§63.10005. What are my initial compliance requirements and by what date must I conduct them?
40 C.F.R. § 63.10005
General requirements. For each of your affected EGUs, you must demonstrate initial compliance with each applicable emissions limit in Table 1 or 2 of this subpart through performance testing. Where two emissions limits are specified for a particular pollutant (e.g., a heat input-based limit in lb/MMBtu and a gross output-based limit in lb/MWh), you may demonstrate compliance with either emission limit. For a particular compliance demonstration, you may be required to conduct one or more of the following activities in conjunction with performance testing: collection of data, e.g., hourly gross output data (megawatts); establishment of operating limits according to § 63.10011 and Tables 4 and 7 to this subpart; and CMS performance evaluations. In all cases, you must demonstrate initial compliance no later than the date in paragraph (f) of this section for tune-up work practices for existing EGUs; the date that compliance must be demonstrated, as given in § 63.9984 for other requirements for existing EGUs; and in paragraph (g) of this section for all requirements for new EGUs.
To demonstrate initial compliance with an applicable emissions limit in table 1 or 2 to this subpart using stack testing, the initial performance test generally consists of three runs at specified process operating conditions using approved methods. If you are required to establish operating limits (see paragraph (d) of this section and table 4 to this subpart), you must collect all applicable parametric data during the performance test period. Also, if you choose to comply with an electrical output-based emission limit, you must collect hourly electrical load data during the test period.
To demonstrate initial compliance using either a CMS that measures HAP concentrations directly (i.e., an Hg, HCl, or HF CEMS, or a sorbent trap monitoring system) or an SO2 or PM CEMS, the initial performance test shall consist of 30- or, if applicable for Hg, 90-boiler operating days. If the CMS is certified prior to the compliance date (or, if applicable, the approved extended compliance date), the test shall begin with the first operating day on or after that date, except as otherwise provided in paragraph (b) of this section. If the CMS is not certified prior to the compliance date, the test shall begin with the first operating day after certification testing is successfully completed. In all cases, the initial 30- or 90- operating day averaging period must be completed on or before the date that compliance must be demonstrated (i.e., 180 days after the applicable compliance date).
The CMS performance test must demonstrate compliance with the applicable Hg, HCl, HF, PM, or SO2 emissions limit in Table 1 or 2 to this subpart.
You must collect hourly data from auxiliary monitoring systems (i.e., stack gas flow rate, CO2, O2, or moisture, as applicable) during the performance test period, in order to convert the pollutant concentrations to units of the standard. If you choose to comply with a gross output-based emission limit, you must also collect hourly gross output data during the performance test period.
For a group of affected units that are in the same subcategory, are subject to the same emission standards, and share a common stack, if you elect to demonstrate compliance by monitoring emissions at the common stack, startup and shutdown emissions (if any) that occur during the 30-(or, if applicable, 90-) boiler operating day performance test must either be excluded from or included in the compliance demonstration as follows:
If one of the units that shares the stack either starts up or shuts down at a time when none of the other units is operating, you must exclude all pollutant emission rates measured during the startup or shutdown period, unless you are using a sorbent trap monitoring system to measure Hg emissions and have elected to include startup and shutdown emissions in the compliance demonstrations;
If all units that are currently operating are in the startup or shutdown mode, you must exclude all pollutant emission rates measured during the startup or shutdown period, unless you are using a sorbent trap monitoring system to measure Hg emissions and have elected to include startup and shutdown emissions in the compliance demonstrations; or
If any unit starts up or shuts down at a time when another unit is operating, and the other unit is not in the startup or shutdown mode, you must include all pollutant emission rates measured during the startup or shutdown period in the compliance demonstrations.
Performance testing requirements. If you choose to use performance testing to demonstrate initial compliance with the applicable emissions limits in tables 1 and 2 to this subpart for your EGUs, you must conduct the tests according to § 63.10007 and table 5 to this subpart. Notwithstanding the preceding requirements, when table 5 specifies the use of isokinetic EPA test Method 5, 5D, 5I, 26A, or 29 for a stack test, if concurrent measurement of the stack gas flow rate or moisture content is needed to convert the pollutant concentrations to units of the standard, separate determination of these parameters using EPA test Method 2 or EPA test Method 4 is not necessary. Instead, the stack gas flow rate and moisture content can be determined from data that are collected during the EPA test Method 5, 5D, 5I, 6, 26A, or 29 test (e.g., pitot tube (delta P) readings, moisture collected in the impingers). For the purposes of the initial compliance demonstration, you may use test data and results from a performance test conducted prior to the date on which compliance is required as specified in § 63.9984, provided that the following conditions are fully met:
For a performance test based on stack test data, the test was conducted no more than 12 calendar months prior to the date on which compliance is required as specified in § 63.9984;
For a performance test based on data from a certified CEMS or sorbent trap monitoring system, the test consists of all valid CMS data recorded in the 30 boiler operating days immediately preceding that date;
The performance test was conducted in accordance with all applicable requirements in § 63.10007 and Table 5 to this subpart;
A record of all parameters needed to convert pollutant concentrations to units of the emission standard (e.g., stack flow rate, diluent gas concentrations, hourly gross outputs) is available for the entire performance test period; and
For each performance test based on stack test data, you certify, and keep documentation demonstrating, that the EGU configuration, control devices, and fuel(s) have remained consistent with conditions since the prior performance test was conducted.
For performance stack test data that are collected prior to the date that compliance must be demonstrated and are used to demonstrate initial compliance with applicable emissions limits, the interval for subsequent stack tests begins on the date that compliance must be demonstrated.
Operating limits. In accordance with § 63.10010 and table 4 to this subpart, you may be required to establish operating limits using PM CPMS and using site-specific monitoring for certain liquid oil-fired units as part of your initial compliance demonstration.
CMS requirements. If, for a particular emission or operating limit, you are required to (or elect to) demonstrate initial compliance using a continuous monitoring system, the CMS must pass a performance evaluation prior to the initial compliance demonstration. If a CMS has been previously certified under another state or federal program and is continuing to meet the on-going quality-assurance (QA) requirements of that program, then, provided that the certification and QA provisions of that program meet the applicable requirements of §§ 63.10010(b) through (h), an additional performance evaluation of the CMS is not required under this subpart.
For an affected coal-fired, solid oil-derived fuel-fired, or liquid oil-fired EGU, you may demonstrate initial compliance with the applicable SO2, HCl, or HF emissions limit in Table 1 or 2 to this subpart through use of an SO2, HCl, or HF CEMS installed and operated in accordance with part 75 of this chapter or appendix B to this subpart, as applicable. You may also demonstrate compliance with a filterable PM emission limit in Table 1 or 2 to this subpart through use of a PM CEMS installed, certified, and operated in accordance with § 63.10010(i). Initial compliance is achieved if the arithmetic average of 30-boiler operating days of quality-assured CEMS data, expressed in units of the standard (see § 63.10007(e)), meets the applicable SO2, PM, HCl, or HF emissions limit in Table 1 or 2 to this subpart. Use Equation 19-19 of Method 19 in appendix A-7 to part 60 of this chapter to calculate the 30-boiler operating day average emissions rate. (Note: For this calculation, the term Ehj in Equation 19-19 must be in the same units of measure as the applicable HCl or HF emission limit in Table 1 or 2 to this subpart).
For affected coal-fired or solid oil-derived fuel-fired EGUs that demonstrate compliance with the applicable emission limits for total non-mercury HAP metals, individual non-mercury HAP metals, total HAP metals, individual HAP metals, or filterable PM listed in table 1 or 2 to this subpart using initial performance testing and continuous monitoring with PM CPMS:
You must demonstrate initial compliance no later than the applicable date specified in § 63.9984(f) for existing EGUs and in paragraph (g) of this section for new EGUs.
You must demonstrate continuous compliance with the PM CPMS site-specific operating limit that corresponds to the results of the performance test demonstrating compliance with the emission limit with which you choose to comply.
You must repeat the performance test annually for the selected pollutant emissions limit and reassess and adjust the site-specific operating limit in accordance with the results of the performance test.
For affected EGUs that are either required to or elect to demonstrate initial compliance with the applicable Hg emission limit in Table 1 or 2 of this subpart using Hg CEMS or sorbent trap monitoring systems, initial compliance must be demonstrated no later than the applicable date specified in § 63.9984(f) for existing EGUs and in paragraph (g) of this section for new EGUs. Initial compliance is achieved if the arithmetic average of 30- (or 90-) boiler operating days of quality-assured CEMS (or sorbent trap monitoring system) data, expressed in units of the standard (see section 6.2 of appendix A to this subpart), meets the applicable Hg emission limit in Table 1 or 2 to this subpart.
For affected liquid oil-fired EGUs that demonstrate compliance with the applicable emission limits for HCl or HF listed in Table 1 or 2 to this subpart using quarterly testing and continuous monitoring with a CMS:
You must demonstrate initial compliance no later than the applicable date specified in § 63.9984(f) for existing EGUs and in paragraph (g) of this section for new EGUs.
You must demonstrate continuous compliance with the CMS site-specific operating limit that corresponds to the results of the performance test demonstrating compliance with the HCl or HF emissions limit.
You must repeat the performance test annually for the HCl or HF emissions limit and reassess and adjust the site-specific operating limit in accordance with the results of the performance test.
Tune-ups. All affected EGUs are subject to the work practice standards in Table 3 of this subpart. As part of your initial compliance demonstration, you must conduct a performance tune-up of your EGU according to § 63.10021(e).
For an existing EGU without a neural network, a tune-up, following the procedures in § 63.10021(e), must occur within 6 months (180 days) after April 16, 2015. For an existing EGU with a neural network, a tune-up must occur within 18 months (545 days) after April 16, 2016. If a tune-up occurs prior to April 16, 2015, you must keep records showing that the tune-up met all rule requirements.
If your new or reconstructed affected source commenced construction or reconstruction between May 3, 2011, and July 2, 2011, you must demonstrate initial compliance with either the proposed emission limits or the promulgated emission limits no later than 180 days after April 16, 2012 or within 180 days after startup of the source, whichever is later, according to § 63.7(a)(2)(ix).
For the new or reconstructed affected source described in this paragraph (g), if you choose to comply with the proposed emission limits when demonstrating initial compliance, you must conduct a second compliance demonstration for the promulgated emission limits within 3 years after April 16, 2012 or within 3 years after startup of the affected source, whichever is later.
If your new or reconstructed affected source commences construction or reconstruction after April 16, 2012, you must demonstrate initial compliance with the promulgated emission limits no later than 180 days after startup of the source.
Low emitting EGUs. The provisions of this paragraph (h) apply to pollutants with emissions limits from new EGUs except Hg and to all pollutants with emissions limits from existing EGUs. You may pursue this compliance option unless prohibited pursuant to § 63.10000(c)(1)(i).
An EGU may qualify for low emitting EGU (LEE) status for Hg, HCl, HF, filterable PM, total non-Hg HAP metals, or individual non-Hg HAP metals (or total HAP metals or individual HAP metals, for liquid oil-fired EGUs) if you collect performance test data that meet the requirements of this paragraph (h) and if those data demonstrate:
For all pollutants except Hg, performance test emissions results less than 50 percent of the applicable emissions limits in Table 1 or 2 to this subpart for all required testing for 3 consecutive years; or
For Hg emissions from an existing EGU, either—
Average emissions less than 10 percent of the applicable Hg emissions limit in Table 2 to this subpart (expressed either in units of lb/TBtu or lb/GWh); or
Potential Hg mass emissions of 29.0 or fewer pounds per year and compliance with the applicable Hg emission limit in Table 2 to this subpart (expressed either in units of lb/TBtu or lb/GWh).
For all pollutants except Hg, you must conduct all required performance tests described in § 63.10007 to demonstrate that a unit qualifies for LEE status.
When conducting emissions testing to demonstrate LEE status, you must increase the minimum sample volume specified in Table 1 or 2 nominally by a factor of two.
Follow the instructions in § 63.10007(e) and Table 5 to this subpart to convert the test data to the units of the applicable standard.
For Hg, you must conduct a 30- (or 90-) boiler operating day performance test using Method 30B in appendix A-8 to part 60 of this chapter to determine whether a unit qualifies for LEE status. Locate the Method 30B sampling probe tip at a point within 10 percent of the duct area centered about the duct's centroid at a location that meets Method 1 in appendix A-1 to part 60 of this chapter and conduct at least three nominally equal length test runs over the 30- (or 90-) boiler operating day test period. You may use a pair of sorbent traps to sample the stack gas for a period consistent with that given in section 5.2.1 of appendix A to this subpart. Collect Hg emissions data continuously over the entire test period (except when changing sorbent traps or performing required reference method QA procedures). As an alternative to constant rate sampling per Method 30B, you may use proportional sampling per section 8.2.2 of Performance Specification 12 B in appendix B to part 60 of this chapter.
Depending on whether you intend to assess LEE status for Hg in terms of the lb/TBtu or lb/GWh emission limit in Table 2 to this subpart or in terms of the annual Hg mass emissions limit of 29.0 lb/year, you will have to collect some or all of the following data during the 30-boiler operating day test period (see paragraph (h)(3)(iii) of this section):
Diluent gas (CO2 or O2) data, using either Method 3A in appendix A-3 to part 60 of this chapter or a diluent gas monitor that has been certified according to part 75 of this chapter.
Stack gas flow rate data, using either Method 2, 2F, or 2G in appendices A-1 and A-2 to part 60 of this chapter, or a flow rate monitor that has been certified according to part 75 of this chapter.
Stack gas moisture content data, using either Method 4 in appendix A-1 to part 60 of this chapter, or a moisture monitoring system that has been certified according to part 75 of this chapter. Alternatively, an appropriate fuel-specific default moisture value from § 75.11(b) of this chapter may be used in the calculations or you may petition the Administrator under § 75.66 of this chapter for use of a default moisture value for non-coal-fired units.
Hourly gross output data (megawatts), from facility records.
If you use CEMS to measure CO2 (or O2) concentration, and/or flow rate, and/or moisture, record hourly average values of each parameter throughout the 30-boiler operating day test period. If you opt to use EPA reference methods rather than CEMS for any parameter, you must perform at least one representative test run on each operating day of the test period, using the applicable reference method.
Calculate the average Hg concentration, in µg/m 3 (dry basis), for each of LEE test runs comprising the 30- (or 90-) boiler operating day performance test, as the arithmetic average of all Method 30B sorbent trap results from the LEE test period. Also calculate, as applicable, the average values of CO2 or O2 concentration, stack gas flow rate, stack gas moisture content, and gross output for the LEE test period. Then:
To express the test results in units of lb/TBtu, follow the procedures in § 63.10007(e). Use the average Hg concentration and diluent gas values in the calculations.
To express the test results in units of lb/GWh, use Equations A-3 and A-4 in section 6.2.2 of appendix A to this subpart, replacing the hourly values “Ch”, “Qh”, “Bws” and “(MW)h” with the average values of these parameters from the performance test.
To calculate pounds of Hg per year, use one of the following methods— (1) Multiply the average lb/TBtu Hg emission rate (determined according to paragraph (h)(3)(iii)(A) of this section) by the maximum potential annual heat input to the unit (TBtu), which is equal to the maximum rated unit heat input (TBtu/hr) times 8,760 hours. If the maximum rated heat input value is expressed in units of MMBtu/hr, multiply it by 10 −6 to convert it to TBtu/hr; or
(2) Multiply the average lb/GWh Hg emission rate (determined according to paragraph (h)(3)(iii)(B) of this section) by the maximum potential annual electricity generation (GWh), which is equal to the maximum rated electrical output of the unit (GW) times 8,760 hours. If the maximum rated electrical output value is expressed in units of MW, multiply it by 10 −3 to convert it to GW; or
(3) If an EGU has a federally-enforceable permit limit on either the annual heat input or the number of annual operating hours, you may modify the calculations in paragraph (h)(3)(iii)(C)(1) of this section by replacing the maximum potential annual heat input or 8,760 unit operating hours with the permit limit on annual heat input or operating hours (as applicable).
For a group of affected units that vent to a common stack, you may either assess LEE status for the units individually by performing a separate emission test of each unit in the duct leading from the unit to the common stack, or you may perform a single emission test in the common stack. If you choose the common stack testing option, the units in the configuration qualify for LEE status if:
The emission rate measured at the common stack is less than 50 percent (10 percent for Hg) of the applicable emission limit in Table 1 or 2 to this subpart; or
For Hg from an existing EGU, the applicable Hg emission limit in Table 2 to this subpart is met and the potential annual mass emissions, calculated according to paragraph (h)(3)(iii) of this section (with some modifications), are less than or equal to 29.0 pounds times the number of units sharing the common stack. Base your calculations on the combined heat input capacity of all units sharing the stack (i.e., either the combined maximum rated value or, if applicable, a lower combined value restricted by permit conditions or operating hours).
For an affected unit with a multiple stack or duct configuration in which the exhaust stacks or ducts are downstream of all emission control devices, you must perform a separate emission test in each stack or duct. The unit qualifies for LEE status if:
The emission rate, based on all test runs performed at all of the stacks or ducts, is less than 50 percent (10 percent for Hg) of the applicable emission limit in Table 1 or 2 to this subpart; or
For Hg from an existing EGU, the applicable Hg emission limit in Table 2 to this subpart is met and the potential annual mass emissions, calculated according to paragraph (h)(3)(iii) of this section, are less than or equal to 29.0 pounds. Use the average Hg emission rate from paragraph (h)(5)(i) of this section in your calculations.
Liquid-oil fuel moisture measurement. If your EGU combusts liquid fuels, if your fuel moisture content is no greater than 1.0 percent by weight, and if you would like to demonstrate initial and ongoing compliance with HCl and HF emissions limits, you must meet the requirements of paragraphs (i)(1) through (5) of this section.
Measure fuel moisture content of each shipment of fuel if your fuel arrives on a batch basis; or
Measure fuel moisture content daily if your fuel arrives on a continuous basis; or
Obtain and maintain a fuel moisture certification from your fuel supplier.
Use one of the following methods to determine fuel moisture content—
ASTM D95-05 (Reapproved 2010), “Standard Test Method for Water in Petroleum Products and Bituminous Materials by Distillation,” or
ASTM D4006-11, “Standard Test Method for Water in Crude Oil by Distillation,” including Annex A1 and Appendix A1.
Use one of the following methods to obtain fuel moisture samples—
ASTM D4177-95 (Reapproved 2010), “Standard Practice for Automatic Sampling of Petroleum and Petroleum Products,” including Annexes A1 through A6 and Appendices X1 and X2, or
ASTM D4057-06 (Reapproved 2011), “Standard Practice for Manual Sampling of Petroleum and Petroleum Products,” including Annex A1.
Should the moisture in your liquid fuel be more than 1.0 percent by weight, you must
Conduct HCl and HF emissions testing quarterly (and monitor site-specific operating parameters as provided in § 63.10000(c)(2)(iii) or
Use an HCl CEMS and/or HF CEMS.
Startup and shutdown for coal-fired or solid oil derived-fired units. You must follow the requirements given in Table 3 to this subpart.
You must submit a Notification of Compliance Status summarizing the results of your initial compliance demonstration, as provided in § 63.10030.
Notes, amendments, and revision history
Amendments
[77 FR 9464, Feb. 16, 2012, as amended at 77 FR 23403, Apr. 19, 2012; 78 FR 24084, Apr. 24, 2013; 79 FR 68789, Nov. 19, 2014; 81 FR 20181, Apr. 6, 2016; 85 FR 55757, Sept. 9, 2020; 89 FR 38565, May 7, 2024; 91 FR 9114, Feb. 24, 2026]
Source
Source: 77 FR 9464, Feb. 16, 2012, unless otherwise noted.
Authority
Authority: 42 U.S.C. 7401 et seq.
Source
Source: 57 FR 61992, Dec. 29, 1992, unless otherwise noted.
Amendments
[77 FR 9464, Feb. 16, 2012, as amended at 77 FR 23403, Apr. 19, 2012; 78 FR 24084, Apr. 24, 2013; 79 FR 68789, Nov. 19, 2014; 81 FR 20181, Apr. 6, 2016; 85 FR 55757, Sept. 9, 2020; 89 FR 38565, May 7, 2024; 91 FR 9114, Feb. 24, 2026]