Original Filing Yes 4734_3-02

New Rule Original Filing No 4734-3-02

New Rule Original Filing No 4734-3-03

New Rule Original Filing No 4734-3-04

New Rule Original Filing No 4734-3-05

Amendment Original Filing Yes 4734-6-01

Amendment Original Filing Yes 4734-7-05

40 State Dental Board'

Board records and documents; personal information system.

Personal information systems definitions.

Public records.

Procedures for accessing confidcotial personal information.

Valid reasons for accessing confidential personal information.

Confidentiality laws.

Restricting and logging access to confidential personal information in computerized

personal information systems.

Application for licensure.

Forfeiture of chiropractic license; restoration of chiropractic license.

Total Rules: 1 Original Filing Date: 612812010 Date of Refiled Filing: 811812010

Rule Type Action FYR?

New Rule Refiled Filing No

41 State Employment Relations Board,

Rule Number

4715-19-04

Jurisdiction Ends: 911712010

Rule Title

Confidential information.

Public Hearing: 81412010

Total Rules: 19 Original Filing Date: 712112010 Jurisdiction Ends: 912412010 Public Hearing: 812312010

Rule Type

Rescission

New Rule

Amendment

Amendment

Amendment

Amendment

Amendment

Amendment

Amendment

Amendment

Amendment

Amendment

Amendment

Amendment

Action

Original Filing

Original Filing

Original Filing

Original Filing

Original Filing

Original Filing

Original Filing

Original Filing

Original Filing

Original Filing

Original Filing

Original Filing

Original Filing

Original Filing

FYR?

Yes

No

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Rule Number

4117-1-02

4117-1-02

4117-1-03

4117-1-04

4117-1-05

4117-1-06

4117-1-07

4117-1-09

4117-1-11

4117-1-12

4117-1-13

4117-7-04

4117-9-01

4117-9-02

Rule Title

Filing and copies; service.

Filing and copies; service.

Computation of time.

Motions.

Continuances and extensions of time.

Appearances.

Intervention.

Subpoenae; witness fees.

Powers of individuals conducting hearings.

Rights of parties at hearings; standards for those who practice before the board.

Exceptions and briefs in support.

Answers to unfair labor practice complaints.

Register of neutrals.

Notice to negotiate.

JCARR 77 South High street· Concourse Level· Columbus, Ohio 43215· (614) 466-4086· www.jcarr.state.oh.us·Page 10.911312010
FINAL AGENDA

JOINT COMMITTEE ON AGENCY RULE REVIEW

9/13/2010 -1:30 P.M.

Senate Finance Hearing Room (Finan Hearing Room)

FINAL AGENDA

Jurisdiction Ends: 9[24[2010 Public Hearing: 8[23[2010

Rule Title

Authority and Purpose.

Incorporation of by-laws.

Definition of cerlaln terms used in division 3770:2 of the Administrative Code.

Video lottery licenses; application.

Video lottery licenses; application review process.

Video lottery licenses; issuance of license.

Video lottery licenses; denial of license.

Video lottery licenses; suspension or revocation.

Video lottery licenses; fines.

Video lottery licenses; renewal.

Video lottery licenses; compensation, credits and reimbursement of expense.

Video lottery licenses; records and audits and inspection of video lottery agent

premises.

Video lottery licenses; settlement of video lottery ticket sales, control of video

lottery and collection of revenues due the lottery.

Video lottery licenses - stolen, destroyed and[or compromised video lottery tickets

or games.

Amendment Original Filing Yes 4117-9-03

Amendment Original Filing Yes 4117-9-04

Amendment Original Filing Yes 4117-9-05

Amendment Original Filing Yes 4117-9-06

Amendment Original Filing Yes 4117-9-07

42 State Employment Relations Board'

Total Rules: 1 Original Filing Date: 7[21[2010

Rule Type Action FYR? Rule Number

Rescission Original Filing Yes 4117-11-02

43 State Lottery Commission' Video Lottery Gaming Terminals

Total Rules: 14 Original Filing Date: 7[19[2010

Rule Type Action FYR? Rule Number

New Rule Original Filing No 3770:2-1-01

New Rule Original Filing No 3770:2-1-02

New Rule Original Filing No 3770:2-2-01

New Rule Original Filing No 3770:2-3-01

New Rule Original Filing No 3770:2-3-02

New Rule Original Filing No 3770:2-3-03

New Rule Original Filing No 3770:2-3-04

New Rule Original Filing No 3770:2-3-05

New Rule Original Filing No 3770:2-3-06

New Rule Original Filing No 3770:2-3-07

New Rule Original Filing No 3770:2-3-08

New Rule Original Filing No 3770:2-3-09

New Rule Original Filing No 3770:2-3-10

New Rule Original Filing No 3770:2-3-11

44 State Lottery Commission' Video Lottery Gaming Terminals

Mutually agreed-upon dispute settlement procedure.

Mediation.

Fact-finding.

Final offer settlement procedure; conciliation.

Filing of collective bargaining agreement.

Rule Title

Religious exemption.

Jurisdiction Ends: 9[22[2010 Public Hearing: 8[20[2010

Total Rules: 11 Original Filing Date: 7[19[2010 Jurisdiction Ends: 9[22[2010 Public Hearing: 8[20[2010

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FINAL AGENDA

JOINT COMMITTEE ON AGENCY RULE REVIEW

9/13/2010 - 1:30 P.M.

Senate Finance Hearing Room (Finan Hearing Room)

FINAL AGENDA

Rule Type Action FYR? Rule Number

New Rule Original Filing No 3770:2-4-01

New Rule Original Filing No 3770:2-6-01

New Rule Original Filing No 3770:2-6-02

New Rule Original Filing No 3770:2-6-03

New Rule Original Filing No 3770:2-6-04

New Rule Original Filing No 3770:2-6-05

New Rule Original Filing No 3770:2-7-01

New Rule Original Filing No 3770:2-7-02

New Rule Original Filing No 3770:2-8-01

New Rule Original Filing No 3770:2-9-01

New Rule Original Filing No 3770:2-10-60

Rule Title

Key gaming employee licenses.

Video lottery operations; hours of operation and number and type of video lottery

terminals.

Video lottery operations; maintenance and repair of video lottery terminals.

Video lottery operations; security and surveillance.

Video lottery operations; transportation, relocation, installation and certification of

video lottery terminals.

Video lottery operations; advertising and promotion.

Video lottery game requirements; video lottery game play.

Video lottery game requirements; video lottery prize payments.

Responsible Gaming.

Severability.

Game rule number sixty.

To Be Refiled

45 State Lottery Commission· Video Lottery Gaming Terminals

Total Rules: 1 Date of To Be Refiled: 911012010

Rule Type

New Rule

Original Filing Date: 7/1912010

Action EYB7.

To Be Refiled No

Rule Number

3770:2-5-01

Rule Title

Technology providers.

Withdrawn

Jurisdiction Ends: Public Hearing: 812012010

46 Department of Insurance·

Total Rules: 1 Original Filing Date: 912/2010 Date of Withdrawn Filing: 9/7/2010 Jurisdiction Ends: Public Hearing: 10/4/2010

Rule Type Action EYB7.

Amendment Withdrawn Filing No

47 Public Utilities Commission of Ohio·

Rule Number

3901-1-57

Rule Title

Transaction fees.

Total Rules: 1 Date of Withdrawn Filing: 9/10/2010

Rule Type

Original Filing Date: 7/15/2010

Action EYB7. Rule Number Rule Title

Jurisdiction Ends: Public Hearing:

JCARR 77 South High Street· Concourse Level· ColumbUS, Ohio 43215· (614) 466-4086- www.jcarr.state.oh.us·Page 12·9/13/2010
FINAL AGENDA

JOINT COMMITTEE ON AGENCY RULE REVIEW

9/13/2010 -1:30 P.M.

Senate Finance Hearing Room (Finan Hearing Room)

FINAL AGENDA

Amendment Withdrawn Filing Yes

48 School Employees Health Care Board'

4901-7-01 Standard filing requirements.

Total Rules: 4 Original Filing Date: 9/2/2010 Date of Withdrawn Filing: 9/712010 Jurisdiction Ends: Public Hearing: 11/212010

Rule Type Action FYR?

New Rule Withdrawn Filing No

New Rule Withdrawn Filing No

New Rule Withdrawn Filing No

New Rule Withdrawn Filing No

49 School Employees Health Care Board'

Rule Number

3306-2-01

3306-2-02

3306-2-03

3306-2-04

Rule Title

Wellness Program Best Practice.

Disease Management Best Practice.

Transparency Best Practice.

Cost Containment Best Practice.

Rule Type Action FYR?

New Rule Withdrawn Filing No

New Rule Withdrawn Filing No

New Rule Withdrawn Filing No

50 State Employment Relations Board'

Total Rules: 3 Original Filing Date: 91212010 Date of Withdrawn Filing: 9/7/2010 Jurisdiction Ends:

Rule Number Rule Title

3306-3-01 Certification of compliance.

3306-3-02 Filing of annual status report.

3306-3-03 School board compliance report.

Public Hearing: 1112/2010

Total Rules: 1 Original Filing Date: 7/21/2010 Date of Withdrawn Filing: 8/31/2010 Jurisdiction Ends: Public Hearing: 8123/2010

Rule Type Action

Amendment Withdrawn Filing

FYR?

Yes

Rule Number

4117-5-10

Rule Title

Post-election objections; determination of challenges.

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Article III

Attachment D

Final Adoption Notice to LSC

Director and Secretary of

State
Rule Fili

The Honorable Jennifer Brunner

Secretary of State

180 E. Broad St., 15th Floor

Columbus,OH 43215

Mark Flanders, Director

Legislative Service Commission

77 South High St., 9th Floor

Columbus,OH 43215

Greg Fouche, Interim Director

Joint Committee on Agency Rule Review

77 South High St., Concourse Level

Columbus,OH 43215

Lisa Patt..McDaniel. Director

Department of Development

77 South High St., 27th Floor

Columbus,OH 43215

It is hereby confirmed that the Ohio Environmental Protection Agency final filed the following rule(s) pursuant to section 119.04 of the

Ohio Revised Code.

Package Number:

File Date and Time:

Confirmation Number:

FINAL FILE

56477

10108/201008:07 AM

5a921f448d15d3deaOe690f79256ebe8

Rule Number FYR? JE Date

3745-14-01

3745-14-06

Type

Amendment N

Amendment N

09/22/2010

09/22/2010

Eft Date

10/18/2010

10/18/2010

Next FYR Tagline

Definitions and general provisions.

The NOx allowance tracking system.

Page 1
Article IV

Hearing Transcripts
BEFORE THE OHIO ENVIRONMENTAL PROTECTION AGENCY

IN RE; Ohio

Administrative Code

Chapter 3745-14-01 and;

3745-14-06

Transcript of testimony taken before Mary

McCarron, Hearing Officer, Ohio Environm~ntal

Protection Agency, taken before Margaret A. Marsh, a

Registered Professional Reporter and Notary Public

in and for the State of Ohio, commencing at

11:14 a.m., on the 1st day of December, 2009, at the

Ohio Environmental Protection Agency, 50 West Town

Street, Sixth Floor, Hearing Room C, Columbus, Ohio.
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Tuesday Morning Session

December 1, 2009

11:14 a.m.

HEARING OFFICER MCCARRON: My name is Mary

McCarron. 1 1 m Public Involvement Manager at Ohio EPA.

I'll be presiding over the hearing today. Thank you

for taking the time to attend. The purpose of the

hearing is to obtain any comments from any interested

person regarding Ohio EPA's proposed rules.

Qhio EPA Division of Air Pollution Control is

proposing amended rules in Ohio Administrative Code

Chapter 3745-14-01 and 3745-14-06. These rUles are

related to Ohio's NOx SIP call for the reduction of

nitrogen oxides during the ozone season from electrical

generation units and large industrial boilers.

The primary purpose of these amendments is to

facilitate the transition of affected units from the

NOx SIP call into the Clean Air Interstate Rule Program

and to begin the process of sunsetting the parts of OAe

Chapter 3745-14, which will no longer be needed as a

result of Ohio's CAIR Rules beginning in 2009.

These rules have been filed with the Joint

Committee on Agency Rule Review. Copies of the rule

are available for public review at Ohio EPA's Columbus
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office.

All interested persons are entitled to attend

or be represented and to present oral and/or written

comments concerning the proposed rules. All written

and oral comments received as part of the official

record will be considered by the Director of Ohio EPA.

To be included in the official record, written comments

must be received by Ohio EPA by the close of business

today! Tuesday, December 1, 2009.

All written comments submitted for the record

receive the same consideration as any oral testimony

given today. Written statements submitted after today

will be considered as time and circumstances permit but

won't be part of the official record of the hearing.

At this time I am going to calIon the

registered parties on our sign-in sheet. If you can

state your name and spell it for the court reporter.

Kate Tournoux.

MS. TOURNOUX: Good morning. I'm Kate

Tournoux, T-O-U-R-N-O-U-X, with Shumaker, Loop &

Kendrick. I am here on behalf of the Ohio Utility

Group. We had submitted written comments previously

and are here today to submit additional written

comments in response to the Agency's response to
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comments.

HEARING OFFICER MCCARRON: Thank you.

Ms. Tournoux was the only person who was registered at

this time so we'll go off the record until 11:30.

Thank you.

(Recess taken.)

HEARING OFFICER MCCARRON: We're going to go

back on the record. I see no further requests for

testimony so I am reminding everyone that written

comments can be submitted by the close of business

today, December 1, 2009.

Thanks for attending. The time is 11:30.

This hearing is adjourned.

Thereupon, at 11:30 a.m., on Tuesday,

December 1, 2009, the hearing was concluded.
C E R T I F I CAT E

MARGARET A. MARSH, RPR

DATED this 15th day of December, 2009.

If Margaret A. Marsh, Registered Professional

Reporter, do hereby certify that the foregoing is a

true, correct, and complete transcript of the

proceedings in this matter before the Ohio

Environmental Protection Agency, as reported by me in

stenotype and transcribed from my stenographic notes.

SS:

STATE OF OHIO

COUNTY OF FRANKLIN

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Article V

Response to Comments
QiIEP.t\

Division of Air Pollution Control

Response to Comments

Proposed Rule Language Comment Period

Rule: OAC 3745-14, Ohio's NOx SIP call

Agency Contact for this Package

Division Contact: Lee Burkleca, DAPC, 614-728-1344, lee.burkleca@epa.state.oh.us

Ohio EPA provided a 30 day comment period which ended on December 1,2009 and

held a public hearing on December 1, 2009 regarding these rules. This document

summarizes the comments and questions received at the public hearing and/or

during the associated comment period.

Ohio EPA reviewed and considered all comments received during the public

comment period. By law, Ohio EPA has authority to consider specific issues related

to protection of the environment and public health.

In an effort to help you review this document, the questions are grouped by topic and

organized in a consistent format. The name of the commenter follows the comment

in parentheses.

General/Overall Concerns

Comment 1: The Utilities are pleased that Ohio EPA recognized that,

"without a federally administered trading program, Ohio's

NOx budget trading program will not be functionally

operational." Ohio EPA did not respond, however, to the

Utilities' concerns regarding the application of these rules to

electric generating units (EGUs") subject to CAIR.

The Utilities are concerned that Ohio EPA's rules allow Ohio

to flip-flop between the NOx budget trading program and

CAIR without revising its rules according to Revised Code

Chapter 119. As explained in the Utilities' previous

comments, such an attempt would be disastrous under the

NOx budget trading program's current regulatory language

as CAIR allowances are not currently usable under the NOx

budget trading program. If Ohio EPA decides to return to the

NOx budget trading program in the future without

promulgating the appropriate rule revisions, the Agency will

leave the regulated community without the allowances
Rule Package: OAC Chapter 3745-14

Response to Comments

February 24, 2010

necessary to comply with the program. This gap in the rule

language as currently written poses a serious risk to the

Utilities. Thus, the Utilities suggest Ohio EPA rescind the

NOx budget trading program rules replaced by CAIR.

In their previous comments, the Utilities alternatively

requested Ohio EPA clarify that Ohio's NOx bUdget trading

program does not apply to CAIR units. Ohio EPA's only

explanation for not revising the proposed rule language is

that it was "developed via joint discussions between Ohio

EPA and US EPA." This response is inadequate. Ohio Adm.

Code 3745-14-01 (C)(2)(a) is confusing. Accordingly, if Ohio

EPA will not rescind the NOx budget trading program rules,

then the Utilities suggest Ohio EPA insert the following

language, also recommended by U.S. EPA', as the last

sentence of Ohio Adm. Code 3745-14-01(A):

The provisions of OAC. Chapter 3745-14 shall not

apply to [EGUs subject to CAIR for] the control period'

beginning in 2009 and any control period thereafter.

Katie L. Tournoux, Shumaker/Loop, for the Ohio Utility

Group

Response 1: The comments submitted above are similar to those

submitted by this commenter at the end of the draft comment

period. Ohio EPA originally indicated in the response to the

draft comments that this language was not necessary and

explained in detail why Ohio EPA planned to keep and

propose the language presented in the draft rules. As

discussed in the response to the draft rule comment, Ohio

EPA's intent with this proposed language is to maintain OAC

Chapter 3745-14 (NOx SIP call) as a support/back up to the

temporary federal CAIR program, currently in place, until the

final revisions to the temporary CAIR program, or a

permanent replacement are promulgated. At that time, Ohio

EPA will rescind those portions of Chapter 3745-14 dealing

with both EGUs and non-EGUs that were subject to the NOx

SIP call.

Following a meeting and discussions with the commenter

concerning their comments of December 1, 2009, DAPC and

the commenter agreed that a modification of the

commenter's recommended language and placing the

recommended language in paragraph (C)(2)(a) of this rule,
Rule Package: OAC Chapter 3745-14

Response to Comments

February 24, 2010

instead of paragraph (A), would add the desired clarification

without changing the scope or intent of the amendments.

DAPC will make these changes and place the rule back into

the rulemaking process.

End of Response to Comments
Division

aliIEPA

of Air Pollution Control

Response to Comments

Draft Rule Language Comment Period

Rule: OAC 3745-14, Ohio's NOx SIP call

Agency Contact for this Package

Division Contact: Lee Burkleca, Division of Air Pollution Control, 614-728-1344,

lee.burkleca@epa.state.oh.us

Ohio EPA provided a 30 day com ment period which ended on September 11, 2009.

This document summarizes the comments and questions received at the public hearing

and/or during the associated com ment period.

Ohio EPA reviewed and considered all comments received during the public comment

period. By law, Ohio EPA has authority to consider specific issues related to protection

of the environment and public health.

In an effort to help you review this document, the questions are grouped by topi c and

organized in a consistent form at. The name of the commenter follows the comment in

parentheses.

Comment 1: In 2007, Ohio EPA promulgated CAIR, which replaced

Ohio's NOx Budget Trading Program rules. Although the

D.C. Circuit Court of Appeals remanded CAIR back to U.S.

EPA to correct errors, the rule remains in place until U.S.

EPA promulgates a replacement. As such, the NOx Budget

Trading Program rules are currently obsolete.

Ohio EPA's attempt to leave the NOx Budget Trading

program rules on the books as CAIR's back-up based on

"uncertainty" is unlawful and unreasonable. First, Ohio EPA

cannot flip-flop between the NOx Budget Trading Program

and CAIR without revising their rules according to Revised

Code Chapter 119. Second, any attempt to do so is not

supported by the NOx Budget Trading Program's regulatory

language. For example, CAIR allowances are not currently

usable under the NOx Budget Trading Program. As such, if

Ohio EPA decides to switch back to the NOx Budget Trading

Program without promulgating the appropriate rule revisions,

then the regulated community will be left without the

allowances necessary to comply with the program. Thus,
Rule Package: 3745-14

Response to Comments

September2~ 2009 Page 2 0(3

the Utilities suggest Ohio EPA revoke the NOx Budget

Trading Program rules replaced by CAIR.

Response 1:

If Ohio EPA does not revoke the replaced NOx Budget

Trading Program rules, then it must clarify that the rules do

not apply to CAIR units. To the extent Ohio EPA proposed

Ohio Adm. Code 3745-14-01 (C)(2)(a) for that purpose, the

Utilities are concerned that the change is confusing.

Accordingly, if Ohio EPA will not revoke the NOx BUdget

Trading Program rules, then the Utilities suggest Ohio EPA

insert the following language (recommended by U.S. EPA)

as the last sentence of Ohio Adm. Code 3745-14-01 (A):

The provisions of [insert State NOx SIP Call trading

rule citation] shall not apply to the control period

beginning in 2009 and any control period thereafter.

(Kate Tournoux, for the Ohio Utility Group)

Ohio EPA agrees with the comrnenter that without a

federally administered trading program, Ohio's NOx budget

trading program will not be functionally operational. This fact

is discussed in the last sentence of amended (new)

paragraph (C)(2)(a) in OAC rule 3745-14-01. Ohio EPA, at

this point must maintain OAC Chapter3745-14 as phase II of

the NOx SIP call dealing with the requirements for affected

Portland cement kilns (3745-14-11) and Stationary internal

combustion engines (3745-14-12) are still in effect and

independent of Ohio's CAIR program. These affected units

do not trade allowances. At some point in the future after

the federal revisions/replacements to the current CAlR rules

are finalized, Ohio EPA will rescind/sunset those portions of

Chapter 14 dealing with those units (i.e., EGUs/non-EGUs)

that will now be exempt from the applicability of the NOx SIP

call via this rulemaking and now subject to Ohio' CAIR

program requirements.

The commenter should note that the amended rule language

was developed via joint discussions between Ohio EPA and

US EPA. The proposed language resulted after US EPA

review and final approval. US EPA has indicated that the

rule change is necessary before a full SIP approval of Ohio's

CAIR program by US EPA could be completed. Ohio EPA

does not plan to add any addition language as

recommended by the commenter at this time.
Rule Package: 3745-14

Response to Comments

September 22, 2009

End of Response to Comments

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