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OOOR77010
GUIDELINE SERIES
OAQPS NO. 1.2-098
December 1977
CLEAN AIR ACT
SECTION 174 GUIDELINES
US. ENVIRONMENTAL PROTECTION AGENCY
Office of Air Quality Planning and Standards
Research Triangle Park, North Carolina
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CLEAN AIR ACT
SECTION 174 GUIDELINES
Guidance orr designation of
lead planning organizations
_ for nonattainment areas and
• on determination of inter-
™ agency responsibilities
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December 1977
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Issued Jaintly by
| The U.S^ Environmental Protection Agency
_ and
™ , The-U.S. Department of Transportation
• Washington, D.C.
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TABLE OF CONTENTS
•
Section Page Number
1 . Introduction
1.1 Applicability 1
1.2 Purposes * 1
1.3 Background . . . : 1
2. Selection of a Lead Planning Organization
• 2.1 Criteria for Selecting an Organization , - . .1
1.2. The Selection Process 4
3". Joint Determination- of Responsibilities . 5
_ 3.L Joint Determination- Process . . . 6
3 .Z Notification of Affected Governmental
Organizations 6
™ 3\S Establishment of a Determination
• Process _..• 7
J.4-Formal Identification of Responsibilities . . 7
Appendix A. List of Key Dates
I Appendix B. Section
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General questions on any of the material covered by this guideline
_ should be sent to the Office of Transportation and Land Use Policy (AW-
• 445), U.S. Environmental Protection Agency, 401 M Street, S.W., Washington,
• D.C. 20460, Attention: Ms. Martha Burke. Ms. Burke's telephone number
is (202) 755-0570. Questions concerning specific state or local areas
• should be directed to the appropriate EPA regional office.
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1. INTRODUCTION
1.1 Applicability
These guidelines are applicable to all metropolitan area regions or
portions of regions where the national ambient air quality stan-
dards for photochemical oxidants or carbon monoxide will not be
attained by July 1, 1979.
1.2 Purposes
The purposes of these guidelines include:
1. To recommend procedures and criteria, for determining a
lead agency to be responsible for coordinating the prep-
aration of the implementation plan revisions called for by
the 1977 amendments to the Clean Air Act (P.L. 95-95)
in metropolitan area, regions where carbon monoxide or
photochemical oxidant standards will not be attained
by July 1979-.
2. To assist state and local governments in identifying the
initial planning, implementation,, and enforcement responsi-
bilities for the plarr revisions and in establishing a process
for further definition of responsibilities as development of
the revisions progresses.
3. To encourage further coordination and consolidation of
federally sponsored planning programs. This, includes- the
integration of the new-transportation related air quality
requirements under P.L. 95-95 into the transportation
planning process required by federal transportation grant
statutes.
1.3 Background
On August TV 1977, President Carter signed into law- the first compre-
hensive amendments to the Clean Air Act since 1970. Among
the more important changes in the Clean Air Act are provisions en-
couraging local governments and organizations of local elected
officials to assume additional responsibilities in the development,.
implementation, and enforcement of plans to attain national ambient
air quality standards. Such plans were first required under the
1970 amendments to the Clean Air Act.. The 1977 amendments require.
plan revisions for areas where standards have not been attained.
The assumption of additional responsibilities by local governments
and local officials is specifically encouraged in those areas where
photochemical oxidant and carbon monoxide standards will not be
attained by July 1, 1979 (section 174(a)). The first identification
of nonattainment areas for these and other pollutants under the
requirements of the 1977 amendments must have been made by states by
December 5, 1977. The Administrator of the Environmental Protection
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Agency (EPA) must publish a list of these areas, with any modifica-
tions he deems necessary, by February 3, 1978.
For areas where standards for photochemical oxidants and carbon
monoxide will not be attained by July 1, 1979, state and local
elected officials must jointly determine by February 7, 1978, their
respective responsibilities for the plan revisions necessary to
attain standards by the new deadlines in the 1977 amendments. The
plan elements for which responsibilities are to be jointly determined
encompass control measures for all pollutants for which standards
have not been attained, not just photochemical oxidants and carbon
monoxide.
The amendments require that, where possible, the implementation
plan revisions be prepared by an organization of local elected
officials designated by agreement of local governments. The amendments
strongly encourage preparation by the organization now responsible
for transportation planning under section 134 of title 23, U.S.C.,
or for air quality maintenance planning (or for both). The desig-
nated organization and its responsibilities must be certified
by the state (or states if an interstate- area is involved). Where
local governments have not reached agreement by February 7, 1978,
the governor must, in consultation with the elected officials
of loca.1 governments in the affected area, designate an organization
of local elected officials or a state agency to prepare the plan
revisions. The designation by the governor must be in accordance with
the joint determination of responsibilities made by state and local
elected officials.
The governor must,, under regulations which the EPA will propose dur-
ing December 1977,. submit a notice to the EPA certifying the designated
agency for each nonattainment area or identifying the organization
that he or she has designated. The notice must include a brief
summary of the process involved in selecting the designated agency. A
more detailed documentation of the selection process shall be included
as part of the plan revisions to be submitted to the EPA by January 1,
1979. Evidence of the involvement of state legislatures and local
governments is required as part of the plan revision submittal (section
172(b)(9)K
Only organizations of local elected officials of general purpose
governments certified by the governor will be eligible for the
grants authorized under section 175 of the amendments. In each urban
area which is wholly or partially classified as a nonattainment area,
only one organization will be eligible to receive a grant. The org-
anization receiving, the grant may use the grant funds to support
plan revision-activities carried out by-atfcep^tjbvernmental organiza-
tions, public interest groups, or private consultants.
In addition to further defining the process for implementation of
the Clean Air Act amendments, the EPA and the Department of Trans-
portation also encourage in these guidelines further coordination and
consolidation of federally sponsored planning programs. Such encourage-
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ment is consistent with President Carter's Environmental Message of May
1977 and with subsequent actions taken by the President to eliminate,
consolidate, or simplify federal planning requirements. The Environ-
mental Message in part stressed the need for improved implementation of
environmental laws through more efficient delivery of federally funded
programs. The encouragement for coordination and consolidation
does not imply the advocacy of any particular institutional mechanism.
A wide variety of mechanisms ranging from concentration of authority or
responsibility in a single organization to development of memoranda
of understanding among several organizations are available to achieve
the same objectives.
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2. SELECTION OF A LEAD PLANNING ORGANIZATION
2.1 Criteria for Selecting an Organization
These guidelines are intended to assist state and local 'officials
in reaching agreement on the lead planning organization to be res-
ponsible for plan revisions called for by the 1977 Clean Air Act
amendments. The role of the lead planning organization may vary
from developing almost all elements of the plan revision to acting
as a forum for decisionmaking by elected officials on elements
developed almost entirely by other organizations. In mos-t instances
the lead organization will probably develop some elements, coordi-
nate, the development of other elements, and serve as a forum for
deciding the ultimate nature -of the plan revisions.
The amendments require that,, where feasible, the organization des-
ignated and certified, to prepare the plan revisions shall be (1) the
metropolitan planning organization (MPO) responsible for the con-
tinuing, cooperative,, and comprehensive transportation planning
process, for the affected: area; (2) the organization responsible for
the air quality maintenance planning process; or (3) an organization
responsible for both planning processes. Coordination of the devel-
opment of a. plan revision with the MPO transportation planning process
is particularly important in those nonattainment areas where transpor-
tation contra! measures appear necessary to attain standards. Only
through the MPO process can the federal funds avaiTable under Federal
Highway Administration and Urban Mass. Transportation Administration
programs be. used to. implement necessary transportation management
measures and capital projects.
The Administrator of the EPA also strongly encourages that, in
addition to meeting the requirements described above, the designa~
tions made pursuant to section 174 contribute to a consolidation
within i single: organization of responsibilities for air quality
planning and for other environmental planning carried out under
federal laws administered by the EPA. These- laws include the
Federal Water Pollution Control Act, the Safe Drinking Water Act,,
and the Resource Conservation- and Recovery Act. The EPA believes
that,, where properly applied* consolidation- of environmental planning
efforts ts arr essential step in the* development of comprehensive
environmental strategies that are able ta take into account the
interrelated, nature of environmental problems^ Comprehensive strategies
can also result- in a more efficient and effective use of resources in
achieving: environmental benefits,.
The following criteria should be considered by local elected offi-
cials and by the governor when determining the lead planning organi-
zation for urban nonattainment regions:
1. The organization should be the forum for cooperative deci-
sionmaking by principal elected officials of general purpose
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local governments. The principle elected officials of gen-
eral purpose local governments should have adequate (prefer-
ably majority or larger) representation in the organization
but membership need not be limited to them or their designees.
There-should be participation by agencies that may be respon-
sible for implementation of portions of the plan.
2. The organization should have a planning jurisdiction that include
the current urbanized area and the area likely to be urbanized
at least over the period to be covered by the revised plan.
3". The organization should have the ability to produce the necessary
plan revision for the planning jurisdiction described above
by the January 1, 1979-, submittal deadline. The organization
should have: the capability to perform the necessary analysis
and planning tasks itself or be able to enter into binding
agreements with other organizations to perform such tasks.
4-. The; organization should have the capability to coordinate
the development of the p.lan revision with other relevant
planning processes^ if it does-not have responsibility for
those processes, and with- agencies that may have responsibil-
ity for implementation or enforcement. Relevant planning
processes include the continuing, cooperative, and compre-
hensive planning process; other environmental planning pro-
cesses assisted through EPA-administered programs-, and com-
prehensive planning" processes established in accordance with
Part IV of the Office of Management and Budget Circular A-95
(4-1 FR 2052) „
2.2. The Selection Process
Local governments within a nonattainment area for photochemical
oxidants or carbon monoxide may, by agreement, designate an organ-
ization of elected officials, of local government to prepare the
p:larr revision for the pollutants for which standards in that area have
not beeir attained.. At resolution- by the governing body of an organi-
zation meeting the; criteria in section 2.1 of these guidelines is suffi-
cient to demonstrate agreement-of local governments. Such a. designation
must be submitted to the governor by February 7, 1978. Local govern-
ments intending to designate an organization should consult with the
state during, the designation process.
If- local governments agree on an organization by February 7V 197S, the
governor sha.ll certify that, organization by April 1, 1978V unless he or
"she finds that the: designated organization does not meet the criteria in
section 2.1. If local governments have initiated, but have not com-
pleted,, designation of an organization by February 7, 1978, they should
inform the governor that an on-going process exists.
If local governments are unable to agree by February 7 on a single lead
organization of local elected officials to be responsible for the
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coordination of the plan revision, the governor shall, in consultation
with local elected officials of general purpose local governments, desig-
nate an organization or a state agency by April 1, 1978. If more
than one organization meeting the criteria in section 2.1 is self-
designated in an area and proposed to the governor for certification,
the governor shall certify the organization which, in his or her
opinion, is most capable of completing the required plan revisions.
The governor may designate a state, local, or regional agency, but that
designation shall be in accordance with the joint determination of
responsibilities required by section 174- of the Clean Air Act amend-
ments and discussed in the following section of these guidelines.
In making a designation,, the governor shall take into considera-
tion any on-going process, of .local designation in existence on
February 7,. 1978, even though no formal agreement among local gov-
ernments has been reached. '
The governor shall submit to the Administrator of the EPA by April 1,
1978r through the appropriate. EPA regional office, a list of all
organizations or agencies certified or designated within the state,
a description of the geographic jurisdictions of these organizations
and agencies,, and a general description of their responsibilities.
Regardless of the agency finally designated or certified, the deci-
sions should reflect an examination of all reasonable alternatives
for consolidation of environmental and other planning functions. The
submission should include a brief discussion of the alternatives
investigated and the basis for the ultimate choice. If the organi-
zation designated or certified by the governor is not olrie of the
organizations encouraged by the amendments and by the Administrator
in these guidelines,, the reasons that such an organization should
not have the lead responsibility for planning should be specifically
addressed. More detailed descriptions, including documentation of
the consultation that occurred* shall be submitted by January 1, 1979,
with-the impJementation plan revision.
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3. JOINT DETERMINATION OF RESPONSIBILITIES
3.1 Joint Determination Process
The determination of responsibilities made jointly by state and
local elected officials will necessarily have to be relatively
general for many areas. The nature and extent of the air quality
problem may not be adequately defined by the February 7, 1978, deadline
specified in the amendments. In addition, the planning process guide-
lines for photochemical oxidant and carbon monoxide nonattainment areas,
required to be prepared by the EPA also by February 7, will not be
available for consideration in the joint determinations. The nature of
the process recommended in the EPA guidelines should influence the
ultimate determination of responsibilities.
Because agency responsibilities, especially for plan implementation
and enforcement, will undoubtedly change or become more specific
by the- time a plan revision is actually submitted to the EPA for
approval, the determination of responsibilities should, be viewed as
a process, the first phase of which is to be completed by February 7,
1978. The final product of the joint determination' process should
be included as part of the plan revision submitted by January 1, 1979.
Possible steps in this phased process are set forth below. Because
institutional arrangements diffelr from reg.ion to region and from
state to state, specification of a generally applicable process for
joint state-local determination of agency responsibilities is not
possible.
Many state and local governments already have initiated such a
process. As long as the approach taken provides for substantial
involvement of all parties - local governments, regional agencies,
and states - and results in the identification of agencies and res-
ponsibilities as described in these guidelines, such an existing
process is sufficient ta meet the requirements of section 174(a).
The activities described in the following section should be com-
pleted by February 7, 1978, to comply with the requirements of sec-
tion 174.
3.2 Notification of Affected Governmental Organizations
The state shouldv by correspondence or other established notifica-
tion procedures, ensure that all affected governmental organizations
within the nonattainment region are informed of the purpose and
schedule of the joint determination- process. In many instances, an
entire state- may be designated, as a nonatta.inment area for photo-
chemical oxidants. However, many control strategies will still generally
focus on urban regions. As a minimum, the following organizations
should be notified in each region:
a. General purpose local governments.
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b. Organizations of local elected officials (including all
metropolitan planning organizations).
c. Air pollution control agencies (including the agency or
agencies responsible for air quality maintenance planning
d. Areawide A-95 clearinghouses.
e. Areawide and statewide water quality planning agencies
designated under section 208 of the Federal Water Pollu-
tion Control Act,
f. Areaw-ide solid waste management agencies.
g. Areawide comprehensive planning agencies.
h. Coastal management agencies.
i. Interested citizen groups.
3.3 Establishment of a Determination Process.
The state should ensure the establishment of a process for determination
of agency responsibilities that will- provide state and local elected
officials of all major political subdivisions within a region with an
opportunity for substantial involvement and that will enable the con-
cerns of these: officials to be adequately addressed. This may be done
through a variety of mechanisms including the establishment of task
forces with state and local government representatives and the use of
public meetings or hearings with elected officials of all major general
purpose local governments within the affected regions invited. Where
appropriate, existing forums such as meetings of organizations of local
elected officials or meetings of air quality maintenance policy advisory
groups shou-ld be used in the determination process...
All state and local officials participating in the determination of
agency responsibilities should have the opportunity to propose agencies
and their respective functions. All proposals should be made available
to affected agencies and the general public for comment~
3.4 Formal Identification of Responsibilities.
The inittal joint determination of responsibilities, shall a^a-
mum establish? which Tevel of government (although- not necessarily the
specific agency) - the state, local governments, regional agencies or
any combination of these - shall be responsible for: (1) the development
of an accurate, comprehensive, and current emission inventory; (2) the
completion of an air quality analysis, using modeling techniques, to
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determine the level of control needed to attain standards; and
(3) the evaluation and selection of control strategies for
mobile sources, point sources, and area sources. An initial
assignment of responsibilities for implementation and enforcement
must be considered. However, it is expected that the final
determination of such responsibilities will occur after the
measures to be included in the plan revision have been relatively
well defined.
When agreement is reached among the state and the participating
local elected officials, memoranda of understanding or other
comparable joint acknowledgements of responsibilities should be
signed. Because duties and responsibilities for implementation
. and enforcement of plan revisions may change as development of the
plan revisions proceeds,, the determination of agency respons-ifcnTitles
need not be incorporated in the state implementation plan until
the revisions are submitted for federal approval. The initial
determination of responsibilities made by February 7, 1978, to meet
the requirements of section 174, should be submitted by April 1, 1978,
to the EPA with the certifications, of lead planning organizations.
discussed in section 2 of these guidelines.
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Date
August 7, 1977
December 5, 1977
February 3, 1978
February 7, 1978
April U 197S
January IV T979
APPENDIX A
LIST OF KEY DATES
Action
Clean Air Act amendments are
signed into law.
States identify nonattainment
areas.
EPA- publishes "list of nonattain-
ment areas..
Local governments designate org-
anizations of local officials.
State and local elected: officials
complete joint determinations of
responsibilities.
Governors transmit to. EPA certifi-
cation of lead planning, organizations
and: joint determinations of responsi-
bilities.
Governors transmit to EPA plan revi-
sion for nonattiinment areas.
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APPENDIX B
SECTiONiM ' i
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•"tt/GSCTSO** ^Ssc, ITifc («). "Withia^aii-months after the esiaetmsnt. of" the
Clfaa Air Act Amendments- of 1S77, for each region m which the I
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primary a-^ntp**^ air cjualirv staadard. for carbon sionozids
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oir phctochMnical frrHwk* >*«». nf
stato.area, Gorercpis) , after ccasoitatioii with elected officials of local
ATHJ in.
ofr tKt a.i-r*
691-696.
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