1 1 1 1 1 1 • 1 1 1 1 1 1 ^•"••^•n ui* m B *i ** J ^^ * ^ 1 . 1 ' K ! , 1 1 u 1 l I I L f S •^p ••• H 1 - GUIDELINE SERIES OAQPS NO. 1-2-072 ] 8 MAR 1977 OOOR77003 REQUIREMENTS AND PROCEDURES FOR IMPLEMENTING SECTION lll(d) X_ 6-n^r^^^^^^ j 1 ^ ^K=n^^ „ _ U5. ENVIRONMENTAL PROTECTION AGENCY Office of Air Quality Planning and Standards Research Triangle Park, North Carolina ------- I I I I I I REQUIREMENTS AND PROCEDURES I FOR IMPLEMENTING SECTION !T!(d) I I I I I I I I I I I I ------- 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 ------- I I I I I I I I I I I I I I I I I I I 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 ------- (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 ------- I I I I I I I I I I I I 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 I I I I I (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 ------- 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 ------- I I I I I I I I I I I I I I I I I I I 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 ------- (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 ------- I I I I I I I I I I I I I I I I I I I 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 ------- (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 ------- I I I I I I I I I I I I I I I I I « I I 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 ------- 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 ------- I I I I I I I I I I I I I I I I I « I I 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 ------- 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: 12 1 8 MAR 1977 ------- I I I I I I I I I I I I I I I I t I I 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 ------- 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 ------- |