Abbreviations and Acronyms

Administrator Administrator of the U.S. EPA

AR Acid Rain

ARP Acid Rain Program

CAA Clean Air Act [42 U.S.C. Section 7401 et seq.]

CAM Compliance Assurance Monitoring

CEMS Continuous Emission Monitoring System

CFR Code of Federal Regulations

COFA Close-Coupled Overfire Air

COMS Continuous Opacity Monitoring System

DC Dust Collector

EIP Economic Incentives Program

ESP Electro Static Precipitator

FGD Flue Gas Desulfurization

gal gallon

HAP Hazardous Air Pollutant

hr hour

Id. No. Identification Number

kg kilogram

lb pound

MACT Maximum Achievable Control Technology

MVAC Motor Vehicle Air Conditioner

Mg megagram

MMBtu million British Thermal Units

MW Megawatts

mo month

NESHAP National Emission Standards for Hazardous Air Pollutants

NNEPA Navajo Nation Environmental Protection Agency

NNOPR Navajo Nation Operating Permit Regulations

NOX Nitrogen Oxides

NSPS New Source Performance Standards

NSR New Source Review

PM Particulate Matter

PM-10 Particulate matter less than 10 microns in diameter

ppm parts per million

PSD Prevention of Significant Deterioration

PTE Potential to Emit

psia pounds per square inch absolute

RMP Risk Management Plan

SNAP Significant New Alternatives Program

SO2 Sulfur Dioxide

TSP Total Suspended Particulate

US EPA United States Environmental Protection Agency

VCA Voluntary Compliance Agreement

VOC Volatile Organic Compounds
2

TABLE OF CONTENTS

Cover Page

Abbreviations and Acronyms

I. Source Identification

II. Requirements for Specific Units

A. Acid Rain Requirements

B. Visibility Federal Implementation Plan Requirements

C. NSPS General Provisions 

D. NSPS Requirements

E. Monitoring and Testing Requirements 

F. Operational Flexibility

III. Facility-Wide or Generic Permit Conditions

A. Testing Requirements

B. Recordkeeping Requirements

C. Reporting Requirements

D. Protection of Stratospheric Ozone

E. Asbestos from Demolition and Renovation

F. Compliance Schedule

IV. Title V Administrative Requirements

A. Fee Payment

B. Blanket Compliance Statement

C. Compliance Certifications

D. Duty to Provide and Supplement Information

E. Submissions

F. Severability Clause

G. Permit Actions

H. Administrative Permit Amendments 

I. Minor Permit Modifications

J. Group Processing of Minor Permit Amendments

K. Significant Modifications 

L. Reopening for Cause

M. Property Rights

N. Inspection and Entry

O. Emergency Provisions

P. Transfer of Ownership or Operation

Q. Off Permit Changes

R. Permit Expiration and Renewal

S. Additional Permit Conditions 

T. Part 71 Permit Enforcement

Attachment A 

Phase II Acid Rain Permit Renewal 
3

I. Source Identification

Managing Participant Name: Salt River Project Agricultural Improvement 

and Power District (SRP)*

Managing Participant Mailing Address: P.O. Box 52025, PAB 352

Phoenix, Arizona 85072-2025

*Note: This facility is co-owned by 6 entities. SRP is listed as the managing participant in 

this permit since they act as the facility operator, and have accepted the responsibility to 

obtain environmental permits for Navajo Generating Station, including an Acid Rain 

permit and Part 71 Permit. In addition to SRP, the other 5 co-owners of this facility are:

1. Los Angeles Department of Water and Power (LADWP)

2. Arizona Public Service Company (APS)

3. Tucson Electric Power (TEP)

4. Nevada Power Company (NPC)

5. U.S. Bureau of Reclamation (USBR)

Plant Name: Navajo Generating Station

Plant Location: 5 miles east of Page, AZ off U.S. Highway 98

Page, Arizona 

County: Coconino, Arizona

EPA Region: 9

Reservation: Navajo Nation

Tribe: Navajo

Company Contact: Paul Ostapuk Phone: (928) 645-6577

Responsible Official: Robert K. Talbot Phone: (928) 645-6217

EPA Contact: Roger Kohn Phone: (415) 972-3973

Tribal Contacts: Eugenia Quintana Phone: (928) 871-7800

Charlene Nelson Phone: (928) 729-4247 

SIC Code: 4911

AFS Plant Identification Number: 04-005-N0423

Description of Process: The facility is 2,250 Net Megawatts coal fired power plant.

Significant Emission Units:

Unit ID/

Stack ID

Unit Description Maximum 

Capacity

Commenced 

Construction 

Date

Control 

Method

U1/

Stack S1

One (1) pulverized coal-fired boiler,

using No. 2 fuel oil for ignition fuel. Stack S1 is 

equipped with SO2 and NOX CEMS, and a 

COMS.

7,725 MBtu/hr;

750 Net MW 1970

COFA;

FGD system 

SCBR1 

(1999); ESP1

U2/

Stack S2

One (1) pulverized coal-fired boiler,

using No. 2 fuel oil for ignition fuel. Stack S2 is 

equipped with SO2 and NOX CEMS, and a 

COMS.

7,725 MBtu/hr;

750 Net MW 1970

COFA;

FGD system 

SCBR2 

(1998); ESP2
4

Unit ID/

Stack ID

Unit Description Maximum 

Capacity

Commenced 

Construction 

Date

Control 

Method

U3/

Stack S3

One (1) pulverized coal-fired boiler,

using No. 2 fuel oil for ignition fuel. Stack S3 is 

equipped with SO2 and NOX CEMS, and a 

COMS.

7,725 MBtu/hr;

750 Net MW 1970

COFA;

FGD system 

SCBR3 

(1997); ESP3

AUX A One (1) auxiliary boiler;

using No. 2 fuel oil as fuel 308 MMBtu/hr 1970 N/A

AUX B One (1) auxiliary boiler;

using No. 2 fuel oil as fuel 308 MMBtu/hr 1970 N/A

Coal Handling Operations

CT1 One (1) railcar unloading operation 10,000 tons/hr 1970 N/A

L1 - L12 Twelve (12) hopper feeders 2,400 tons/hr

(total) 1970 N/A

BC-1 

through BC4Four (4) conveyors to the yard surge bin 1,800 tons/hr

(each) 1970 DC-8

BC-4A One (1) conveyor to the batch weight system 100 tons/hr 1970 DC-8

BFD-5A, 

BC-5

Two (2) reclaim conveyors 1,800 tons/hr

(each) 1970 DC-8

BC-6 One (1) conveyor to the yard surge bin 1,500 tons/hr 1970 DC-8

BC-6A 

through BC6CThree (3) conveyors to the stacker/reclaimer 1,800 tons/hr

(each) 1970 N/A

BC-7

One (1) conveyor to the emergency reclaim 

hopper 1,500 tons/hr 1970 N/A

YSB-1 One (1) yard surge bin 1,800 tons/hr 1970 DC-8

BC-8A BC8B Two (2) conveyors to plant surge bin 1,500 tons/hr

(each) 1970 DC-8

PSB-1 One (1) plant surge bin 3,000 tons/hr 1970 DC-5

BC-9A BC9BTwo (2) conveyors to the coal silos for boilers 

U1 and U2

1,500 tons/hr

(each) 1970 DC-5

BC-10A

BC-10B

Two (2) conveyors to the coal silos for boiler 

U3

1,500 tons/hr

(each) 1970 DC-5

CC-1A 

through CC9A; CC-1B 

through CC9B

Three (3) enclosed cascading conveying systems 

to the coal storage silos for boilers U1, U2, and 

U3

1,500 tons/hr

(each) 1970

DC-1 through 

DC-4, DC-6, 

and DC-7

Silos 1A 

through 1G Seven (7) storage silos for boiler U1 3,000 tons/hr(each) 1970

DC-1, DC-2, 

and baghouse 

PR-1.

Silos 2A 

through 2G Seven (7) storage silos for boiler U2 3,000 tons/hr(each) 1970

DC-3, DC-4, 

and baghouse 

PR-2.

Silos 3A 

through 3G Seven (7) storage silos for boiler U3 3,000 tons/hr(each) 1970

DC-6, DC-7, 

and baghouse 

PR-3.

CS Outdoor coal storage piles 3,300 tons/hr

(total) 1970 water suppression

Limestone handling system associated with the FGD systems

Unloading 

Bay A and B Two (2) truck unloading operations 38 tons/hr(each) 1997 N/A

O-LSHHOP-A One (1) limestone unloading hopper 300 tons/hr 1997 DC-9

O-LSHHOP-B One (1) limestone unloading hopper 300 tons/hr 1997 DC-10
5

Unit ID/

Stack ID

Unit Description Maximum 

Capacity

Commenced 

Construction 

Date

Control 

Method

O-LSHFDR-A

One (1) conveyor 300 tons/hr 1997 DC-9

O-LSHFDR-B

One (1) conveyor 300 tons/hr 1997 DC-10

O-LSHCNV-A

One (1) conveyor 300 tons/hr 1997 DC-9

O-LSHCNV-B

One (1) conveyor 300 tons/hr 1997 DC-10

O-LSHSILO-A and 

B

Two (2) limestone storage silos 300 tons/hr

(each) 1997 DC-11

O-LSPFDR-A and 

B

Two (2) enclosed feeders to the slurry 

preparation system

36 tons/hr

(each) 1997 N/A

O-LSPCNV-A and 

B

Two (2) enclosed cleanout conveyors 5 tons/hr

(each) 1997 N/A

O-LSPMILL-A and 

B

Two (2) ball mills 36 tons/hr

(each) 1997 N/A

LS Limestone storage piles 600 tons/hr

(total) 1997

water 

suppression

Fly ash handling system

Silo 1 One (1) fly ash bin for boilers U1 and U2 46 tons/hr 1970 DC-TD and 

DC-S1/2

Silo 2 One (1) fly ash bin for boiler U3 46 tons/hr 1970 DC-S3

Silo 1 and 2 

Loading

Two (2) partially enclosed fly ash truck loading 

operations

38 tons/hr

(each) 1970 N/A

DWB-A 

through 

DWB-F

Six (6) bottom ash truck loading operations.

The bottom ash is processed in a wet form

46 tons/hr

(each) 1970 N/A

Soda ash/lime handling systems

SAB-1A, 

SAB-2A, 

SAB-1B, 

SAB-2B

Four (4) soda ash storage bins 0.4 tons/hr 

(each) 1970 dust collector BH-6

LB-1 and 

LB-2

Two (2) lime storage bins 0.57 tons/hr 

(each) 1970 dust collector BH-7

Miscellaneous Operations

Six (6) cooling towers 813,000 gal/min

(total) 1970 N/A

TR Fugitive emissions from unpaved roads N/A 1970 water 

suppression
6

II. Requirements for Specific Units

II.A. Acid Rain Requirements [40 CFR Parts 72, 73, and 75; Phase II Acid Rain Permit]

The permittee shall comply with the requirements listed in the attached acid rain permit 

renewal (see Attachment A).

II.B. Visibility Federal Implementation Plan Requirements [40 CFR § 52.145(d)]

1. Definitions. The following definitions apply to section II.B of this permit [40 CFR 

§ 52.145(d)(1)]:

a. “Administrator” means the Administrator of EPA or his/her designee. 

b. “Affected Unit(s)” means the steam-generating unit(s) at the Navajo 

Generating Station, all of which are subject to the emission limitation in 

section II.B(2) of this permit, that has accumulated at least 365 boiler 

operating days since the passage of the date defined in section II.B(6) of 

this permit.

c. “Boiler Operating Day” for each of the boiler units at the Navajo 

Generating Station is defined as a 24-hour calendar day (the period of time 

between 12:01 a.m. and 12:00 midnight in Page, Arizona) during which 

coal is combusted in that unit for the entire 24 hours.

d. “Owner or Operator” means the owner, participant in, or operator of the 

Navajo Generating Station to which this paragraph is applicable.

e. “Unit-Week of Maintenance” means a period of 7 days during which a 

fossil fuel-fired steam-generating unit is under repair, and no coal is 

combusted in the unit.

2. Emission limitation. No owner or operator shall discharge or cause the discharge 

of sulfur oxides into the atmosphere in excess of 42 ng/J [0.10 pound per million 

British thermal units (lb/MMBtu)] heat input [40 CFR § 52.145(d)(2)].

3. Compliance determination. Compliance with the emission limit in Condition 

II.B(2) of this permit shall be determined daily on a plant-wide rolling annual 

basis as follows [40 CFR § 52.145(d)(3)]:

a. For each boiler operating day at each steam generating unit subject to the 

emission limitation in Condition II.B(2) of this permit, the owner or 

operator shall record the unit’s hourly SO2 emissions using the data from 

the continuous emission monitoring systems, required in Condition II.B(4)

of this permit and the daily electric energy generated by the unit (in 

megawatt-hours) as measured by the megawatt-hour meter for the unit.

b. Compute the average daily SO2 emission rate in ng/J (lb/MMBtu) 

following the procedures set out in Method 19, Appendix A, 40 CFR Part 

60 in effect on October 3, 1991.
7

c. For each boiler operating day for each affected unit, calculate the product 

of the daily SO2 emission rate (computed according to Condition 

II.B(3)(b) of this permit) and the daily electric energy generated (recorded 

according to Condition II.B(3)(a) of this permit) for each unit.

d. For each affected unit, identify the previous 365 boiler operating days to 

be used in the compliance determination. Except as provided in Condition

II.B(7) of this permit, all of the immediately preceding 365 boiler 

operating days will be used for compliance determinations.

e. Sum, for all affected units, the products of the daily SO2 emission rateelectric energy generated (as calculated according to Condition II.B(3)(c)

of this permit) for the boiler operating days identified in Condition 

II.B(3)(d) of this permit.

f. Sum, for all affected units, the daily electric energy generated (recorded 

according to Condition II.B(3)(a) of this permit) for the boiler operating 

days identified in Condition II.B(3)(d) of this permit.

g. Calculate the weighted plant-wide annual average SO2 emission rate by 

dividing the sum of the products determined according to Condition 

II.B(3)(e) of this permit by the sum of the electric energy generated 

determined according to Condition II.B(3)(f) of this permit.

h. The weighted plant-wide annual average SO2 emission rate shall be used 

to determine compliance with the emission limitation in Condition II.B(2)

of this permit.

4. Continuous emission monitoring. The owner or operator shall install, maintain, 

and operate continuous emission monitoring systems to determine compliance 

with the emission limitation in Condition II.B(2) of this permit as calculated in 

Condition II.B(3) of this permit. This equipment shall meet the specifications in 

Appendix B of 40 CFR 60 in effect on October 3, 1991. The owner or operator 

shall comply with the quality assurance procedures for continuous emission 

monitoring systems found in Appendix F of 40 CFR 60 in effect on October 3, 

1991 [40 CFR § 52.145(d)(4)].

5. Reporting requirements. For each steam generating unit subject to the emission 

limitation in Condition II.B(2) of this permit, the owner or operator [40 CFR §

52.145(d)(5)]:

a. Shall furnish the Administrator written notification, on a quarterly basis, 

on emissions of SO2, and either oxygen or carbon dioxide, according to 

the procedures found in 40 CFR § 60.7 in effect on October 3, 1991.

b. Shall furnish the Administrator written notification of the daily electric 

energy generated in megawatt-hours.
8

c. Shall maintain records according to the procedures in 40 CFR § 60.7 in 

effect on October 3, 1991.

d. Shall notify the Administrator by telephone, or in writing, or electronic 

mail sent to r9.aeo@epa.gov, within one business day of any outage of the 

control system needed for compliance with the emission limitation in 

Condition II.B(2) of this permit and shall submit a follow-up written 

report within 30 days of the repairs stating how the repairs were 

accomplished and justifying the amount of time taken for the repairs.

6. Compliance dates. The requirements of Section II.B of this permit shall be 

applicable to all units at this facility beginning on August 19, 1999 [40 CFR §

52.145(d)(6)].

7. Exclusion for catastrophic failure. In addition to the exclusion of periods allowed 

in Condition II.B(7) of this permit, any periods of emissions from an affected unit 

for which the Administrator finds that the control equipment or system for such 

unit is out of service because of catastrophic failure of the control system which 

occurred for reasons beyond the control of the owner or operators and could not 

have been prevented by good engineering practices will be excluded from the 

compliance determination. Events which are the consequence of lack of 

appropriate maintenance or of intentional or negligent conduct or omissions of the 

owner or operators or the control system design, construction, or operating 

contractors do not constitute catastrophic failure [40 CFR § 52.145(d)(10)].

8. Equipment operation. The owner or operator shall optimally operate all 

equipment or systems needed to comply with the requirements of this paragraph 

consistent with good engineering practices to keep emissions at or below the 

emission limitation in Condition II.B(2) of this permit, and following outages of 

any control equipment or system the control equipment or system will be returned 

to full operation as expeditiously as practicable [40 CFR § 52.145(d)(11)].

9. Maintenance scheduling. On March 16 of each year starting in 1993, the owner or 

operator shall prepare and submit to the Administrator a long-term maintenance 

plan for the Navajo Generating Station which accommodates the maintenance 

requirements for the other generating facilities on the Navajo Generating Station 

grid covering the period from March 16 to March 15 of the next year and showing 

at least 6 unit-weeks of maintenance for the Navajo Generating Station during the 

November 1 to March 15 period, except as provided in Condition II.B(10) of this 

permit. This plan shall be developed consistent with the criteria established by the 

Western Electric Coordinating Council of the North American Electric Reliability 

Council to ensure an adequate reserve margin of electric generating capacity. At 

the time that a plan is transmitted to the Administrator, the owner or operator shall 

notify the Administrator in writing if less than the full scheduled unit-weeks of 

maintenance were conducted for the period covered by the previous plan and shall 

furnish a written report stating how that year qualified for one of the exceptions 

identified in Condition II.B(10) of this permit [40 CFR § 52.145(d)(12)].

10. Exceptions for maintenance scheduling. The owner or operator shall conduct a 

full 6 unit-weeks of maintenance in accordance with the plan required in 
9

Condition II.B(9) of this permit unless the owner or operator can demonstrate to 

the satisfaction of the Administrator that a full 6 unit-weeks of maintenance 

during the November 1 to March 15 period should not be required because of the 

following [40 CFR § 52.145(d)(13)]:

a. There is no need for 6 unit-weeks of scheduled periodic maintenance in 

the year covered by the plan;

b. The reserve margin on any electrical system served by the Navajo 

Generating Station would fall to an inadequate level, as defined by the 

criteria referred to in Condition II.B(9) of this permit.

c. The cost of compliance with this requirement would be excessive. The 

cost of compliance would be excessive when the economic savings to the 

owner or operator of moving maintenance out of the November 1 to 

March 15 period exceeds $50,000 per unit-day of maintenance moved.

d. A major forced outage at a unit occurs outside of the November 1 to 

March 15 period, and necessary periodic maintenance occurs during the 

period of forced outage. 

11. If the Administrator determines that a full 6 unit-weeks of maintenance during the 

November 1 to March 15 period should not be required, the owner or operator 

shall nevertheless conduct that amount of scheduled maintenance that is not 

precluded by the Administrator. Generally, the owner or operator shall make best 

efforts to conduct as much scheduled maintenance as practicable during the 

November 1 to March 15 period. [40 CFR § 52.145(d)(13)]

II.C. NSPS General Provisions

The following requirements apply to the operation, maintenance, and testing the affected 

facilities in the limestone handling system in accordance with 40 CFR Part 60, Subparts 

A and OOO (“Standards of Performance for Non-Metallic Mineral Processing Plants”):

1. All requests, reports, applications, submittals, and other communications to the 

NNEPA pursuant to 40 CFR Part 60 shall be submitted in duplicate to the EPA 

Region 9 office at the following address [40 CFR § 60.4(a)]:

Director, Air Division (Attn: AIR-1)

EPA Region IX

75 Hawthorne Street

San Francisco, CA 94105

2. Any owner or operator subject to the provisions of this part shall maintain records 

of the occurrence and duration of any startup, shutdown, or malfunction in the 

operation of an affected facility; any malfunction of the air pollution control 

equipment; or any periods during which a continuous monitoring system or 

monitoring device is inoperative [40 CFR § 60.7(b)].
10

3. The availability to the public of information provided to, or otherwise obtained 

by, the EPA Administrator under this permit shall be governed by 40 CFR § 2

(Information submitted voluntarily to the Administrator for the purposes of 

compliance with 40 CFR §§ 60.5 and 60.6 is governed by 40 CFR §§ 2.201 

through § 2.213 and not by 40 CFR § 2.301.) [40 CFR § 60.9].

4. Compliance with the particulate matter standard listed in Conditions II.D(1)(a) 

and II.D(5) of this permit shall be determined in accordance with performance 

tests established by 40 CFR § 60.8, unless otherwise specified [40 CFR §

60.11(a)].

5. Compliance with the opacity standards listed in Conditions II.D(1)(b), II.D(2), 

II.D(3), II.D(5), and II.D(6) of this permit shall be determined by conducting 

observations in accordance with Reference Method 9 in Appendix A of 40 CFR §

60, any alternative method that is approved by the Administrator, or as provided 

in paragraph 40 CFR § 60.11(e)(5) [40 CFR § 60.11(b)].

6. The opacity standards in Conditions II.D(1)(b), II.D(2), II.D(3), and II.D(4) shall 

apply at all times except during periods of startup, shutdown, malfunction, and as 

otherwise provided in 40 CFR Part 60, Subpart OOO [40 CFR § 60.11(c)].

7. At all times, including periods of startup, shutdown, and malfunction, the 

permittee shall, to the extent practicable, maintain and operate the affected 

facilities including associated air pollution control equipment in a manner 

consistent with good air pollution control practice for minimizing emissions. 

Determination of whether acceptable operating and maintenance procedures are 

being used will be based on information available to the Administrator which may 

include, but is not limited to, monitoring results, opacity observations, review of 

operating and maintenance procedures, and inspection of the source [40 CFR §

60.11(d)].

8. For the purpose of submitting compliance certifications or establishing whether or 

not a person has violated or is in violation of any standard in 40 CFR § 60, 

nothing in 40 CFR § 60 shall preclude the use, including the exclusive use, of any 

credible evidence or information, relevant to whether a source would have been in 

compliance with applicable requirements if the appropriate performance or 

compliance test or procedure had been performed [40 CFR § 60.11(g)].

9. No owner or operator subject to the provisions of 40 CFR § 60 shall build, erect, 

install, or use any article, machine, equipment or process, the use of which 

conceals an emission which would otherwise constitute a violation of an 

applicable standard. Such concealment includes, but is not limited to, the use of 

gaseous diluents to achieve compliance with an opacity standard or with a 

standard which is based on the concentration of a pollutant in the gases 

discharged to the atmosphere [40 CFR § 60.12].

10. With respect to compliance with all New Source Performance Standards (NSPS) 

of 40 CFR § 60, the permittee shall comply with the “General notification and 

reporting requirements” found in 40 CFR § 60.19 [40 CFR § 60.19].
11

11. The permittee shall provide written notification to NNEPA and US EPA or, if 

acceptable to NNEPA, US EPA and the permittee, electronic notification of any 

reconstruction of an affected facility, or any physical or operational change to an 

affected facility which may increase the emission rate of any air pollutant to 

which a standard applies, unless that change is specifically exempted under this 

permit or in 40 CFR § 60.14(e), in accordance with 40 CFR § 60.7 [40 CFR §

60.7(a)].

II.D. NSPS, Subpart OOO Requirements

The following requirements apply to the affected facilities in the limestone handling 

system in accordance with 40 CFR Part 60, Subpart OOO (“Standards of Performance for 

Non-Metallic Mineral Processing Plants”):

1. The permittee shall not cause to be discharged into the atmosphere from any 

transfer point on belt conveyors or from any other affected facility any stack 

emissions which [40 CFR § 60.672(a)]:

a. Contain particulate matter in excess of 0.05 g/dscm (0.022 gr/ dscf), and

b. Exhibit greater than 7 percent opacity. 

2. The permittee shall not cause to be discharged into the atmosphere from any 

transfer point on belt conveyors or from any other affected facility any fugitive 

emissions which exhibit greater than 10 percent opacity [40 CFR § 60.672(b)].

3. The permittee shall not cause to be discharged into the atmosphere from any 

crusher, at which a capture system is not used, fugitive emissions which exhibit 

greater than 15 percent opacity [40 CFR § 60.672(c)].

4. Truck dumping of nonmetallic minerals into any screening operation, feed hopper 

or crusher is exempt from the requirements of this section [40 CFR § 60.672(d)].

5. If any transfer point on a conveyor belt or any other affected facility is enclosed in 

a building, then each enclosed affected facility must comply with the emission 

limits in Conditions II.D.1, II.D.2, and II.D.3, or the building enclosing the 

affected facility or facilities must comply with the following emission limits:

(i) The permittee shall not cause to be discharged into the atmosphere from 

any building enclosing any transfer point on a conveyor belt or any other 

affected facility any visible fugitive emissions except emissions from a 

vent as defined in 40 CFR § 60.671 [40 CFR § 60.672(e)(1)].

(ii) The permittee shall not cause to be discharged into the atmosphere from 

any vent of any building enclosing any transfer point on a conveyor belt or 

any other affected facility emissions which exceed the stack emissions 

limits in Condition II.D(1) [40 CFR § 60.672(e)(2)].

6. The permittee shall not cause to be discharged into the atmosphere from any 

baghouse that controls emissions from only an individual, enclosed storage bin, 
12

stack emissions which exhibit greater than 7 percent opacity [40 CFR §

60.672(f)].

II.E. Monitoring and Testing Requirements

Pursuant to the First Reopening to Navajo Generating Station's first Part 71 Permit,

issued on November 13, 2003, the permittee shall comply with the following:

1. Once per five year permit term, and at such other times as specified by NNEPA, 

the permittee shall conduct performance tests for particulate matter emissions 

from the exhaust stacks of baghouses DC-9, DC-10, and DC-11 using EPA 

Method 5 or Method 17, and furnish US EPA and NNEPA a written report of the 

results of such test. The tests shall be conducted at the maximum operating 

capacity of the facility being tested. Upon written request (Attn: AIR-5) from the 

permittee, NNEPA may approve the conducting of performance tests at a lower 

specified production rate. In addition to testing once per five year permit term, if 

during any 12 consecutive month period visible emissions are observed three 

times from any one baghouse, the permittee shall conduct a performance test on 

that baghouse within 120 days of the third observation. All observations of visible 

emissions by the permittee, US EPA, or NNEPA shall count toward the 12 month 

total [40 CFR § 71.6(a)(3)].

2. The permittee shall conduct a weekly visual emission survey of the exhaust stacks 

of baghouses DC-9, DC-10, and DC-11. The weekly survey shall be conducted 

while the equipment is operating, and during daylight hours, by a person certified 

in EPA Method 9 (Visual Determination of the Opacity of Emissions from 

Stationary Sources). If any visible emissions are observed, the permittee shall 

conduct an opacity test using EPA Method 9 within 24 hours while the equipment 

is operating in accordance with 40 CFR § 60.675 [40 CFR § 71.6(a)(3)].

3. For each visible emission observation or Method 9 opacity test, the permittee

shall record and maintain the following records:

a. the date and time of the observation, and the name of the observer.

b. the unit ID number.

c. statement of whether visible emissions were detected, and if so, whether 

they were observed continuously or intermittently.

d. results of Method 9 test, if required.

II.F. Operational Flexibility 

1. Clean Air Act Section 502(b)(10) Changes [40 CFR § 71.6(a)(13)(i)] [NNOPR 

§ 404(A)]

a. The permittee may make Clean Air Act Section 502(b)(10) changes 

without applying for a permit revision if those changes do not cause the 

facility to exceed emissions allowable under this permit (whether 
13

expressed as a rate of emissions or in terms of total emissions) and are not 

modifications under Title I of the Clean Air Act. This class of changes 

does not include: 

i. Changes that would violate applicable requirements; or 

ii. Changes that would contravene federally enforceable permit terms 

and conditions that are monitoring (including test methods), 

recordkeeping, reporting, or compliance certification requirements. 

b. For each proposed § 502(b)(10) change, the permittee shall provide 

written notification to the Director and the Administrator at least 7 days in 

advance of the proposed change. Such notice shall state when the change 

will occur and shall describe the change, any resulting emissions change, 

and any permit terms or conditions made inapplicable as a result of the 

change. The permittee shall attach each notice to its copy of this permit.

c. Any permit shield provided in this permit shall not apply to any change 

made under this provision.

III. Facility-Wide or Generic Permit Requirements

Conditions in this section of the permit (Section III) apply to all emissions units located 

at the facility [See 40 CFR § 71.6(a)(1)].

III.A. Testing Requirements [40 CFR § 71.6(a)(3)]

In addition to the unit specific testing requirements derived from the applicable 

requirements for each individual unit contained in Section II of this permit, the permittee

shall comply with the following generally applicable testing requirements as necessary to 

ensure that the required tests are sufficient for compliance purposes:

1. Submit to NNEPA a source test plan 30 days prior to any required testing. The 

source test plan shall include and address the following elements:

1.0 Purpose of the test

2.0 Source Description and Mode of Operation During Test

3.0 Scope of Work Planned for Test

4.0 Schedule/Dates

5.0 Process Data to be Collected During Test

6.0 Sampling and Analysis Procedures 

6.1 Sampling Locations

6.2 Test Methods 

6.3 Analysis Procedures and Laboratory Identification

7.0 Quality Assurance Plan 

7.1 Calibration Procedures and Frequency

7.2 Sample Recovery and Field Documentation

7.3 Chain of Custody Procedures

7.4 QA/QC Project Flow Chart

8.0 Data Processing and Reporting 

8.1 Description of Data Handling and QC Procedures

8.2 Report Content
14

2. Unless otherwise specified by an applicable requirement or permit condition in 

Section II, all source tests shall be performed at maximum operating rates (90% to 

110% of device design capacity).

3. Only regular operating staff may adjust the processes or emission control device 

parameters within two (2) hours before or during a compliance source test. All 

adjustments must be logged and a copy of the log submitted with the test report. 

No adjustments are to be made within two (2) hours before the start of the tests or 

during a test, if those adjustments are a result of consultation before or during the 

tests with source testing personnel, equipment vendors, or consultants. Such 

adjustments may render the source test invalid.

4. During each test run and for two (2) hours prior to the test and two (2) hours after 

the completion of the test, the permittee shall record the following information:

a. Visible emissions.

b. All parametric data which is required to be monitored in Section II for the 

emission unit being tested.

5. Each source test shall consist of at least three (3) valid test runs and the emission 

results shall be reported as the arithmetic average of all valid test runs and in the 

terms of the emission limit. There must be at least 3 valid test runs, unless 

otherwise specified. 

6. Source test reports shall be submitted to NNEPA and U.S. EPA within 60 days of 

completing any required source test.

III.B. Recordkeeping Requirements [40 CFR § 71.6 (a)(3)(ii)] 

In addition to the unit specific recordkeeping requirements derived from the applicable 

requirements for each individual unit and contained in Section II, the permittee shall 

comply with the following generally applicable recordkeeping requirements: 

1. The permittee shall keep records of required monitoring information that include 

the following: 

a. The date, place, and time of sampling or measurements; 

b. The date(s) analyses were performed; 

c. The company or entity that performed the analyses; 

d. The analytical techniques or methods used; 

e. The results of such analyses; and 

f. The operating conditions as existing at the time of sampling or 

measurement. 
15

2. The permittee shall retain records of all required monitoring data and support 

information for a period of at least 5 years from the date of the monitoring 

sample, measurement, report, or application. Support information includes all 

calibration and maintenance records, all original strip-chart recordings for 

continuous monitoring instrumentation, and copies of all reports required by this 

permit.

3. The permittee shall maintain a file of all measurements, including continuous 

monitoring system, monitoring device, and performance testing measurements; all 

continuous monitoring system performance evaluations; all continuous 

monitoring system or monitoring device calibration checks; adjustments and 

maintenance performed on these systems or devices; and all other information 

required by 40 CFR § 60 recorded in a permanent form suitable for inspection. 

The file shall be retained for at least five years following the date of such 

measurements, maintenance, reports and records [40 CFR § 71.6(a)(3)(ii), 40 

CFR § 60.7(f)].

III.C. Reporting Requirements [40 CFR § 71.6 (a)(3)(iii)] 

1. The permittee shall submit to NNEPA and EPA Region 9 reports of any 

monitoring required under 40 CFR § 71.6(a)(3)(i)(A), (B), or (C) each six month 

reporting period from January 1 to June 30 and from July 1 to December 31. All 

reports shall be submitted to NNEPA and US EPA and shall be postmarked by the 

30th day following the end of the reporting period. All instances of deviations 

from permit requirements must be clearly identified in such reports. All required 

reports must be certified by a responsible official consistent with Condition 

III.C.4. of this permit.

a. A monitoring report under this section must include the following: 

(i) The company name and address.

(ii) The beginning and ending dates of the reporting period.

(iii) The emissions unit or activity being monitored.

(iv) The emissions limitation or standard, including operational 

requirements and limitations (such as parameter ranges), specified 

in the permit for which compliance is being monitored. 

(v) All instances of deviations from permit requirements, including 

those attributable to upset conditions as defined in the permit and 

including exceedances as defined under 40 CFR § 64, and the date 

on which each deviation occurred. 

(vi) If the permit requires continuous monitoring of an emissions limit 

or parameter range, the report must include the total operating time 

of the emissions unit during the reporting period, the total duration 

of excess emissions or parameter exceedances during the reporting 
16

period, and the total downtime of the continuous monitoring 

system during the reporting period. 

(vii) If the permit requires periodic monitoring, visual observations, 

work practice checks, or similar monitoring, the report shall 

include the total time when such monitoring was not performed 

during the reporting period and at the source's discretion either the 

total duration of deviations indicated by such monitoring or the 

actual records of deviations. 

(viii) All other monitoring results, data, or analyses required to be 

reported by the applicable requirement. 

(ix) The name, title, and signature of the responsible official who is 

certifying to the truth, accuracy, and completeness of the report. 

b. Any report required by an applicable requirement that provides the same 

information described in paragraph III.C(1)(a)(i) through (ix) above shall 

satisfy the requirement under III.C(1)(a).

c. "Deviation," means any situation in which an emissions unit fails to meet 

a permit term or condition. A deviation is not always a violation. A 

deviation can be determined by observation or through review of data 

obtained from any testing, monitoring, or record keeping established in 

accordance with 40 CFR §§ 71.6(a)(3)(i) and (a)(3)(ii). For a situation 

lasting more than 24 hours, each 24-hour period is considered a separate 

deviation. Included in the meaning of deviation are any of the following: 

(i) A situation when emissions exceed an emission limitation or 

standard; 

(ii) A situation where process or emissions control device parameter 

values indicate that an emission limitation or standard has not been 

met; 

(iii) A situation in which observations or data collected demonstrate 

noncompliance with an emission limitation or standard or any 

work practice or operating condition required by the permit. 

(iv) A situation in which an exceedance, as defined in the compliance 

assurance plan (40 CFR § 64), occurs. 

2. The permittee shall promptly report to the NNEPA and EPA Regional Office 

deviations from permit requirements, including those attributable to upset 

conditions as defined in this permit, the probable cause of such deviations, and 

any corrective actions or preventive measures taken. "Prompt" is defined as 

follows: 
17

a. Any definition of "Prompt" or a specific timeframe for reporting 

deviations provided in an underlying applicable requirement as identified 

in this permit; 

b. Where the underlying applicable requirement does not define prompt or 

provide a timeframe for reporting deviations, reports of deviations will be 

submitted based on the following schedule: 

(i) For emissions of a hazardous air pollutant or a toxic air pollutant

(as identified in the applicable regulation) that continue for more 

than an hour in excess of permit requirements, the report must be 

made by telephone, verbal, or facsimile communication within 24 

hours of the occurrence. 

(ii) For emissions of any regulated pollutant excluding a hazardous air 

pollutant or a toxic air pollutant that continue for more than two 

hours in excess of permit requirements, the report must be made by 

telephone, verbal, or facsimile communication within 48 hours of 

the occurrence. 

(iii) For all other deviations from permit requirements, the report shall 

be submitted with the semi-annual monitoring report required in 

paragraph III.C(1) of this permit. 

3. If any of the Conditions in III.C(2)(b)(i) or (ii) of this permit are met, the source 

must notify NNEPA and US EPA by telephone, facsimile, or electronic mail sent 

to charlenenelson@navajo.org and EPA is r9.aeo@epa.gov, based on the

timetable listed. A written notice, certified consistent with paragraph III.C(4) of 

this permit section must be submitted within 10 working days of the occurrence. 

All deviations reported under this section must also be identified in the 6-month 

report required under paragraph III.C(1) of this section. 

4. Any application form, report, or compliance certification required to be submitted 

by this permit shall contain certification by a responsible official of truth, 

accuracy, and completeness. All certifications shall state that, based on 

information and belief formed after reasonable inquiry, the statements and 

information in the document are true, accurate, and complete. 

III.D. Protection of Stratospheric Ozone [40 CFR § 82]

1. The permittee shall comply with the standards for labeling of products using 

ozone-depleting substances pursuant to 40 CFR § 82, Subpart E:

a. All containers in which a class I or class II substance is stored or 

transported, all products containing a class I substance, and all products 

directly manufactured with a Class I substance must bear the required 

warning statement if it is being introduced into interstate commerce 

pursuant to 40 CFR § 82.106.
18

b. The placement of the required warning statement must comply with the 

requirements pursuant to 40 CFR § 82.108.

c. The form of the label bearing the required warning statement must comply 

with the requirements pursuant to 40 CFR § 82.110.

e. No person may modify, remove, or interfere with the required warning 

statement except as described in 40 CFR § 82.112.

2. The permittee shall comply with the standards for recycling and emissions

reduction pursuant to 40 CFR § 82, Subpart F, except as provided for motor 

vehicle air conditioners (MVACs) in Subpart B:

a. Persons opening appliances for maintenance, service, repair, or disposal 

must comply with the required practices pursuant to 40 CFR § 82.156.

b. Equipment used during maintenance, service, repair, or disposal of 

appliances must comply with the standards for recycling and recovery 

equipment pursuant to 40 CFR § 82.158.

c. Persons performing maintenance, service, repair, or disposal of appliances 

must be certified by an approved technician certification program pursuant 

to 40 CFR § 82.161.

d. Persons disposing of small appliances, MVACs, and MVAC-like 

appliances must comply with recordkeeping requirements pursuant to 40 

CFR § 82.166. ("MVAC-like appliance" as defined at 40 CFR § 82.152) 

e. Persons owning commercial or industrial process refrigeration equipment 

must comply with the leak repair requirements pursuant to 40 CFR §

82.156. 

f. Owners/operators of appliances normally containing 50 or more pounds of 

refrigerant must keep records of when the refrigerant was purchased and 

added to such appliances pursuant to 40 CFR § 82.166.

3. If the permittee manufactures, transforms, destroys, imports, or exports a Class I 

or Class II substance, the permittee is subject to all the requirements as specified 

in 40 CFR § 82, Subpart A, Production and Consumption Controls.

4. If the permittee performs a service on motor (fleet) vehicles when this service 

involves ozone-depleting substance refrigerant (or regulated substitute substance) 

in the MVAC, the permittee is subject to all the applicable requirements as 

specified in 40 CFR § 82, Subpart B, Servicing of Motor Vehicle Air 

Conditioners.

The term "motor vehicle" as used in Subpart B does not include a vehicle in 

which final assembly of the vehicle has not been completed. The term "MVAC" 

as used in Subpart B does not include the air-tight sealed refrigeration system 
19

used as refrigerated cargo, or system used on passenger buses using HCFC-22 

refrigerant.

5. The permittee shall be allowed to switch from any ozone-depleting substance to 

any alternative that is listed in the Significant New Alternatives Program (SNAP) 

promulgated pursuant to 40 CFR § 82, Subpart G.

III.E. Asbestos from Demolition and Renovation [40 CFR § 61, Subpart M]

The permittee shall comply with the requirements of Sections 61.140 through 61.157 of 

the National Emission Standard for Asbestos for all demolition and renovation projects

[40 CFR § 61, Subpart M].

III.F. Compliance Schedule [40 CFR §§ 71.5(c)(8)(iii) and 71.6(c)(3)]

1. For applicable requirements with which the source is in compliance, the source 

will continue to comply with such requirements. 

2. For applicable requirements that will become effective during the permit term, the 

source shall meet such requirements on a timely basis.

IV. Title V Administrative Requirements

IV.A. Fee Payment [NNOPR Subpart VI] [40 CFR § 71.6(a)(7) and § 71.9]

1. The permittee shall pay an annual permit fee in accordance with the procedures 

outlined below. [NNOPR Subpart VI §§ 603(A) and (B)]

a. The permittee shall pay the annual permit fee by April 1 of each year.

b. Fee payments shall be in remitted in the form of a money order or certified 

check made payable to the Navajo Nation Environmental Protection 

Agency.

c. The permittee shall send the fee payment to:

Navajo Nation EPA Air Quality Control Program

Operating Permit Program 

P.O. Box 529 

Fort Defiance, AZ 86504

2. The permittee shall submit a fee calculation worksheet form with the annual 

permit fee by April 1 of each year. Calculations of actual or estimated emissions 

and calculation of the fees owed shall be computed on the fee calculation 

worksheets provided by the EPA. Fee payment of the full amount must 

accompany each fee calculation worksheet. [NNOPR Subpart VI § 603(A)] 

3. The fee calculation worksheet shall be certified by a responsible official 

consistent with 40 CFR § 71.5(d). [40 CFR § 71.6(a)(7) and § 71.9(e)(3)]

4. Basis for calculating annual fee:
20

The annual emissions fee shall be calculated by multiplying the total tons of 

actual emissions of all fee pollutants emitted from the source by the applicable 

emissions fee (in dollars/ton) in effect at the time of calculation. Emissions of any 

regulated air pollutant that already are included in the fee calculation under a 

category of regulated pollutant, such as a federally listed hazardous air pollutant 

that is already accounted for as a VOC or as PM10, shall be counted only once in 

determining the source’s actual emissions. [NNOPR Subpart VI §§ 602(A) and 

(B)(1)]

a. “Actual emissions” means the actual rate of emissions in tpy of any fee 

pollutant emitted from a part 71 source over the preceding calendar year. 

Actual emissions shall be calculated using each emissions unit’s actual 

operating hours, production rates, in-place control equipment, and types of 

materials processed, stored, or combusted during the preceding calendar 

year. Actual emissions shall not include emissions of any one fee pollutant 

in excess of 4,000 TPY, or any emissions that come from insignificant 

activities [NNOPR Subpart I § 102(5)].

b. Actual emissions shall be computed using methods required by the permit 

for determining compliance, such as monitoring or source testing data [40 

CFR § 71.6(a)(7) and § 71.9(e)(2)].

c. If actual emissions cannot be determined using the compliance methods in 

the permit, the permittee shall use other federally recognized procedures 

[40 CFR § 71.6(a)(7) and § 71.9(e)(2)].

d. The term “fee pollutant” is defined in NNOPR Subpart I § 102(24).

e. The term “regulated air pollutant” is defined in NNOPR Subpart I § 

102(50), except that for purposes of this permit the term does not include 

any pollutant that is regulated solely pursuant to 4 N.N.C. § 1121 nor does 

it include any hazardous air pollutant designated by the Director pursuant 

to 4 N.N.C. § 1126(B).

f. The permittee should note that the applicable fee is revised each year to 

account for inflation, and it is available from NNEPA starting on March 1 

of each year. 

g. The total annual fee due shall be the greater of the applicable minimum fee 

and the sum of subtotal annual fees for all fee pollutants emitted from the 

source. [NNOPR Subpart VI § 602(B)(2)]

5. The permittee shall retain, in accordance with the provisions of 40 CFR §

71.6(a)(3)(ii), all fee calculation worksheets and other emissions-related data used 

to determine fee payment for 5 years following submittal of fee payment. 

Emission-related data include, for example, emissions-related forms provided by 

NNEPA and used by the permittee for fee calculation purposes, emissions-related 

spreadsheets, and records of emissions monitoring data and related support 
21

information required to be kept in accordance with 40 CFR § 71.6(a)(3)(ii) [40 

CFR § 71.6(a)(7) and § 71.9(i)].

6. Failure of the permittee to pay fees in a timely manner shall subject the permittee

to assessment of penalties and interest in accordance with NNOPR Subpart VI § 

603(C).

7. When notified by NNEPA of underpayment of fees, the Permittee shall remit full 

payment within 30 days of receipt of notification [40 CFR § 71.9(j)(2)].

8. A Permittee who thinks an NNEPA assessed fee is in error and wishes to 

challenge such fee, shall provide a written explanation of the alleged error to 

NNEPA along with full payment of the NNEPA assessed fee [CFR § 71.9(j)(3)].

IV.B. Blanket Compliance Statement [40 CFR §§ 71.6(a)(6)(i) and (ii), and Sections 113(a) 

and 113(e)(1) of the Clean Air Act, and 40 CFR § 51.212, § 52.12, § 52.33, § 60.11(g), and §

61.12]

1. The permittee must comply with all conditions of this Part 71 permit. Any permit 

noncompliance, including, but not limited to, violation of any applicable 

requirement; any permit term or condition; any fee or filing requirement; any duty 

to allow or carry out inspection, entry, or monitoring activities; or any regulation 

or order issued by the permitting authority pursuant to this part constitutes a 

violation of the Clean Air Act and is grounds for enforcement action; permit 

termination, revocation and reissuance, or modification; or for denial of a permit 

renewal application. It shall not be a defense for a permittee in an enforcement 

action that it would have been necessary to halt or reduce the permitted activity in 

order to maintain compliance with the conditions of this permit [40 CFR §§

71.6(a)(6)(i) and (ii)].

2. Determinations of deviations, continuous or intermittent compliance status, or 

violations of this permit, are not limited to the applicable testing or monitoring 

methods required by the underlying regulations or this permit; other credible 

evidence (including any evidence admissible under the Federal Rules of 

Evidence) must be considered in such determinations. [Section 113(a) and 

113(e)(1) of the Clean Air Act, 40 CFR § 51.212, § 52.12, § 52.33, § 60.11(g), 

and § 61.12]

IV.C. Compliance Certifications [40 CFR § 71.6(c)(5)]

1. The permittee shall submit to NNEPA and US EPA Region 9 a certification of 

compliance with permit terms and conditions, including emission limitations, 

standards, or work practices, postmarked by January 30 of each year and covering 

the previous calendar year. The compliance certification shall be certified as to 

truth, accuracy, and completeness by the permit-designated responsible official 

consistent with Section III.C.4 of this permit [40 CFR § 71.6(c)(5)].

2. The certification shall include the following:
22

a. Identification of each permit term or condition that is the basis of the 

certification.

b. Identification of the method(s) or other means used for determining the 

compliance status of each term and condition during the certification 

period, and whether such methods or other means provide continuous or 

intermittent data. 

 

If necessary, the owner or operator also shall identify any other material 

information that must be included in the certification to comply with 

Section 113(c)(2) of the Clean Air Act, which prohibits knowingly making 

a false certification or omitting material information.

c. The compliance status of each term and condition of the permit for the 

period covered by the certification based on the method or means 

designated above. The certification shall identify each deviation and take 

it into account in the compliance certification.

d. Whether compliance with each permit term was continuous or 

intermittent.

IV.D. Duty to Provide and Supplement Information [40 CFR § 71.6(a)(6)(v), 40 CFR §

71.5(b)]

The permittee shall furnish to NNEPA and US EPA Region 9, within a reasonable time, 

any information that NNEPA and US EPA Region 9 may request in writing to determine 

whether cause exists for modifying, revoking, and reissuing, or terminating the permit, or 

to determine compliance with the permit. Upon request, the permittee shall also furnish 

to NNEPA and US EPA Region 9 copies of records that are required to be kept pursuant 

to the terms of the permit, including information claimed to be confidential. Information 

claimed to be confidential should be accompanied by a claim of confidentiality according 

to the provisions of 40 CFR § 2, Subpart B. The permittee, upon becoming aware that 

any relevant facts were omitted or incorrect information was submitted in the permit 

application, shall promptly submit such supplementary facts or corrected information. 

The permittee shall also provide additional information as necessary to address any 

requirements that become applicable to the facility after this permit is issued.

IV.E. Submissions [40 CFR § 71.5(d), § 71.6, and § 71.9]

Any document required to be submitted with this permit shall be certified by a 

responsible official as to truth, accuracy, and completeness. Such certifications shall 

state that based on information and belief formed after reasonable inquiry, the statements 

and information in the document are true, accurate, and complete. All documents 

required to be submitted, including reports, test data, monitoring data, notifications, 

compliance certifications, fee calculation worksheets, and applications for renewals and 

permit modifications shall be submitted to NNEPA and US EPA Region 9:

Navajo Nation Air Quality Control Program

Operating Permit Program 

P.O. Box 529 

Fort Defiance, AZ 86504
23

and

Director, Air Division (Attn: AIR-1)

EPA Region IX

75 Hawthorne Street

San Francisco, CA 94105

IV.F. Severability Clause [40 CFR § 71.6(a)(5)]

The provisions of this permit are severable, and in the event of any challenge to any 

portion of this permit, or if any portion is held invalid, the remaining permit conditions 

shall remain valid and in force.

IV.G. Permit Actions [40 CFR § 71.6(a)(6)(iii)]

This permit may be modified, revoked, reopened, and reissued, or terminated for cause. 

The filing of a request by the permittee for a permit modification, revocation and 

reissuance, or termination, or of a notification of planned changes or anticipated 

noncompliance does not stay any permit condition.

IV.H Administrative Permit Amendments [40 CFR § 71.7(d)] [NNOPR § 405(C)]

The permittee may implement the changes outlined in subparagraphs (1) through (5)

below immediately upon submittal of the request for the administrative revision. The 

permittee may request the use of administrative permit amendment procedures for a 

permit revision that: 

1. Corrects typographical errors. 

2. Identifies a change in the name, address, or phone number of any person 

identified in the permit, or provides a similar minor administrative change at the 

source. 

3. Requires more frequent monitoring or reporting by the permittee. 

4. Allows for a change in ownership or operational control of a source where the 

NNEPA determines that no other change in the permit is necessary, provided that

a written agreement containing a specific date for transfer of permit 

responsibility, coverage, and liability between the current and new permittee has 

been submitted to the NNEPA;

5. Incorporates into the Part 71 permit the requirements from preconstruction review 

permits authorized under an EPA-approved program, provided that such a 

program meets procedural requirements substantially equivalent to the 

requirements of 40 CFR § 71.7 and § 71.8 that would be applicable to the change 

if it were subject to review as a permit modification, and compliance requirements 

substantially equivalent to those contained in 40 CFR § 71.6. 

6. Incorporates any other type of change which NNEPA has determined to be similar 

to those listed above in subparagraphs (1) through (5). 

IV.I. Minor Permit Modifications [40 CFR § 71.7(e)(1)] [NNOPR § 405(D)]
24

1. The permittee may request the use of minor permit modification procedures only 

for those modifications that: 

a. Do not violate any applicable requirement. 

b. Do not involve significant changes to existing monitoring, reporting, or 

recordkeeping requirements in the permit. 

c. Do not require or change a case-by-case determination of an emissions

limitation or other standard, or a source-specific determination for 

temporary sources of ambient impacts, or a visibility or increment 

analysis. 

d. Do not seek to establish or change a permit term or condition for which 

there is no corresponding underlying applicable requirement and that the 

source has assumed to avoid an applicable requirement to which the 

source would otherwise be subject. Such terms and conditions include: 

i. A federally enforceable emissions cap assumed to avoid 

classification as a modification under any provision of Title I; and 

ii. An alternative emissions limit approved pursuant to regulations 

promulgated under Section 112(i)(5) of the Clean Air Act. 

e. Are not modifications under any provision of Title I of the Clean Air Act. 

f. Are not required to be processed as a significant modification. 

2. Notwithstanding the list of changes eligible for minor permit modification 

procedures in paragraph (1) above, minor permit modification procedures may be 

used for permit modifications involving the use of economic incentives, 

marketable permits, emissions trading, and other similar approaches, to the extent 

that such minor permit modification procedures are explicitly provided for in an 

applicable implementation plan or in applicable requirements promulgated by 

EPA. 

3. An application requesting the use of minor permit modification procedures shall 

meet the requirements of 40 CFR § 71.5(c) and shall include the following: 

(i) A description of the change, the emissions resulting from the change, and 

any new applicable requirements that will apply if the change occurs; 

(ii) The source's suggested draft permit; 

(iii) Certification by a responsible official, consistent with 40 CFR § 71.5(d), 

that the proposed modification meets the criteria for use of minor permit 

modification procedures and a request that such procedures be used; and 

(iv) Completed forms for the permitting authority to use to notify affected 

States as required under 40 CFR § 71.8. 
25

(v) If the requested permit revision would affect existing compliance plans or 

schedules, related progress reports, or certification of compliance 

requirements, and an outline of such effects.

4. The permittee may make the change proposed in its minor permit modification 

application immediately after submittal of such application. After the permittee

makes the change allowed by the preceding sentence, and until the Director takes 

any of the actions specified in NNOPR § 405(D)(6) (a) through (c), the permittee

must comply with both the applicable requirements governing the change and the 

proposed permit terms and conditions. During this time period, the permittee need 

not comply with the existing permit terms and conditions it seeks to modify. 

However, if the permittee fails to comply with its proposed permit terms and 

conditions during this period, the existing permit terms and conditions it seeks to 

modify may be enforced against it.

5. The permit shield under 40 CFR § 71.6(f) may not extend to minor permit 

modifications [See 40 CFR § 71.7(e)(1)(vi)]. 

IV.J. Group Processing of Minor Permit Modifications [40 CFR § 71.7(e)(2)] 

1. Group processing of modifications by EPA may be used only for those permit 

modifications: 

a. That meet the criteria for minor permit modification procedures under 

paragraphs IV.I.1 of this permit; and 

b. That collectively are below the threshold level of 10 percent of the 

emissions allowed by the permit for the emissions unit for which the 

change is requested, 20 percent of the applicable definition of major 

source in 40 CFR § 71.2, or 5 tons per year, whichever is least. 

2. An application requesting the use of group processing procedures shall be 

submitted to EPA, shall meet the requirements of 40 CFR § 71.5(c), and shall 

include the following: 

a. A description of the change, the emissions resulting from the change, and 

any new applicable requirements that will apply if the change occurs. 

b. The source's suggested draft permit. 

c. Certification by a responsible official, consistent with 40 CFR § 71.5(d), 

that the proposed modification meets the criteria for use of group 

processing procedures and a request that such procedures be used. 

d. A list of the source's other pending applications awaiting group 

processing, and a determination of whether the requested modification, 

aggregated with these other applications, equals or exceeds the threshold 

set under Condition IV.(J)(1)(b) above. 
26

e. Completed forms for the permitting authority to use to notify affected 

States as required under 40 CFR § 71.8. 

3. The source may make the change proposed in its minor permit modification 

application immediately after it files such application. After the source makes the 

change allowed by the preceding sentence, and until the permitting authority takes 

any of the actions authorized by 40 CFR § 71.7(e)(1)(iv)(A) through (C), the 

source must comply with both the applicable requirements governing the change 

and the proposed permit terms and conditions. During this time period, the source 

need not comply with the existing permit terms and conditions it seeks to modify. 

However, if the source fails to comply with its proposed permit terms and 

conditions during this time period, the existing permit terms and conditions it 

seeks to modify may be enforced against it. 

4. The permit shield under 40 CFR § 71.6(f) may not extend to group processing of 

minor permit modifications [See 40 CFR § 71.7(e)(1)(vi)]. 

IV.K. Significant Permit Modifications [40 CFR § 71.7(e)(3)] [NNOPR § 405(E)]

1. The permittee must request the use of significant permit modification procedures 

for those modifications that: 

a. Do not qualify as minor permit modifications or as administrative 

amendments. 

b. Are significant changes in existing monitoring permit terms or conditions. 

c. Are relaxations of reporting or recordkeeping permit terms or conditions. 

2. Nothing herein shall be construed to preclude the permittee from making changes 

consistent with Part 71 that would render existing permit compliance terms and 

conditions irrelevant. 

3. The permittee must meet all requirements of Part 71 for applications for 

significant permit modifications. For the application to be determined complete, 

the permittee must supply all information that is required by 40 CFR § 71.5(c) for 

permit issuance and renewal, but only that information that is related to the 

proposed change [See 40 CFR §§ 71.7(e)(3)(ii) and 40 CFR § 71.5(a)(2)].

IV.L. Reopening for Cause [40 CFR § 71.7(f)]

NNEPA shall reopen and revise the permit prior to expiration under any of the following 

circumstances:

1. Additional applicable requirements under the Act become applicable to a major 

Part 71 source with a remaining permit term of 3 or more years.

2. Additional requirements (including excess emissions requirements) become 

applicable to an affected source under the acid rain program. Upon approval by 

the Administrator, excess emissions offset plans shall be deemed to be 

incorporated into the permit. 
27

3. NNEPA determines that the permit contains a material mistake or that inaccurate 

statements were made in establishing the emissions standards or other terms or 

conditions of the permit.

4. NNEPA determines that the permit must be revised or revoked to assure 

compliance with the applicable requirements.

IV.M. Property Rights [40 CFR § 71.6(a)(6)(iv)]

This permit does not convey any property rights of any sort, or any exclusive privilege.

IV.N. Inspection and Entry [40 CFR § 71.6(c)(2)]

Upon presentation of credentials and other documents as may be required by law, the 

permittee shall allow authorized representatives from NNEPA and US EPA to perform 

the following:

1. Enter upon the permittee’s premises where a Part 71 source is located or 

emissions-related activity is conducted, or where records must be kept under the 

conditions of the permit;

2. Have access to and copy, at reasonable times, any records that must be kept under 

the conditions of the permit;

3. Inspect at reasonable times any facilities, equipment (including monitoring and air 

pollution control equipment), practices, or operations regulated or required under 

the permit; and

4. As authorized by the Clean Air Act, sample or monitor at reasonable times 

substances or parameters for the purpose of assuring compliance with the permit 

or applicable requirements.

IV.O. Emergency Provisions [40 CFR § 71.6(g)]

1. In addition to any emergency or upset provision contained in any applicable 

requirement, the permittee may seek to establish that noncompliance with a 

technology-based emission limitation under this permit was due to an emergency. 

To do so, the permittee shall demonstrate the affirmative defense of emergency 

through properly signed, contemporaneous operating logs, or other relevant 

evidence that: 

a. an emergency occurred and that the permittee can identify the cause(s) of 

the emergency; 

b. the permitted facility was at the time being properly operated; 

c. during the period of the emergency the permittee took all reasonable steps 

to minimize levels of emissions that exceeded the emissions standards, or 

other requirements in this permit; and 

d. the permittee submitted notice of the emergency to EPA within 2 working 
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days of the time when emissions limitations were exceeded due to the 

emergency. This notice must contain a description of the emergency, any 

steps taken to mitigate emissions, and corrective actions taken. This notice 

fulfills the requirements of Condition III.C(2) of this permit. 

e. In any enforcement preceding the permittee attempting to establish the 

occurrence of an emergency has the burden of proof. 

2. An "emergency" means any situation arising from sudden and reasonably 

unforeseeable events beyond the control of the source, including acts of God, 

which situation requires immediate corrective action to restore normal operation, 

and that causes the source to exceed a technology-based emissions limitation 

under the permit due to unavoidable increases in emissions attributable to the 

emergency. An emergency shall not include noncompliance to the extent caused 

by improperly designed equipment, lack of preventive maintenance, careless or 

improper operation, or operator error. 

IV.P. Transfer of Ownership or Operation [40 CFR § 71.7(d)(1)(iv)]

A change in ownership or operational control of this facility may be treated as an 

administrative permit amendment if the NNEPA determines no other change in this 

permit is necessary and provided that a written agreement containing a specific date for 

transfer of permit responsibility, coverage, and liability between the current and new 

permittee has been submitted to NNEPA.

IV.Q. Off Permit Changes [40 CFR § 71.6(a)(12)] [NNOPR § 404(B)]

The permittee is allowed to make certain changes without a permit revision, provided that 

the following requirements are met:

1. Each change is not addressed or prohibited by this permit;

2. Each change must comply with all applicable requirements and may not violate 

any existing permit term or condition;

3. Changes under this provision may not include changes or activities subject to any 

requirement under Title IV or that are modifications under any provision of Title I 

of the Clean Air Act;

4. The permittee must provide contemporaneous written notice to NNEPA and US 

EPA Region 9 of each change, except for changes that qualify as insignificant 

activities under 40 CFR § 71.5(c)(11). The written notice must describe each 

change, the date of the change, any change in emissions, pollutants emitted and 

any applicable requirements that would apply as a result of the change;

5. The permit shield does not apply to changes made under this provision; and

6. The permittee must keep a record describing all changes that result in emissions 

of any regulated air pollutant subject to any applicable requirement not otherwise 

regulated under this permit, and the emissions resulting from those changes.
29

IV.R. Permit Expiration and Renewal [40 CFR Sections 71.5(a)(1)(iii), 71.6(a)(11), 71.7(b), 

71.7(c)(1)(i) and (ii), and 71.8(d)]

1. This permit shall expire upon the earlier occurrence of the following events:

a. up to twelve (12) years elapses from the date of issuance to a solid waste 

incineration unit combusting municipal waste subject to standards under 

section 129 of the Clean Air Act; or

b. for sources other than those identified in subparagraph IV.R(1)(a) above, 

five (5) years elapses from the date of issuance; or

c. the source is issued a Part 70 permit by NNEPA, provided that EPA has 

granted the Navajo Nation treatment as a state and primacy for a Part 70 

program and that NNEPA issues the permit consistent with the VCA.

2. Expiration of this permit terminates the permittee’s right to operate unless a 

timely and complete permit renewal application has been submitted on or before a 

date 6 months, but not more than 18 months, prior to the date of expiration of this 

permit. 

3. If the permittee submits a timely and complete permit application for renewal is 

consistent with 40 CFR § 71.5(a)(2), but the permitting authority has failed to 

issue or deny the renewal permit, then the permit shall not expire until the renewal 

permit has been issued or denied and any permit shield granted pursuant to 40 

CFR § 71.6(f) may extend beyond the original permit term until renewal.

4. The permittee’s failure to have a Part 71 permit is not a violation of this part until 

NNEPA takes final action on the permit renewal application. This protection 

shall cease to apply if, subsequent to the completeness determination, the 

permittee fails to submit any additional information identified as being needed to 

process the application by the deadline specified in writing by NNEPA.

5. Renewal of this permit is subject to the same procedural requirements that apply 

to initial permit issuance, including those for public participation, affected State, 

and tribal review.

6. The application for renewal shall include the current permit number, description 

of permit revisions and off-permit changes that occurred during the permit term, 

any applicable requirements that were promulgated and not incorporated into the 

permit during the permit term, and other information required by the application 

form.

IV.S. Additional Permit Conditions [Voluntary Compliance Agreement, Article 6]

This permit is issued pursuant to the Voluntary Compliance Agreement between the 

permittee and the Navajo Nation. The permittee shall comply with the terms of this 

permit and shall be subject to enforcement of the permit by the Navajo Nation EPA, 

pursuant to the terms of the Voluntary Compliance Agreement. The permittee’s 

agreement to comply is effective upon the permittee’s written acceptance of the permit 

and expires at the end of the permit term, unless the permit is renewed. The permittee’s 
30

agreement to comply may be withdrawn during the permit term only if the Voluntary 

Compliance Agreement is terminated or expires as provided in that Agreement.

IV.T. Part 71 Permit Enforcement [Voluntary Compliance Agreement, Section 5.4.5; 40 CFR 

§ 71.12]

1. The Navajo Nation has the authority to:

a. Develop compliance plans and schedules of compliance;

b. Conduct compliance and monitoring activities, including review of 

monitoring reports and compliance certifications, inspections, audits, 

conducting and/or reviewing stack tests, and issuing requests for 

information either before or after a violation is identified; and

c. Conduct enforcement-related activities, including issuance of notices, 

findings, and letters of violation, and development of cases up to, but not 

including, the filing of a complaint or order.

2. Violations of any applicable requirement; any permit term or condition; any fee or 

filing requirement; any duty to allow or carry out inspection, entry, or monitoring 

activities; or any regulation or order issued by the permitting authority pursuant to 

this part are violations of the Act and are subject to full Federal enforcement 

authorities available under the Act. 
31

Attachment A

Phase II Acid Rain Permit Renewal