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GUIDELINE SERIES
OAQPS NO. 1-2-072
] 8 MAR 1977
OOOR77003
REQUIREMENTS AND PROCEDURES FOR
IMPLEMENTING SECTION lll(d)
X_
6-n^r^^^^^^
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U5. ENVIRONMENTAL PROTECTION AGENCY
Office of Air Quality Planning and Standards
Research Triangle Park, North Carolina
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REQUIREMENTS AND PROCEDURES
I FOR IMPLEMENTING SECTION !T!(d)
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TABLE OF CONTENTS
DATE OF
PAGE REVISIONS
Introduction 1
I. EPA Initial Responsibilities 1
II. State Responsibilities 2
III. Content of the Plan 4
A. Legal Authority 4
B. Emission Standards and Compliance Schedules 5
C. Emission Inventories and Source Surveillance 6
IV. Reports 7
V. Action by the Administrator 8
VI. Revisions 9
Checklist for Review of lll(d) Plans 10
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Introduction
Under Section m(d) of the Clean Air Act, the Agency has set forth
procedures which States are to follow when submitting plans to control
emissions of certain pollutants from existing facilities. The pollutants
which have been designated for control under lll(d) are not those for
which ambient air quality standards have been established under Section
108 of the Act nor are they listed as hazardous pollutants under
Section 112. Rather, Section lll(d) requires control of certain pol-
lutants at existing sources whenever standards of performance have
been established under lll(b) for those pollutants from new sources of
the same type. These pollutants are called "designated pollutants"
and the sources for which emissions standards are set are called
"designated facilities". As a step toward implementing the requirements
of Section lll(d), Subpart B of Part 60 (Adoption and Submittal of
State Plans for Designated Facilities) was published in the Federal
Register on November 17, 1975. Subpart B established procedures to
be followed and requirements to be met by both the Agency and the
States in the development and submission of State plans for control
of designated pollutants. The requirements of Subpart B are outlined
in what follows.
I. EPA Initial Responsibilities
1. EPA will produce a draft guideline document and give notice of
its availability for public comment in the Federal Register. This docu-
ment will contain information pertinent to control of designated pol-
lutants from designated facilities. After considering public com-
ment, the final document will be published and a notice of its availability
will be published in the Federal Register. [60.22(a)]
2. The guideline document will: [60.22(b)]
(a) provide information concerning known or suspected endanger-
ment to public health or welfare caused or contributed to
by the designated pollutant;
(b) describe systems of emission reduction which have been ade-
quately demonstrated to the satisfication of the Administrator;
(c) provide information on the emission reduction achievable,
costs and environmental impact of applying each of the systems
to designated facilities;
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(d) state the expected period of time required for design,
installation and start-up of each of the identified control
systems;
(e) establish an emission guideline which will take into account:
(i) the best system of emission reduction available (con-
sidering cost) which has been demonstrably proven to
be adequate for designated sources,
(ii) the time within which compliance with emission stan-
dards of equivalent stringency can be achieved;
(f) specify different emission guidelines or compliance times
or both for different sizes, types and classes of designated
facilities when the cost of control, physical limitations,
geographical location or similar factors make it necessary
to do so, and
(g) provide any additional available information which may be
useful to the State in developing the plan.
II. State Responsibilities
1. Once the final guideline document has been published and a notice
of its availability has been placed in the Federal Register, the affected
States have nine months during which to adopt and submit a plan for the
control of the designated pollutant. This time limit also applies for
revisions necessary to meet new requirements after a revised guideline
document is published. [60.23(a)]
2. If there is no designated facility located in the State, the State
shall submit a letter of certification to that effect to the Administrator
within the above mentioned 9 month period. Such certification exempts the
State from requirements of Subpart B for that designated pollutant. [60.23(b)]
3. Prior to the adoption of the plan or revision thereof, the
State shall conduct one or more public hearings within the State. The
exceptions of this requirement are two: [60.23(c)]
(a) no hearing shall be required for any change to an increment
of progress in an approved compliance schedule unless the
change is likely to cause the facility to be unable to comply
with the final compliance date in the schedule, and
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6. The State shall submit with the plan or revision: [60.23(f)]
• (a) certification that the public hearing was held in accordance
with the required procedures stated above, and
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(b) no hearing shall be required on an emission standard in
effect prior to the publication date of Subpart B,
(November 17, 1975), if it was,
(i) adopted after a public hearing, and
(ii) is as stringent as the emission guideline
4. The hearing shall be held only after a reasonable notice given
at least 30 days prior to the hearing. Notice shall be provided to the
following: [60.23(dj]
(a) the public by prominently advertising the date, time and place
of such hearing in each region affected;
(b) the Administrator;
(c) the local air pollution control agency in each of the affected
regions, and
(d) any other State which is included in an affected interstate
region.
In addition, the notice will specify that, at the time of the public announce-
ment, the proposed plan will be made available for public inspection in each
of the affected regions.
5. The State shall prepare and retain for at least two years a
record of each hearing and make it available for public inspection. At a
minimum, the hearing record will contain a list of witnesses and the
text of each presentation. [60.23(e)]
(b) a list of witnesses and their affiliations appearing at the
hearings as well as a brief summary of each presentation or
submission.
7. The State may seek, through written application, approval by
the Administrator of different procedures for holding public hearings but
approval will not be granted unless adequate notice to and participation
of the public are assured. [60.23(g)]
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III. Content of the Plan
A. Legal Authority
1. Each plan will show that the State has legal authority to: [60.26(a)]
(a) adopt emission standards and compliance schedules applicable
to designated facilities;
(b) enforce relevant laws, regulations, standards and compliance
schedules and seek injunctive relief;
(c) obtain information necessary to determine compliance by
the designated facilities;
(d) require record keeping, make inspections and conduct tests;
(e) require owners or operators to use emission monitoring
devices and make periodic reports on nature and amounts of
emissions, and
(f) make emission data available to the public.
2. The provisions of law which establish a State's legal authority
shall be identified and shown to be available at the time of plan sub-
mission and shall be submitted with the plan unless: [60.26(b),(c)]
(a) they have previously been approved when submitted under
Subpart B or under section 110 of the Act, and
(b) the State demonstrates that such previously submitted laws
or regulations are applicable to the designated pollutant for
which the plan is submitted.
3. The State may authorize a local agency to carry out a plan or
portion of a plan within the local agency's jurisdiction provided: [60.26(d)J
(a) the local agency has the legal authority to implement
the plan or portion thereof, and
(b) the authorization does not relieve the State of responsi-
bility to carry out the plan or portion thereof under the Act.
4. A State governmental organization other than the State air
pollution control agency may be assigned responsibility of carrying out
the plan provided it has legal authority to do so. [60.26(e)]
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B. Emission Standards and Compliance Schedules
1. Emission standards shall prescribe allowable rates of emissions
except in those cases where it is clearly impracticable as noted in the
guideline document. [60.24(b)(1)]
2. When emission standards prescribe equipment specifications, the
plan will set forth the emission reductions achievable by applying such
equipment specifications. The plan may also permit compliance by the
use of equipment determined to be equivalent to that prescribed. [60.24(b)(l)]
3. Test methods and procedures for determining compliance with the
emission standards will be specified in the plan. These may be methods
determined to be equivalent to, or alternatives to, methods specified
in Appendix A of 40 CFR Part 60. [60.24(b}(2)]
4. Emission standards shall apply to all designated facilities in
the State, although a plan may contain standards adopted by local juris-
dictions provided they are enforceable by the State. [60.24(b)(3)]
5. In cases where the Administrator has determined that a designated
pollutant may:
(a) cause or contribute to the endangerment of public health,
standards shall be no less stringent than the corresponding
emission guideline specified, nor shall the compliance time
be later than specified, in Subpart C (except as provided
under Section III.B.8. of this guideline); [60.24(c)]
(b) cause or contribute to the endangerment of public welfare
but where the adverse effects on public health have not been
demonstrated, the State may balance the guideline requirements
against other factors of public concern in establishing
emission standards, compliance schedules or variances, but
the development and submission of the plan shall still meet
the procedural requirements of Section II of this guideline.
[60.24(d)]
6. Any compliance schedule extending more than 12 months beyond the
required date of the plan submittal must contain legally enforcable incre-
ments of progress toward compliance for each designated facility or
category included in the plan. Increments of progress include the following:
[60.24(e)(l), 60.23(c)]
(a) submittal of a final control plan by the designated facility
to the State agency;
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(b) awarding of contracts for emission control systems or process
modifications;
(c) initiation of construction or installation of control equip-
ment or process change, or issuance of component part pur-
chase orders to accomplish such control or change;
(d) completion of construction or modification;
(e) final compliance, and
(f) any additional increments to assure close and effective
supervision of progress toward final compliance.
7. If a plan provides that compliance schedules are to be submitted
after submission of the plan, such schedules must be: [60.24(e)(2)]
(a) subject to public hearings held in accordance with Section II
of this guideline, and
(b) submitted to the Administrator within 60 days after scheduled
adoption by the State but not later than the date prescribed
for the first semiannual report.
8. Less stringent emission standards or longer compliance schedules
for specific designated facilities or classes of facilities may be pro-
vided in the plan on a case-by-case basis provided the State demonstrates:
[60.24(fJ]
(a) unreasonable cost of control because of plant age, location
or process design;
(b) physical impossibility of installing necessary control
equipment, or
(c) other factors specific to the facility which make applica-
tion of less stringent standards or final compliance time
significantly more reasonable.
9. Nothing precludes a State from adopting emission standards or
compliance schedules more stringent than the emission guidelines or
compliance times specified in Subpart C or in the guideline document. [60.24(g)]
C. Emission Inventories and Source Surveillance
1. Each plan shall include an emission inventory of all designated
facilities in accordance with Appendix D of 40 CFR Part 60. These data will
be summarized in the plan and emission rates of the designated pollutant
correlated with the emission standards. [60.25(a)]
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2. Each plan shall provide for monitoring the status of compli-
ance with the emission standards and provide legally enforceable pro-
cedures to: [60.25(b)]
(a) require owners or operators of designated facilities
to maintain records and periodically report to the State on
the nature and amount of emissions from the facilities;
(b) require that any additional information be supplied the
State which would enable it to judge if the facility is
in compliance with applicable portions of the plan, and
(c) provide periodic inspection and testing, if necessary,
of designated facilities.
3. Each plan shall provide that emission data obtained by the
State shall be correlated with the emission standards and be made avail-
able to the general public. [60.25(c)]
4. Provisions referred to under numbers 2. and 3. above shall be
specifically identified and shall be submitted with the plan unless: [60.25(d)]
(a) they have been approved previously when submitted under
Subpart B or Section 110 of the Act, and
(b) the State demonstrates:
(i) that such previously approved provisions are applicable
to the designated pollutant for which the plan is submitted,
and
(ii) that the plan shows that the State has all the legal
authority required in Subpart B.
IV. Reports
1. The state shall submit information on the progress of plan enforce-
ment to the Administrator in the semi-annual reports required by S 51.7 of
40 CFR Part 51. Reporting periods covering the previous six months end on
June 30 and December 31 of each year. The first report is due at the end of
the first full report period following approval of the State plan or pro-
mulgation of a plan by the Administrator. [60.25(e)]
2. Each progress report shall include the following information for
actions which occurred during the reporting period: [60.25(f)]
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(a) enforcement actions initiated against designated facilities;
(b) achievement of any increment of progress required by the plan;
(c) designated facilities which have ceased operation;
(d) emission inventory data for designated facilities which
began operating;
(e) additional emission inventory data to update data submitted
at the time of the plan submission or in previous progress
reports, and
(f) technical reports on all performance testing conducted on
designated facilities including concurrently recorded process
data.
V. Action by. the Administrator
1. Whenever he deems necessary, the Administrator may extend
the period for submission for any State plan or plan revision. [60.27(a)]
2. After submission of the State plan, or plan revision, the
Administrator will: [60.27(bj]
(a) propose the plan or revision for approval or disapproval,
and
(b) approve or disapprove the plan within four months after the
date required for submission.
3. After consideration of any State hearing record, the Adminis-
trator will prepare and publish proposed regulations setting forth a
plan if: [60.27(c)]
(a) the State fails to submit a plan or a plan revision to meet
the requirements of Subpart B within the prescribed time
limit, or
(b) the Administrator disapproves the State plan or revision
because it does not meet the requirements of Subpart B.
4. The Administrator will promulgate the proposed plan or portion
thereof, after making any appropriate modifications, within six months from
the required submission date unless the State adopts and submits an approvable
plan or revision prior to promulgation. [60.27(d)]
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5. Regulations proposed and promulgated by the Administrator will:
[60.27(e)(l)]
(a) prescribe emission standards as stringent as the emission
guidelines specified in the final guideline document, and
(b) require final compliance with the standards no later than
the deadlines set in the guideline.
6. The Administrator may extend the compliance period or provide
less stringent standards for a designated source if application is
made by the owner or operator and the criteria in Section III.B.8. of
this guideline are met. [60.27(e)(2)]
7. The Administrator will provide opportunity for a public hearing
within the State on a plan prior to promulgation if the State failed to hold
a hearing as required by Subpart B. [60.27(f)]
VI. Revisions
1. Any revisions which would relax the emission standards or delay
compliance with compliance schedules or increments of progress must be
submitted to the Administrator within 60 days after adoption by the State.
[60.28(a)J
2. The procedures followed in the development and submission of
the original plan shall apply to the submission of any revisions. [60.28(b)]
3. Revisions shall not be considered as part of a plan until
approved by the Administrator. [60.28(c)]
4. Revisions by the Administrator shall be promulgated only after
notice and the opportunity for public hearing in the affected State.
Such revisions must be consistent with the Act and with the requirements
of Subpart B. The Administrator may revise only those provisions that
he has promulgated. [60.29]
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Checklist for Review of 1Tl(d) Plans
State
Date Submitted
YES NO
I. Public Hearing
1. Notice of public hearing given at least 30 days
prior to hearing
2. Public hearing(s) conducted in each affected
AQCR
3. Date, time and place of hearing(s) prominently
advertised in each affected AQCR
4. Notice of hearing provided to
(a) Administrator
(b) Local affected agencies
(c) Other States (affected interstate AQCRs)
5. Plan available for public inspection in each
affected AQCR
6. Certification submitted that indicated public
hearing(s) was held in accordance with Subpart B
7. List of witnesses, affiliation and summary of
each presentation submitted
8. If public hearing(s) was not held, is the
reason cited in accordance with exemptions
provided in Subpart B
Reason:
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YES NO
9. Did the State seek approval of different proce-
dures for holding public hearings
If yes, describe:
Was adequate notice to and full public partici-
pation assured
II. Content of the Plan
A. Legal Authority
1. Was legal authority approved as a portion of a
preceeding plan submitted under Subpart B or
Section 110
If so, does State demonstrate that such legal
authority is applicable to the designated pol-
lutant for which the plan is submitted
2. If no previous legal authority, does the State
have legal authority to:
(a) adopt emission standards and compliance
schedules applicable to designated facili-
ties
(b) enforce relevant laws, regulations, standards,
and compliance schedules and seek injunctive
relief
(c) obtain information necessary to determine
compliance
(d) require record keeping, make inspections
and conduct tests
(e) require the use of monitors and emission
reports of owners or operators
(f) make emission data available to the public
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YES NO
3. Copies of the provisions of the law establishing
legal authority submitted
If not,
(a) previously approved under Section 110
(b) State demonstrates that laws or regulations are
already applicable to designated pollutant
4. Legal authority shown to be available to State at
time of plan submission
5. Other State governmental agency authorized to carry
out portion of plan
If so, does plan demonstrate necessary legal
authority
6. State authorizes a local agency to carry out plan
or portion thereof
If so,
(a) local agency has legal authority to implement
the plan
(b) State relieved of responsibility to carry out
the plan
B. Emission Standards and Compliance Schedules
1. Emission standards prescribing allowable rates of
emissions submitted
Standards:
2. Standards prescribe equipment specifications
If so, specific emission reductions achievable:
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YES NO
3. Test methods and procedures for determining compli-
ance specified
Equivalent to Appendix A, 40 CFR Part 60
If not, are methods equivalent or alternative as
defined by § 60.2(t) or (u), 40 CFR Part 60
4. Emission standards adopted by local jurisdictions
If so, are they enforceable by the State
5. For health-related pollutants, are standards and
compliance times at least as stringent as the
emission guidelines and compliance times specified
in Subpart C, 40 CFR Part 60
If not, what is the State's justification for less
stringent requirements:
6. For we!fare-related pollutants, are the standards
and compliance times at least as stringent as the
emission guidelines and compliance times specified
in the guideline document
If not, what is the State's justification for less
stringent requirements:
7. Compliance schedules extend more than 12 months
beyond the date of plan submittal
If so, are there legally enforceable increments
of progress specified on the compliance schedule
8. Plan provides for the submission of compliance
schedules after submission of the plan
If so, were they subject to public hearings conducted
in accordance with Section II of this guideline and
submitted within 60 days after adoption
C. Emission Inventories and Source Surveillance
1. Emission inventory of all designated facilities in
accordance with Appendix D of 40 CFR Part 60
included in plan
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YES NO
2. Provisions for legally enforceable procedures to:
(a) require record-keeping on nature and amount of
emissions and reports to the States
(b) require any additional information to allow the
State to judge compliance
(c) provide periodic inspection and testing, if
necessary, of designated facilities
3. Provisions for emission data to be correlated with
emission standards and be made available to the
public
4. Provisions of numbers 2. and 3. above:
(a) Specifically identified
(b) Submitted with plan
If not submitted with plan:
(a) Were they previously approved
(b) Does State demonstrate applicability to desig-
nated pollutant
(c) Does plan show legal authority required by
Subpart B, 40 CFR Part 60
Plan
Approvable
Unapprovable
If unapprovable, State Reason Why
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