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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

                                                                                               I
•"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
                                                                                                             I
         primary a-^ntp**^ air cjualirv staadard. for carbon sionozids
                                                           .
               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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