7610-20 Retired Unit Exemption

United States Environmental Protection Agency
Acid Rain, CAIR, and Transport Rule Programs

OMB Nos. 2060-0258, 2060-0570, and 2060-0667
Approval Expires 07/31/2014

Retired Unit Exemption
For more information, see instructions and refer to 40 CFR 72.8, 96.105, 96.205, 96.305, 97.405, 97.505,
97.605, and 97.705, or a comparable state regulation, as applicable.
This submission is:

STEP 1
Identify the unit by plant
(source) name, State,
ORIS/plant code and unit
ID#.
STEP 2
Indicate the program(s)
that the unit is subject to

□

New

□

Revised

Plant (Source) Name

□
□
□
□

Acid Rain
CAIR NOX Annual
CAIR SO2

State

□
□
□

ORIS/Plant Code

Unit ID#

Transport Rule NOx Annual
Transport Rule NOx Ozone Season
Transport Rule SO2 Annual

CAIR NOx Ozone Season

STEP 3
Identify the date on which
the unit was (or will be)
permanently retired.
STEP 4
If the unit is subject to the
Acid Rain Program,
identify the first full
calendar year in which the
unit meets (or will meet)
the requirements of 40
CFR 72.8(d).

January 1, ____________________

Acid Rain Program Special Provisions
STEP 5
Read the appropriate
special provisions.

(1) A unit exempt under 40 CFR 72.8 shall not emit any sulfur dioxide and nitrogen oxides starting on
the date that the exemption takes effect. The owners and operators of the unit will be allocated
allowances in accordance with 40 CFR part 73 subpart B.
(2) A unit exempt under 40 CFR 72.8 shall not resume operation unless the designated representative
of the source that includes the unit submits a complete Acid Rain permit application under 40 CFR
72.31 for the unit not less than 24 months prior to the date on which the unit is first to resume operation.
(3) The owners and operators and, to the extent applicable, the designated representative of a unit
exempt under 40 CFR 72.8 shall comply with the requirements of the Acid Rain Program concerning all
periods for which the exemption is not in effect, even if such requirements arise, or must be complied
with, after the exemption takes effect.
(4) For any period for which a unit is exempt under 40 CFR 72.8, the unit is not an affected unit under
the Acid Rain Program and 40 CFR part 70 and 71 and is not eligible to be an opt-in source under 40
CFR part 74. As an unaffected unit, the unit shall continue to be subject to any other applicable
requirements under 40 CFR parts 70 and 71.
(5) For a period of 5 years from the date the records are created, the owners and operators of a unit
exempt under 40 CFR 72.8 shall retain, at the source that includes the unit, records demonstrating that
the unit is permanently retired. The 5-year period for keeping records may be extended for cause, at
any time prior to the end of the period, in writing by the Administrator or the permitting authority. The
owners and operators bear the burden of proof that the unit is permanently retired.
(6) On the earlier of the following dates, a unit exempt under 40 CFR 72.8(b) or (c) shall lose its
exemption and become an affected unit under the Acid Rain Program and 40 CFR part 70 and 71: (i)
the date on which the designated representative submits an Acid Rain permit application under
paragraph (2); or (ii) the date on which the designated representative is required under paragraph (2) to
submit an Acid Rain permit application. For the purpose of applying monitoring requirements under 40
CFR part 75, a unit that loses its exemption under 40 CFR 72.8 shall be treated as a new unit that
commenced commercial operation on the first date on which the unit resumes operation.

EPA Form 7610-20 (Revised 9-2013)

Retired Unit Exemption
Page 2 of 5

CAIR NOX Annual Trading Program Special Provisions
(1) A unit exempt under 40 CFR 96.105(a) shall not emit any nitrogen oxides, starting on the date that the
exemption takes effect.
(2) The permitting authority will allocate CAIR NOX allowances under 40 CFR 96 subpart EE to a unit exempt
under 40 CFR 96.105(a).
(3) For a period of 5 years from the date the records are created, the owners and operators of a unit exempt
under 40 CFR 96.105(a) shall retain, at the source that includes the unit, records demonstrating that the unit is
permanently retired. The 5-year period for keeping records may be extended for cause, at any time before the
end of the period, in writing by the permitting authority or the Administrator. The owners and operators bear the
burden of proof that the unit is permanently retired.
(4) The owners and operators and, to the extent applicable, the CAIR designated representative of a unit exempt
under 40 CFR 96.105(a) shall comply with the requirements of the CAIR NOX Annual Trading Program
concerning all periods for which the exemption is not in effect, even if such requirements arise, or must be
complied with, after the exemption takes effect.
(5) A unit exempt under 40 CFR 96.105(a) and located at a source that is required, or but for this exemption
would be required, to have a title V operating permit shall not resume operation unless the CAIR designated
representative of the source submits a complete CAIR permit application under 40 CFR 96.122 for the unit not
less than 18 months (or such lesser time provided by the permitting authority) before the later of January 1, 2009
or the date on which the unit resumes operation.
(6) On the earlier of the following dates, a unit exempt under 40 CFR 96.105(a) shall lose its exemption:
(i) The date on which the CAIR designated representative submits a CAIR permit application for the unit under 40
CFR 96.105(b)(5);
(ii) The date on which the CAIR designated representative is required under 40 CFR 96.105(b)(5) to submit a
CAIR permit application for the unit; or
(iii) The date on which the unit resumes operation, if the CAIR designated representative is not required to submit
a CAIR permit application for the unit.
(7) For the purpose of applying monitoring, reporting, and recordkeeping requirements under 40 CFR 96 subpart
HH, a unit that loses its exemption under 40 CFR 96.105(a) shall be treated as a unit that commences
commercial operation on the first date on which the unit resumes operation.
CAIR SO2 Trading Program Special Provisions
(1) A unit exempt under 40 CFR 96.205(a) shall not emit any sulfur dioxide, starting on the date that the
exemption takes effect.
(2) For a period of 5 years from the date the records are created, the owners and operators of a unit exempt
under 40 CFR 96.205(a) shall retain, at the source that includes the unit, records demonstrating that the unit is
permanently retired. The 5-year period for keeping records may be extended for cause, at any time before the
end of the period, in writing by the permitting authority or the Administrator. The owners and operators bear the
burden of proof that the unit is permanently retired.
(3) The owners and operators and, to the extent applicable, the CAIR designated representative of a unit exempt
under 40 CFR 96.205(a) shall comply with the requirements of the CAIR SO 2 Trading Program concerning all
periods for which the exemption is not in effect, even if such requirements arise, or must be complied with, after
the exemption takes effect.
(4) A unit exempt under 40 CFR 96.205(a) and located at a source that is required, or but for this exemption
would be required, to have a title V operating permit shall not resume operation unless the CAIR designated
representative of the source submits a complete CAIR permit application under 40 CFR 96.222 for the unit not
less than 18 months (or such lesser time provided by the permitting authority) before the later of January 1, 2010
or the date on which the unit resumes operation.
(5) On the earlier of the following dates, a unit exempt under 40 CFR 96.205(a) shall lose its exemption:
(i) The date on which the CAIR designated representative submits a CAIR permit application for the unit under 40
CFR 96.205(b)(4);
(ii) The date on which the CAIR designated representative is required under 40 CFR 96.205(b)(4) to submit a
CAIR permit application for the unit; or
(iii) The date on which the unit resumes operation, if the CAIR designated representative is not required to submit
a CAIR permit application for the unit.
(6) For the purpose of applying monitoring, reporting, and recordkeeping requirements under 40 CFR 96 subpart
HHH, a unit that loses its exemption under 40 CFR 96.205(a) shall be treated as a unit that commences
commercial operation on the first date on which the unit resumes operation.

EPA Form 7610-20 (Revised 9-2013)

Retired Unit Exemption
Page 3 of 5

CAIR NOX Ozone Season Trading Program Special Provisions
(1) A unit exempt under 40 CFR 96.305(a) shall not emit any nitrogen oxides, starting on the date that the
exemption takes effect.
(2) The Administrator or the permitting authority will allocate CAIR NOX Ozone Season allowances under 40 CFR
96 subpart EEEE to a unit exempt under 40 CFR 96.305(a).
(3) For a period of 5 years from the date the records are created, the owners and operators of a unit exempt
under 40 CFR 96.305(a) shall retain at the source that includes the unit, records demonstrating that the unit is
permanently retired. The 5-year period for keeping records may be extended for cause, at any time before the
end of the period, in writing by the permitting authority or the Administrator. The owners and operators bear the
burden of proof that the unit is permanently retired.
(4) The owners and operators and, to the extent applicable, the CAIR designated representative of a unit exempt
under 40 CFR 96.305(a) shall comply with the requirements of the CAIR NOX Ozone Season Trading Program
concerning all periods for which the exemption is not in effect, even if such requirements arise, or must be
complied with, after the exemption takes effect.
(5) A unit exempt under 40 CFR 96.305(a) and located at a source that is required, or but for this exemption
would be required, to have a title V operating permit shall not resume operation unless the CAIR designated
representative of the source submits a complete CAIR permit application under § 97.322 for the unit not less than
18 months (or such lesser time provided by the permitting authority) before the later of January 1, 2009 or the
date on which the unit resumes operation.
(6) On the earlier of the following dates, a unit exempt under paragraph (a) of this section shall lose its
exemption:(i) The date on which the CAIR designated representative submits a CAIR permit application for the
unit under paragraph (b)(5) of this section;(ii) The date on which the CAIR designated representative is required
under paragraph (b)(5) of this section to submit a CAIR permit application for the unit; or (iii) The date on which
the unit resumes operation, if the CAIR designated representative is not required to submit a CAIR permit
application for the unit.
(7) For the purpose of applying monitoring, reporting, and recordkeeping requirements under subpart HHHH of
this part, a unit that loses its exemption under paragraph (a) of this section shall be treated as a unit that
commences commercial operation on the first date on which the unit resumes operation.
Transport Rule NOX Annual Trading Program Special Provisions
(1) A unit exempt under 40 CFR 97.405 shall not emit any NO X, starting on the date that the exemption takes
effect.
(2) For a period of 5 years from the date the records are created, the owners and operators of a unit exempt
under 40 CFR 97.405 shall retain, at the source that includes the unit, records demonstrating that the unit is
permanently retired. The 5-year period for keeping records may be extended for cause, at any time before the
end of the period, in writing by the Administrator. The owners and operators bear the burden of proof that the unit
is permanently retired.
(3) The owners and operators and, to the extent applicable, the designated representative of a unit exempt 40
CFR 97.405 shall comply with the requirements of the TR NOX Annual Trading Program concerning all periods for
which the exemption is not in effect, even if such requirements arise, or must be complied with, after the
exemption takes effect.
(4) A unit exempt under 40 CFR 97.405 shall lose its exemption on the first date on which the unit resumes
operation. Such unit shall be treated, for purposes of applying allocation, monitoring, reporting, and
recordkeeping requirements under this subpart, as a unit that commences commercial operation on the first date
on which the unit resumes operation.
Transport Rule NOX Ozone Season Trading Program Special Provisions
(1) A unit exempt under 40 CFR 97.505 shall not emit any NO X, starting on the date that the exemption takes
effect.
(2) For a period of 5 years from the date the records are created, the owners and operators of a unit exempt
under 40 CFR 97.505 shall retain, at the source that includes the unit, records demonstrating that the unit is
permanently retired. The 5-year period for keeping records may be extended for cause, at any time before the
end of the period, in writing by the Administrator. The owners and operators bear the burden of proof that the unit
is permanently retired.
(3) The owners and operators and, to the extent applicable, the designated representative of a unit exempt under
40 CFR 97.505 shall comply with the requirements of the TR NOX Ozone Season Trading Program concerning all
periods for which the exemption is not in effect, even if such requirements arise, or must be complied with, after
the exemption takes effect.
(4) A unit exempt under 40 CFR 97.505 shall lose its exemption on the first date on which the unit resumes
operation. Such unit shall be treated, for purposes of applying allocation, monitoring, reporting, and

EPA Form 7610-20 (Revised 9-2013)

Retired Unit Exemption
Page 4 of 5

recordkeeping requirements under this subpart, as a unit that commences commercial operation on the first date
on which the unit resumes operation.
Transport Rule SO2 Group 1 Trading Program Special Provisions
(1) A unit exempt under 40 CFR 97.605 shall not emit any SO 2, starting on the date that the exemption takes effect.
(2) For a period of 5 years from the date the records are created, the owners and operators of a unit exempt under 40
CFR 97.605 shall retain, at the source that includes the unit, records demonstrating that the unit is permanently
retired. The 5-year period for keeping records may be extended for cause, at any time before the end of the period,
in writing by the Administrator. The owners and operators bear the burden of proof that the unit is permanently
retired.
(3) The owners and operators and, to the extent applicable, the designated representative of a unit exempt under 40
CFR 97.605 shall comply with the requirements of the TR SO2 Group 1 Trading Program concerning all periods for
which the exemption is not in effect, even if such requirements arise, or must be complied with, after the exemption
takes effect.
(4) A unit exempt under 40 CFR 97.605 shall lose its exemption on the first date on which the unit resumes
operation. Such unit shall be treated, for purposes of applying allocation, monitoring, reporting, and recordkeeping
requirements under this subpart, as a unit that commences commercial operation on the first date on which the unit
resumes operation.
Transport Rule SO2 Group 2 Trading Program Special Provisions
(1) A unit exempt under 40 CFR 97.705 shall not emit any SO 2, starting on the date that the exemption takes effect.
(2) For a period of 5 years from the date the records are created, the owners and operators of a unit exempt under 40
CFR 97.705 shall retain, at the source that includes the unit, records demonstrating that the unit is permanently
retired. The 5-year period for keeping records may be extended for cause, at any time before the end of the period,
in writing by the Administrator. The owners and operators bear the burden of proof that the unit is permanently
retired.
(3) The owners and operators and, to the extent applicable, the designated representative of a unit exempt under 40
CFR 97.705 shall comply with the requirements of the TR SO2 Group 2 Trading Program concerning all periods for
which the exemption is not in effect, even if such requirements arise, or must be complied with, after the exemption
takes effect.
(4) A unit exempt under 40 CFR 97.705 shall lose its exemption on the first date on which the unit resumes
operation. Such unit shall be treated, for purposes of applying allocation, monitoring, reporting, and recordkeeping
requirements under this subpart, as a unit that commences commercial operation on the first date on which the unit
resumes operation.

EPA Form 7610-20 (Revised 9-2013)

Retired Unit Exemption
Page 5 of 5

STEP 6
Read the statement of
compliance and the
appropriate certification
statements and sign
and date.

Statement of Compliance
I certify that the unit identified above at STEP 1 was (or will be) permanently retired on the date
identified at STEP 3 and will comply with the appropriate Special Provisions listed at STEP 5.

Certification (for Acid Rain, CAIR, or Transport Rule designated representatives or alternate
Acid Rain, CAIR, or Transport Rule designated representatives only)
I am authorized to make this submission on behalf of the owners and operators of the source and
unit for which the submission is made. I certify under penalty of law that I have personally
examined, and am familiar with, the statements and information submitted in this document and all
its attachments. Based on my inquiry of those individuals with primary responsibility for obtaining
the information, I certify that the statements and information are to the best of my knowledge and
belief true, accurate, and complete. I am aware that there are significant penalties for submitting
false statements and information or omitting required statements and information, including the
possibility of fine or imprisonment.

Name

Title

Owner Company Name

Phone

Email

Signature

Date

Certification (for certifying officials of units subject to the Acid Rain Program only)
I certify under penalty of law that I have personally examined, and am familiar with, the statements
and information submitted in this document and all its attachments. Based on my inquiry of those
individuals with primary responsibility for obtaining the information, I certify that the statements and
information are to the best of my knowledge and belief true, accurate, and complete. I am aware
that there are significant penalties for submitting false statements and information or omitting
required statements and information, including the possibility of fine or imprisonment.

Name

Title

Owner Company Name

Phone

Signature

EPA Form 7610-20 (Revised 9-2013)

Email

Date

Instructions for Submission of the
Retired Unit Exemption Notice
Please type or print. If you have any questions regarding the submission of the Retired Unit Exemption
notice, contact Robert Miller at miller.robertl@epa.gov or (202) 343-9077, or contact your local, State, or EPA
Regional Acid Rain, CAIR, or Transport Rule (TR) contact, as appropriate. You may also call U.S. EPA's
Acid Rain Hotline at (202) 343-9620.
Any reference in these instructions to the Designated Representative means the Acid Rain Designated
Representative, CAIR Designated Representative, and/or Transport Rule Designated Representative, as
applicable. Any reference to the Alternate Designated Representative means the Alternate Acid Rain
Designated Representative, the Alternate CAIR Designated Representative, and/or the Alternate Transport
Rule Designated Representative, as applicable. The Acid Rain Designated Representative, the CAIR
Designated Representative, and the Transport Rule Designated Representative for a facility (source) must be
the same individual, and the Alternate Acid Rain Designated Representative, the Alternate CAIR Designated
Representative, and the Alternate Transport Rule Designated Representative for a facility (source) must be
the same individual.
Submission Deadline: For units subject to CAIR and/or the Transport Rule only, submit the retired unit
exemption notice no later than 30 days after the date the unit is permanently retired (i.e., within 30 days of the
date entered at STEP 3). For units subject only to the Acid Rain Program, submit the form by December 31
of the first year the unit is to be exempt. If the unit is subject to the Acid Rain Program and to CAIR and/or
the Transport Rule, submit the retired unit exemption notice no later than 30 days after the date the unit is
permanently retired (i.e., within 30 days of the date entered at STEP 3).
STEP 1 Enter the plant name and state where the unit is located, the ORIS/Plant Code for the facility, and
Unit ID for the unit, consistent with the data listed on the most current Certificate of Representation for the
facility. A Plant Code is a 4 or 5 digit number assigned by the Department of Energy=s (DOE) Energy
Information Administration (EIA) to facilities that generate electricity. For older facilities, "Plant Code" is
synonymous with "ORISPL" and "Facility" codes. If the facility generates electricity but no Plant Code has
been assigned, or if there is uncertainty regarding what the Plant Code is, contact EIA at (202) 586-1029. For
facilities that do not produce electricity, use the facility identifier assigned by EPA (beginning with "88"). If the
facility does not produce electricity and has not been assigned a facility identifier, contact Laurel DeSantis at
desantis.laurel@epa.gov or (202) 343-9191.
STEP 2 Identify the programs to which the unit is subject.
STEP 3 Enter the date on which the unit was (or will be) permanently retired.
STEP 4 If the unit is subject to the Acid Rain Program, identify the first full calendar year in which the unit
meets (or will meet) the requirements of 40 CFR 72.8(d).
STEP 5 Read the appropriate special provisions.
STEP 6 Read the appropriate certification statements, sign, and date.
For units subject only to the Acid Rain Program, if no designated representative has been authorized, a
certifying official for each owner of the unit must read the certification at STEP 6 labeled "for certifying officials
of Acid Rain affected units only, enter his or her name, title, name of the owner company for which he or she
is the certifying official, phone number, email address, and then sign and date. A certifying official is not
required to submit a Certificate of Representation. If there is more than one owner of a unit for which no
designated representative has been authorized, each owner of the unit must have a certifying official sign the
appropriate certification at STEP 6.

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Submit the original Retired Unit Exemption notice to the title V permitting authority for the facility, and a copy
to U.S. EPA:

For regular/certified mail:

For overnight mail:

U.S. Environmental Protection Agency
Clean Air Markets Division (6204J)
Attention: Retired Unit Exemption
1200 Pennsylvania Avenue, NW
Washington, DC 20460

U.S. Environmental Protection Agency
Clean Air Markets Division (6204J)
Attention: Retired Unit Exemption
1310 L Street, NW
Second Floor
Washington, DC 20005
(202) 343-9191

Paperwork Burden Estimate
The public reporting and recordkeeping burden for this collection of information is estimated to average 3.5
hours per response annually. Burden means the total time, effort, or financial resources expended by
persons to generate, maintain, retain, or disclose or provide information to or for a Federal agency. This
includes the time needed to review instructions; develop, acquire, install, and utilize technology and systems
for the purposes of collecting, validating, and verifying information, processing and maintaining information,
and disclosing and providing information; adjust the existing ways to comply with any previously applicable
instructions and requirements; train personnel to be able to respond to a collection of information; search
data sources; complete and review the collection of information; and transmit or otherwise disclose the
information. An agency may not conduct or sponsor, and a person is not required to respond to, a collection
of information unless it displays a currently valid OMB control number.
Send comments on the Agency's need for this information, the accuracy of the provided burden estimates,
and any suggested methods for minimizing respondent burden, including through the use of automated
collection techniques to the Director, Collection Strategies Division, U.S. Environmental Protection Agency
(2822T), 1200 Pennsylvania Ave., NW., Washington, D.C. 20460. Include the OMB control number in any
correspondence. Do not send the completed form to this address.

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