United States 

Environmental Protection Agency

Acid Rain Program 

OMB No. 2060-0258 

 Approval expires 11/30/2012 

Phase II NOx Averaging Plan

For more information, see instructions and refer to 40 CFR 76.11 Page 1

This submission is: □ □ New Revised Page □ of □

STEP 1

Identify the units

participating in this

averaging plan by

plant name, State,

and boiler ID# from

NADB. In column (a),

fill in each unit's

applicable emission

limitation from 40 CFR

76.5, 76.6, or 76.7. In

column (b), assign an

alternative

contemporaneous

annual emissions

limitation (ACEL) in

lb/mmBtu to each unit.

In column (c), assign

an annual heat input

limitation in mmBtu

to each unit. Continue

to page 3 if necessary.

(a)

Emission

(b) (c)

Plant Name State ID# Limitation ACEL Annual Heat Input Limit

STEP 2

Use the formula to enter

the Btu-weighted annual

emission rate averaged

over the units if they are

operated in accordance

with the proposed

averaging plan and the

Btu-weighted annual

average emission rate

for the same units if

they are operated in

compliance with 40 CFR

76.5, 76.6, or 76.7. The

former must be less

than or equal to the

latter.

Btu-weighted annual emission rate

averaged over the units if they are

operated in accordance with the

proposed averaging plan

≤

Btu-weighted annual average

emission rate for same units

operated in compliance with

40 CFR 76.5, 76.6 or 76.7

(RLi x HIi) [RlixHIi] 

HIi 

≤

HIi 

Where,

RLi = Alternative contemporaneous annual emission limitation for unit i, in 

lb/mmBtu, as specified in column (b) of Step 1:

Rli = Applicable emission limitation for unit i, in lb/mmBtu, as specified in 

column (a) of Step 1;

Hli = Annual heat input for unit i, in mmBtu, as specified in column (c) of 

Step 1;

n = Number of units in the averaging plan

EPA Form 7610-29 (Revised 12-2009) 
Plant Name (from Step 1) NOx Averaging - Page 2

STEP 3 □ 

Mark one of

the two options

and enter dates.

This plan is effective for calendar year ___________ through calendar year ______________

unless notification to terminate the plan is given.

□ Treat this plan as □ identical plans, each effective for one calendar year for the following calendar 

years: ______, ______, ______, ______ and ______ unless notification to terminate one or more of these 

plans is given.

STEP 4

Read the special

provisions and

certification, enter the

name of the designated

representative, and

sign and date.

Special Provisions

Emission Limitations

Each affected unit in an approved averaging plan is in compliance with the Acid Rain emission limitation for 

NOx under the plan only if the following requirements are met:

(i) For each unit, the unit's actual annual average emission rate for the calendar year, in lb/mmBtu, is less 

than or equal to its alternative contemporaneous annual emission limitation in the averaging plan, and

(a) For each unit with an alternative contemporaneous emission limitation less stringent than the applicable 

emission limitation in 40 CFR 76.5, 76.6, or 76.7, the actual annual heat input for the calendar year does 

not exceed the annual heat input limit in the averaging plan,

(b) For each unit with an alternative contemporaneous emission limitation more stringent than the 

applicable emission limitation in 40 CFR 76.5, 76.6, or 76.7, the actual annual heat input for the calendar 

year is not less than the annual heat input limit in the averaging plan, or

(ii) If one or more of the units does not meet the requirements of (i), the designated representative shall 

demonstrate, in accordance with 40 CFR 76.11(d)(1)(ii)(A) and (B), that the actual Btu-weighted annual 

average emission rate for the units in the plan is less than or equal to the Btu-weighted annual average rate 

for the same units had they each been operated, during the same period of time, in compliance with the 

applicable emission limitations in 40 CFR 76.5, 76.6, or 76.7.

(iii) If there is a successful group showing of compliance under 40 CFR 76.11(d)(1)(ii)(A) and (B) for a 

calendar year, then all units in the averaging plan shall be deemed to be in compliance for that year with 

their alternative contemporaneous emission limitations and annual heat input limits under (i).

Liability

The owners and operators of a unit governed by an approved averaging plan shall be liable for any 

violation of the plan or this section at that unit or any other unit in the plan, including liability for fulfilling the 

obligations specified in part 77 of this chapter and sections 113 and 411 of the Act.

Termination

The designated representative may submit a notification to terminate an approved averaging plan, in 

accordance with 40 CFR 72.40(d), no later than October 1 of the calendar year for which the plan is to be 

terminated.

Certification 

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

affected units for which the submission is made. I certify under penalty of law that I have personally 

examined, and am familiar with, the statements and information submitted in this document and all its 

attachments. Based on my inquiry of those individuals with primary responsibility for obtaining the 

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

accurate, and complete. I am aware that there are significant penalties for submitting false statements and 

information or omitting required statements and information, including the possibility of fine or 

imprisonment.

Name

Signature Date

EPA Form 7610-29 (Revised 12-2009) 
Plant Name (from Step 1) NOx Averaging - Page 3

STEP 1

Continue the

identification of

units from Step 1,

page 1, here.

Plant Name State ID#

(a)

Emission

Limitation

(b)

Alt.

Contemp.

Emission

Limitation

Annual 

(c)

Heat Input Limit

EPA Form 7610-29 (Revised 12-2009) 
Plant Name (from Step 1) NOx Averaging - Page 4

(a) (b) (c)

Alt.

Contemp.

Emission Emission Annual Heat Input Limit

Plant Name State ID# Limitation Limitation

STEP 1

Continue the

identification of

units from Step 1,

page 1, here.

EPA Form 7610-29 (Revised 12-2009) 
Acid Rain Program 

Instructions for Phase II NOX Compliance 

Plan (40 CFR 76.9)

The U.S. Environmental Protection Agency has promulgated regulations designed to substantially reduce the annual

emissions of nitrogen oxides (NOx) from coal-fired electric utilities. The NOx Emission Reduction regulations are found

at 40 CFR part 76 and apply to each existing coal-fired utility unit that is subject to sulfur dioxide (SO2) emission reduction

requirements under Sections 404, 405, or 409 of the Clean Air Act. Under 40 CFR 76.9, the owner or operator of each

affected unit subject to 40 CFR part 76 must include a compliance plan for NOx emissions in the Acid Rain permit

application for that unit. The designated representatives (DRs) of Phase I and Phase II NOx-affected units with Group

1 or Group 2 boilers must submit an initial Phase II NOx compliance plan to the appropriate title V air permitting authority

(in most cases, the State or local air permitting authority) not later than January 1, 1998. A Group 1 boiler is a

tangentially fired boiler or a dry bottom wall-fired boiler. A Group 2 boiler is a cell burner boiler, cyclone boiler, vertically

fired boiler, or a wet bottom boiler. Once the title V permitting authority receives the Phase II NOx compliance plans,

it will in turn review them and incorporate approved plans into the Phase II Acid Rain permits issued by the permitting

authority to Phase II affected sources.

General Instructions

(1) Please type or print in black ink.

(2) NADB is the National Allowance Data Base for the

Acid Rain Program. To obtain the database on

diskette, call the Acid Rain Hotline at (202) 343-9620.

This data file is in dBase format for use on an IBMcompatible PC. It requires 2 megabytes of hard drive

memory. If the unit is not listed in NADB, use the

plant name, ORIS code, and boiler ID#(s) listed on the

Certificate of Representation for the affected source.

(3) If more space is needed, photocopy the pertinent

page. When you have completed the form, indicate

the page order and total number of pages (e.g., 1 of

4, 2 of 4, etc.) in the boxes in the upper right hand

corner of each page.

(4) Submit one complete set of all forms with original

signatures to:

(a) The appropriate title V permitting authority (for

NOX Averaging Plans, a copy of the plan must be

submitted to any other title V permitting authority

with jurisdiction over any of the units in the plan).

and

One copy to:

(b) U.S. Environmental Protection Agency

Clean Air Markets Division (6204J)

Attn: Phase II NOX

1200 Pennsylvania Ave., NW

Washington, DC 20460

(5) For assistance, call the Acid Rain Hotline at (202)

343-9620.

NOx Compliance Options

STEP 2

General

Indicate a proposed method of compliance with the NOX

emissions requirements for each unit at the source affected

for NOX during Phase II. A Phase II NOx compliance plan

must account for each year the Phase II acid rain permit will

be effective. Further, a NOX compliance plan is in effect only

through the term of the acid rain permit covering the NOXaffected units. A new NOX compliance plan must be

submitted when an acid rain permit renewal

application is due.

NOX-affected Units

To determine if an affected unit subject to Acid Rain

SO2 requirements is also subject to NOX emission

limitations, see 40 CFR 76.1, the definitions at 40 CFR

76.2, and the emission limitations at 40 CFR 76.5, 76.6, and

76.7. Most existing coal-fired units that are subject to Acid

Rain SO2 requirements and that have a Group 1 or Group 2

boiler are also subject to the NOX emission limitations under

40 CFR part 76.
2

Phase I Group 1 Boilers

Compliance options (a) and (b) are standard annual emission

limitations, one of which may be selected for a Phase I Group

1 boiler. The limits also apply to Phase II Group 1 boilers that

are covered by an early election plan previously approved by

U.S. EPA.

Early Election

Compliance option (c), NOX early election, is available only to

Phase II Group 1 boilers with early election plans submitted

by January 1, 1997 and approved by U.S. EPA. All such

plans terminate no later than December 31, 2007. DRs with

NOX early election units must select option (c) and either (a)

or (b), the Phase I Group 1 standard emissions limit specified

for the unit in the plan. If the termination date of the plan will

be prior to the expiration date of the acid rain permit covering

an early election unit, the DR must indicate an additional

NOX compliance option that will apply to the unit beginning

when the plan terminates through the date by which the acid

rain permit will expire. In such cases the DR must mark

option (c) and either (a) or (b), as well as the additional

box(es) denoting the additional, follow-on NOX compliance

option. For early election units in a common stack, see also

the instructions under Common Stacks.

Phase II Group 1 Boilers

Compliance options (d) and (e) denote standard annual

emission limitations, one of which may be selected for a

Phase II Group 1 boiler.

Phase II Group 2 Boilers

Compliance options (f) through (i) denote standard annual

emission limitations, one of which may be selected for

a Phase II Group 2 boiler.

NOX Averaging

Compliance option (j) denotes the annual emission

limitation under a NOX averaging plan, which may be

selected in lieu of a standard annual emission limit for

Group 1 or Group 2 boilers with the same owner or

operator and the same DR. See instructions below and

include Phase II NOX averaging form.

Common Stacks

A unit that utilizes a common stack and is separately

monitored for NOX (i.e, has its own NOX monitor and diluent

monitor) is treated as the same as a unit that emits only

through its own separate stack.

A unit (other than an early election unit) that utilizes a

common stack and is not monitored separately must select

one of the applicable common stack options. If the unit

shares a common stack with other affected units and no nonaffected units and if each of the units has a NOX emission

limitation, three options are available: comply with the most

stringent NOX emission limitation applicable

to any unit utilizing the common stack (option (k)); include the

units in a NOX averaging plan (option (l)); or use an approved

method for apportioning the combined NOX emission rate in

the common stack (option (m)). If the unit shares a common

stack with at least one other unit that does not have a NOX

emission limitation or with at least one non-affected unit, you

must use an approved method for apportioning the

combined NOX emission rate (option (m)), unless, of

course, the unit is separately monitored. An early election

unit that utilizes a common stack, that is not monitored

separately, and whose early election plan specifies option (k)

or (m) for the unit, must select such option.

If an apportionment option is chosen, check, in addition to

option (m), the box at Step 2 that indicates the applicable

emission limitation and submit to U.S. EPA the

documentation supporting apportionment with the monitoring

plan submission.

Alternative Emissions Limitations

Compliance option (n) must be selected by a Phase II

Group 1 or Group 2 boiler that is applying for an AEL

demonstration period, or final AEL, starting in Phase II.

Compliance option (n) must also be chosen by a boiler

that is renewing for Phase II a final AEL approved by

U.S. EPA (see instructions accompanying Phase II AEL

Demonstration Period, Final AEL Petition, and AEL Renewal

forms and include appropriate form).

Compliance option (o) must be selected by a boiler that

has applied to U.S. EPA for an AEL demonstration

period or final AEL which is undergoing review by U.S.

EPA. If a final AEL is subsequently approved by U.S.

EPA, a revised Phase II NOX compliance plan must be

submitted marking option (o) and attaching an AEL

Renewal form. If an AEL demonstration period or final

AEL is subsequently disapproved by U.S. EPA, a

revised Phase II NOX compliance plan must be

submitted indicating which Phase II NOX compliance

option will be used by the boiler.

Repowering Extension Plans

Compliance option (p) must be selected by a boiler that is

covered by either an approved repowering extension plan or

a plan that is undergoing review. If a repowering extension

plan undergoing review is subsequently disapproved, a

revised Phase II NOX compliance plan must be submitted

indicating which Phase II NOX compliance option will be used

by the boiler. If the termination date of either the repowering

extension plan undergoing review or the approved plan is

prior to the expiration date of the acid rain permit covering the

repowered (or replacement) boiler under the plan, the DR

must indicate an additional NOX compliance option that will

apply to the boiler beginning when the plan terminates

through the date by which the acid rain permit will expire. In

such cases the DR must mark option (p), as well as

additional box(es) denoting the additional, follow-on NOX

compliance option.

_______________________________________________________________________________
3 

NOX Averaging Plan

Under 40 CFR 76.11 any affected units under control of the same owner or operator and with the same designated

representative may average their NOX emission rate, rather than each unit complying on an individual-unit basis with the

applicable emission limitation in 40 CFR 76.5, 76.6, or 76.7. Units with no common owner or operator may not average

their emissions. You may submit an averaging plan (or a revision to an approved averaging plan) with the appropriate

title V permitting authority(s) at any time up to and including January 1 of the calendar year for which the averaging plan

will become effective. If the plan is restricted to units located within a single permitting authority's jurisdiction, you may 

submit the plan at any time up to and including July 1 of the calendar year for which the plan will become effective.

STEP 1

Each unit identified for inclusion in the averaging plan in

Phase II must be a Group 1 or Group 2 boiler subject to an

emission limitation under 40 CFR 76.5, 76.6, or 76.7. Enter 

each unit's applicable emission limitation from 40 CFR 76.5,

76.6, or 76.7 in column (a). If a unit with an alternative

emission limitation demonstration period or a final alternative

emission limitation under 40 CFR 76.10 participates in an

averaging plan, enter the applicable emission limitation from

40 CFR 76.5, 76.6, or 76.7, not the interim or alternative limit,

in column (a).

For units utilizing a common stack that are averaging

pursuant to 40 CFR 75.17(a)(2)(i)(B), the same alternative

contemporaneous emission limitation must be entered in

column (b) for each unit utilizing the common stack.

Different annual heat input limits may be entered for these

units in column (c). Units not utilizing the common stack

may also be included in the averaging plan with the common

stack units.

The annual heat input limit entered at column (c) will be a

minimum limit if the value in column (b) is less than the value

in column (a) for that unit. It will be a maximum limit if the

value in column (b) is greater than the value in column (a).

The values entered for each unit at columns (b) and (c) must

satisfy the formula at Step 2. 

STEP 2

The entries in Step 2 must demonstrate that the Btu-weighted

annual emission rate averaged over the units in the plan is

less than or equal to the Btu-weighted annual average

emission rate for the same units if they are each operated,

during the same period of time, in compliance with the

applicable emission limitations in 40 CFR 76.5, 76.6, or 76.7.

Use the equation that appears in Step 2 to demonstrate that

the alternative contemporaneous annual emission limitations

and annual heat input values assigned to the units in Step 1

satisfy this criterion. For units with an interim emission

limitation or an alternative emission limitation, the applicable

emission limitation for the equation shall equal the applicable

emissions limitation under 40 CFR 76.5, 76.6, or 76.7.

STEP 3

The second option is included to avoid the need to submit

identical plans each for a different year if you want each plan

to be effective for only one year.

_________________________________________________________________________________________________ 

Paperwork Burden Estimate

The burden on the public for collecting and reporting of information under this request is fixed per response indicated. Send comments regarding this

collection of information, including suggestions for reducing the burden, to: Chief, Information Policy Branch (PM-223), U.S. Environmental Protection

Agency, 1200 Pennsylvania Ave., NW Washington, D.C. 20460; and to: Paperwork Reduction Project (OMB#2060-0258), Office of Information and

Regulatory Affairs, Office of Management and Budget, Washington, D.C. 20503. Do not send your forms to these addresses; see paragraph

(4) of the General Instructions on Page 1 for form submission information.

FORM HOURS

NOX Compliance Plan 10

NOX Averaging Plan 200