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[Federal Register Volume 77, Number 30 (Tuesday, February 14, 2012)]
[Rules and Regulations]
[Pages 8160-8166]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-3379]

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ENVIRONMENTAL PROTECTION AGENCY

40 CFR Part 60

[EPA-HQ-OAR-2010-0873; FRL-9630-7]
RIN 2060-AH23

Quality Assurance Requirements for Continuous Opacity Monitoring 
Systems at Stationary Sources

AGENCY: Environmental Protection Agency (EPA).

ACTION: Direct final rule.

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SUMMARY: The EPA is taking direct final action to establish quality 
assurance and quality control (QA/QC) procedures for continuous opacity 
monitoring systems (COMS) used to demonstrate continuous compliance 
with opacity standards in federally enforceable regulations. This 
action is necessary because we do not currently have QA/QC procedures 
for COMS. This action would require COMS used to demonstrate continuous 
compliance to meet these procedures (referred to as Procedure 3).

DATES: This rule is effective on April 16, 2012 without further notice, 
unless the EPA receives adverse comment by March 15, 2012. If the EPA 
receives adverse comment, we will publish a timely withdrawal in the 
Federal Register informing the public that the rule will not take 
effect.

ADDRESSES: Submit your comments, identified by Docket ID No. EPA-HQ-
OAR-2010-0873 by one of the following methods:
    www.regulations.gov: Follow the on-line instructions for 
submitting comments.
     Email: a-and-r-docket@epa.gov.
     Fax: (202) 566-9744.
     Mail: Attention Docket ID No. EPA-HQ-OAR-2010-0873, 
Environmental Protection Agency, Mailcode: 2822T, 1200 Pennsylvania 
Ave. NW., Washington, DC 20460.
     Hand Delivery: The EPA Docket Center, EPA West, Room 3334, 
1301 Constitution Ave. NW., Washington, DC 20460. Such deliveries are 
only accepted during the Docket's normal hours of operation, and 
special arrangements should be made for deliveries of boxed 
information.
    Instructions: Direct your comments to Docket ID No. EPA-HQ-OAR-
2010-0873. The EPA's policy is that all comments received will be 
included in the public docket without change and may be made available 
online at www.regulations.gov, including any personal information 
provided, unless the comment includes information claimed to be 
Confidential Business Information (CBI) or other information whose 
disclosure is restricted by statute. Do not submit information that you 
consider to be CBI or otherwise protected through www.regulations.gov 
or email. The www.regulations.gov Web site is an ``anonymous access'' 
system, which means the EPA will not know your identity or contact 
information unless you provide it in the body of your comment. If you 
send an email comment directly to the EPA without going through 
www.regulations.gov, your email address will be automatically captured 
and included as part of the comment that is placed in the public docket 
and made available on the Internet. If you submit an electronic 
comment, the EPA recommends that you include your name and other 
contact information in the body of your comment and with any disk or 
CD-ROM you submit. If the EPA cannot read your comment due to technical 
difficulties and cannot contact you for clarification, the EPA may not 
be able to consider your comment. Electronic files should avoid the use 
of special characters, any form of encryption, and be free of any 
defects or viruses. For additional information about the EPA's public 
docket, visit the EPA Docket Center homepage at http://www.epa.gov/epahome/dockets.htm.
    Docket: All documents in the docket are listed in the 
www.regulations.gov index. Although listed in the index, some 
information is not publicly available, e.g., CBI or other information 
whose disclosure is restricted by statute. Certain other material, such 
as copyrighted material, will be publicly available only in hard copy. 
Publicly available docket materials are available either electronically 
in www.regulations.gov or in hard copy at the Procedure 3--Quality 
Assurance Requirements for Continuous Opacity Monitoring Systems at 
Stationary Sources Docket, EPA/DC, EPA West, Room 3334, 1301 
Constitution Ave. NW., Washington, DC. The Docket Facility and Public 
Reading Room are open from 8:30 a.m. to 4:30 p.m., Monday through 
Friday, excluding legal holidays. The telephone number for the Air 
Docket is (202) 566-1742, and the telephone number for the Public 
Reading Room is (202) 566-1744.

FOR FURTHER INFORMATION CONTACT: Ms. Lula H. Melton, U.S. EPA, Office 
of Air Quality Planning and Standards, Air Quality Assessment Division, 
Measurement Technology Group (Mail Code: E143-02), Research Triangle 
Park, NC 27711; telephone number: (919) 541-2910; fax number: (919) 
541-0516; email address: melton.lula@epa.gov.

SUPPLEMENTARY INFORMATION: 

Table of Contents

I. General Information
    A. Why is the EPA using a direct final rule?
    B. Does this action apply to me?
    C. Where can I obtain a copy of this action?
    D. Judicial Review
II. This Action
III. Statutory and Executive Order Reviews
    A. Executive Order 12866: Regulatory Planning and Review and 
Executive Order 13563: Improving Regulation and Regulatory Review
    B. Paperwork Reduction Act
    C. Regulatory Flexibility Act
    D. Unfunded Mandates Reform Act

[[Page 8161]]

    E. Executive Order 13132: Federalism
    F. Executive Order 13175: Consultation and Coordination with 
Indian Tribal Governments
    G. Executive Order 13045: Protection of Children from 
Environmental Health Risks and Safety Risks
    H. Executive Order 13211: Actions Concerning Regulations that 
Significantly Affect Energy Supply, Distribution, or Use
    I. National Technology Transfer and Advancement Act
    J. Executive Order 12898: Federal Actions To Address 
Environmental Justice in Minority Populations and Low-Income 
Populations
    K. Congressional Review Act

I. General Information

A. Why is the EPA using a direct final rule?

    The EPA is publishing this rule without a prior proposed rule 
because we view this as a non-controversial action and anticipate no 
adverse comment. This action establishes QA/QC procedures for 
continuous opacity monitoring systems used to demonstrate continuous 
compliance with opacity standards in federally enforceable regulations. 
We believe that these QA/QC procedures are reasonable and that they can 
be met by any well-maintained and operated COMS. Furthermore, the 
procedures were developed based on input provided by the affected 
parties. On May 8, 2003, we published a proposed rule to codify QA/QC 
procedures for COMS (i.e., Procedure 3). Due to other priorities, we 
did not finalize Procedure 3, but public comments received on the 
proposal have been considered in this action. This rule also takes into 
account changes in technology since 2003.
    In the ``Proposed Rules'' section of this Federal Register, we are 
publishing a separate document that will serve as the proposed rule if 
relevant adverse comments are received on this direct final rule. We 
will not institute a second comment period on this action. Any parties 
interested in commenting, must do so at this time. For further 
information about commenting on this rule, see the ADDRESSES section of 
this document. If the EPA receives adverse comment, we will publish a 
timely withdrawal in the Federal Register informing the public that 
this direct final rule will not take effect. We would address all 
public comments in any subsequent final rule based on the proposed 
rule.

B. Does this action apply to me?

    Procedure 3 applies to COMS used to demonstrate continuous 
compliance with opacity standards in federally enforceable regulations.

C. Where can I obtain a copy of this action?

    In addition to being available in the docket, an electronic copy of 
this rule will also be available on the Worldwide Web (www) through the 
Technology Transfer Network (TTN). Following the Administrator's 
signature, a copy of the final rule will be placed on the TTN's policy 
and guidance page for newly proposed or promulgated rules at http://www.epa.gov/ttn/oarpg. The TTN provides information and technology 
exchange in various areas of air pollution control. A redline strikeout 
document that compares this final rule to the proposed rule has also 
been added to the docket.

D. Judicial Review

    Under section 307(b)(1) of the Clean Air Act (CAA), judicial review 
of this direct final rule is available by filing a petition for review 
in the United States Court of Appeals for the District of Columbia 
Circuit by April 16, 2012. Under section 307(d)(7)(B) of the CAA, only 
an objection to this direct final rule that was raised with reasonable 
specificity during the period for public comment can be raised during 
judicial review. Moreover, under section 307(b)(2) of the CAA, the 
requirements that are the subject of this direct final rule may not be 
challenged later in civil or criminal proceedings brought by the EPA to 
enforce these requirements.

II. This Action

    This direct final rule codifies Procedure 3 in 40 CFR part 60, 
Appendix F. Procedure 3 establishes quality assurance and quality 
control procedures for continuous opacity monitoring systems used to 
demonstrate continuous compliance with opacity standards in federally 
enforceable regulations. More specifically, Procedure 3 provides 
requirements for daily instrument zero and upscale drift checks, daily 
status indicator checks, quarterly performance audits, annual zero 
alignment audits, and corrective action for malfunctioning COMS. On May 
8, 2003, we published a proposed rule to codify Procedure 3. However, 
due to other priorities, we did not finalize Procedure 3 after the 
comment period ended July 7, 2003. Public comments received on the May 
8, 2003, proposal have been considered in this action.
    Most of the comments on the 2003 proposal required us to provide 
clarifications and updates. For example, several commenters were 
confused by the wording of the applicability statement in the 2003 
proposal. We revised the applicability statement in the direct final 
rule to remove the ambiguity. The direct final rule references the 
1998, 2003, and 2007 versions of the American Society of Testing and 
Materials' Standard Practice for Opacity Monitor Manufacturers to 
Certify Conformance with Design and Performance Specifications, whereas 
the 2003 proposal referenced the 1998 version only.

III. Statutory and Executive Order Reviews

A. Executive Order 12866: Regulatory Planning and Review and Executive 
Order 13563: Improving Regulation and Regulatory Review

    This action is not a ``significant regulatory action'' under the 
terms of Executive Order 12866 (58 FR 51735, October 4, 1993) and is 
therefore not subject to review under Executive Orders 12866 and 13563 
(76 FR 3821, January 21, 2011).

B. Paperwork Reduction Act

    This action does not impose an information collection burden under 
the provisions of the Paperwork Reduction Act, 44 U.S.C. 3501 et seq. 
Burden is defined at 5 CFR 1320.3(b). These quality assurance 
procedures do not add information collection requirements beyond those 
currently required under the applicable regulations.

C. Regulatory Flexibility Act

    The Regulatory Flexibility Act (RFA) generally requires an agency 
to prepare a regulatory flexibility analysis of any rule subject to 
notice and comment rulemaking requirements under the Administrative 
Procedure Act or any other statute unless the agency certifies that the 
rule will not have a significant economic impact on a substantial 
number of small entities. Small entities include small businesses, 
small organizations, and small governmental jurisdictions.
    For purposes of accessing the impacts of this rule on small 
entities, small entity is defined as: (1) A small business as defined 
by the Small Business Administration's (SBA) regulations at 13 CFR 
121.201; (2) a small governmental jurisdiction that is a government of 
a city, county, town, school district or special district with a 
population of less than 50,000; and (3) a small organization that is 
any not-for-profit enterprise which is independently owned and operated 
and is not dominant in its field.
    After considering the economic impacts of this rule on small 
entities, I

[[Page 8162]]

certify that this action will not have a significant economic impact on 
a substantial number of small entities. This final rule will not impose 
any requirements on small entities. This action establishes quality 
assurance procedures for continuous opacity monitoring systems used to 
demonstrate continuous compliance with opacity standards as specified 
in federally enforceable regulations and does not impose additional 
regulatory requirements on sources.

D. Unfunded Mandates Reform Act

    This rule does not contain a federal mandate that may result in 
expenditures of $100 million or more for State, local, and tribal 
governments, in the aggregate, or the private sector in any one year. 
Rules establishing quality assurance requirements impose no costs 
independent from national emission standards which require their use, 
and such costs are fully reflected in the regulatory impact assessment 
for those emission standards. Thus, this rule is not subject to the 
requirements of sections 202 or 205 of UMRA.
    This rule is also not subject to the requirements of section 203 of 
UMRA because it contains no regulatory requirements that might 
significantly or uniquely affect small governments. This action simply 
establishes quality assurance procedures for continuous opacity 
monitoring systems used to demonstrate continuous compliance with 
opacity standards as specified in federally enforceable regulations.

E. Executive Order 13132: Federalism

    This action does not have federalism implications. It will not have 
substantial direct effects on the States, on the relationship between 
the national government and the States, or on the distribution of power 
and responsibilities among the various levels of government, as 
specified in Executive Order 13132. This action establishes quality 
assurance procedures for continuous opacity monitoring systems used to 
demonstrate continuous compliance with opacity standards as specified 
in federally enforceable regulations. Thus, Executive Order 13132 does 
not apply to this action.

F. Executive Order 13175: Consultation and Coordination with Indian 
Tribal Governments

    This action does not have tribal implications, as specified in 
Executive Order 13175 (65 FR 67249, November 9, 2000). This action 
establishes quality assurance procedures for continuous opacity 
monitoring systems used to demonstrate continuous compliance with 
opacity standards as specified in federally enforceable regulations. It 
does not add any emission limits and does not affect pollutant 
emissions or air quality. Thus, Executive Order 13175 does not apply to 
this action.

G. Executive Order 13045: Protection of Children From Environmental 
Health Risks and Safety Risks

    The EPA interprets EO 13045 (62 FR 19885, April 23, 1997) as 
applying only to those regulatory actions that concern health or safety 
risks, such that the analysis required under section 5-501 of the EO 
has the potential to influence the regulation. This action is not 
subject to EO 13045 because it does not establish an environmental 
standard intended to mitigate health or safety risks.

H. Executive Order 13211: Actions Concerning Regulations That 
Significantly Affect Energy Supply, Distribution, or Use

    This action is not subject to Executive Order 13211 (66 FR 28355 
(May 22, 2001)) because it is not a significant regulatory action under 
Executive Order 12866.

I. National Technology Transfer and Advancement Act

    Section 12(d) of the National Technology Transfer and Advancement 
Act of 1995 (``NTTAA''), Public Law 104-113, 12(d) (15 U.S.C. 272 note) 
directs the EPA to use voluntary consensus standards in its regulatory 
activities unless to do so would be inconsistent with applicable law or 
otherwise impractical. Voluntary consensus standards are technical 
standards (e.g., materials specifications, test methods, sampling 
procedures, and business practices) that are developed or adopted by 
voluntary consensus standards bodies. NTTAA directs the EPA to provide 
Congress, through OMB, explanations when the Agency decides not to use 
available and applicable voluntary consensus standards.
    This action does not involve technical standards. Therefore, the 
EPA did not consider the use of any voluntary consensus standards.

J. Executive Order 12898: Federal Actions To Address Environmental 
Justice in Minority Populations and Low-Income Populations

    Executive Order (EO) 12898 (59 FR 7629 (Feb. 16, 1994)) establishes 
federal executive policy on environmental justice. Its main provision 
directs federal agencies, to the greatest extent practicable and 
permitted by law, to make environmental justice part of their mission 
by identifying and addressing, as appropriate, disproportionately high 
and adverse human health or environmental effects of their programs, 
policies, and activities on minority populations and low-income 
populations in the United States.
    The EPA has determined that this direct final rule will not have 
disproportionately high and adverse human health or environmental 
effects on minority or low-income populations because it does not 
affect the level of protection provided to human health or the 
environment. This rule does not relax the control measures on sources 
regulated by the rule and, therefore, will not cause emissions 
increases from these sources.

K. Congressional Review Act

    The Congressional Review Act, 5 U.S.C. 801 et seq., as added by the 
Small Business Regulatory Enforcement Fairness Act of 1996, generally 
provides that before a rule may take effect, the agency promulgating 
the rule must submit a rule report, which includes a copy of the rule, 
to each House of the Congress and to the Comptroller General of the 
United States. The EPA will submit a report containing this rule and 
other required information to the U.S. Senate, the U.S. House of 
Representatives, and the Comptroller General of the United States prior 
to publication of the rule in the Federal Register. A major rule cannot 
take effect until 60 days after it is published in the Federal 
Register. This action is not a ``major rule'' as defined by 5 U.S.C. 
804(2). This rule will be effective April 16, 2012.

List of Subjects in 40 CFR Part 60

    Air pollution control, Environmental protection, Continuous opacity 
monitoring.

    Dated: February 6, 2012.
Lisa P. Jackson,
Administrator.
    For the reasons stated in the preamble, title 40, chapter I of the 
Code of Federal Regulations is amended as follows:

PART 60--[AMENDED]

0
1. The authority citation for part 60 continues to read as follows:

    Authority:  42 U.S.C. 7401 et seq.

0
2. Appendix F of part 60 is amended by adding Procedure 3 to read as 
follows:

Appendix F to Part 60--Quality Assurance Procedures

* * * * *

[[Page 8163]]

Procedure 3--Quality Assurance Requirements for Continuous Opacity 
Monitoring Systems at Stationary Sources

1.0 What are the purpose and applicability of Procedure 3?

    The purpose of Procedure 3 is to establish quality assurance and 
quality control (QA/QC) procedures for continuous opacity monitoring 
systems (COMS). Procedure 3 applies to COMS used to demonstrate 
continuous compliance with opacity standards in federally 
enforceable regulations.
    1.1 What are the data quality objectives of Procedure 3? The 
overall data quality objective (DQO) of Procedure 3 is the 
generation of valid and representative opacity data. Procedure 3 
specifies the minimum requirements for controlling and assessing the 
quality of COMS data submitted to us or the delegated regulatory 
agency. Procedure 3 requires you to perform periodic evaluations of 
a COMS performance and to develop and implement QA/QC programs to 
ensure that COMS data quality is maintained.
    1.2 What is the intent of the QA/QC procedures specified in 
Procedure 3? Procedure 3 is intended to establish the minimum QA/QC 
requirements to verify and maintain an acceptable level of quality 
of the data produced by COMS. It is presented in general terms to 
allow you to develop a program that is most effective for your 
circumstances.
    1.3 When must I comply with Procedure 3? You must comply with 
Procedure 3 after your COMS has been initially certified.

2.0 What are the basic functions of Procedure 3?

    The basic functions of Procedure 3 are assessment of the quality 
of your COMS data and control and improvement of the quality of the 
data by implementing QC requirements and corrective actions. 
Procedure 3 provides requirements for:
    (1) Daily instrument zero and upscale drift checks, as well as, 
daily status indicators checks;
    (2) Quarterly performance audits which include the following 
assessments:
    (i) Optical alignment,
    (ii) Calibration error,
    (iii) Zero compensation; and
    (3) Annual zero alignment.
    Sources that consistently achieve quality assured data may 
request a semi-annual audit frequency by submitting the request in 
writing to the Administrator.

3.0 What special definitions apply to Procedure 3?

    The definitions in Procedure 3 include those provided in 
Performance Specification 1 (PS-1) of Appendix B and ASTM D 6216-98, 
03, 07 and the following additions.
    3.1 Out-of-control periods. Out-of-control periods mean that one 
or more COMS parameters falls outside of the acceptable limits 
established by this rule.
    (1) Daily Assessments. Whenever the calibration drift (CD) 
exceeds twice the specification of PS-1, the COMS is out-of-control. 
The beginning of the out-of-control period is the time corresponding 
to the completion of the daily calibration drift check. The end of 
the out-of-control period is the time corresponding to the 
completion of appropriate adjustment and subsequent successful CD 
assessment.
    (2) Quarterly and Annual Assessments. Whenever an annual zero 
alignment or quarterly performance audit indicates noncompliance 
with the criteria established in paragraphs (2) and (3) of section 
10.4, the COMS is out-of-control. The beginning of the out-of-
control period is the time corresponding to the completion of the 
performance audit indicating noncompliance. The end of the out-of-
control period is the time corresponding to the completion of 
appropriate corrective actions and the subsequent successful audit 
(or, if applicable, partial audit).

4.0 What interferences must I avoid?

    Opacity cannot be measured accurately in the presence of water 
droplets. Thus, COMS opacity compliance determinations cannot be 
made when water droplets are present, such as downstream of a wet 
scrubber without a reheater or at other saturated flue gas 
locations.

5.0 What do I need to know to ensure the safety of persons using 
Procedure 3?

    People using Procedure 3 may be exposed to hazardous materials, 
operations and equipment. Procedure 3 does not purport to address 
all of the safety issues associated with its use. It is your 
responsibility to establish appropriate health and safety practices 
and determine the applicable regulatory limitations before 
performing this procedure. You should consult the COMS user's manual 
for specific precautions to take.

6.0 What equipment and supplies do I need?

    The equipment and supplies that you need are specified in PS-1.

7.0 What reagents and standards do I need?

    The reagents and standards that you need are specified in PS-1.

8.0 What sample collection, preservation, storage, and transport 
are relevant to this procedure ? [Reserved]

9.0 What quality control measures are required by this procedure 
for my COMS?

    You must develop and implement a QC program for your COMS. Your 
QC program must, at a minimum, include written procedures which 
describe in detail complete step-by-step procedures and operations 
for the activities in paragraphs (1) through (4):
    (1) Procedures for performing drift checks, including both zero 
and upscale drift and the status indicators check,
    (2) Procedures for performing quarterly performance audits,
    (3) A means of checking the zero alignment of the COMS, and
    (4) A program of corrective action for a malfunctioning COMS. 
The corrective action must include, at a minimum, the requirements 
specified in section 10.5.
    9.1 What QA/QC documentation must I have? You are required to 
keep the QA/QC written procedures on record and available for 
inspection by us, the State, and/or local enforcement agencies for 
the life of your COMS or until you are no longer subject to the 
requirements of this procedure.
    9.2 What are the consequences of failing QC audits? Your QC 
procedures are deemed to be inadequate or your COMS incapable of 
providing quality data if you fail two consecutive annual audits, 
two consecutive quarterly audits, or five consecutive daily checks. 
If this occurs, you must either revise your QC procedures or repair 
or replace the COMS to correct the deficiencies causing the audit 
failures. If you determine that your COMS requires extensive 
repairs, you may use a substitute COMS provided the substitute meets 
the requirements in section 10.6.

10.0 What calibration and standardization procedures must I perform 
for my COMS?

    (1) You must perform routine system checks to ensure proper 
operation of system electronics and optics, light and radiation 
sources and detectors, electric or electro-mechanical systems, and 
general stability of the system calibration.
    (2) You must subject your COMS to a performance audit to include 
checks of the individual COMS components and factors affecting the 
accuracy of the monitoring data at least once per calendar quarter.
    (3) At least annually, you must perform a zero alignment by 
comparing the COMS simulated zero to the actual clear path zero. The 
simulated zero device produces a simulated clear path condition or 
low-level opacity condition, where the energy reaching the detector 
is between 90 and 110 percent of the energy reaching the detector 
under actual clear path conditions.
    10.1 What routine system checks must I perform on my COMS? 
Necessary components of the routine system checks will depend on the 
design details of your COMS. At a minimum, you must verify the 
system operating parameters listed in paragraphs (1) through (3) of 
this section on a daily basis. Some COMS may perform one or more of 
these functions automatically or as an integral portion of unit 
operations; other COMS may perform one or more of these functions 
manually.
    (1) You must check the zero drift to ensure stability of your 
COMS response to the simulated zero device. The simulated zero 
device, an automated mechanism within the transmissometer that 
produces a simulated clear path condition or low-level opacity 
condition, is used to check the zero drift. You must, at a minimum, 
take corrective action on your COMS whenever the daily zero drift 
exceeds twice the applicable drift specification in PS-1.
    (2) You must check the upscale drift to ensure stability of your 
COMS response to the upscale drift value. The upscale calibration 
device, an automated mechanism (employing a filter or reduced 
reflectance device) within the transmissometer that produces an 
upscale opacity value is used to check the upscale drift. You must, 
at a minimum, take corrective action on your COMS whenever the daily 
upscale drift check exceeds twice the applicable drift specification 
in PS-1.

[[Page 8164]]

    (3) You must, at a minimum, check the status indicators, data 
acquisition system error messages, and other system self-diagnostic 
indicators. You must take appropriate corrective action based on the 
manufacturer's recommendations when the COMS is operating outside 
preset limits. All COMS data recorded during periods in which the 
fault status indicators are illuminated are to be considered 
invalid.
    10.2 What are the quarterly auditing requirements for my COMS? 
At a minimum, the parameters listed in paragraphs (1) through (3) of 
this section must be included in the quarterly performance audit.
    (1) For units with automatic zero compensation, you must 
determine the zero compensation for the COMS. The value of the zero 
compensation applied at the time of the audit must be calculated as 
equivalent opacity and corrected to stack exit conditions according 
to the procedures specified by the manufacturer. The compensation 
applied to the effluent recorded by the monitor system must be 
recorded.
    (2) You must conduct a three-point calibration error test of the 
COMS. For either calibration error test method identified below, 
three neutral density filters meeting the requirements of PS-1 must 
be placed in the COMS light beam path for at least three 
nonconsecutive readings. All monitor responses must then be 
independently recorded from the COMS permanent data recorder. 
Additional guidance for conducting this test is included in section 
8.1(3)(ii) of PS-1. The low-, mid-, and high-range calibration error 
results must be computed as the mean difference and 95 percent 
confidence interval for the difference between the expected and 
actual responses of the monitor as corrected to stack exit 
conditions. The equations necessary to perform the calculations are 
found in section 12.0 of PS-1. For the calibration error method, you 
must use the external audit device. You must confirm that the 
external audit device produces a zero value within one percent 
opacity.
    (3) You must check the optical alignment of the COMS. The 
optical alignment should be checked when the stack temperature is 
50 percent of the typical operating temperature in 
degrees Farenheit.
    10.3 What are the annual auditing requirements for my COMS?
    (1) You must perform the primary zero alignment method under 
clear path conditions. The COMS may be removed from its installation 
and setup under clear path conditions or, if the process is not 
operating and the monitor path is free of particulate matter, the 
zero alignment may be conducted at the installed site. Determining 
if the monitor path is free of particulate matter can be 
accomplished by, but is not limited to, the following procedure: 
observe the instantaneous or one-minute average opacity for at least 
two hours prior to the clear path adjustment; open the reflector or 
detector housing and observe the projected light beam and look for 
the presence of forward scattered light (halo-effect); if the beam 
observation reveals no perceptible particulate, and the 2-hour 
readings do not vary more than 3 percent opacity, adjust 
the clear path zero based on the lowest opacity reading recorded 
during the 2-hour period. There must be no adjustments to the 
monitor other than the establishment of the proper monitor path 
length and correct optical alignment of the COMS components. You 
must record the COMS response to a clear condition and to the COMS's 
simulated zero condition as percent opacity corrected to stack exit 
conditions. For a COMS with automatic zero compensation, you must 
disconnect or disable the zero compensation mechanism or record the 
amount of correction applied to the COMS's simulated zero condition. 
The response difference in percent opacity to the clear path and 
simulated zero conditions must be recorded as the zero alignment 
error. You must adjust the COMS's simulated zero device to provide 
the same response as the clear path condition as specified in 
paragraph (3) of section 10.0. You must perform the zero alignment 
audits with the COMS off the stack at least every three years.
    (2) As an alternative, monitors capable of allowing the 
installation of an external zero device (commonly referred to as 
zero-jig) may use the device for the zero alignment provided that: 
the zero-jig setting has been established for the monitor path 
length and recorded for the specific COMS by comparison of the COMS 
responses to the installed zero-jig and to the clear path condition, 
and the zero-jig is demonstrated to be capable of producing a 
consistent zero response when it is repeatedly (i.e., three 
consecutive installations and removals prior to conducting the final 
zero alignment check) installed on the COMS. This can be 
demonstrated by either the MCOC or actual on-site performance. The 
zero-jig setting must be permanently set at the time of initial 
zeroing to the clear path zero value and protected when not in use 
to ensure that the setting equivalent to zero opacity does not 
change. The zero-jig response must be checked and recorded prior to 
initiating the zero alignment. If the zero-jig setting has changed, 
you must remove the COMS from the stack in order to reset the zero-
jig. If you employ a zero-jig, you must perform the zero alignment 
audits with the COMS off the stack at least every three years. If 
the zero-jig is adjusted within the three-year period, you must 
perform the zero alignment with the COMS off the stack no later than 
three years from the date of adjustment.
    (3) The procedure in section 6.8 of ASTM D 6216-98, 03, 07 is 
allowed.
    (4) Other alternatives that verify that the zero optical 
adjustment is 3 percent opacity are also allowed.
    10.4 What are my limits for excessive audit inaccuracy? Unless 
specified otherwise in the applicable subpart, the criteria for 
excessive inaccuracy are listed in paragraphs (1) through (4) of 
this section.
    (1) What is the criterion for excessive zero or upscale drift? 
Your COMS is out-of-control if either the zero drift check or 
upscale drift check exceeds twice the applicable drift specification 
in PS-1 for any one day.
    (2) What is the criterion for excessive zero alignment? Your 
COMS is out-of-control if the zero alignment error exceeds 2 percent 
opacity.
    (3) What is the criterion to pass the quarterly performance 
audit? Your COMS is out-of-control if the results of a quarterly 
performance audit indicate noncompliance with the following 
criteria:
    (i) The optical alignment misalignment error exceeds 3 percent 
opacity,
    (ii) The zero compensation exceeds 4 percent opacity, or
    (iii) The calibration error exceeds 3 percent opacity.
    (4) What is the criterion for data capture? The data capture 
will be considered insufficient if your COMS fails to obtain valid 
opacity data for at least 95 percent of your operating hours per 
calendar quarter, considering COMS downtime for all causes (e.g., 
monitor malfunctions, data system failures, preventative 
maintenance, unknown causes, etc.) except for downtime associated 
with routine zero and upscale checks and QA/QC activities required 
by this procedure. Whenever less than 95 percent of the valid data 
averages are obtained, you must either:
    (i) Perform additional QA/QC activities as deemed necessary to 
ensure acceptable data capture, or
    (ii) Determine if the COMS is functioning properly. If your COMS 
is malfunctioning, you may use a substitute COMS until repairs are 
made, provided the substitute meets the requirements in section 
10.6.
    10.5 What corrective action must I take if my COMS is 
malfunctioning? You must have a corrective action program in place 
to address the repair and/or maintenance of your COMS. There are 
four classes of maintenance and repair procedures to be considered 
as described in paragraphs (1) through (4) of this section. They may 
be performed at the manufacturer's facility, a service provider's 
facility, the user's instrument laboratory, or at the stack/duct at 
the discretion of the owner/operator and within the recommendation 
of the manufacturer. They must be performed by persons either 
skilled and/or trained in the operation and maintenance of the 
analyzer. After the repair/maintenance of your COMS, you must ensure 
that the COMS is still in compliance with PS-1. Table 17-1 outlines 
the tests required to maintain PS-1 certification.
    (1) Routine/Preventative Maintenance. Routine/preventative 
maintenance includes the routine replacement of consumables, 
cleaning of optical surfaces, and adjustment of monitor operating 
parameters as needed to maintain normal operation. Replacement of 
consumables that have the possibility of adversely affecting the 
performance of an analyzer may cause the nature of the maintenance 
procedure to fall within one of the classifications described below.
    (2) Measurement Non-Critical Repairs. Measurement non-critical 
repairs include repair and/or replacement of standard non-critical 
components, the unique characteristics of which do not materially 
affect the performance of the monitor. These components include, but 
are not limited to, resistors, capacitors, inductors, transformers, 
semiconductors, such as discrete components and integrated circuits, 
brackets and machined parts (not associated with internal optical 
components), cabling and connectors,

[[Page 8165]]

electro mechanical components, such as relays, solenoids, motors, 
switches, blowers, pressure/flow indicators, tubing, indicator 
lights, software with the same version and/or revision level, glass 
windows (uncoated or anti-reflection coated, but with no curvature), 
lenses with mounts where such mounts are not adjustable as 
installed, circuit boards where such boards are interchangeable and 
without unique adjustments (except offset and gain adjustments) for 
the specific analyzer of the same model, with such repairs to 
include the maintenance procedures required to ensure that the 
analyzer is appropriately setup.
    (3) Primary Measurement Light Source. Repair or replace the 
primary measurement light source.
    (4) Measurement Critical Repairs. Measurement critical repairs 
include repair and/or replacement of measurement sensitive 
components, the unique characteristics of which may materially 
affect the performance of the monitor. These components include, but 
are not limited to, optical detectors associated with the opacity 
measurement/reference beam(s), spectrally selective optical filters, 
beam splitters, internal zero and/or upscale reference reflective or 
transmissive materials, electro optical light switches, retro 
reflectors, adjustable apertures used on external zero devices or 
reflectors, lenses which have an adjustable mount, circuit boards 
which are not completely interchangeable and/or require unique 
adjustments for the specific analyzer, with such repairs to include 
the maintenance procedures required to ensure that the analyzer is 
appropriately setup.
    (5) Rebuilt or Refurbished Analyzers. Rebuilt or refurbished 
analyzers include analyzers for which a major sub-assembly has been 
replaced or multiple lesser sub-assemblies with different revision 
levels from the original have been replaced and/or modified. This 
also includes major changes to the analyzer measurement detection 
and processing hardware or software.
    10.6 What requirements must I meet if I use a substitute opacity 
monitor? In the event that your certified opacity monitor has to be 
removed for extended service, you may install a temporary 
replacement monitor to obtain required opacity emissions data 
provided that:
    (1) The temporary monitor has been certified according to ASTM D 
6216-98, 03, 07 for which a manufacturer's certificate of 
conformance (MCOC) has been provided;
    (2) The use of the temporary monitor does not exceed 720 hours 
(30 days) of operation per year as a replacement for a fully 
certified opacity monitor. After that time, the analyzer must 
complete a full certification according to PS-1 prior to further use 
as a temporary replacement monitor. Once a temporary replacement 
monitor has been installed and required testing and adjustments have 
been successfully completed, it cannot be replaced by another 
temporary replacement monitor to avoid the full PS-1 certification 
testing required after 720 hours (30 days) of use;
    (3) The temporary monitor has been installed and successfully 
completed an optical alignment assessment and status indicator 
assessment;
    (4) The temporary monitor has successfully completed an off-
stack clear path zero assessment and zero calibration value 
adjustment procedure;
    (5) The temporary monitor has successfully completed an 
abbreviated zero and upscale drift check consisting of seven zero 
and upscale calibration value drift checks which may be conducted 
within a 24-hour period with not more than one calibration drift 
check every three hours and not less than one calibration drift 
check every 25 hours. Calculated zero and upscale drift requirements 
are the same as specified for the normal PS-1 certification;
    (6) The temporary monitor has successfully completed a three-
point calibration error test;
    (7) The upscale reference calibration check value of the new 
monitor has been updated in the associated data recording equipment;
    (8) The overall calibration of the monitor and data recording 
equipment has been verified; and
    (9) The user has documented all of the above in the maintenance 
log or in other appropriate permanently maintained records.
    10.7 When do out-of-control periods begin and end? The out-of-
control periods are as specified in section 3.1.
    10.8 What are the limitations on the use of my COMS data 
collected during out-of-control periods? During the period your COMS 
is out-of-control, you may not use your COMS data to calculate 
emission compliance or to meet minimum data capture requirements in 
this procedure or the applicable regulation.
    10.9 What are the QA/QC reporting requirements for my COMS? You 
must report the accuracy results from section 10.0 for your COMS at 
the interval specified in this procedure or the applicable 
regulation. You must report the drift and accuracy information as a 
Data Assessment Report (DAR), and include one copy of this DAR for 
each quarterly audit with the report of emissions required under the 
applicable regulation. An example DAR is provided in Procedure 1, 
Appendix F of this part.
    10.10 What minimum information must I include in my DAR? At a 
minimum, you must include the information listed in paragraphs (1) 
through (5) of this section in the DAR.
    (1) Your name and address,
    (2) Identification and location of your COMS(s),
    (3) Manufacturer, model, and serial number of your COMS(s),
    (4) Assessment of COMS data accuracy/acceptability and date of 
assessment as determined by a performance audit described in section 
10.0. If the accuracy audit results show your COMS to be out-of-
control, you must report both the audit results showing your COMS to 
be out-of-control and the results of the audit following corrective 
action showing your COMS to be operating within specifications, and
    (5) Summary of all corrective actions you took when you 
determined your COMS was out-of-control.
    10.11 Where and how long must I retain the QA data that this 
procedure requires me to record for my COMS? You must keep the 
records required by this procedure for your COMS onsite and 
available for inspection by us, the State, and/or the local 
enforcement agency for the period specified in the regulations 
requiring the use of COMS.

11.0 What analytical procedures apply to this procedure? [Reserved]

12.0 What calculations and data analysis must I perform for my 
COMS?

    The calculations required for the performance audit are in 
section 12.0 of PS-1.

13.0 Method Performance [Reserved]

14.0 Pollution Prevention [Reserved]

15.0 Waste Management [Reserved]

16.0 References

    16.1 Performance Specification 1-Specifications and Test 
Procedures for Continuous Opacity Monitoring Systems in Stationary 
Sources, 40 CFR part 60, Appendix B.
    16.2 ASTM D 6216-98, 03, 07-Standard Practice for Opacity 
Monitor Manufacturers to Certify Conformance with Design and 
Performance Specifications, American Society for Testing and 
Materials (ASTM).

17.0 What Tables, Diagrams, Flowcharts, and Validation Data Are 
Relevant to This Procedure?

                                                                17.1. Table 17-1--Diagnostic Tests Required After Various Repairs
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                         Clear path                                                     7-Day zero
                                                  Optical                   (off-                                 Fault     Averaging     and up-                New MCOC
                                      Optical    alignment      Zero       stack)      Upscale    Calibration    status       period       scale     Recertify  per ASTM D
       Description of event         align-ment   indicator  calibration     zero     calibration  error check   indicator  calculation     drift     per PS-1    6216-98,         Comments
                                                assessment     check     assessment     check                     check        and         check                    07
                                                 (Note 1)                 (Note 3)                                          recording    (Note 2)
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
(1) Replace or repair components            X          --            X          --            X           --           X           --          --          --          --   Includes replacement
 described as routine and/or                                                                                                                                                 of blower, cleaning
 preventative maintenance..                                                                                                                                                  optical surfaces,
                                                                                                                                                                             resetting
                                                                                                                                                                             adjustable
                                                                                                                                                                             parameters to
                                                                                                                                                                             maintain normal
                                                                                                                                                                             performance, etc.

[[Page 8166]]

 
(2) Replace or repair primary               X           X            X           X            X            X           X           --          --          --          --   Light source
 measurement light..                                                                                                                                                         uniformity and
                                                                                                                                                                             position are key
                                                                                                                                                                             source to many
                                                                                                                                                                             performance
                                                                                                                                                                             parameters.
(3) Replace or repair components            X          --            X          --            X   ...........          X           --          --          --          --   See text
 which are measurement                                                                                                                                                       description,
 noncritical..                                                                                                                                                               section 10.5(2).
(4) Replace or repair components            X           X            X           X            X            X           X           --           X          --          --   See test
 which are measurement critical..                                                                                                                                            description,
                                                                                                                                                                             section 10.5(3).
(5) Replace or repair components           --          --            X          --            X            X           X            X          --          --          --   Includes changes of
 which are measurement critical                                                                                                                                              components
 but do not involve optical or                                                                                                                                               involving data
 electro-optical components..                                                                                                                                                acquisition and
                                                                                                                                                                             recording.
(6) Rebuild or substantially               --          --           --          --           --           --          --           --          --           X          --   See text
 refurbish the analyzer..                                                                                                                                                    description,
                                                                                                                                                                             section 10.5(4).
(7) Change to, or addition of,             --          --           --          --           --           --          --           --          --           X           X   Significant changes
 analyzer components which may                                                                                                                                               which are not part
 affect MCOC-specified performance                                                                                                                                           of the MCOC-
 parameters..                                                                                                                                                                designated
                                                                                                                                                                             configuration.
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Notes: (1) Optical alignment indicator assessment requires the operator to verify during an off the stack clear path zero assessment that the beam is centered on the reflector/retro reflector
  when the alignment indicator indicates on-axis centered alignment. If not, the analyzer optical train must be adjusted until this condition is met.
(2) 7-Day zero and upscale drift assessment. Opacity measurement data recorded prior to completion of the 7-day drift test will be considered as valid provided that the first 7-day drift test
  is successful, that it is completed within 14 days of completion of the repair, and that other QA requirements are met during this time period.
(3) Requires verification of the external zero-jig response, or recalibration of the same, after the off-stack clear path zero has been re-established.

[FR Doc. 2012-3379 Filed 2-13-12; 8:45 am]
BILLING CODE 6560-50-P
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