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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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^K=n^^  _
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
                                                                 1 8 MAR  1977

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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;
                                                                   1 8 MAR 1977

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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
                                                                  1 8 MAR 1977

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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)]
                                                                           1 8 MAR 1977

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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)]
                                                                 I 8 MAR 1977

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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;
                                                                 1 8 MAR 1977

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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)]
                                                                  1 8  MAR 1977

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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)]
                                                                  8 MAR 1977

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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)]
                                                                  1 8 MAR 1977

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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]
                                                                1 8 MAR 1977

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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:
                                                                  1 8 MAR 1977

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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
                                                                         7977

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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
                          13                                    18 MAR  1977

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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
                                14
                                                                   1 8 MAR 1977

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