United States Office of Air Quality EPA-340/1 -85-020
Environmental Protection Planning and Standards September 1985
Agency Research Triangle Park NC 27711
Stationary Source Compliance Series
vxEPA Air Compliance
Inspection Manual
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EPA-340/1-85-020
Air Compliance Inspection Manual
U.S. ENVIRONMENTAL PROTECTION AGENCY
Stationary Source Compliance Series
Office of Air Quality Planning and Standards
Washington, DC 20460
September 1985
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DISCLAIMER
This report has been reviewed by the Office of Air Quality Planning
and Standards, EPA, and approved for publication. Mention of trade names
or commerical products is not intended to constitute endorsement or
recommendation for use. Copies of this report are available through the
Library Services Office (MD-35), U. S. Environmental Protection Agency,
Research Triangle Park, NC 27711; or, for a fee, from the National
Technical Information Services, 5285 Port Royal Rd., Springfield, VA
22161.
ii
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DISTRIBUTION RECORD
This document, Air Compliance inspection Manual has been prepared such
that tuture additions and revisions can be added to update the information
therein. A record of its distribution is being established and will be
maintained up to date so that tuture revisions ot existing material and
additions may be distributed to those document users who work tor Air
Pollution Control Agencies.
In order to enter the document user's name and address in the distribution
record, the "Distribution Record Card" below must be filled out and mailed
to the address shown below. Any future change in name and/or address should
also be sent to the same address.
Publications Coordinator
Stationary Source Compliance Division (MD-7)
U.S. Environmental Protection Agency
Research Triangle Park, NC 27711
(cut along dotted line)
DISTRIBUTION RECORD CARD
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Address
to Send Air Pollution Control Agency
future
Revisions
and Additions
Street or Post Office Box No.
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I have received a copy ot Air Compliance Inspection Manual, EPA 340/l-8b-020.
Please send me any revisions and new additions to this Manual.
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ACKNOWLEDGEMENTS
Development and preparation of a manual such as this is dependent
on the assistance and input of a number of agencies, organizations, and
individuals. In particular, much of the information, guidelines, and
procedures Included herein were derived or abstracted from manuals or
publications already developed by the Environmental Protection Agency,
state agencies, groups concerned with air enforcement affairs, as well as
from related publications and manuals reviewed during the course of the
project.
In addition, grateful acknowledgement is extended to the staff of the
following EPA offices who gave their critical comments and suggestions
and made key contributions to the improvement of this manual: Region 1,
Region II, Region III, Region IV, Region V, Region VI, the Office of
Enforcement and Compliance Monitoring (OECM), the Office of General Counsel
(OGC), the Emission Measurement Branch (EMB), and the Stationary Source
Compliance Division (SSCD).
Sincere appreciation is also extended to Kirk E. Foster, of the
Stationary Source Compllnace Division who served as the EPA Task Manager,
for his guidance and assistance throughout the task, in locating and
incorporating the most up-to-date and relevant information.
Work on this manual was performed under two EPA contracts. They
were Contract No. 68-02-3960 to Engineering-Science (Work Assignment
No. 40) and Contract No. 68-02-3962 to JACA Corporation (Work Assignment
No. 72). Ms. Robin R. Segall of Entropy Environmentalists, Inc. served
as the lead author and incorporated all the review comments and other
revisions. Other contributing authors were Mr. J. Calvin Thames of
Engineering-Science, Dr. John R. Richards of Richards Engineering, and
Mr. William G. DeWees of Entropy Environmentalists.
As previously mentioned, this manual has been extensively reviewed
by the staff of six EPA Regional Offices and, in general, represents
their standard procedures and practices for conducting air compliance
inspections. However, changes in practices can be anticipated and
revisions will occur as field experience with the manual is gained.
iii
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TABLE OF CONTENTS
List of Tables
List of Figures
Forward
CHAPTER 1.0 OVERVIEW AND INTRODUCTION
1.0 Legal Authority for Inspections
1.1.1 Scope
1.1.2 State Authority
1.1.3 Authorized Representatives
1.1.4 Off-site Inspections
1.2 Scope of Regulations Under the Clean Air Act
1.2.1 National Ambient Air Quality Standards
1.2.2 New Source Performance Standards
1.2.3 National Emission Standards for Hazardous Air
Pollutants
1.2.4 Prevention of Significant Deterioration
1.2.5 Provisions for Non-Attainment Areas
1.3 Inspector Responsibilities and Liabilities
1.3.1 Legal Responsibilities
1.3.2 Procedural Responsibilities
1.3.3 Safety Responsibilities
1.3.4 Professional and Ethical Responsibilities
1.3.5 Quality Assurance Responsibilities
1.3.6 Potential Liabilities
1.4 References
CHAPTER 2.0 COMPLIANCE MONITORING AND THE ON-SITE INSPECTION
Page
xiii
xv
xvii
1-1
1-2
1-2
1-2
1-3
1-3
1-3
1-4
1-4
1-6
1-11
1-11
1-13
1-13
1-14
1-14
1-15
1-17
1-17
1-17
2-1
2.1 Function of the On-Site Inspection 2-1
2.2 Selection or Targeting of Facilities for Inspection 2-2
2.2.1 Neutral Inspection Scheme i2-3
2.2.2 State and Local Government Methods for Selecting
Sources for Inspection 2-6
2.2.2.1 Inspection Frequency 2-6
2.2.2.2 Surveillance Targeting Techniques 2-7
2.3 Inspection Complexity (Levels of Inspection) 2-9
2.4 Alternatives to the On-Site Inspection 2-10
2.4.1 Excess Emission Reports from
Continuous Monitoring Programs 2-11
2.4.2 Fuel Characteristics 2-13
2.4.3 Parameter Monitoring 2-13
2.4.4 Environmental Auditing 2-13
2.4.5 Section 114 Requests for Information 2-14
2.5 References 2-15
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TABLE OF CONTENTS (Continued)
CHAPTER 3.0 GENERAL INSPECTION PROCEDURES
3.1 Pre-Inspection Preparation
3.1.1 Review of Facility Background
3.1.2 Development of an Inspection Plan
3.1.3 Notification of the Facility
3.1.4 Notification of Responsible State Agency
3.1.5 Equipment Preparation
3.2 Pre-Entry Observations
3.2.1 Plant Surroundings Observation
3.2.2 Visible Emissions Observation
3.3 Entry
3.3.1
3.3.2
3.3.3
3.3.4
Authority
Arrival
Credentials
Consent
3.3.4.1
3.3.4.2
Reluctance to Give Consent
Uncredentialed Persons Accompanying
an Inspector
3.3.5 Waivers, Releases, and Sign-In Logs
3.3.6 Nondisclosure Statements
3.3.7 Problems with Entry or Consent
3.3.7.1 Denial of Entry
3.3.7.2 Withdrawal of Consent During Inspection
3.3.7.3 Denial of Access to Some Areas of
Facilitry
3.3.8 Warrants
3.4 Opening Conference
3.5 Inspection Documentation
3.5.1 Inspector's Field Notebook and Field Notes
3.5.2 The Visible Emission Observation Form
3.5.3 Samples, Chain of Custody, and Laboratory Analysis
3.5.4 Drawings and Maps
3.5.5 Copies of Records
3.5.6 Statements
3.5.7 Printed Matter
3.5.8 Photographs
3.5.8.1 Equipment
3.5.8.2 Scale, Location, and Direction
3.5.8.3 Safety
3.5.8.4 Documenting Photographs
3.6 Closing Conference
3.7 File Update and Report Preparation
3.7.1 File Update
3.7.1.1 CDS
3.7.1.2 NEDS
3.7.1.3 Agency Files
3.7.1.4 Inspector's "Working" File
3.7.2 Report Preparation
3.7.2.1 Elements of the Inspection Report
3.7.2.1.1 Cover Page
3.7.2.1.2 Narrative Report
3.7.2.1.3 Documentary Support
3.7.2.2 Confidential Business Information
3-1
3-1
3-1
3-3
3-4
3-5
3-6
3-7
3-7
3-8
3-8
3-8
3-9
3-9
3-9
3-9
3-10
3-10
3-10
3-10
3-10
3-11
3-11
3-11
3-12
3-13
3-14
3-15
3-15
3-15
3-17
3-18
3-19
3-19
3-20
3-20
3-20
3-20
3-21
3-22
3-22
3-23
3-23
3-24
3-24
3-25
3-25
3-25
3-26
3-27
3-28
vi
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TABLE OF CONTENTS (Continued)
3.8 Handling Confidential Business Information 3-28
3.8.1 Federal Laws and Regulations Governing
Confidential Business Information 3-28
3.8.2 Defining Confidential Business Information 3-29
3.8.3 Declaration of Confidential Business Information 3-29
3.8.4 Receipt of Confidential Business Data 3-30
3.8.4.1 Samples 3-31
3.8.5 Handling in the Field 3-31
3.8.6 Handling in the Office 3-32
3.8.7 Privileged Data and Report Preparation 3-32
3.9 Chain of Custody Procedures 3-32
3.9.1 Elements of Custody 3-33
3.9.2 Chain of Custody Procedures 3-33
3.10 References 3-37
CHAPTER 4.0 RECORDKEEPING AND REPORTING 4-1
4.1 General Requirements 4-1
4.1.1 Regulatory Requirements 4-2
4.2 Continuous Emission Monitoring 4-2
4.2.1 Regulatory Requirements 4-6
4.2.2 Performance Specification Test Report Format 4-6
4.2.2.1 Performance Specification Test 1 4-23
4.2.2.2 Performance Specification Test 2 and 3 4-32
4.3 Emission Test Report 4-43
4.3.1 Regulatory Requirements 4-43
4.3.2 Report Format 4-44
4.4 Control Device Monitoring 4-60
4.4.1 Regulatory Requirements 4-60
4.5 Process Monitoring 4-62
4.5.1 Regulatory Requirements 4-62
4.6 Special NESHAP Requirements 4-73
4.6.1 Regulatory Requirements 4-73
4.7 References 4-83
CHAPTliR 5.0 INSPECTION SAFETY 5-1
5.1 Potential Health and Safety Hazards
5.1.1 Inspection Health and Safety Hazards
5.1.2 General Precautions
5.2 U.S. Environmental Protection Agency Health
and Safety Policy
5.2.1 Training
5.2.2 Occupational Medical Monitoring Requirements
5.2.3 Written Safety Procedures
5.3 Specific Safety and Health Procedures for
Inspection of Air Pollution Control Systems
5.3.1 General Safety Procedures
5.3.1.1 Personal Protective Equipment
Internal Inspections
Unaccompanied Inspections
Warning Codes and Sirens
Personnel Rescue
Inclement Weather Conditions
5.3.1.2
5.3.1.3
5.3.1.4
5.3.1.5
5.3.1.6
5-1
5-1
5-3
5-5
5-5
5-7
5-7
5-10
5-10
5-10
5-10
5-10
5-10
5-10
5-11
vii
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TABLE OF CONTENTS (Continued)
5.3.2 Walking and Climbing Hazards 5-11
5.3.2.1 Hard Hats 5-11
5.3.2.2 Safety Shoes 5-11
5.3.2.3 Gloves 5-11
5.3.2.4 Slippery Areas 5-11
5.3.2.5 Temporary Walkways 5-11
5.3.2.6 Elevated Walkways 5-11
5.3.2.7 Roofs 5-12
5.3.2.8 Climbing Ladders 5-12
5.3.2.9 Portable Ladders 5-12
5.3.2.10 Fixed Ladders 5-12
5.3.2.11 Guard Rails 5-12
5.3.1.12 Protruding Obstacles 5-12
5.3.1.13 Rotating Equipment 5-12
5.3.2.14 Elevated Platforms 5-13
5.3.2.15 Rail Sidings 5-13
5.3.2.16 Material Piles 5-13
5.3.3 Eye Protection 5-13
5.3.3.1 Contact Lenses 5-13
5.3.3.2 Safety Glasses 5-13
5.3.3.3 Minimizing Potential Eye Injuries 5-13
5.3.4 Hearing Protection 5-13
5.3.4.1 Use of Hearing Protection 5-13
5.3.4.2 Minimizing Hearing Loss 5-13
5.3.5 Electrical Hazards 5-14
5.3.5.1 Ground Fault Interrupters 5-14
5.3.5.2 Control Cabinets 5-14
5.3.5.3 High Voltage Lines 5-14
5.3.5.4 Bonding of Probes 5-14
5.3.6 Explosions 5-14
5.3.6.1 Bonding of Probes 5-14
5.3.6.2 Grounding/Bonding of Sample Bottles 5-14
5.3.6.3 Portable Equipment 5-14
5.3.6.4 Smoking 5-14
5.3.6.5 Severely Vibrating Fans 5-15
5.3.7 Burns 5-15
5.3.7.1' Hoppers 5-15
5.3.7.2 Solids Handling Lines 5-15
5.3.7.3 Probes 5-15
5.3.7.4 Steam Leaks 5-15
5.3.7.5 Hot Ductwork 5-15
5.3.7.6 Hot Roofs 5-15
5.3.8 Ionizing Radiation 5-15
5.3.8.1 Nuclear Instrumentation 5-15
5.3.8.2 Flow Monitors 5-15
5.3.9 Inhalation Hazards 5-16
5.3.9.1 Partially Confined Areas 5-16
5.3.9.2 Selecting Respirators 5-16
5.3.9.3 Respirator Limits 5-16
5.3.9.4 Oxygen Deficient Atmospheres 5-16
5.3.9.5 Respirator Maintenance 5-16
vill
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TABLE OF CONTENTS (Continued)
5.3.9.6 Eyeglasses in Respirators 5-16
5.3.9.7 Physical Limits to the Use of
Respirators 5-17
5.3.9.8 Contact Lenses and Respirators 5-17
5.3.9.9 Gum and Tobacco Chewing with Respirators 5-17
5.3.10 Use of Potable Instruments 5-17
5.3.10.1 Selection of Ports 5-17
5.3.10.2 Positive Pressure Ports 5-17
5.3.10.3 Negative Pressure Ports 5-17
5.3.10.4 Lifting Equipment 5-17
5.3.11 Heat Stress 5-17
5.3.11.1 Drinking Water 5-17
5.3.11.2 Heat Exhaustion 5-18
5.3.11.3 Heat Cramps 5-18
5.3.11.4 Appropriate Clothing 5-18
5.3.11.5 Synthetic Materials 5-18
5.3.12 Cold Stress 5-18
5.3.12.1 Extreme Weather Conditions 5-18
5.3.12.2 Appropriate Clothing 5-18
5.3.12.3 Cold Weather Supplies 5-18
5.3.13 Skin Absorbable Chemicals 5-19
5.3.13.1 Personal Protective Equipment 5-19
5.3.13.2 Sampling 5-19
5.3.14 Transportation of Materials and Supplies 5-19
5.3.14.1 Compressed Gas Cylinders 5-19
5.3.14.2 Potentially Hazardous Samples and
Supplies 5-19
5.3.15 Biologically Active Material 5-19
5.3.15.1 Sampling 5-19
5.3.15.2 Airborne Exposure 5-19
5.3.15.3 Fungi 5-19
5.4 Unusual and Extreme Hazards 5-19
5.5 References 5-20
CHAPTER 6.0 VISIBLE EMISSION OBSERVATION 6-1
6.1 Types of Regulations 6-1
6.1.1 Method 9 Regulations 6-1
6.1.2 Two-Tier Regulations 6-2
6.1.3 One-Tier Regulations 6-2
6.2 Methods 6-2
6.2.1 EPA Reference Method 9 6-4
6.2.1.1 Visible Emission Determination 6-6
6.2.1.1.1 Opacity Readings 6-6
6.2.1.1.2 Field Data: The "Visible
Emission Observation Form" 6-7
6.2.1.1.3 Facility Operating Data 6-24
6.2.1.1.4 Photographs 6-24
6.2.1.2 EPA Reference Method 9 6-25
6.2.2 Frequency Distribution Method 6-30
6.2.3 Stopwatch Method 6-30
6.2.4 Alternate Method 9 - Lidar 6-30
ix
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TABLE OF CONTENTS (Continued)
6.3 Special Observation Problems
6.3.1 Positional Requirements
6.3.2 Multiple Sources/Multiple Stacks
6.3.3 High Winds/Wind Effects
6.3.4 Poor Lighting
6.3.5 Poor Background
6.3.6 Reduced Visibility
6.3.7 Tall Stacks/Slant Angle
6.3.8 Steam Plumes
6.3.9 Secondary Plume Formation
6.3.10 Fugitive Emissions
6.3.11 Intermittent Sources
6.4 References
CHAPTER 7.0 OBSERVING THE COMPLIANCE TEST
7.1 Introduction
7.2 Preparation and Planning
7.2.1 Compliance Test Guidelines
7.2.2 Pretest Facility "Walkthrough"
7.2.3 Sampling Procedure Review
7.2.4 Establishing Representative Process
Conditions and Baseline Values
7.2.5 Pretest Meeting
7.2.6 Observer Preparation
7.3 During the Test
7.3.1 Observation of Sampling Procedures
7.3.2 Measurement Errors
7.3.3 Observation of Plant Operational Parameters
7.3.4 Coordination of Observation Tasks
7.3.4.1 The First Run
7.3.4.2 The Second Run
7.3.4.3 The Third Run
7.4 Sample Recovery, Transport, and Analysis
7.4.1 -Sample Recovery and Transport
7.4.2 Analysis
7.5 Compliance Test Report Review
7.6 Summary
7.7 References
6-31
6-31
6-32
6-33
6-34
6-34
6-35
6-35
6-38
6-38
6-40
6-41
6-42
7-1
7-1
7-3
7-4
7-5
7-5
7-6
7-8
7-10
7-11
7-11
7-12
7-12
7-15
7-15
7-16
7-16
7-17
7-17
7-18
7-19
7-22
7-22
CHAPTER 8.0
BASELINE INSPECTION PROCEDURES FOR AIR POLLUTION
CONTROL SYSTEMS
8.1 Assembling Background Information
8.2 Fugitive Dust Inspection
8.2.1 Affected Sources and Industries
8.2.2 Fugitive Dust Inspection Procedures
8.3 Baseline Inspection Techniques
8.3.1 Basic Principles
8.3.2 Levels of Inspection
8-1
8-1
8-3
8-4
8-5
8-7
8-8
8-11
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TABLE OF CONTENTS (Continued)
8.4 Inspection of Fabric Filters 8-13
8.4.1 Descriptions of Major Types of Fabric Filters 8-13
8.4.1.1 Pulse Jet Fabric Filters 8-13
8.4.1.2 Reverse Air (Outside-to-Inside Flow) 8-15
8.4.1.3 Reverse Air (Inside-to-Outside Flow)
Fabric Filters 8-16
8.4.1.4 Shaker Fabric Filters 8-17
8.4.2 Level 1 Inspections of Fabric Filters 8-18
8.4.3 Level 2 Inspections of Fabric Filters 8-19
8.4.4 Level 3 Inspections 8-20
8.4.5 Level 4 Inspections 8-21
8.5 Inspection of Electrostatic Precipitators 8-34
8.5.1 Descriptions of Major Types of Electrostatic
Precipitators 8-34
8.5.2 Level 1 Inspections of Electrostatic Precipitators 8-38
8.5.3 Level 2 Inspections of Electrostatic Precipitators 8-39
8.5.4 Level 3 Inspections of Electrostatic Precipitators 8-41
8.5.5 Level 4 Inspections of Electrostatic Precipitators 8-42
8.6 Inspection of Particulate Wet Scrubbers 8-47
8.6.1 Descriptions of Major Types of Particulate
Wet Scrubbers 8-47
8.6.1.1 Spray Tower Scrubbers 8-47
8.6.1.2 Packed Bed, Moving Bed, and Tray-Type
Scrubbers 8-48
8.6.1.3 Mechanically Aided Particulate Wet
Scrubbers 8-51
8.6.1.4 Gas Atomized Scrubbers 8-51
8.6.2 Level 1 Inspections of Particulate Wet Scrubbers 8-53
8.6.3 Level 2 Inspections of Particulate Wet Scrubbers 8-54
8.6.3.1 Level 2 Inspections of Spray Tower
Scrubbers 8-54
8.6.3.2 Level 2 Inspections of Packed Bed,
Moving Bed and Tray Scrubbers 8-55
8.6.3.3 Inspections of Mechanically Aided
Particulate Wet Scrubbers 8-56
8.6.3.4 Inspections of Gas-Atomized Particulate
Wet Scrubbers 8-56
8.6.4 Level 3 Inspections of Particulate Wet Scrubbers 8-57
8.6.4.1 Level 3 Inspections of Spray Tower
Scrubbers 8-60
8.6.4.2 Level 3 Inspections of Packed Bed,
Moving Bed and Tray Scrubbers 8-60
8.6.4.3 Level 3 Inspections of Mechanically
Aided Scrubbers 8-61
8.6.4.4 Level 3 Inspections of Gas-Atomized
Scrubbers 8-61
8.6.5 Level 4 Inspections of Particulate Wet Scrubbers 8-62
8.7 Inspection of Mechanical Collectors 8-74
8.7.1 Descriptions of Mechanical Collectors 8-74
8.7.1.1 Large Diameter Cyclones 8-74
8.7.1.2 Multi-Cyclone Collectors 8-75
xi
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TABLE OF CONTENTS (Continued)
8.7.2 Level 1 Inspections of Mechanical Collectors 8-76
8.7.3 Level 2 Inspections of Mechanical Collectors 8-76
8.7.3.1 Level 2 Inspections of Large Diameter
Cyclones 8-76
8.7.3.2 Level 2 Inspections of Multi-Cyclone
Collectors 8-77
8.7.4 Level 3 Inspections of Mechanical Collectors 8-78
8.7.4.1 Level 3 Inspections of Large Diameter
Cyclones 8-78
8.7.4.2 Level 3 Inspections of Multi-Cyclone
Collectors 8-78
8.7.5 Level 4 Inspections of Mechanical Collectors 8-79
8.8 References 8-86
APPENDIX A CLEAN AIR ACT A-l
APPENDIX B STATIONARY SOURCE COMPLIANCE SERIES PUBLICATIONS B-l
xii
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LIST OF TABLES
Page
1-1 National Ambient Air Quality Standards 1-5
1-2 NSPS Source Categories 1-7
1-3 NESHAP Summary 1-9
1-4 PSD Major Emitting Source Categories 1-12
2-1 Criteria for Selection of Stationary Sources for Routine
Compliance Inspections 2-4
3-1 Recommended Inspection and Safety Equipment 3-7
4-1 General Requirements for NSPS Sources 4-3
4-2 General Requirements for NESHAP Sources 4-5
4-3 Continuous Emission Monitoring Recordkeeping and Reporting
Requirements (NSPS) 4-7
4-4 NSPS Performance Test Requirements 4-45
4-5 NESHAP Performance Test Requirements 4-49
4-6 Basic Outline of An Emission Test Report 4-50
4-7 Control Equipment Monitoring Requirements for NSPS Sources 4-61
4-8 Process Monitoring Recordkeeping and Reporting Requirements
(NSPS Sources) 4-63
4-9 National Emission Standards for Hazardous Air Pollutants 4-75
5-1 Potential Health and Safety Risks While Inspecting Air Pollution
Control Equipment 5-2
5-2 Subjects Addressed in Basic Safety Course 5-5
5-3 Intermediate Level Safety Training 5-6
5-4 Medical Monitoring Examinations 5-8
6-1 Summary of General Opacity Regulations 6-3
6-2 The Beaufort Scale of Windspeed Equivalents 6-19
6-3 Opacity Correction for Slant Angle 6-37
8-1 Level 1 Inspections of Fabric Filters (All Types) 8-23
8-2 Level 2 Inspections of Pulse Jet Fabric Filters (Operating
Systems) 8-24
8-3 Level 2 Inspection of Operating Reverse Air (Outside-to-Inside
Flow) Fabric Filters 8-25
8-4 Level 2 Inspection of Operating Shaker and Reverse Air
(Inside-to-Outside Flow) Fabric Filters 8-26
8-5 Level 2 Inspection of Pulse Jet Fabric Filters
(Nonoperational Systems) 8-27
8-6 Inspection of Non-Operating Reverse Air (Outside-to-inside Flow)
Fabric Filters 8-28
8-7 Level 2 Inspection of Non-Operating Shaker and Reverse Air
(Inside-to-Outside Flow) Fabric Filters 8-29
8-8 Level 3 Inspections of Pulse Jet Fabric Filters 8-30
8-9 Level 3 Inspections of Reverse Air (Outside-to-inside Flow) Fabric
Filters 8-31
xiii
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LIST OK TABLES
Page
8-10 Level 3 Inspections of Shaker and Reverse Air (Inside-to-
Outside) Fabric Filters 8-32
8-11 Level 4 Inspections of Fabric Filter Systems 8-33
8-12 Level 1 Inspections of Electrostatic Precipitators 8-43
8-13 Level 2 Inspections of Electrostatic Precipitators 8-44
8-14 Level 3 Inspection of Electrostatic Precipitators 8-45
8-15 Level 4 Inspection of Electrostatic Precipitators 8-46
8-16 Level 1 Inspection of Particulate Wet Scrubbers 8-64
8-17 Level 2 Inspections of Spray Tower Scrubbers 8-65
8-18 Level 2 Inspections of Packed Bed Scrubbers, Moving Bed
Scrubbers and Tray Tower Scrubbers 8-66
8-19 Level 2 Inspections of Mechanically Aided Scrubbers 8-67
8-20 Level 2 Inspections of Gas-Atomized Scrubbers 8-68
8-21 Level 3 Inspections Spray Tower Scrubbers 8-69
8-22 Level 3 Inspections of Packed Bed, Moving Bed and Tray Scrubbers 8-70
8-23 Level 3 Inspections of Mechanically Aided Scrubbers 8-71
8-24 Level 3 Inspections of Gas-Atomized Scrubbers 8-72
8-25 Level 4 Inspections of Particulate Wet Scrubbers 8-73
8-26 Level 1 Inspections of Mechanical Collectors 8-80
8-27 Level 2 Inspections of Large Diameter Cyclones 8-81
8-28 Level 2 Inspections of Multi-cyclone Collectors 8-82
8-29 Level 3 Inspections of Large Diameter Cyclones 8-83
8-30 Level 3 Inspections of Multi-cyclone Collectors 8-84
8-31 Level 4 Inspections of Mechanical Collectors 8-85
xiv
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LIST OF FIGURES
Page
3-1 Visible Emission Observation Form 3-16
3-2 Official Seal for Chain of Custody 3-33
3-3 Example of a Sample Tag 3-34
3-4 Example Chain of Custody Record 3-36
4-1 PST Report Recommended Format: Table of Contents 4-26
4-2 PST Report Recommended Format: Title Page 4-27
4-3 Example of a Certification Page for a PST Report 4-28
4-4 PST Report Recommended Format: Introduction 4-29
4-5 PST 1 Recommended Format: Summary of Results 4-30
4-6 PST Report Recommended Format: Plant Schematic 4-31
4-7 PST Report Recommended Format: Monitor Location Schematic 4-31
4-8 PST 1 Report Recommended Format: Calibration Error Test 4-33
4-9 PST 1 Report Recommended Format: Response Time Determination 4-34
4-10 PST 1 Report Recommended Format: Zero Calibration Drift Test 4-35
4-11 PST 2 and 3 Report Recommended Format: Summary of Results 4-37
4-12 PST 2 and 3 Report Recommended Format: Analysis of Calibration
Gas Mixture 4-40
4-13 PST 2 and 3 Reeport Recommended Format: Zero and Calibration
Drift 4-41
4-14 PST 2 and 3 Report Recommended Format: Relative Accuracy
Determination 4-42
4-15 Emission Test Report Recommended Format Introduction 4-53
4-16 Emission Test Report Recommended Format: Summary of Results 4-54
4-17 Emission Test Report Recommended Format: Form For Chain of
Custody Documentation 4-59
4-18 Format for Reporting Seal Gap Measurements for Floating Roof
Tanks (NSPS Sources) 4-72
6-1 Plume Appearance Against Backgrounds of Varying Contrast 6-5
6-2 Visible Emission Observation Form 6-9
6-3 Functional Sections of Visible Emission Observation Form 6-11
6-4 Slant Angle Relationships 6-14
6-5 Direction From Observer Is NE 6-14
6-6 Plume Behavior Descriptors 6-15
6-7 Location for Reading Opacity Under Various Conditions 6-17
6-8 Observer Distance, Observed Path Length Relationships 6-36
7-1 Suggested Format for Source Test Report Review Comments 7-21
8-1 Counterflow Inspection Approach 8-9
8-2 Co-Current Inspection Approach 8-10
8-3 Sketch of a Pulse Jet Fabric Filter 8-13
8-4 Reverse Air Filter (Outside-to-Inside Flow) 8-15
8-5 Reverse Air Fabric Filter (Inside-to-Outside Flow) 8-17
8-6 Shaker Fabric Filter 8-18
8-7 Fields in Series 8-34
8-8 Chambers of a Precipitator 8-35
8-9 Field Electrical Conditions 8-36
xv
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I.FST OK PICIIKKS
Page
8-10 Spray Tower Scrubbers 8-48
8-11 Packed Bed Scrubber 8-48
8-12 Moving Bed Scrubber 8-49
8-13 Tray Tower Scrubbers 8-50
8-14 Mechanically Aided Scrubber 8-51
8-15 Venturi Scrubber 8-52
8-16 Gas-Atomized Scrubbers 8-53
8-17 Large Diameter Cyclone 8-73
8-18 Multi-Cyclone Collector 8-74
xvi
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FOREWORD
The Air Compliance Inspection Manual has been developed to support
inspection personnel in conducting the field inspections which are necessary
to promote stationary source compliance by providing inspectors with access
to standardized procedures for conducting complete, accurate air compliance
and other types of air-related inspections.
The depth of coverage of the material in the manual is intended to
provide the qualified inspector with the basic guidance necessary to perform
a organized and thorough inspection. The manual presents standard procedures
relevant to the majority of air compliance inspections; it is assumed that
the inspector has a basic knowledge of air pollution control technologies.
However, new inspection personnel should find the manual useful in developing
an orderly and detailed approach to conducting an inspection and for
identification of subject areas for further inquiry. It is obvious that all
information relevant to conducting an effective inspection could not be
included in one volume; thus, in instances where additional appropriate
information is available, the reader has been further referred in the form of
footnotes and reference lists at the end of each chapter. In addition, this
manual seeks to focus primarily on the inspection portion of the national air
compliance enforcement effort; the reader is specifically referred to the
Clean Air Act Compliance/Enforcement Guidance Manual* for extensive
information on the EPA's enforcement and compliance monitoring policy.
The technical portion of the manual emphasizes the inspection and
evaluation of particulate emission sources. This was done for several
reasons: (1) among the major types of pollutant control, particulate controls
are the most widespread; (2) these controls have been in place longer; (3)
more refined inspection techniques have been developed for particulate
controls; and (4) the basic approach to the particulate inspection can easily
be adapted to other types of air pollutants. It is planned that future
updates to the manual will contain additional material specific to the other
regulated pollutants.
The manual is organized into eight chapters. The chapters are further
divided into numbered sections to accommodate the large amount of material in
some chapters. Chapter contents are summarized below.
• Chapter 1.0 Overview and Introduction - outlines the basis for air
compliance inspections according to the Clean Air Act and the scope of
existing Federal and State regulations. Inspector responsibilities
and liabilities are also addressed.
• Chapter 2.0 Compliance Monitoring and the On-Site Inspection -
examines the roles and purpose(s) and levels of EPA and State
conducted compliance inspections. Also addressed are the
*Clean Air Act Compliance/Enforcement Manual, draft report, 1984.
Air Compliance Inspection Manual xvii 9/30/84
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methods usod to select facilities for inspection, inspection
frequency, inspection complexity, and current alternatives to the
on-site inspection for compliance monitoring.
• Chapter 3.0 General Inspection Procedures - details a standardized set
of general procedures common to all types of air compliance
inspections including pre-inspection preparation, entry, opening
conference, documentation, closing conference, file update, and
inspection report preparation. Also addressed are procedures for the
handling of confidential business information and chain of custody
documentation.
• Chapter 4.0 Recordkeeping and Reporting - discusses recordkeeping and
reporting requirements under the various categories of regulations.
It also outlines procedures for reviewing a source's compliance with
applicable requirements.
• Chapter 5.0 Inspection Safety - addresses the safety considerations
which should be a part of all field inspections. Topics covered
include types of hazards encountered, appropriate personnel protection
equipment, safety procedures, and the U.S. Environmental Protection
Agency's Safety Program.
• Chapter 6.0 Visible Emission Observation - summarizes the procedures
for making and documenting a visible emissions observation. Major
points relevant to making the observation for control device
performance evaluation or enforcement purposes are discussed. The
reader is referred to recent procedural guidelines for more detailed
information.
• Chapter 7.0 Observing the Compliance Test - covers procedures for the
compliance test observation since it is often the responsibility of
the field inspector. Topics covered include pretest review of
sampling protocols, establishing representative conditions for
facility operations, using test data to create a baseline data set,
appropriate observations during the test, test report review, and
observation documentation.
• Chapter 8.0 Baseline Inspection Procedures for Air Pollution
Control Systems - provides logical sets of inspection data and
diagnostic inspection methodologies for each level of inspection for
the major types of particulate control equipment including fabric
filters, electrostatic precipitators, mechanical collectors, and wet
scrubbers. Included are detailed explanations of baseline evaluation
procedures and the preparation of baseline data sets using performance
test reports and previous inspection reports. Also included are
procedures for fugitive dust inspections and information on assembling
a technical library on processes and control equipment.
The information contained in this manual is comprehensive and is
designed to address a range of activities associated with an air compliance
inspection. Since every inspection may not include all these activities, the
Air Compliance Inspection Manual xviii 9/30/84
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Inspector should use those parts of the manual applicable to the particular
inspection. A detailed table of contents is included to facilitate locating
the pertinent sections of the manual.
It is currently planned that revised or additional material will be
developed for this manual. It is anticipated that much of this material will
be additional technical procedures for control device evaluation and policy
revisions. These updates will be available through the Stationary Source
Compliance Division (EN-341), U. S. Environmental Protection Agency, 401 M
Street, S. W., Washington, DC 20460. The revised or additional pages will
be identified such that insertion into the existing manual can be easily
accomplished.
Air Compliance Inspection Hanual xix 9/30/84
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1.0 OVERVIEW AND INTRODUCTION
The Clean Air Act (CAA), as written in 1970 and amended in 1977, was
passed "to protect and enhance the quality of the Nation's air resources so
as to promote the "public health and welfare and the productive capacity of
its population." More specifically, the CAA provides the U.S. Environmental
Protection Agency (EPA) with the broad responsibility and authority to
implement a federal program to achieve these goals through (1) the insti-
tution of a research and development program, and (2) the provision of
technical and financial assistance to State and Local governments who are
ultimately charged with the primary responsibility for the prevention and
control of air pollution at its source. A copy of the Act (42 U. S.C. 7401 et
seq.) is reproduced in Appendix A.
A major element in the prevention and control of air pollution at its
source has been the development and adoption of standards and regulations
designed to limit the emissions of pollutants from stationary sources. These
standards and regulations were written and adopted based on stipulations of
the Clean Air Act and fall into three categories:
• State-adopted EPA-approved State Implementation Plan (SIP)
requirements adopted to meet national ambient air quality standards
(Section 110 of CAA);
• Standards of Performance for New Stationary Sources (Section 111 of
CAA) which are federally-promulgated and can be state-delegated; and
• Hazardous air pollutant standards (Section 112 of CAA) which are also
federally promulgated and can be state-delegated.
Clearly an obligation closely associated with the adoption of such
regulations is ensuring that the facilities affected by the regulations first
attain initial compliance and then, continue to comply with these
regulations.
Collecting compliance related information is referred to as compliance
monitoring; this information is used to determine compliance of sources,
identify sources which may be in violation, and to provide evidence to
support enforcement of violations. The primary method of compliance
monitoring is the on-site inspection. This manual outlines the basic
administrative and technical procedures necessary to complete an informative,
accurate, and legally sound air compliance inspection. In addition, it
addresses other topics relevant to the on-site inspection and compliance
monitoring including the basis for the on-site inspection, the selection or
targeting of sources for inspection, recordkeeping and reporting reviews,
inspection safety, inspection related aspects of the compliance test
observation, and technical inspection procedures. As explained in more
Air Compliance Inspection Manual 1-1 9/30/85
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detail in the Foreward, the technical inspection procedures presented
emphasize inspection of particulate emission sources and control devices.
Inspection procedures for other types of control devices and emission sources
is currently outside the scope of this manual. However, the basic approach
for all types of sources is the same. It is planned that future updates to
the manual will contain procedures specific to the inspection of sources of
other regulated pollutants.
To perform the most complete and informative inspection, the field
inspector should have an adequate perspective on (1) the full authority of
EPA and states to conduct on-site inspections, (2) the regulations with
which the inspection aids in determining compliance, and (3) the personal
responsibilities and liabilities of the inspector as an individual. The
remainder of this first chapter addresses these topics. Chapter 2 discusses
in detail the purpose of the EPA compliance inspection, source selection,
inspection complexity, and alternatives to the on-site inspection for
compliance monitoring.
1.1 LEGAL AUTHORITY FOR INSPECTIONS
Section 114 of the Clean Air Act provides the Administrator of EPA or
his authorized representative with the authority, upon presentation of his
credentials, to enter the premises of facilities subject to regulations under
the Act to conduct on-site inspections to monitor compliance with these
regulations.
1. 1. 1 Scope
Inspections conducted under Section 114 extend to all things relating to
compliance with the requirements of the Clean Air Act which are within the
premises being inspected. These may include:
Records;
Files;
Processes;
Monitoring equipment;
Controls;
Sampling methods; and
Emissions.
1.1.2 State Authority
In accord with the intent of the Clean Air Act, much of the compliance
monitoring, including on-site inspections, is accomplished at the state
level. Section 114 of the Act provides for the extension of Federal
authority to the States to carry out that Section. Where a State has been
delegated Section 114 authority from EPA, the same authority EPA has to
monitor, sample, inspect or copy records, and any other authority under
Section 114 can, in like manner, be exercised by the State. No
representative of EPA need accompany the State officials.
Air Compliance Inspection Manual 1 - 2 9/30/84
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I.I.I Aul hot I/«•
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1.2.1 National Ambient Air Quality Standards
Because: Congress recognized the Interstate nature of atr pollution, the
EPA was charged with the responsibility of establishing uniform national
ambient air quality standards (NAAQS) to assure consistency in protecting the
inhabitants of all states. These standards were set for the so-called
"criteria" pollutants, those pollutants which the Administrator identified as
widespread (emitted by numerous or diverse mobile and stationary sources) and
endangering public health and welfare. The name "criteria" pollutants comes
from the fact that the CAA (Section 108) requires the EPA to issue Air
Quality Criteria Documents for each pollutant identified as described above
and hence occasions to an ambient air quality standard. These documents
address air pollutant concentrations, exposure times, pollutant interactions,
atmospheric variables, and any other factors which produce with the criteria
pollutant itself kinds and degrees of damage to human health or welfare. The
EPA is also responsible for preparing a parallel Control Techniques
Document. This Document addresses "state of the art" emission control
techniques for the criteria pollutant including cost of installation and
operation, energy requirements, emission reduction benefits, and
environmental impact.
Through the end of 1983 the EPA had identified seven criteria pollutants
and promulgated national ambient air quality standards for each of the
seven: particulate matter, sulfur oxides, nitrogen oxides, carbon monoxide,
hydrocarbons (revoked in January 1983), ozone, and lead. Standards for all
the pollutants are shown in Table 1-1.
To attain and subsequently maintain the NAAQS, each state was required
to adopt and submit to EPA a plan providing for the implementation,
maintenance, and enforcement of the standards over the entire state. Each
State Implementation Plan (SIP) includes many provisions for attaining the
primary and secondary NAAQS; however, a major portion of each plan is devoted
to emission limitations and other regulations and programs to prohibit
stationary sources from "emitting any air pollutant in amounts which will
prevent attainment with the NAAQS or interfere with measures to prevent
significant deterioration of air quality" (see Part C of Title 1 of CAA).
Thus, each state directs its control regulations towards its unique set of
sources and circumstances as long as the end result will be attainment of the
NAAQS in the required time frame.
1.2.2 New Source Performance Standards
r\
The New Source Performance Standards (NSPS) apply to new, modified,
and reconstructed stationary sources of air pollution. These standards are
required under Section 111 of the Clean Air Act and take advantage of new
source construction for the integration and application of advanced control
technology thus avoiding the difficulties and extreme costs associated with
retrofitting existing sources.
The source categories affected by these standards are those which have
been identified by the EPA as emitting one or more pollutants in quantities
significant enough to endanger the public health or welfare. Under NSPS
Air Compliance Inspection Manual 1-4 9/30/84
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TABLE 1-1. NATIONAL AMBIENT AIR QUALITY STANDARDS
Pollutant Physical
Form
Participate Particulate
Matterd
Sulfur Gaseous
Dioxide
Averaging
Time
Annual
Geometric Mean
24 hours0
Annual
Arithmetic Mean
24 hours0
Primary
Standards3
75 yg/m3
250 yg/m3
80 yg/m3
(0.03 ppm)
365 yg/m3
(0.14 ppm)
Secondary
Standards"
60 yg/m3
150 yg/m3
—
—
Nitrogen
Dioxide
Gaseous
3 hours0
Annual
Arithmetric Mean
100 yg/m3
(0.05 ppm)
1300 yg/m3
(0.5 ppm)
Same as
Primary Standard
Carbon
Monoxide
Ozone
Gaseous
Gaseous
8 hours0
1 hour0
1 hour0
10 mg/m3
(9 ppm)
40 mg/m3
(35 ppm)
235 yg/m3
(0.12 ppm)
Same as
Primary Standard
Same as
Primary Standard
Same as
Primary Standard
Lead
Particulate
Monthly0
1.5 yg/m3
aThe levels of air quality necessary, with an adequate margin of safety, to
protect the public health.
The levels of air quality necessary to protect the public welfare from any
known or anticipated adverse effects.
Not to be exceeded more than once per year.
Proposed revision to standard for particulate matter will impose a
limitation only on particles less than 10um in diameter.
Air Compliance Inspection Manual
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9/30/84
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these categories must either (1) achieve the degree of emission limitation or
percentage reduction, or (2) apply a design, equipment, work practice,
operational standard, or combination which reflects the best available
technological system of continuous emission reduction (considering cost and
non-air quality impacts). Examples of control methods currently in use under
the New Source Performance Standards are:
• Control equipment (e.g., electrostatic precipitators, fabric
filters, wet scrubbers),
• Fuel selection based on emission characteristics,
• Precombustion cleaning or treatment of fuels,
• Use of a production process which is inherently low polluting
or nonpolluting, and
• Use of particular work practices and/or operational standards
so as to decrease emissions.
Source categories for which EPA has promulgated New Source Performance
Standards are presented in Table 1-2.
1.2.3 National Emission Standards for Hazardous Air Pollutants
The National Emission Standards for Hazardous Air Pollutants (NESHAPs)
are federally promulgated under Section 112 of the Clean Air Act. They cover
air pollutants (noncriteria) which are not covered by ambient air quality
standards. These pollutants are not covered by ambient air quality standards
because they generally cause only localized problems, but are covered by
emission standards because they cause or contribute to an increase in
mortality or an increase in serious irreversible or incapacitating reversible
ilLness.
Any source constructed or modified subsequent to the promulgation of an
applicable hazardous air pollutant standard must in some manner meet the
standard. Existing sources (those constructed prior to the promulgation of
any of these standards) have 90 days after the standard is promulgated to
comply (extensions may be granted).
These regulations may take the form of an emission standard or, if an
emission standard is not feasible, a design, equipment, work practice, or
operational standard. Unlike the New Source Performance Standards, although
cost may be considered in setting a standard, consideration of cost is not
explicitly required by Section 112.
The EPA has currently promulgated NESHAPs for five pollutants:
asbestos, benzene, beryllium, mercury, and vinyl chloride and equipment leaks
of volatile organic compounds. Standards have been proposed for an
additional two pollutants: radionuclides and arsenic. The affected
facilities and effective dates for each promulgated standard are summarized
in Table 1-3.
Air Compliance Inspection Manual 1-6 9/30/84
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TABLE 1-2. NSPS SOURCE CATEGORIES
Subparta
D
Da
E
F
G
H
I
J
K
Ka
L
M
N
0
P
Q
R
S
T
U
V
W
X
Y
Z
AA
AAa
BB
Year of
Source Category Promulgation"
Fossil Fuel-Fired Steam Generators
Electric Utility Steam Generating Units
constructed after September 18, 1978
Incinerators
Portland Cement Plants
Nitric Acid Plants
Sulfuric Acid Plants
Asphalt Concrete Plants
Petroleum Refineries
Storage Vessels for Petroleum Liquids
Storage Vessels for Petroleum Liquids
constructed after May 18, 1978
Secondary Lead Smelters
Secondary Brass and Bronze Plants
Iron and Steel Plants
Sewage Treatment Plants
Primary Copper Smelters
Primary Zinc Smelters
Primary Lead Smelters
Primary Aluminum Reduction Plants
Phosphate Fertilizer Plants
Super Phosphoric Acid Plants
Di ammonium Phosphate Plants
Triple Superphosphate Plants
Granular Triple Superphosphate
Storage Facilities
Coal Preparation Plants
Ferroalloy Production Facilities
Steel Plants: Electric Arc
Furnaces
Electric Arc Furnaces and Argon-
Oxygen Decarburization Vessels
Kraft Pulp Mills
1971
1979
1971
1971
1971
1971
1974
1974
1974
1980
1974
1974
1974
1974
1976
1976
1976
1975
1975
1975
1975
1975
1975
1976
1976
1975
1984
1978
(Continued)
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TABLE 1-2. NSPS SOURCE CATEGORIES (continued)
Sub part3
CC
DD
EE
GG
HH
KK
LL
MM
NN
PP
QQ
RR
SS
TT
UU
VV
WW
XX
FFF
GGG
HHH
JJJ
alndicates Subpart of
Stationary Sources.
Year of promulgation
Year of
Source Category Promulgation"
Glass Manufacturing Plants
Grain Elevators
Surface Coating of Metal Furniture
Stationary Gas Turbines
Lime Manufacturing Plants
Lead-Acid Battery Manufacturing
Plants
Metallic Mineral Processing Plants
Autombile and Light-Duty Truck
Surface Coating Operations
Phosphate Rock Plants
Ammonium Sulfate Manufacture
Graphic Arts: Rotogravure Printing
Pressure Sensitive Tapes and Labels
Surface Coating of Large Appliances
Metal Coil Surface Coating
Asphalt Roofing Manufacture
Equipment Leaks of VOC in the
Synthetic Organic Chemical
Manufacturing Industry
Beverage Can Surface Coating
Bulk Gasoline Terminals
Flexible Vinyl and Urethane
Coating and Printing
Equipment Leaks of VOC in
Petroleum Refineries
Synthetic Fiber Production
Facilities
Petroleum Dry Cleaners
1980
1978
1982
1979
1978
1982
1984
1980
1982
1980
1982
1983
1982
1982
1982
1983
1983
1983
1984
1984
1984
1984
40 CFR Part 60 - Standards of Performance for New
of standard; dates of revisions are not
listed.
Air Compliance Inspection Manual 1-8 9/30/85
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TABLE 1-3. NESHAP SUMMARY
Subpart*
Pollutant
Affected Facilities
Year of
Promulgation
Beryllium
D
Beryllium
(Rocket Motor
Firing)
Mercury
Vinyl Chloride
Equipment Leaks
(Fugitive Emission
Sources) of
Benzene
M
Asbestos
Extraction Plants 1973
Ceramic Plants
Foundries
Incinerators
Propellant Plants
Machine Shops
Rocket Motor Test Sites 1973
Closed Tank Collection of
Combustion Products
Ore Processing 1973
Chlor-Alkali Manufacture
Sludge Driers or Incinerators
Ethylene Dichloride Manufacture 1976
Vinyl Chloride Manufacture
Polyvinyl Chloride Manufacture
Pumps 1984
Compressors
Pressure Relief Devices
Sampling Connection Systems
Open-ended Valves or Lines
Valves
Flanges and Other Connectors
Product Accumulator Vessels
Control Devices or Systems
Asbestos Mills 1984
Roadway Surfacing
Manufacturing of Asbestos
Containing Products
Demolition and Renovation
Spraying Friable Asbestos
Fabricating
Friable Insulating Materials
Waste Disposal
Waste Disposal Sites
(continued)
Air Compliance Inspection Manual
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9/30/85
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TABLE 1-3. NESHAP SUMMARY (continued)
Subpart*
Pollutant
Affected Facilities
Year of
Promulgation'
Equipment Leaks
(Fugitive
Emission Sources)
Pumps
Compressors
Pressure Relief Devices
Sampling Connection Systems
Open-ended Valves or Lines
Valves
Pressure Relief Devices
Flanges and Other Connectors
Product Accumulator Vessels
Closed Vent Systems
Control Systems
1984
alndicates Subpart of 40 CFR Part 61 - National Emission Standard for
Hazardous Air Pollutants.
Year of promulgation of standard; dates of revisions are not listed.
Air Compliance Inspection Manual
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1.2.4 Prevention of Significant Deterioration
The program for Prevention of Significant Deterioration (PSD) is
implemented under Part C of the CAA. Its purpose is to avoid significant
future degradation of the nation's clean air areas. A clean air area is one
where the air quality is better than the ambient primary or secondary stan-
dard. Designation is pollutant specific so that an area can be nonattain-
ment for one pollutant, but clean for another. PSD applies only to new and
modified sources in clean air areas. Clean air areas are divided into 3
categories:
• Class I - only minor air quality degradation allowed;
• Class II - moderate degradation; and
• Class III - substantial degradation.
In no case would PSD allow air quality to deteriorate below secondary air
quality standards.
"Increments" are the maximum amount of deterioration that can occur in a
clean air area over baseline. "Baseline" is the existing air quality for the
area at the time the first PSD application is made. Increments in Class I
areas are smaller than for Class II, and Class II increments are smaller than
Class III areas. For purposes of PSD, a major emitting source is one of 26
designated categories which emits or has the potential to emit 100 tons/year
of the designated air pollutant. A source that is not within the 26
designated categories is a major source if it emits more than 250 tons/year.
The 26 designated categories are listed in Table 1-4.
New sources subject to PSD requirements must obtain permits before
construction. This process requires that extensive data be assembled. The
permit describes the level of control to be applied and what portion of the
increment may be made available to that source by the State.
1.2.5 Provisions for Nonattainment Areas
Requirements affecting stationary sources planned for nonattainment
areas are found in Part D of the CAA. Nonattainment areas are those which
are not in compliance with National Ambient Air Quality Standards. New
construction in a NAA is prohibited unless the SIP has been amended and
approved by the EPA to reflect the following conditions:
• Total allowable emissions for the area will be less than
emissions from existing sources.
• The new source must comply with the lowest achievable emission
rate (LAER).
• All other sources within the State owned by the subject Company
are in compliance.
• The SIP is being carried out for the area.
Air Compliance Inspection Manual 1-11 9/30/84
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TABLE 1-4. PSD MAJOR EMITTING SOURCE CATEGORIES
Fossil-fuel fired steam electric plants (>250 MM/Btu/hr)
Coal cleaning plants
Kraft pulp mills
Portland cement plants
Primary zinc smelters
Iron and steel mill plants
Primary aluminum ore reduction plants
Primary copper smelters
Municipal incinerators (>250 tons/refuse/day)
Hydrofluoric acid plants
Nitric acid plants
Sulfuric acid plants
Petroleum refineries
Lime plants
Phosphate rock processing plants
Coke oven batteries
Sulfur recovery plants
Carbon black plants (furnace process)
Primary lead smelters
Fuel conversion plants
Sintering plants
Secondary metal production facilities
Chemical process plants
Fossil-fuel boilers (>250 MM Btu/hr)
Petroleum storage and transfer facilities (capacity >300,000 barrels)
Taconite ore processing facilities
Glass fiber processing plants
Charcoal production facilities
Air Compliance Inspection Manual 1 - 12 9/30/84
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The applying source in an NAA must therefore obtain a greater than 1:1
reduction of the pollutant or pollutants for which the area has been
designated nonattainment. The source must undergo a relatively stringent
pre-construction review.
Emission offsets from existing sources may need to be obtained
especially if the new source will have emissions that would exceed the
allowance for the NAA. In these situations, the source would need to obtain
enforceable agreements from other sources in the NAA or from its own plant in
the NAA.
Emission reductions can also be "banked" by an existing source to permit
future new source growth. Banked offsets may be sold or traded to other
sources. Rules are yet to be established by the States governing the sale or
trade of these banked offsets.
1.3 INSPECTOR RESPONSIBILITIES AND LIABILITIES 4,5,6
The primary role of the air compliance inpsector is to gather
information needed in the determination of compliance with applicable
regulations and relevant to other enforcement related activities, such as
case development. Closely coupled with the accomplishment of these functions
are certain responsibilities of the air compliance inspector, which include:
(1) knowing and abiding by the legal requirements of the inspection, (2)
using proper procedures for effective inspection and evidence collection, (3)
practicing accepted safety procedures, (4) maintaining certain quality
assurance standards, and (5) observing the professional and ethical
responsibilities of the government employee. An additional important
consideration for the inspector are any potential liabilities of his
position.
1.3.1 Legal Responsibilities
It is essential that all inspection activities be conducted within the
legal framework established by the Clean Air Act. In particular, this
includes:
• Proper handling of confidential business information;
• Presentation of proper credentials and plant entry at reasonable
times;
• Protection of the company's and its personnel's legal rights under
the U. S. Constitution;
• Knowledge of all applicable statutes, regulations, and permit
conditions; and
• Use of notice(s) and receipts, if appropriate.
Air Compliance Inspection Manual 1 - 13 9/30/84
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1.3.2 Procedural Responsibilities
The inspector must be familiar with and adhere to, when possible, all
general inspection procedures and evidence gathering techniques. This will
ensure accurate inspections and avoid the possibility of endangering a legal
proceeding on procedural grounds.
• Inspection Procedures - Inspectors should observe standard
procedures for conducting each portion of the inspection, when
possible. All deviations should be clearly documented. The
accepted general inspection procedures are covered in detail in
Chapter 3.0 of this manual.
• Evidence Collection - Inspectors must be familiar with general
evidence gathering techniques. Because the government's case in a
civil or criminal prosecution depends on the evidence gathered by
the inspector, it is imperative that the inspector keep detailed
records of each inspection. These records will serve as an aid in
preparing the inspection report, in determining the appropriate
enforcement response, and in giving testimony in an enforcement
case. Documentation of evidence is covered in Chapter 3.0. Several
responsibilities involved in evidence collection and presentation
should be addressed here. Specifically, inspectors must:
Know how to substantiate facts with items of evidence, including
samples, photographs, document copies, statements from persons,
and personal observations.
Know how to detect lack of good faith during interviews with
company personnel.
Be familiar with all applicable regulations and know what type
of information is required to determine compliance with each.
- Be able to evaluate what documentation is necessary (routine
inspection).
- Collect evidence in a manner that will be incontestable in legal
proceedings.
- Be able to write clear, informative inspection reports.
Know how to testify in court and at administrative hearings.
1.3.3 Safety Responsibilities
The inspection of air pollution control equipment and related work in
other areas of industrial facilities generally involves potential exposure to
numerous hazards. The inspector must, at all times, avoid putting
him/herself or any plant personnel at unnecessary risk. To accomplish this,
it is the inspector's responsibility to:
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• Know and observe all plant safety requirements, warning signals, and
emergency procedures.
• Know and observe all agency safety requirements, procedures, and
polIcles.
• Remain current in safety practices and procedures by regular
participation in agency safety training.
• Use any safety equipment required by the facility being inspected in
addition to that required by the agency.
• Use safety equipment in accordance with agency guidance and labeling
instructions.
• Maintain safety equipment in good condition and proper working
order.
• Dress appropriately for each inspection activity, including
protective clothing, if appropriate.
Chapter 5.0 of this manual and listed references address inspection
safety procedures and other safety related questions in more detail.
1.3.4 Professional and Ethical Responsibilities
As professionals and employees of the Federal government, inspectors are
expected to perform their duties with the highest degree of honesty and
professionalism. Procedures and requirements ensuring ethical actions have
been worked out through many years of governmental inspection activities.
These procedures and standards of conduct have evolved for the protection of
the individual and the Agency, as well as industry. The inspector is
constantly in a position to set an example for private industry and to
encourage concern for the health and safety in environment and compliance
with the laws that protect them.
Specifically, the Inspector should always consider and observe the
following responsibilities:
• U. S. Constitution. All investigations are to be conducted within
the framework of the United States Constitution and with due regard
for individual rights regardless of race, sex, creed, or national
origin.
• EPA Employee Conduct. Inspectors are to conduct themselves at all
times in accordance with the regulations prescribing EPA Employee
Responsibilities and Conduct, codified in 40 CFR Part 60, Part 3.
• Objectivity. The facts of an investigation are to be developed and
reported completely, accurately, and objectively. In the course of
an investigation, any act or failure to act motivated by reason of
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private gain Is Illegal. Actions which could be construed as such
should he scrupulously avoided.
• Knowledge. A continuing effort to improve professional knowledge
and technical skill in the investigative field should be made. The
inspector should keep abreast of changes in the field of air
pollution, including current regulations, EPA and other agency
policies, control technology, methodology, and safety
considerations.
• Professional Attitude. The inspector is a representative of EPA and
is often the initial or only contact between the Agency and
industry. In dealing with facility representatives and employees,
inspectors must be dignified, tactful, courteous, and diplomatic.
They should be especially careful not to infringe on union/company
agreements. A firm but responsive attitude will help to establish
an atmosphere of cooperation and should foster good working
relations. He should always strive to obtain the respect of,
inspire confidence in, and maintain good will with industry and the
public.
• Attire. Inspectors should dress appropriately, including wearing
protective clothing or equipment, for the activity in which they are
engaged.
• Industry, Public, and Consumer Relations. All information acquired
in the course of an inspector's duties is for official use only.
Inspectors should not speak of any product, manufacturer, or person
in a derogatory manner.
• Gifts, Favors, Luncheons. Inspectors should not accept favors or
benefits under circumstances that might be construed as influencing
the performance of governmental duties. EPA regulations provide an
exemption whereby an inspector could accept food and refreshment of
nominal value on infrequent occasions in the ordinary course of a
luncheon or dinner meeting or other meeting, or during an inspection
tour. Inspectors should use this exemption only when absolutely
necessary.
• Requests for Information. EPA has an "open-door" policy on
releasing information to the public. This policy aims at making
information about EPA and its work freely and equally available to
all interested individuals, groups, and organizations. In fact,
EPA employees have both a legal and traditional responsibility for
making useful educational and safety information available to the
public. This policy, however, does not extend to information
relating to the suspicion of a violation, evidence of possible
misconduct, or confidential business information.
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1.3.5 Quality Assurance Responsibilities
The inspector assumes primary responsibility for ensuring the quality of
data generated as a result of the inspection. He should thus adhere to
quality assurance procedures appropriate to the type of data being
generated. In general, quality assurance procedures are developed towards
the following elements:
Valid data collection;
Approved, standard methods;
Control of service, equipment, supplies;
Quality analytical techniques; and
Standard data handling and reporting.
1.3.6 Potential Liabilities
In this section concerning inspector responsibilities, mention might
also be made of potential personal liabilities of the inspector.
Althoughthese liabilities are not overwhelming, they definitely deserve
consideration. Some examples of more prevelant liabilities are listed
below. The inspector should consult his/her supervisor or agency legal staff
for exact legal determinations on personal liability.
• Confidential Business Information - Under Section 1905 of Title 18
of the United States Code, Federal employees can be fined,
imprisoned, or both for disclosure of confidential business
information.
• Waivers, Visitor Releases - Some company's waivers or visitor
releases, if signed, may purport to make the person signing liable
for certain acts he or she might commit on plant property. These
must never be signed by the inspector.
• Authority - In some cases, the inspector could be held liable for
actions committed while acting beyond his/her authority; the
inspector must always know exactly what his/her authority is.
1.4 REFERENCES
1. Clean Air Act Compliance/Enforcement Guidance Manual. Draft, 1984.
2. Code of Federal Regulations. Title 40, Part 60. Standards of
Performance for New Stationary Sources, revised as of July 1, 1983.
3. Code of Federal Regulations. Title 40, Part 61. National Emission
Standards for Hazardous Air Pollutants, revised as of July 12, 1982.
4. Multi-Media Compliance Audit Inspection Procedures. National
Enforcement Investigations Center. Denver, Colorado. Office of
Enforcement, U.S. Environmental Protection Agency. February 1983.
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5. Toxic Substances Control Act Inspection Manual. Pesticides and Toxic
Substances Enforcement Division. U.S. Environmental Protection Agency.
January 1983.
6. The National Pollutant Discharge Elimination System (NPDES) Compliance
Inspection Manual. Office of Water Enforcement and Permits. U.S.
Environmental Protection Agency. October 1983.
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2.0 COMPLIANCE MONITORING AND THE ON-SITE INSPECTION
As previously mentioned, the on-site inspection is the fundamental
compliance monitoring technique used in EPA and State air compliance/enforce-
ment programs. This chapter examines a number of subjects related to the
execution of the on-site inspection or the on-site inspection itself. In
particular, the following topics are addressed:
• Function of the EPA/State on-site inspection;
• Selection or targeting of sources for inspection;
• Inspection complexity; and
• Alternatives to the on-site inspection.
2.1 FUNCTION OF THE ON-SITE INSPECTION
On-site inspections perform a number of functions in the air compliance
effort. The most important of these are:
• They are used to gather compliance data to determine or confirm
compliance with regulations.
• They are used to identify violations.
• They are used to establish the basis for an enforcement action through
documentation of a violation.
• They are a visible manifestation of the regulatory process and thus,
tend to promote compliance.
• They provide informal consulting to assist a facility in identifying
and resolving compliance problems.
The majority of on-site inspections conducted are routine compliance
monitoring inspections. And, since the Clean Air Act puts the primary
responsibility for control of air pollution with state and local governments,
the majority of routine compliance inspections are performed by the State and
local agencies. State and local agencies also conduct on-site inspections to
collect evidence for enforcement actions.
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EPA Regional Offices perform routine compliance inspections, but
generally focus their efforts on conducting other types of inspections. The
scope of the EPA inspection activities is outlined below:
• NSPS. EPA conducts routine inspections of NSPS sources in cases where
the State agency has not been delegated the NSPS program.
• NESHAP s. EPA conducts routine inspections of NESHAPS sources in cases
where the State agency has not been delegated the NESHAPS program.
• Certain SIPs. EPA conducts routine inspections of sources covered by
EPA-promulgated State Implementation Plans.
• Oversight. EPA conducts overview inspections as a means to review the
overall effectiveness of State efforts towards maintaining compliance
of SIP and delegated NSPS and NESHAP sources.
• Known Violations. EPA conducts inspections to collect evidence of
known violations in cases where a State agency is not responding in a
"timely manner" or not responding at all.
• Overdue State Program. EPA conducts compliance inspections in cases
where the State agency has not inspected a facility within the defined
period (see Section 2.2).
• Inactive State Program. EPA conducts various types of inspections in
cases where a State agency is not carrying out its compliance/enforce-
ment related responsibilities.
2.2 SELECTION OR TARGETING OF FACILITIES FOR INSPECTION
As discussed in Chapter 1 Section 1.8, the Clean Air Act establishes the
authority to perform an on-site inspection of a facility for the purpose of
determining its compliance with regulations promulgated as a result of the
Act. The selection or targeting of a facility for an on-site inspection is
clearly an important part of the inspection process. Although not generally
the responsibility of inspection personnel, facility selection or surveillance
targeting involves a number of considerations of which the inspector should be
aware.
The selection or targeting of sources for inspection is influenced in
part by two Constitutional amendments.
• Fourth Amendment. This amendment protects sources against
unreasonable searches.
• Fourteenth Amendment. This amendment provides the source with equal
protection and "due process" of the law.
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Under the Fourth Amendment, when a source refuses to consent to entry for
the purposes of inspection and the agency must resort to using a search
warrant, the warrant application must show either (1) "probable cause" or
"reasonable suspicion" of a violation or (2) that the source was selected for
inspection under a neutral inspection scheme. An agency must also be able to
demonstrate these in the event that a source challenges an EPA inspection as
being harassing. This was shown to be necessary by the Supreme Court decision
in Marshall v. Barlow's. Inc.. 436 U.S. 307 (1978).
The Fourteenth Amendment ensures that sources are not classified
unreasonably. Thus, agencies must have a rational basis for treating similarly
situated sources differently.
The result in terms of agency policy concerning surveillance targeting is
that the agency must select sources for inspection by reasonable suspicion of
a violation under the Clean Air Act or by a clearly documented neutral
inspection scheme. And, the neutral inspection scheme must provide a rational
basis for all source classifications.
In many instances, an EPA conducted inspection is done under reasonable
suspicion of a violation. This occurs in cases where EPA is following up on a
state-identified violation at their request or when the State has not made a
timely and/or appropriate response in the case of suspected noncompliance.
In other instances EPA must utilize some type of neutral inspection
scheme for source selection. These instances include planning overview
inspections, and conducting inspections of non-delegated NSPS and NESHAPs
sources. EPA might also use a neutral inspection scheme to target sources not
inspected by a state which should be inspected. The following section
outlines EPA's guidance on neutral inspection schemes.
2.2.1 Neutral Inspection Scheme
As a result of Barlow's decision, EPA issued the Regional Offices its
first guidance for developing neutral inspection schemes. This guidance was
in the form of a written framework for the selection of sources within each
Region for periodic inspections and was entitled "Criteria for Selection of
Stationary Sources for Routine Compliance Inspections." These criteria (or
a logical extension of them) were written to be utilized in source selection
in each Regional Office and for presentation to the court in the event that a
source challenges the inspection scheme or in the event that a warrant is
needed to gain entry to a source for a routine inspection.
EPA's amended and most current guidance from a memo of May 13, 1981 is
reproduced in Table 2-1 . Using this scheme, a source to be inspected must
meet at least one of the Primary Criteria under point 1 and one of the Primary
Criteria under point 2 and, in addition, must meet at least one of the
Secondary Criteria. Any source not covered by the neutral inspection scheme
is not be inspected unless there is a reasonable suspicion of a violation.
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TABLE 2-1.
CRITERIA FOR SELECTION OF STATIONARY SOURCES
FOR ROUTINE COMPLIANCE INSPECTIONS
I. Sources subject to State Implementation Plans (including provisions
approved or promulgated under 40 CFR 51.18 and Parts C and D of Title I
of the Clean Air Act), or 111 of the Act (NSPS) or 112 of the Act
(NESHAPS).
A. Primary Criteria
1. In selecting a stationary source for a compliance inspection, the
source should be one which:
a. Emits an air pollutant subject to the Clean Air Act and the
regulations promulgated thereunder, and for which:
1. The actual emissions or potential emissions while
operating at design capacity with pollution controls are
equal to or exceed 100 tons per year of the regulated
air pollutant (Class Al sources), or
2. The uncontrolled emissions while operating at design
capacity are equal to or exceed 100 tons per year of the
regulated air pollutant (Class A2 sources); or
b. Emits less than 100 tons per year of a regulated air pollutant
in the absence of pollution controls (Class B sources) and which
may contribute to nonattainment of an ambient air quality
standard for that pollutant; or
c. Emits lead; or
d. Is subject to a NSPS or NESHAPS.
2. The source should also be one which:
a. Was reported within the preceding year by a State or local
agency as being in compliance with applicable emission limits;
or
b. Was either not inspected by a State or local agency or by EPA
during the preceding year, or was subject to an inconclusive
inspection during the preceding year.
(continued)
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TABLE 2-1. (Continued)
B. Secondary Criteria
The following criteria (at least one) should be used in selecting
facilities for inspection from among those which meet the Primary
Criteria (and may be used by each Regional Office in any order it
chooses and in a manner best suited to its resource, workload,
manpower, and area of geographic responsibility):
Factor 1. Source emits a criteria pollutant and is located in a
nonattainment area for that pollutant, or in an area
unclassified for such pollutant;
Factor 2. Source has a significant impact upon local ambient air
quality or emits a hazardous air pollutant;
Factor 3. Source is located in an urban area where there is greatest
exposure of population;
Factor 4. Source has a history of violations and now is reported as
in compliance;
Factor 5.
Factor 6.
Factor 7,
Factor 8.
Factor 9.
Source has had frequent changes in compliance status;
Source has undergone process changes subsequent to its
most recent inspection or has commenced initial operation;
Source requires particularly good operation and
maintenance of pollution control or process equipment in
order to maintain compliance;
Source is located near other sources which have been
scheduled for inspection at approximately the same time in
accordance with this Criteria for Selection of Stationary
Sources for Routine Compliance Inspections or under
probable cause to believe the source is in violation of
the Clean Air Act;
Source was subject to a prior compliance test, inspection
or information request which produced inconclusive data
concerning its compliance status.
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2.2.2 State and Local Government Methods for Selecting Sources for Inspection
State and local governments are subject to the same constraints in
selection of sources for inspection as EPA. However, most State agencies must
inspect many more sources on a routine basis than EPA. In addition, EPA has
issued guidance to the states requiring certain categories of sources to be
inspected with certain frequencies. Therefore, the states tend to have a more
complex surveillance targeting problem.
In order to discuss surveillance targeting at the State (and local level)
EPA's guidance on inspection frequency must first be addressed.
2.2.2.1 Inspection Frequency - Over the years EPA guidance to State and local
agencies on inspection frequency has been evolving. Initially EPA specified,
at least an annual inspection of each "major source" (source with an uncon-
trolled emission rate equal to or in excess of 100 tons per year of a
regulated pollutant).
o
Revised inspection frequency guidance was issued in March 1980J as the
result of a change in the definition of "major source" under the Clean Air
Act. This guidance specified at least annual inspections of NSPS, NESHAPS,
and Class Al SIP sources. Biennial inspection were specified for Class A2 SIP
sources. These new source class definitions are shown below.
Major Sources
• Class Al Source - Stationary source whose actual or potential
controlled emissions of any regulated pollutant equal or exceed 100
tons per year while operating at design capacity.
• Class A2 Source - Stationary source whose potential uncontrolled
emissions of any regulated pollutant equal or exceed 100 tons per year
while operating at design capacity.
Minor Sources
• Class B Source - Stationary source whose uncontrolled emissions of any
regulated pollutant are greater than 25, but less than 100 tons per
year.
Most recently EPA has proposed revised guidance on inspection frequency
which seeks to balance the need for a nationally-uniform data base on facility
compliance with the needs of State and local agencies to make optimal use of
their limited resources. This revised guidance includes the following key
points.
• Source Classification. All sources should be classified by applicable
air program (SIP, NSPS, or NESHAPs) and by SIP class (Al, A2, B), if
applicable. These classifications should be entered into EPA's
Compliance Data System (CDS).
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• Class Al SIP Sources. All operating Class Al SIP sources shall be
Inspected at least once every Federal fiscal year. Exceptions may be
permitted if a source is constrained by an operating permit or is
seasonal in nature; excepted sources shall be inspected once every
five years.
• Class A2 SIP Sources. Operating Class A2 SIP sources shall be
inspected biennially. A State may propose modifications if the
overall scheme represents the same level of resource commitment and is
more responsive to the needs of its air quality program. This might
consist of any combination of additional Class Al SIP inspections,
Class A2 SIP inspections, and inspections of other regulated sources.
The following conditions must be met:
SSCD must receive informational copies of such agreements at the
start of each fiscal year.
- A method of monitoring the agreement must be in place and data
reporting requirements clearly established.
- The State must demonstrate that the modified approach is based on
at least the same resource expenditure as would be required to
inspect all Class A2 SIP sources on a biennial basis.
- All operating Class A2 SIP sources must be inspected at least
once every five years.
• NSPS Sources. Any operating NSPS source which is also a Class Al SIP
source shall be inspected at least once every Federal fiscal year.
All other NSPS sources shall be treated as Class A2 SIP sources.
• NESHAP Sources. All operating nontransitory NESHAP sources shall be
inspected at least once every Federal fiscal year.
• On-site Inspection Alternatives. In some cases, continuous emission
monitoring quarterly excess emission reports or fuel characteristics
may substitute for an on-site inspection (see Section 2.4 for more
detail).
2.2.2.2 Surveillance Targeting Techniques - Some type of surveillance
targeting is a necessary activity in any air pollution program, particularly
State programs. No program has the resources to inspect every source, so
there must be a system to select sources for inspection and preferably one
which targets sources in a manner which optimizes continuous compliance. In
most cases, State surveillance targeting schemes combine the neutral
inspection scheme, the EPA guidance on inspection frequency, and the selection
of sources based on compliance history, citizen complaints, previous evidence
of violation, etc. Since every State must design its own surveillance
targeting plan based on State conditions such as source types, non-attainment
areas, and agency resources, no one specific type of targeting plan will be
discussed here. Instead, the remainder of this section defines and presents
the various targeting factors, aids, and techniques currently in use at the
State and local levels.
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Targeting Factors - A targeting factor is a consideration used by an agency in
deciding whether a facility should be targeted for some type of surveillance
action. The most commonly used targeting factors are:
• Source size
• Source location
- Nonattainment areas
- Rural versus urban
• Ambient impact
• Type of process and control equipment
• Type of pollutant
• Compliance history and attitude
Targeting Aids - A targeting aid is a mechanism used by an agency to assist it
in the application of targeting factors. Typical targeting aids include:
• Citizen complaints
• Malfunction reports
• Excess emission reports
• Inspection reports
• Permit renewal applications
• Automated compliance data systems
Targeting Techniques - A targeting technique is the method by which targeting
factors and aids are actually utilized. Typical targeting techniques include:
• The review of continuous emission monitoring (GEM) excess emission
reports to determine whether certain sources with a greater
probability of non-compliance require an on-site inspection.
• The review of malfunction reports for the same purpose.
• Use of an on-site inspection to determine whether GEM requirements are
warranted or a more rigorous malfunction abatement plan is needed.
• Use of self-monitoring mechanisms as a principal targeting aid.
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2.3 INSPECTION COMPLEXITY (LEVELS OF INSPECTION)
When a facility is selected (through whatever scheme) for an on-site
inspection, the Agency must also decide the degree of complexity of the
inspection. The degree of complexity of the inspection should reflect the
degree of complexity of the facility, its control equipment, and its
compliance history. Also considered are the precise objectives of the
inspection.
The degree of complexity of the on-site inspection as is currently
performed can be classified into four distinct levels. These levels of
inspection are denoted 1 through 4 with the inspection complexity increasing
with the level number. The inspection activities normally associated with
each level are summarized below; detailed explanations of each level are
provided in Section 8.1 of the chapter on Inspection procedures for air
pollution control systems.
Level 1 Inspection
• Unannounced, facility not entered.
• Visible emission observations.
• Fugitive emission observations.
• Odor conditions noted.
• Observation of facility operations, to extent possible.
Level 2 Inspection
• "Walkthrough" evaluation of emission source and/or control device.
• Visible emission observations.
• Data collection from and evaluation of process and control device
instrumentation.
• Checks (from outside) of internal conditions of control devices (if
shut down).
• Routine check of GEM (continuous emission monitor) data.
• Check of source-maintained records.
• Annual determination of continued operation and process throughput of
sources that do not operate control equipment.*
*Previously referred to as a Level 0 Inspection.
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Level 3 Inspection
• Portable instrumentation used to measure specific operating parameters
such as pressure drop, gas stream temperature, flue gas oxygen and
carbon dioxide level, gas stream velocity, and scrubber liquor pH.
• Check of process operating conditions.
• Detailed evaluation of GEM monitoring data.
• Raw material and fuel analysis.
• Visible emissions observations, where appropriate.
• Checks (from outside) of internal conditons of control devices (if
shut down).
• Generally performed only on units with apparent problems.
Level 4 Inspection
• Similar in complexity to Level 3 inspection.
• Done in conjunction with a compliance test to document
"representative" conditions and gather baseline data (see Chapter 7.0
Observing the Compliance Test and Chapter 8.0).
• For smaller sources, may be done during a period when source is
believed to be in compliance and control device is working properly.
These alternatives in inspection complexity allow the agency (be it EPA
or a State or local agency) to tailor the inspection to the facility and
situation. This avoids wasted manpower and resources and allows a
concentration of effort toward those sources which have the greatest potential
to exceed emission limits. For example, a Level 3 inspection might reveal
performance data indicating compliance with all regulations. Thus, a higher
level of inspection would not be warranted. In fact, subsequent inspections
of the same source might rationally be adjusted down to a lower level.
2.4 ALTERNATIVES TO THE ON-SITE INSPECTION
This section presents several alternatives to the on-site inspection for
compliance monitoring.
These are:
• Continuous emission monitoring (and reporting);
• Fuel characteristics;
• Parameter monitoring;
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• Environmental auditing; and
• Section 114 letters.
These alternatives vary greatly in their utilization and their degree of
acceptance as methods which can be used to collect data for enforcement
purposes. They are presented here only as background information for the
inspector; detailed information on applicability, acceptability, and
application of each alternative is available in other reports and
publications.
2.4.1 Excess Emission Reports from Continuous Monitoring Programs
The U. S. EPA Stationary Source Compliance Division has indicated in a
recently released draft guideline document that compliance monitoring based
on the use of excess emission reports (EERs) may be a suitable alternative to
on-site inspections. Many sources are required to implement continuous
monitoring programs which involve the application of continuous emission
monitoring systems (CEMSs). These programs are directed at monitoring
opacity, sulfur dioxide (802), nitrogen oxides (NOX), carbon monoxide (CO),
and total reduced sulfur (TRS) compounds. Depending on the specific
regulations that apply to the source, the results afforded by CEMSs may be
used by the control agency for purposes of assessing compliance with either
(a) operation and maintenance requirements, or (b) emission standards.
Sources affected by monitoring regulations are required to submit reports to
the control agency on a quarterly basis; these reports are generally referred
to as excess emission reports.
The information required in an EER is not restricted to excess emissions
and thus indicates a range of source performance. For sources subject to New
Source Performance Standards the required information falls into three
potential categories:
• Source operation and performance;
• GEMS operation and performance; and
• Negative declaration (no excess emissions).
Q
Items pertinent to source operation are identified within 40 CFR Part 60 ,
paragraph 60.7 and reflect the following reporting requirements:
• "The magnitude of excess emissions... and the date and time of
commencement and completion of each time period of excess emissions."
• "Specific identification of each period of excess emissions that
occurs during startups, shutdowns, and malfunctions of the affected
facility. The nature and cause of any malfunction (if known), the
corrective action taken or preventive measures adopted."
• "When no excess emissions have occurred or the continuous monitoring
system(s) [i.e., CEMS(s)] have not been inoperative, repaired, or
adjusted, such information shall be stated in the report."
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To a great extent the quality of the GEMS data determines the quality of
the information pertaining to source operation and performance. Consequently,
the usefulness of EERs to agencies is constrained by the quality of the
source's monitoring program (which can be affected by the agency's approach to
monitoring programs in general).
The effective use of EERs depends on the use of three general program
elements:
• Recordkeeping and review;
• Periodic assessment of GEMS data quality; and
• Follow-up action.
Recordkeeping and review activities enable the agency to establish baseline
performance data with respect to the source itself and to the source relative
to sources in the category. Such information enables the control agency to
establish source performance limits, and therefore, criteria for assessing
whether on-site inspections are needed.
Periodic assessments of GEMS data quality are necessary to ensure that
the control agency can accurately discriminate source performance from GEMS
data. GEMS data quality can be assessed from the results provided by GEMS
performance tests and audits.
Follow-up actions establish the agency's presence and demonstrate the
clear intent to use the EERs for compliance monitoring. Actions can be at
several levels, ranging from telephone contacts to requests for source
performance testing to be conducted.
The draft guideline document specifies certain criteria for the use of
EERs as an alternative to on-site inspections; they are the following:
• The data reported in the EER to assess compliance are at least
comparable to the data which would have been obtained during an
on-site inspection to assess compliance.
• As part of the State's GEM quality assurance/quality control program,
the monitor must be quantitatively audited at least every three years.
• EERs must be input into the GEM subset of CDS.
• The intended use of the EER alternative to on-site inspections must be
agreed upon between the State and the EPA Regional Office.
• The Stationary Source Compliance Division must receive the names and
CDS numbers of all Class Al SIP and NSPS sources covered by the EER
alternative to adjust properly the data base for subsequent analysis
and reporting.
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• The State must conduct an on-site inspection of all sources being
tracked under the EER alternative at least once every three years.
(This could be conducted in conjunction with the quantitative audit
previously described.)
2.4.2 Fuel Characteristics
In some cases compliance of a combustion source may be based solely on
the characteristics of the fuel burned. In these cases, a review of the fuel
supplier's records and the sampling and appropriate analysis of the fuel being
burned may substitute for the on-site inspection.
2.4.3 Parameter Monitoring
The purpose of parameter monitoring is to reduce the number of routine
Level 2 inspections which must be done by agency personnel. Industrial
facilities agreeing to do parameter monitoring also benefit through improved
air pollution control device performance data and less frequent agency
inspections.
The agency and the source operator must reach agreement on the types of
data necessary to evaluate performance and on the quality assurance procedures
to be used In data acquisition and reduction. Then a baseline data set Is
compiled to aid in future evaluations. It Is the responsibility of the source
operators to maintain the control system in compliance with all applicable
regulations and to submit the agreed upon data documenting this performance.
Any malfunctions or control equipment failures must be reported to the
regulatory agency within 12 to 24 hours.
Regulatory agencies must continue to perform Level 1 inspections to check
on the adequacy of the parameter monitoring. For example, it is possible to
have frequent short term excess emission incidents which could not be
Identified by control device monitoring instruments and continuous emission
monitors. If such short term problems were identified or if the evaluation of
the submitted data Indicated a possible performance problem, a Level 3
inspection should be conducted by the agency. A Level 3 Inspection should
also be performed If the source falls to submit the agreed upon information on
schedule.
Both parties should maintain applicable records. All raw data and strip
charts used by the source operators should be maintained for a period of at
least a year in a retrievable archive. Calculations used in data reduction
and presentation should be maintained. The agency should also maintain a file
which documents that a full evaluation of the submitted data has been
performed upon receipt.
2.4.4 Environmental Auditing
The term environmental auditing refers to the use of internal management
systems by a company to review facility operations and practices in order to
assess and verify compliance with environmental regulations and corporate
Air Compliance Inspection Manual 2-13 9/30/84
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policy. It can also be used to evaluate the effectiveness of environmental
management systems already in place or assess environmental risks from
regulated and unregulated materials and practices. Environmental auditing is
currently in the primary stages of development as a tool for compliance
monitoring.
f\ 7 ft
Among the advantages of environmental auditing tool are: » *
• Better environmental performance. Companies can more readily and
effectively identify problems and determine compliance status since
they know where to look, what to ask, and whom to question. The
result is faster problem identification, more problem avoidance, and
better compliance over time.
• Better use of limited agency resources. Effective environmental
auditing systems could assist inspection and enforcement targetting.
• Better government/industry cooperation. Knowledge of what constitutes
an effective environmental auditing system and which companies have
effective systems can reduce the adversarial roles between government
and industry, since government would have more confidence in such a
company's ability and desire to meet environmental requirements
without government intervention.
• Acquisiton of more information. Agencies are likely to acquire better
compliance data, even without requiring industry to turn over their
audit reports. Through enviromental audits companies may acquire and
possibly share information on improved control technologies and
techniques, better management systems, effective training, etc. In
addition, audit generated information could result in significant
improvements in monitoring reports, emissions inventories, and other
data bases.
2.4.5 Section 114 Requests for Information
Section 114 of the Clean Air Act authorizes the EPA Administrator to
require the owner or operator of an emission source subject to the Act to
provide such relevant information as he requests. This is generally
accomplished using what is referred to as a "Section 114 letter." Section 114
letters can serve as an alternative to the on-site inspection in cases when
the on-site inspection is not cost effective or when the information obtained
under the request eliminates the need for the inspection. Section 114 letters
may also be used to supplement the on-site inspection by providing advance
notification or by requesting information beforehand which will facilitate the
inspection.
Information typically requested utilizing a Section 114 request
includes:
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• Raw materials, products, by products, production levels;
• Facility layout maps identifying process equipment, control equipment,
and emission points;
• Flow diagrams;
• Description and design of pollution control equipment and normal
operating parameters;
• Recent self-monitoring reports such as fuel analyses and control
equipment parameters;
• Description of self-monitoring equipment in use, normal operating
levels, and types of data produced; and
• Copies of any records required to be kept under applicable
regulations.
2.5 REFERENCES
1. Memorandum on "Criteria for Neutral Inspections of Stationary Sources
under Title I of the Clean Air Act - - - Final Guidance," from the
Director of Division of Stationary Source Enforcement to Enforcement
Division Directors, Region I-X. Office of Enforcement. U. S. Envir-
onmental Protection Agency. October 29, 1980.
2. Memorandum on "Regional Office Criteria for Neutral Inspections of
Stationary Sources — Amended Guidance," from the Director of
Division of Stationary Source Enforcement to Enforcement Division
Directors, Region I-X. Office of Enforcement. U. S. Environmental
Protection Agency. May 13, 1981.
3. Reich, E.E., Memorandum to Enforcement Division Directors Regions
I-X, March 19, 1980.
4. "Memorandum on Compliance Strategy for Stationary Sources of Air
Pollution (November 14, 1983)," from the Assistant Administrator for
Air and Radiation to the Deputy Administrator. Office of Air Noise
and Radiation. U.S. Environmental Protection Agency. November 1983.
5. Quarles, Perrin. State and Local Government Surveillance Targeting
Techniques. Draft Report. Perrin Quarles Associates, Inc.
Environmental Protection Agency Contract No. 68-01-6312, Task
No. 92. June 26, 1984.
6. Fleckenstein, L. J. Environmental Auditing: A Management Tool and
Potential Regulatory Reform Presentation, Annual Meeting of APCA, San
Francisco, California, June 1984.
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7. Current Practices in Environmental Auditing. Report to U. S.
Environmental Protection Agency by Arthur D. Little, Inc. EPA No.
EPA-230-09-83-006.
8. Kuusinen, T. L. U. S. EPA Policy Towards Effective Environmental
Auditing. Presented at Air Pollution Control Association Annual
Meeting, June 18, 1985. Paper No. 85-48.3.
9. Clean Air Act Compliance/Enforcement Manual. Draft, 1981.
10. Memorandum on "Guidance on Timely and Appropriate EPA/State
Enforcement Response for Significant Air Violators (June 28, 1984),"
from the Assistant Administrator for Air and Radiation to Regional
Administrators, Regions I-X. Office of Air and Radiation. U. S.
Environmental Protection Agency. June 1984.
11. Code of Federal Regulations. Title 40, Part 60. Standards of
Performance for New Stationary Sources, revised as of July 1, 1983.
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3.0 GENERAL INSPECTION PROCEDURES
This chapter describes the administrative and legal procedures common to
most air compliance inspections. These include procedures which help to
ensure a complete and up-to-date technical inspection and those which ensure a
legally sound inspection. These procedures result in the gathering of more
appropriate and useful data which ultimately can be effectively used in
compliance monitoring and determination, and enforcement actions if necessary.
These general inspection procedures can be grouped into categories
according to the time they occur in the inspection process: (1) pre-inspection
preparation, (2) pre-entry observations, (3) entry, (4) opening conference,
(5) documentation, (6) closing conference, and (7) file update and report
preparation. The general procedures under each category are covered in the
sections which follow. In addition, special sections of this chapter are
devoted to: (1) handling of confidential business information and (2) chain of
custody procedures.
The procedures described are common to most compliance inspections.
However, the emphasis given to any procedure or set of procedures will vary
with the requirements of a particular inspection.
3.1 PRE-INSPECTION PREPARATION
Pre-inspection preparation is always necessary to ensure effective use of
the inspector's time and the facility's time, and to ensure that the
inspection is properly focused on collecting relevant data and information.
This preparation involves:
• Review of facility background;
• Development of an inspection plan;
• Notifications; and
• Equipment preparation.
3.1.1 Review of Facility Background
A review of the available background information on the facility to be
inspected is essential to the overall success of the inspection. The review
should enable the inspector to become familiar with the facility's process and
emission characteristics; conduct the inspection in a timely manner; minimize
inconvenience to the facility by not requesting unnecessary data such as that
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previously provided to the EPA or another agency; conduct an efficient, but
thorough inspection; clarify technical and legal issues before entry; and
prepare a useful inspection report. The following types of information should
be reviewed.
Basic Facility Information
• Names, titles, and phone numbers of facility representatives.
• Maps showing facility location and geographic relationship to
residences, etc. potentially impacted by emissions.
• Process and production information.
• Flowsheets identifying sources, control devices, monitors, and other
points of interest.
• Safety equipment requirements.
Pollution Control Equipment and Other Relevant Equipment Data
• Description and design data for control devices and relevant process
equipment.
• Sources and characterization of emissions.
• Continuous emission monitoring system(s) data.
• Previous inspection checklists (and reports).
• Baseline performance data for control equipment.
Regulations, Requirements, and Limitations
• Most recent permits for facility sources.
• Applicable Federal, State, and local regulations and requirements.
• Special exemptions and waivers, if any.
• Acceptable operating conditions.
Facility Compliance and Enforcement History
• Previous inspection reports.
• Complaint history including reports, follow-up, findings, remedial
action.
• Past conditions of noncorapliance.
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• Previous enforcement actions.
• Pending enforcement actions, compliance schedules and/or variances.
• Self-monitoring data and reports.
The following are recommended sources for obtaining this background
information.
• Inspector's "Working" File - The inspector's own concise file for a
facility containing basic plant and process information, flowsheets,
baseline performance data for control equipment and process equipment,
chronology of enforcement related actions, recent permits, and safety
equipment requirements.
• Regional Office Files and Data Bases - These files should include much
of the information needed including inspection reports, permits and
permit applications, compliance and enforcement history, exemption or
waiver information, and some self-monitoring data.
• State/Local Files and Contacts - These should be used to supplement
and update the information available in the Regional Office files.
• Laws and Regulations - The Clean Air Act and related regulations
establish emission standards, controls, procedures, and other
requirements applicable to a facility. State and local laws and
regulations should also be considered.
• Technical Reports, Documents, and Guidelines - These can often be
valuable in providing information and/or guidance concerning specific
processes, control techniques, performance advantages and limitations
of particular types of control equipment, and specific inspection
procedures.
3.1.2 Development of an Inspection Plan
Based on the review of the facility background information and the
intended purpose of the inspection, the inspector should develop an inspection
plan. This plan should address the following items.
• Inspection Objectives - Identify the precise purpose of the inspection
in terms of what it will accomplish.
• Tasks - Decide on the specific tasks which will accomplish the
inspection objectives including the exact information which must be
collected.
• Procedures - Determine the procedures to be used in completing the
tasks, particularly special or unfamiliar procedures.
• Resources - Determine what equipment and personnel will be required.
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• Schedule - Estimate the time requirements for the inspection;
determine a reasonable time for the inspection (when plant is
operating at representative conditions).
3.1.3 Notification of the Facility
EPA Regional offices vary in their exact policies concerning giving a
facility advance notification of an inspection. In a recent EPA policy memo
entitled "Final Guidance on Use of Unannounced Inspections," however, the
Stationary Source Compliance Division recommends that all Regional inspection
programs incorporate unannounced inspections as part of their overall
inspection approach. The advantages of the unannounced inspection are:
(1) the opportunity to observe the source under normal operating conditions,
since the source does not have time to prepare for the inspection; (2)
detection of visible emissions and O&M-type problems and violations; (3)
creation of an increased level of attention by a source to its compliance
status; and (4) projection of a serious attitude toward surveillance by the
Agency.
The potential negative aspects of performing unannounced inspections
are: (1) the source may not be operating or key plant personnel may not be
available and (2) there could be an adverse impact on EPA/State or EPA/source
relations. However, it has been demonstrated by the Regional offices who
already use the unannounced inspections that, in the majority of cases, these
drawbacks can be overcome.
When using the unannounced inspection, an alternative to arriving at the
source totally unannounced is to contact the source shortly before the
scheduled inspection time. This is left to the discretion of the Regional
office and/or the inspector and must be done so as not to alter the
representativeness of the source operation. The amount of advanced notice
given should be noted in the inspection report.
Announced inspections are performed by EPA and its authorized repre-
sentatives when some specific purpose is served by providing such notice.
Situations where announced inspections are appropriate are:
• When specific information is being sought which must be prepared by
the source, or where the source must make significant accomodations
for the inspector to gather the information;
• When the assistance of specific plant personnel is necessary for the
successful performance of the inspections, i.e., the information they
provide cannot be obtained from other on-duty plant personnel or by a
follow-up information request;
• When inspecting government facilities or sources operating under
government contract where entry is restricted due to classified
operations; and
• When inspecting un-manned or extremely remote sources.
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When the inspection is announced In advance, a lead time of five working
days is generally appropriate. Notification may be by telephone or letter and
it may or may not include the exact date and time of the inspection.
Instances where written notification (instead of oral) is appropriate are:
• When requested by the State/local agency or by the source;
• When extensive or specific records are being sought;
• When the inspection is to be performed solely by an EPA contractor;
• When inspecting government facilities with classified operations or
otherwise restricted entry; and
• Special-purpose inspections, e.g., to establish conditions for a
source-specific SIP revision.
A "114 Letter" is sometimes used for notification if there is a need to
request facility information prior to the inspection. The facility
representative notified should have the authority to release data and samples
and to arrange for access to specific processes. In addition, when notifying
a facility on an inspection, information should be requested in regard to
on-site safety regulations. This will avoid problems concerning safety
equipment at the time of the inspection.
3.1.4 Notification of Responsible State Agency
State and/or local agencies should be given a minimum of five working
days advance notice of unannounced or announced inspections to be conducted
within their .jurisdiction. In the case of an announced inspection, this
notification should precede that given to the source.
Notification can be written or oral; in any case, a record should be
kept. The thorough notification and record thereof should include the
following items:
• Name and location of subject facility;
• Date and approximate time of the activity;
• Regional Office contact (phone number, etc);
• Reason for the inspection;
• Name of the state contact; and
• Date and time of notification.
State/EPA Memorandums of Agreements should be consulted for further
information on notification procedures.
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3.1.5 Equipment Preparation
Part of the pre-inspection preparation involves obtaining and preparing
inspection and safety equipment. The type of equipment may vary according to
the inspection objectives, the level of inspection, and the process, control
equipment, and safety requirements at the facility itself. A general list of
recommended equipment is provided in Table 3-1.
All equipment should be checked, calibrated, and tested before use. The
inspector is responsible for seeing that all equipment necessary to conduct an
inspection is brought to the inspection site.
Safety equipment required for a facility is based on the response to a
"114 Letter" used for the inspection announcement or on the safety
requirements for that facility previously recorded in the agency files.
Safety requirements must be met, not only for safety reasons, but to ensure
that the inspector is not denied entry to the facility or parts of it.
As previously stated, Table 3-1 shows a listing of standard inspection
and safety equipment for air compliance inspections. It is recommended that
those items necessary for the majority of inspections (Level 2) be carried in
a portable case or tool belt pouch from emission point to emission point. The
appropriate items from the list of "Equipment Required for Certain
Inspections" (Level 3 and 4 and certain safety equipment not normally
required) should be added to the equipment carried, or placed in a central
location at the plant or in the inspector's car to be retrieved if needed.
Before or after equipment preparation, the inspector must also consider
what written materials, forms, documents, etc. he/she will require during the
inspection. These should also be gathered and organized before the
inspection. These materials may include any or all from the following list.
• Maps
• Flowcharts
• Plant layout
• Applicable regulations
• Inspection checklists
• Field Notebook
• Reference materials
• Visible Emission Observation Forms
• Inspection plan or agenda
• EPA credentials
• Facility information
• Baseline data
• Information requested by facility
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TABLE 3-1. RECOMMENDED INSPECTION AND SAFETY EQUIPMENT
Equipment Necessary
for
Most Inspections
Equipment Required
for
Certain Inspections
Hardhat
Safety glasses or goggles
Gloves
Coveralls
Safety shoes
Ear protectors
Tape measure
Flashlight
Stopwatch
Duct tape
NIOSH/OSHA Pocket Guide to
Chemical Hazards
Respirator with appropriate cartridge(s)
Velometer
Pump and filter system
Bucket
Manometer or differential pressure gauges
Combustion gas analyzer
Thermometer or thermocouple
pH paper or pH meter
Multimeter
Sample bottles
St robe
Inductance ammeter
Tachometer
Oxygen and combustibles meter(s)
Self-contained breathing equipment
Rope
3.2 PRE-ENTRY OBSERVATIONS
Two types of observations, conducted prior to plant entry, have been
shown to be valuable in the determination of facility compliance. These are
the observation of the plant surroundings and the visible emission
observation.
3.2.1 Plant Surroundings Observation
Observations of areas surrounding the plant before entering may reveal a
variety of signs of operational practices and pollutant emissions which can
aid in the pre-entry evaluation. These include:
• Obvious vegetation damage near the plant;
• Odors downwind of the plant;
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• Deposits on cars parked closeby;
• Other signs of "dusting" downwind of the plant;
• Fugitive emissions near plant boundaries;
• Conditions around the product and/or waste storage piles;
• Conditions near lagoons and sludge ponds; and
• Proximity of source to potential receptors.
Some of the signs may indicate that fugitive emission sources should be
added to the inspection plan. If odors are a problem, the weather conditions
including wind direction should be noted for inclusion in the inspection
report: once inside the plant, olfactory fatigue may (under certain
circumstances) reduce the inspector's ability to detect these odors.
3.2.2 Visible Emissions Observation
In addition to observing the plant surroundings prior to entry, the
inspector may also perform visible emission observations at that time. It is
possible that not all emission points will be visible from a location outside
the plant property lines, but those that are may be conveniently read before
entry. Visible emission observation procedures are detailed in Chapter 6.0.
It is appropriate for the inspector to inform plant officials of excess
visible emissions subsequent to their observation. At the same time he should
find out what caused them; this gives them the opportunity to promptly
evaluate, answer to, and correct the problem. There may be State statutes
which require notification; the inspector should be aware of these before he
visits the plant.
3.3 ENTRY
This section details the accepted procedures under the CAA for entry to a
facility to conduct an on-site inspection. It does not provide detailed
procedures for obtaining an inspection warrant in the case of refusal of
entry, since refusal is not prevalent and this subject is covered in detail in
other publications.
3.3.1 Authority
The Clean Air Act authorizes plant entry for the purposes of inspection.
In specific, Section 114 of the Act states:
"......the Administrator or his authorized
representative, upon presentation of his credentials
shall have a right of entry to, upon or through any
premises of such person or in which any records
required to be maintained are located, and may at
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reasonable times have access to and copy any records,
inspect any monitoring equipment or methods , and
sample any emissions which such person is required to
sample "
3.3.2 Arrival
Arrival at the facility must be during normal working hours. Entry
through the main gate is recommended unless the inspector has been previously
instructed otherwise. As soon as the inspector arrives on the premises he
should locate a responsible plant official usually the plant owner, manager,
or chief environmental engineer. In the case of an announced inspection this
person would most probably be the official to whom notification was made. The
inspector should note the name and title of this plant representative.
3.3.3 Credentials
Upon meeting the appropriate plant official, the inspector should
introduce himself or herself as an EPA inspector and present the official with
the proper EPA credentials and state the reason for requesting entry. The
credentials provide the plant official with the assurance that the inspector
is a lawful representative of the agency. Each office of the EPA issues its
own credentials; most include the inspector's photograph, signature, his
physical description, (age, height, weight, color of hair and eyes), and the
authority for the inspection. Credentials must be presented whether or not
identification is requested. After facility officials have examined the
credentials, they may telephone the appropriate EPA Office for verification of
the inspector's identification. Credentials should never leave the sight of
the inspector.
3.3.4 Consent
Consent to inspect the premises must be given by the owner, operator, or
his representative at the time of the inspection. As long as the inspector is
allowed to enter, entry is considered voluntary and consensual, unless the
inspector is expressly told to leave the premises. Express consent is not
necessary; absence of an express denial constitutes consent.
3.3.4.1 Reluctance To Give Consent - The receptiveness of facility officials
toward inspectors is likely to vary from facility to facility. Most
inspections will proceed without difficulty. If consent to enter is flatly
denied, the inspector should follow the procedures in Section 3.3.7 on
Problems with Entry or Consent. In other cases, officials may be reluctant to
give entry consent because of misunderstandings of responsibilities,
inconvenience to a firm's schedule, or other reasons that may be overcome by
diplomacy and discussion.
If there is difficulty in gaining consent to enter, inspectors should
tactfully probe the reasons and work with officials to overcome the
obstacles. Care should be taken, however, to avoid threats of any kind,
inflammatory discussions, or deepening of misunderstandings. Whenever the
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situation is beyond the authority or ability of the inspector, he should
contact his supervisor for guidance.
3.3.4.2 Uncredentialed Persons Accompanying an Inspector - The consent of the
owner or agent in charge must be obtained for the entry of persons
accompanying an inspector to a site if they do not have specific
authorization. If consent is not given voluntarily, these persons may not
enter the premises. If consent is given, these persons may not view
confidential business information unless officially authorized for access.
3.3.5 Waivers, Releases, and Sign-In Logs
When the facility provides a blank sign-in sheet, log, or visitor
register, it is acceptable for inspectors to sign it. Under no circumstances
should EPA employees sign any type of "waiver" or "visitor release" that would
relieve the facility of responsibility for injury or which would limit the
rights of the Agency to use data obtained from the facility.
If such a waiver or release is presented, the inspector should politely
explain he/she cannot sign it and request a blank sign-in sheet. If an
inspector is refused entry because they do not sign such release, they should
leave and immediately report all pertinent facts to the appropriate
supervisory and/or legal staff. All events surrounding the refused entry
should be fully documented. Problems should be discussed cordially and
professionally.
3.3.6 Nondisclosure Statements
Inspectors have, in the past, occasionally been asked to sign
nondisclosure statements or agreements. These agreements vary slightly in
content from one to another, but generally require that confidential
information, disclosed to an inspector during the course of an inspection, be
handled thereafter in a specified manner. An inspector should not sign such
agreements since Federal Regulations (40 CFR Part 2, as amended) on the
confidentiality of business information already protect the businesses from
disclosure of confidential information.
3.3.7 Problems with Entry or Consent
Because some facilities may consider inspections adversarial, the
inspector may be challenged concerning the legal authority for the inspection
techniques, and/or his competency. In all cases, the inspector must cordially
explain the authority and the reasons for the protocols followed. If
explanations are not satisfactory or disagreements are irresolvable, the
inspector should leave and obtain further direction from the appropriate
Agency supervisory or legal staff. Professionalism and politeness must
prevail at all times.
3.3.7.1 Denial of Entry - The inspector must always gain entry to the
premises of a facility and perform inspection activities with the consent of
the owner. This is consistent with a company's right of privacy guaranteed by
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the Fourth Amendment of the U. S. Constitution. If an inspector is refused
entry into a facility for the purpose of an inspection under the Clean Air
Act, certain procedures must be followed. These procedures have been
developed in accordance with a 1978 U. S. Supreme Court decision [Marshal v.
Barlow's Inc. 436 U. S. 307] which served to clarify a company's rights under
the Fourth Amendment regarding entry by inspectors.
1. Tactfully discuss the reason for denial with the plant official.
This is to ensure that it has not been based on a misunderstanding of
some sort. If resolution is beyond the authority of the inspector,
he might suggest that the official seek advice from the company's
attorneys on clarification of the EPA's authority for inspection
under the Clean Air Act and State law.
2. The inspector should be very careful to avoid any situations that
might be construed as threatening or inflammatory. Under no
circumstances should he cite the potential penalties of entry denial.
3. The inspector should withdraw from the premises and contact his
supervisor to decide on a subsequent course of action.
4. At the time of withdrawal, the inspector should note the facility
name and exact address, the name and title of the plant officials
approached, the authority of the person issuing the denial (he must
be authorized), the date and time of denial, the reason for denial,
facility appearance, and any reasonable suspicions as to why entry
was refused. This information will be important should a warrant be
sought.
3.3.7.2 Withdrawal of Consent During Inspection - If the plant official asks
the inspector to leave the premises after the inspection has begun, the
inspector should follow the procedures discussed in the previous section on
Denial of Entry. The April 11, 1979 EPA "Memorandum on Inspection Procedures"
confirms that all evidence gathered and activities performed prior to
withdrawal of consent is considered valid.
3.3.7.3 Denial of Access to Some Areas of Facility - If the inspector is
denied access only to certain parts of a facility, he should make note of
these areas and the circumstances surrounding the denial including the
facility official's reason for denying access. The inspection should be
completed to the extent allowed. After leaving the facility, the inspector
should contact the appropriate Agency office for further instructions; this
should include a determination of whether a warrant should be obtained to
inspect the portions of the facility not seen.
3.3.8 Warrants
In the event that a plant official persists in refusing plant entry or
withdraws consent during the course of an inspection, an administrative or
criminal warrant may be used to gain entry into the plant. A warrant is a
judicial authorization for an appropriate official to enter a specifically
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described location and perform specifically described inspection functions.
The inspector should always confer with his supervisor to determine that this
course of action is the most appropriate.
There are two types of warrants: criminal and civil (or administrative)
warrants. Administrative inspection warrants are the type most often sought
in the case of plant entry denial; criminal search warrants are only used in
cases where the inspection is intended, in whole or in part, to gather
evidence for a possible criminal prosecution. To obtain a criminal search
warrant, one must be able to demonstrate criminal probable cause which is
based on whether a person of ordinary caution and prudence would be led to
believe and conscientiously entertain a strong suspicion of a violation.
Administrative warrants are issued upon the showing of (1) civil probable
cause or (2) that the establishment was selected for inspection pursuant to a
neutral administrative inspection scheme. Showing civil probable cause
consists of demonstrating specific evidence of an existing violation. A
neutral or reasonable inspection scheme would include schemes such as annual
inspections of sources covered by a specific type of permit. Detailed
procedures for obtaining a warrant are available in Reference 2.
3.4 OPENING CONFERENCE
Once legal entry has been established, the inspector should proceed with
a vital part of every inspection, the opening conference. The purpose of the
opening conference is to inform the facility official(s) of the purpose of the
inspection, the authorities under which it will be conducted, and the
procedures to be followed. The opening conference also offers the inspector
the opportunity to strengthen Agency - industry relations through a positive
attitude and providing relevant information and other assistance. The
effective execution of the opening conference on the inspector's part often
facilitates the remainder of the inspection.
During the opening conference, the inspector is responsible for covering
the following items.
• Inspection Objectives. An outline of inspection objectives will
inform facility officials of the purpose and scope of the inspection
and may help avoid misunderstandings.
• Inspection Agenda. Discussion of the sequence and content of the
inspection including operations and control equipment to be inspected
and their current operating status. This will help eliminate wasted
time by allowing officials time to make any preparations necessary.
The types of measurements to be made and the samples to be collected
(if any) should also be addressed.
• Facility Information Verification. The inspector should verify or
collect the following information:
- Correct name and address of facility;
- Correct names of plant management and officials;
- Principal product(s) and production rates;
- Sources of emissions; and
- Locations of emission points.
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• List of Records. A list of records (NSPS or permit requirements) to
be inspected will allow officials to gather and make them available
to the inspector.
• Accompaniment. It is imperative that a facility official accompany
the inspector during the inspection, not only to describe the plant
and its principal operating characteristics, but also to identify
confidential data and for safety and liability considerations.
• Safety Requirements. The inspector should determine what facility
safety regulations including safety equipment requirements will be
involved in the inspection, and should be prepared to meet these
requirements. The inspector should also inquire about emergency
warning signals and procedures.
• Meeting Schedules. A schedule of meetings with key personnel (if
necessary) will allow them to allocate a clear time to spend with the
inspector.
• Closing Conference. A post-inspection meeting should be scheduled
with the appropriate officials to provide a final opportunity to
gather information, answer questions, and make confidentiality
declarations.
• New Requirements. The inspector should discuss any new rules and
regulations that might affect the facility and answer questions
pertaining to them. If the inspector is aware of proposed rules that
might affect the facility, he or she may wish to encourage facility
officials to obtain a copy.
• Duplicate Samples and/or Simultaneous Measurements. Facility
officials should be informed of their right to receive a duplicate of
any physical sample collected for laboratory analysis or to conduct
simultaneous measurements such as visible emission observations.
• Confidentiality Claims. Company officials should be advised of their
right to request confidential treatment of trade secret information
(see Section 3.8).
• Photographs. If necessary, the inspector should request permission
to take photographs during the inspection. (See Section 3.9 for more
discussion of the use of photographs.)
3.5 INSPECTION DOCUMENTATION
The air compliance inspection is generally conducted to achieve one or
more of three main objectives.
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1. To provide data and other information for making a compliance
determination.
2. To provide evidentiary support for some type of enforcement action.
3. To gather the data required for other agency functions.
Taking physical samples, reviewing records, and documenting facility
operations are the methods used by the inspector to develop the documentary
support required to accomplish these objectives. The documentation from the
inspection establishes the actual conditions existing at the time of the
inspection so that the evidence of these conditions may be objectively
examined at a later time in the course of an enforcement proceeding or other
compliance related activity.
Documentation is a general term referring to all print and mechanical
media produced, copied, or taken by an inspector to provide evidence of
facility status. Types of documentation include the field notebook, field
notes and checklists, visible emission observation forms, drawings,
flowsheets, maps, lab analyses of samples, chain of custody records,
statements, copies of records, printed matter, and photographs. Any
documentation gathered or produced in the course of the inspection process may
eventually become part of an enforcement proceeding. It is the inspector's
responsibility to recognize this possibility and ensure that all documentation
can pass later legal scrutiny.
3.5.1 Inspector's Field Notebook and Field Notes
The core of all documentation relating to an inspection is the
inspector's field notebook or field notes, which provide accurate and
inclusive documentation of all field activities. Even where certain data or
other documentation is not actually included in the notebook or notes,
reference should be made in the notebook or notes to the additional data or
documentation such that it is completely identified and it is clear how it
fits into the inspection scheme.
The field notebook and/or notes form the basis for both the inspection
report and the evidence package and should contain only facts and pertinent
observations. Language should be objective, factual, and free of personal
feelings or terminology that might prove inappropriate.
Since the inspector may eventually be called upon to testify in an
enforcement proceeding, or his/her field data may be entered into evidence, it
is imperative that he/she keep detailed records of inspections, investi-
gations, samples collected, and related inspection functions. The types of
information that should be entered into the field notebook or notes include:
• Observations. All conditions, practices, and other observations
relevant to the inspection objectives or that will contribute to
valid evidence should be recorded.
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• Procedures. Inspectors should list or reference all procedures
followed during the Inspection such as those for entry, sampling,
records inspection, and document preparation. Such information could
help avoid damage to case proceedings on procedural grounds.
• Unusual Conditions and Problems. Unusual conditions and problems
should be recorded and described in detail.
• Documents and Photographs. All documents taken or prepared by the
inspector should be noted and related to specific inspection
activities. (For example, photographs taken at a sampling site
should be listed, described, and related to the specific sample
number.)
• General Information. Names and titles of facility personnel and the
activities they perform should be listed along with other general
information. Pertinent statements made by these people should be
recorded. Information about a facility's recordkeeping procedures
may be useful in later inspections.
The field notebook is apart of the Agency's files and is not to be
considered the inspector's personal record although copies may be made for the
inspector's "working file." Notebooks are usually held indefinitely pending
disposition instructions.
3.5.2 The Visible Emission Observation Form
Since visible emission (VE) observations are such a frequently used
enforcement tool, a separate form has been developed for recording data from
the VE observation (see Figure 3-1). This form has been designed to include
all the supporting documentation necessary, in most cases, for VE observation
data to be accepted as evidence of a violation. Thus, it is recommended that
the inspector utilize this form for recording opacity observations; an
appropriate reference should be made to the form in the field notebook or
notes.
3.5.3 Samples, Chain of Custody, and Laboratory Analysis
Samples are often gathered by inspectors. For the laboratory analysis of
a sample to be admlssable as evidence, a logical and documented connection
must be shown between the samples taken and the analytical results reported.
This connection is shown by using the chain of custody procedures which serve
to document sample integrity from the time the sample was taken to the time it
is analyzed. Chain of custody procedures are described in detail in Section
3.9.
3.5.4 Drawings and Maps
Schematic drawings, flowsheets, maps, charts, and other graphic records
can be useful as supporting documentation. They can provide graphic
clarification of site location relative to the overall facility, relative
Air Compliance Inspection Manual 3-15 9/30/84
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SOURCE NAME
Annni .s\s
CITY
PHONE
STATE
__
ZIP
SOURCE ID NUMBER
PROCESS EQUIPMENT
CONTROL EQUIPMENT 1
OPERATING MODE
OPERA TING MODE
DESCRIBE EMISSION POINT
START STOP
HEIGHT ABOVE GROUND LEVEL
START STOP
DISTANCE FROM OBSERVER
START STOP
HEIGHT RELATIVE TOOBSERVER
START STOP
DIRECTION FROM
OBSERVER
START STOP
DESCRIBE EMISSIONS
START STOP
EMISSION COLOR
START STOP
WA TER DROPLETS PRESENT
NO D YESO
PLUME TYPE CONTINUOUS D
FUGITIVE D INTERMITTENT D
IF WA TER DROPLET PLUME
ATTACHED^ DETACHEDO
POINT IN THE PLUME AT WHICH OPACITY WAS DETERMINED
START STOP
DESCRIBE BACKGROUND
START STOP
BACKGROUND COLOR
START STOP
WIND SPEED
START STOP
AMBIENT TEMP
START STOP
Source Layout Sketch
X
Sun-fy Wmd^
Plume and ^ ^^,
Slack _^-^;
^ 740
SKY CONDITIONS
START STOP
WIND DIRECTION
START STOP
WET BULB TEMP
RH, percent
Draw North Arrow
o
Emission Point
Observers Position
>^\^
Sun Location Line
COMMENTS
I HA VE RECEIVED A COPY OF THESE OPACITY OBSERVA TIONS
SIGN A JURE
TITLE
DATE
OBSER
v sir
MIN\
)
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
VA TIOI
0
VDATl
15
:
30
STAR
45
A VERAGE OPACITY FOR
HIGHEST PERIOD
r TIME
V^SfC
M/A?\
31
32
33
34
HjfT
36
37
38
39
40
41
42
43
44
45
46
47
48
49
50
51
52
53
54
55
56
57
58
59
60
0
STOP
15
TIME
30
45
NUMBER OF READINGS ABOVE
% WERE
RANGE OF OPACITY READINGS
MINIMUM MAXIMUM
OBSERVER'S NAME f PR I NT)
OBSERVER'S SIGNATURE
DATE
ORGANIZA TION
CERTIFIED BY
VERIFIED BY
DATE
DATE
Figure 3-1. Visible Emission Observation Form
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height and size of objects, and other information which, in combination with
samples, photographs, and other documentation, can produce an accurate,
complete, evidence package.
Drawings and maps should be simple and free of extraneous details. Basic
measurements and compass points should be included, if necessary, to provide a
scale for interpretation.
3.5.5 Copies of Records
A facility's records and files may be stored in a variety of information
retrieval systems, including written or printed materials, computer or
electronic systems, or visual systems such as microfilm and microfiche.
When copies of records are necessary for an inspection report, storage
and retrieval methods must be taken into consideration:
• Written or printed records can generally be photocopied on-site.
Portable photocopy machines may be available to inspectors through
the Regional Office. When necessary inspectors are authorized to pay
a facility a "reasonable" price for the use of facility copying
equipment. All copies made for or by the inspector should be
initialed and dated for identification purposes (see identification
procedures below). (When photocopying is impossible or impractical,
close-up photographs may be taken to provide suitable copies.)
• Computer or electronic records may require the generation of "hard"
copies for inspection purposes. Arrangements should be made during
the opening conference, if possible, for these copies. (Photographs
of computer screens may possibly provide adequate copies of records
if other means are impossible.)
• Visual systems (microfilm, microfiche) usually have photocopying
capacity built into the viewing machine, which can be used to
generate copies. (Photographs of the viewing screen may provide
adequate copies if "hard" copies cannot be generated.)
Immediate and adequate identification of records reviewed is essential to
ensure the ability to identify records throughout the Agency custody process
and to ensure their admissibility in court. When inspectors are called to
testify in court, they must be able to positively identify each particular
document and state its source and the reason for its collection. Initial,
date, number, and record the facility's name on each record, and reference
these items in the field notebook or notes.
• Initialing/Dating. The inspector should develop a unique system for
initialing and dating records and copies of records so that he/she
can easily verify their validity. This can be done by initialing
each document in a similiar position, or by another method, at the
time of collection. Both the original and copy should be initialed.
All record identification notations should be made on the back of the
document.
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• Numbering. Each document or set of documents substantiating a
suspected violation or violations should be assigned an identifying
number unique to that document. The number should be recorded on
each document and in the field notebook.
• Logging. Documents obtained during the inspection should be entered
in the field notebook or notes according to some logical system. The
system should include the following information:
- Identifying Number.
- Date.
- The reason for copying the material.
- The source of the record.
- The manner of collection.
Other considerations regarding the handling of copies of facility records
are listed below.
• Originals must be returned to the proper personnel or to their
correct location.
• Related records should be grouped together.
• Confidential business records should be handled according to the
procedures discussed in Section 3.8.
3.5.6 Statements
On a rare occasion it may be considered necessary to the objectives of
the inspection to obtain a formal statement from a person(s) who have
personal, firsthand knowledge of relevant facts. A statement of fact is
signed by the person who can testify to those facts in court. The principal
objective of obtaining a statement is to record in writing, clearly and
concisely, relevant factual information so that it can be used as documentary
support. In most cases, however, a 114 letter is used at a later date to
obtain pertinent information. The following are procedures and considerations
for use if it is ever necessary for the inspector to take a statement.
• Determine the need for a statement. Will it provide useful
information? Is the person making the statement qualified to do so
by personal knowledge?
• Ascertain all the facts and record those which are relevant and which
the person can verify in court. Make sure all information is factual
and firsthand. Avoid taking statements that cannot be personally
verified.
• In preparing a statement use a simple narrative style; avoid stilted
language.
- Narrate the facts in the words of the person making the
statement.
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- Use the first-person singular.
- Present the facts in chronological order (unless the situation
calls for other arrangement).
• Positively identify the person (name, address, position).
• Show why the person is qualified to make the statement.
• Have the person read the statement and make any necessary corrections
before signing. All mistakes that are corrected must be initialed by
the person making the statement.
• .Ask the person making the statement to write a brief concluding
paragraph indicating that he or she read and understood the
statement. (This safeguard will counter a later claim that the
person did not know what he or she was signing.)
• Have the person making the statement sign it.
• If he or she refuses to sign the statement, elicit an acknowledgement
that it is true and correct. Ask for a statement in his or her own
hand ("I have read this statement and it is true but I am not signing
it because..."). Failing that, declare at the bottom of the
statement that the facts were recorded as revealed and that the
person read the statement and avowed it to be true. Attempt to have
any witness to the statement sign the statement including witness1
name and address.
• Provide a copy of the statement to the signer if requested.
3.5.7 Printed Matter
Brochures, literature, labels, and other printed matter may provide
important information regarding a facility's condition and operations. These
materials may be collected as documentation if, in the inspector's judgment,
they are relevant. All printed matter should be identified with the date,
inspector's initials, and related sample numbers. Reference to these
materials should be made in the field notebook or notes.
3.5.8 Photographs
The documentary value of photographs ranks high as admissible evidence;
clear photos of relevant subjects, taken in proper light and at proper lens
settings, provide an objective record of conditions at the time of
inspection. However, the use of photographic documentation often elicits a
negative reaction from plant officials, thus, it is recommended that
photographic documentation be used only sparingly and only when necessary to
document an inspection finding.
When a situation arises that dictates the use of photographs, the
inspector should obtain the company's permission to take photographs. This is
Air Compliance Inspection Manual 3-19 9/30/84
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most conveniently accomplished during the opening conference. The inspector
may offer to provide the official with duplicates of all photographs taken.
As with other business data collected, during and/or at the conclusion of the
inspection, the inspector should ascertain whether any of the photographs
taken contain proprietary information and if the company wishes to designate
any as confidential. Photographs taken employing a Polaroid-type instant
camera are useful for inspections because they allow an immediate
confidentiality review and the opportunity for the inspector to readily
provide the company with duplicate shots.
The inspector must be tactful in handling any concerns or objections
about the use of a camera. In some cases, the inspector may explain that
emission related information is public information and not considered
confidential. The photographs will generally be limited to air pollution
control equipment and the inspector can offer to shield any proprietary
features in the background.
In the event the permittee's representative still refuses to allow
photographs and the inspector believes the photographs will have a substantial
impact on future enforcement proceedings, Regional enforcement attorneys
should be consulted for further instructions. At all times the inspector is
to avoid confrontations that might jeopardize the completion of the
inspection.
Photographs may always be taken from areas of public access (e.g. outside
the fence, from the road, from a parking lot, etc.) as long as no unusual
equipment is used.
3.5.8.1 Equipment - A single lens reflex camera should be used whenever one
is available. This type of camera will take high-quality photographs, enable
the inspector to use a variety of film speeds, and allow the use of
appropriate lenses.
It is suggested that all photographs should be made with color print film
since additional equipment, such as projector and screen, are not needed to
review the photographs. Also, the negatives are easily duplicated and the
prints can be enlarged and distributed as needed.
3.5.8.2 Scale, Location, and Direction - It is useful to photograph a subject
from a point that will indicate the location and direction of the subject.
The addition of an object of known size (e.g., a person) will help indicate
the approximate size of the subject.
3.5.8.3 Safety - In areas where there is a danger of explosion, flash
photographs should not be taken. If there is a danger of electrical shock,
photographs should be taken from a distance known to be safe.
3.5.8.4 Documenting Photographs - A photographic log should be maintained in
the inspector's field notes for all photographs taken during an inspection,
and the entries are to be made at the time the photograph is taken. These
entries are to be numerically identified so that after the film is developed
Air Compliance Inspection Manual 3-20 9/30/84
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the prints can be serially numbered corresponding to the logbook descriptions
and, if necessary, pertinent information can be easily transferred to the back
of the photograph. The log entries are to include:
Signature of the photographer;
Description of film used (i.e., its expiration date, ASA number,
origin, etc.);
Focal length of the lens being used;
F-stop and shutter speed at which the camera is set;
Lighting conditions encountered;
Time of day, weather conditions;
Date;
Location; and
A brief descripton of the subject being photographed.
Polaroid-type instant photos should be immediately identified on the back
after shooting with the corresponding photo ID number; photographs which
require developing and printing should be numbered as soon as possible. One
recommendation which will ensure that all prints and negatives can be
positively identified is that prints and negatives be left uncut and the
photographic log be photographed at the beginning and end of each roll of
film. Photographs of a confidential nature must be developed by an authorized
contractor.
3.6 CLOSING CONFERENCE
The closing conference with facility officials enables the inspector to
"wrap up" the inspection including answering any questions the company may
have, filling in any gaps in the data collected, and identifying information
considered confidential. Thus, the following elements generally constitute
the closing conference.
• Review of Inspection Data. At this point, the inspector can identify
and fill in any gaps in the information collected and ensure
that there is general agreement on the technical facts.
• Inspection Follow-up Discussion. The inspector should be willing to
answer inspection related questions from facility officials, but
should only state matters of fact. Under no circumstances should the
inspector make judgments or conclusions concerning the facility's
compliance status, legal effects, or enforcement consequences.
• Declaration of Confidential Business Information. Plant officials
authorized to make business confidentiality claims should be given
the opportunity to asset a claim of confidentiality by noting such
claim on documentary material provided to EPA (or its contractor).*
The inspector should note all information claimed confidential and
handle materials accordingly, even if a written declaration is not
made at this time (see Section 3.8).
*It is the policy of most Regional offices not to give the source copies of
the inspector's notes and/or checklists. In lieu, some Regions offer to
forward the source a copy of the inspection report upon request.
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• Preparation of Receipts. The inspector should prepare and deliver
receipts for any samples or records taken.
Since EPA and State inspectors are often the only direct contact between
the regulatory agency and the regulated industry, the inspector should always
be aware of opportunities to improve industry-agency relations. The closing
conference provides an ideal opportunity to offer various kinds of assistance
to facility officials. At this point, the inspector has first-hand knowledge
of questions, problems, and possible solutions to problems. The inspector
should consider:
• Answering all questions within his ability and authority.
• Referral of questions and problems to other EPA personnel when
necessary.
• Discussion of problems and tactful suggestion of possible solutions
and assistance.
• Tactful probing of problem areas uncovered during the inspection.
• Offering or suggesting available resources such as technical
publications, special services available to industry, etc.
It is very important that the inspector follow up all referrals and
offers of help. A letter, phone call, or repeat visit will indicate to
facility officials a genuine interest on the part of the agency and aid the
Agency's industry relations.
3.7 FILE UPDATE AND REPORT PREPARATION
During the inspection, the inspector collects and substantiates
inspection data which may later be used as evidence in an enforcement
proceeding. When he/she returns to the office it is his/her responsibility to
see that this data is organized and arranged so that other agency personnel
may make maximum use of it. Thus, the file update and inspection report
preparation are an important part of the inspection process. These should
both be done as soon as possible after the inspection to ensure that all
events of the inspection are still fresh in the inspector's memory. He/she
must be able to confirm during a later enforcement proceeding that the
information contained in the inspection reoort is true.
3.7.1 File Update
The U.S. EPA including the Regional Offices utilize several types of
"files" for facility information storage, which include the computer data
bases CDS (Compliance Data System) and NEDS (National Emissions Data System)
and hard copy storage, the agency source files. For the efforts of the
inspection to be most beneficial, the information collected must be used to
update each of these files (or state equivalent such as EIS/P&R).
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3.7.1.1 CDS - The Compliance Data System is an EPA managed computer data
system containing information relevant to the compliance status of regulated
facilities. The information stored includes the following categories of data
for each facility.
• General Facility Information
- Name
- Address
- Industrial Process Type
• Compliance Related Activities
- Inspections
- Opacity Observations
- Source Tests
- Issuance of NOV's
- Notices of Start-Up, Construction
- Pending Actions
• Point Source Information
- Process Equipment
- Pollutants
- Applicable Regulations
- Control Equipment
- Production Rates
• Monitoring Data (CDS/GEM Subset)
- GEM Instrument Data
- Applicable Regulations
- GEM Related Activities
- Excess Emission Report Summaries
The inspector should check to see if any of this data is missing or has
changed since the last update and then work within the office system to use
the data he has collected to update CDS. Since CDS data form the basis for
virtually all Agency reporting on compliance status, a current data base is
absolutely essential to Agency programs for use in making air management
planning and budgetary decisions.
3.7.1.2 NEDS - The National Emissions Data System is an EPA managed computer
data system containing information related to emissions from each point source
at a facility. This information is used in air quality modeling, air
management planning, and related activities. The information stored includes
the following categories of data for each facility.
• General Facility Information
- Name
- Address
- Industrial Process Type
- Air Quality Control Region Coordinates
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• Point Source Information
— Process Equipment
- Production Capacity
- Production Rate
- Production Schedule
- Pollutants
- Control Equipment
- Control Efficiencies
- Stack Data
- Emission Factors
- Emission Estimates
As was recommended for CDS, the inspector should check to see if any of
this data is missing or is not up-to-date and ensure that the missing or
current data available from the inspection is used to update NEDS.
3.7.1.3 Agency Files - The Agency files, particularly those at the Regional
offices usually contain the hard copies of all information, correspondence,
reports, etc. relevant to a particular facility. Examples of such items are
listed below.
General Facility Information
Correspondence to Facility
Correspondence from Facility
Permit Applications
Permits
Facility Layout
Flowcharts
Raw Data from Inspections
Inspection Reports
Source Test Reports
Excess Emission Reports
Case Development Workups
Agency Notes, etc. on Compliance Actions
The inspector's data should be used to update the general facility
information including plant contact, correct address, changes in production
rates, new flowcharts, layouts, etc. and of course, the inspector's raw data
and inspection report will be added to the file.
3.7.1.4 Inspector's "Working" File - In the course of updating the agency's
computerized data bases and facility file, the inspector should take the
opportunity to update his own "working" file on the facility (see Description
Section 3.1.1). This should not require much effort since the "working" file
is a summary file for the inspector's use; however, the effort made will
usually pay off in the long run with quick-to-retrieve information on a
particular facility.
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3.7.2 Report Preparation
The inspector's inspection report serves two very important purposes in
agency operations: (1) it provides other agency personnel with easy access to
the inspection information because it has been organized into a comprehensive,
usable document; and (2) it constitutes a major part of the evidence package
on the inspection which will be available for subsequent enforcement
proceedings and/or other types of compliance-related follow-up activities.
To meet the objectives discussed above, the information contained in the
inspection report must be:
• Accurate. All information must be factual and based on sound
inspection practices. Observations should be the verifiable result
of firsthand knowledge. Compliance personnel must be able to depend
on the accuracy of all information.
• Relevant. Information in an inspection report should be pertinent to
the objectives of inspection. Irrelevant facts and data will clutter
a report and may reduce its clarity and usefulness.
• Comprehensive. Suspected violation(s) should be substantiated by as
much factual, relevant information as is feasible to gather. The
more comprehensive the evidence is, the better and easier the outcome
of any enforcement action will be.
• Coordinated. All information pertinent to the subject should be
organized into a complete package. Documentary support (e.g.,
photographs, statements, sample documentation, etc.) accompanying the
report should be clearly referenced so that anyone reading the report
will get a complete, clear overview of the situation.
• Objective. Information should be objective and factual; the report
should not speculate on the ultimate result of any factual findings.
• Clear. The information in the report should be presented in a clear,
well-organized manner.
• Neat and Legible. Allow time to prepare a neat, legible report.
3.7.2.1 Elements of the Inspection Report - Although specific information
contained in the inspection report will vary depending upon the inspection
objectives, most reports will contain the same basic elements:
• Cover page
• Narrative report; and
• Documentary support.
3.7.2.1.1 Cover Page - A cover page is used for easy access to basic
facility information. It should include:
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Facility name and address,
Facility identification number,
Facility contact and/or representative (including phone number),
Type of inspection,
Date of inspection, and
Inspector's name.
3.7.2.1.2 Narrative Report - The narrative portion of an inspection
report should be a concise, factual summary of observations and activities,
organized in a logical, legible manner, and supported by specific references
to accompanying documentary support.
The following work plan will simplify preparation of the inspection
report and will help ensure that information is organized and in a usable
form. The basic steps in writing the narrative report include:
• Reviewing the Information. The first step in preparing the narrative
is to collect all information gathered during the inspection. The
inspector's field notebook should be reviewed in detail. All
evidence should be reviewed for relevance and completeness. Gaps may
need to be filled by a phone call or, in unusual circumstances, by a
follow-up visit to the facility.
• Organizing the Material. The information may be organized in many
forms depending on the individual need, but should present the
material in a logical, comprehensive manner. The narrative should be
organized so that it will be easily understood by the reader.
• Referencing Accompanying Material. All documentary support
accompanying a narrative report should be clearly referenced so that
the reader will be able to locate these documents easily. All
documentary support should be checked for clarity prior to writing
the report.
• Writing the Narrative Report. Once the material collected by the
inspector has been reviewed, organized, and referenced, the narrative
can be written. The purpose of the narrative is to record
factually the procedures used in, and findings resulting from,
the evidence-gathering process. The inspector need only refer
to routine procedures and practices used during the inspection,
but should describe facts relating to potential violations and
discrepancies in detail.
If the inspector follows the steps presented, the report should develop
logically from the organizational framework of the inspection. In writing the
narrative, the inspector should keep the following in mind:
Use a simple writing style; avoid stilted language.
Use an active, rather than passive approach: (e.g., "He said that..."
rather than "It was said that...").
Keep paragraphs brief and to the point.
Avoid repetition.
Proofread the narrative carefully.
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A basic format which can be adapted for most narrative reports is
outlined below.
• General Inspection Information
- Inspection objectives
- Facility selection scheme
- Inspection facts (date, time, location, plant official, etc.)
• Summary of Findings
- Factual compliance findings (include problem areas)
- Compliance status with applicable regulations
- Administrative problems (as with entry, withdrawal of consent,
etc.)
- Recommended future action (if appropriate)
• Facility Information
- Process information
- Raw materials, production rates
- Control equipment
- Applicable regulations
- Enforcement history
• Inspection Procedures and Detail of Findings
- Refer to standard procedures used
- Describe nonroutine procedures used
- Reference inspection data attached
- Note and reference any statements taken
- Reference photographs, if relevant
- Reference any drawings, charts, etc. made
- Reference visible emission observation forms
- List records reviewed and address inadequacies
• Sampling
- Refer to methods used
- Reference analytical results attached
• Attachments
- List of all documentary support attached
3.7.2.1.3 Documentary Support - The documentary support is all evidence
referred to in the inspection report. It will include:
Inspector's field notes, forms, checklists;
Drawings, charts, etc;
Photographs;
Analysis results of sample collected;
Statements taken; and
Visible emission observation forms.
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3.7.2.2 Confidential Business Information - In preparing the report,
material claimed confidential business Information should preferably be
referenced in a nonconfidential manner. Alternatively, the report may
include the confidential information; however, the entire inspection
report must then be treated as a confidential document (see Section
3.8).
3.8 HANDLING CONFIDENTIAL BUSINESS INFORMATION
As part of the data gathering involved in the air compliance
inspection, the inspector may encounter and/or collect information
claimed confidential by the company. It is recommended that such
information be avoided unless it is essential to the inspection
objectives. The less confidential data collected, the less
confidential data that will require safeguarding. At all times during
the inspection, the inspector should communicate to the company
officials that the Agency has an organized, secure scheme for
confidential business information handling. This will do much to
increase their confidence and rapport with the Agency.
The remainder of this section describes procedures which must be
followed for the handling of confidential business in those cases where
it proves necessary to collect it.
3.8.1 Federal Laws and Regulations Governing Confidential Business
Information
Trade secrets and confidential information are protected from
public disclosure by Section 114 (c) of the Clean Air Act. The type of
information that may be claimed confidential business information is
defined in Title 40, Code of Federal Regulations, Part 2, as
amended. Part 2 ( 211) also covers the penalty for wrongful
disclosure:
"(A) No EPA Officer or employee may disclose, or use for his or her
private gain or advantage, any business information which
came into his or her possession, or to which he or she
gained access, by virtue of his or her official position
or employment, except as authorized by this subpart.
(B) Each EPA Officer or employee who has custody or possession of
business information shall take approppriate measures to
properly safeguard such information and to protect against its
improper disclosure.
(C) Violation of paragraphs (A) or (B) of this section shall
constitute grounds for dismissal, suspension, fine, or other
adverse personnel action. Willful violation of paragraph (A)
of this section may result in criminal prosecution under 18
U.S.C. 1905 or other applicable statute."
Air Compliance Inspection Manual 3-28 9/30/84
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3. 8. 2 Defining Confidential Business Information
From the inspector's standpoint, confidential information may be defined
as information received under a claim of confidentiality (see Section 3.8.3)
which may concern or relate to trade secrets, processes, operations, style of
work, apparatus, confidential statistical data, amount or source of any
income, profits, losses, or expenditures* This information could be in
written form, in photographs, or in the inspector's memory.
3.8.3 Declaration of Confidential Business Information
Section 114 (a) of the Clean Air Act states that an inspector may sample
any emissions, request information, have access to and copy any records, and
inspect any equipment. The information that is collected is available to
the public. If a company does not want inspection information to be available
to the public, it must request that the Administrator of EPA consider the
information confidential. In its declaration of confidential business
information, the company must show that the information, if made available,
would divulge trade secrets. The information may then be handled as if it
were confidential, but may still be disclosed to authorized representatives of
EPA.
Therefore, a business is entitled to make a declaration or claim of
confidentiality for all information that an inspector requests or has access
to; but a business may not refuse to release information requested by the
inspector under the authority of Section 114 of the Act on the grounds that
the information is considered confidential or a trade secret. The claim of
confidentiality relates only to the public availability of such data and
cannot be used to deny access to a facility to EPA inspectors performing
duties under Section 114 of the Act.
Information which EPA determines to be emissions data or not trade secret
may, upon such a determination and upon notice to the company, be disclosed to
the public. See Reference 2 for a description of relevant procedures.
It is the inspector's responsibility to inform company officials during
the opening conference of their rights regarding confidentiality claims. He
should explain that they will have the opportunity both during and after the
inspection to identify any data to be claimed confidential. They may then
supply the inspector with a written Declaration of Confidential Business
Information listing each item at the closing conference, or at a later date.
The inspector should handle data identified as confidential in a confidential
manner until the company has made its written claim. Claims should include:
• Name, title, and address of firm and individual making the
declaration;
• Date of declaration;
Air Compliance Inspection Manual 3 - 29 9/30/84
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• List, by title or description of all information or samples claimed
confidential;
• Dates and other information concerning data that requires
confidential treatment only until a certain date or event;
• EPA Regional Office; and
• Name and title of inspector.
The paragraph below is an excerpt from 40 CFR Part 2 and is suggested
language for use by the inspector in explaining claims of confidentiality.
"If you believe that any of the information required to be
submitted pursuant to this request is entitled to be treated as
confidential, you may assert a claim of business confidentiality,
coveraing all or any part of the information, by placing on (or
attaching to) the information a cover sheet, stamped or typed
legend, or other suitable notice, employing language such as
"trade secret," "proprietary," or "company confidential."
Allegedly confidential portions of otherwise nonconfidential
information should be clearly identified. If you desire
confidential treatment only until a certain date or until the
occurrence of a certain event, the notice should so state.
Information so covered by a claim will be disclosed by EPA only to
the extent, and through the procedures, set forth at 40 CFR
Part 2, Subpart B."
3.8.4 Receipt of Confidential Business Information
As stated previously, the inspector must be careful to identify all
privileged information collected during an inspection. And, since
confidential information involves extra handling, paperwork and possible legal
consequences, he should avoid collecting privileged information
unnecessarily. Under ideal circumstances, a facility official will accompany
the inspector and make preliminary indications of information which may be
claimed confidential. The inspector himself should never speculate whether
any data claimed confidential will eventually be determined confidential; this
determination is a legal and administrative policy decision and not within the
inspectors authority.
If possible, confidential information should not be entered into the
field notebook. One technique is to use a nonconfidential reference to the
information in the notebook and separate sheets (which are considered separate
documents) on which to record the confidential information.
Photocopies or manual copies of records or other documents considered
confidential can be separated and kept with the confidential field notes. At
the end of the inspection, the inspector should make a complete inventory
of the confidential information received. This may be done during the closing
conference where the company officials may to make their claims of con-
fidentiality. Company officials should be informed that they may also make
claims of confidentiality at a later time.
Air Compliance Inspection Manual 3-30 9/30/85
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Each page of confidential information received should be stamped with a
statement such as these examples below.
CONFIDENTIAL BUSINESS INFORMATION
CLAIMED CONFIDENTIAL
DOCUMENT PAGE OF_
REC'D. FROM DATE ~
REC'D. BY PN
An inventory should be prepared which lists for each document:
• Document number;
• Number of pages;
• Brief description;
• Date received.
3.8.4.1 Samples - If the company has declared a physical sample confidential
business information, the inspector should mark the seal "Confidential
Business Information."
3.8.5 Handling in the Field
The inspector may sometimes be on the road for several days while doing
Inspections. During this time, it is his/her full responsibility to ensure
that the confidential information collected is handled securely. Procedures
for handling in the field are listed below.
• Documents and field notes are considered secure if they are in the
physical possession of the inspector and are not visible to others
while in use.
• Confidential inspection documents should be kept inside an unlabeled
envelope which is in a locked briefcase. If it is impractical to
carry the briefcase into a given siutation, the briefcase may be
stored in a locked area such as a motel room or the trunk of a motor
vehicle.
• If it is necessary for the inspector to review a confidential
document, it should be done in privacy since the "Confidential
Business Information" marking is likely to arouse curiosity. If
privacy is violated, the documents must be shielded from view
immediately.
• Physical samples should be placed in locked containers and stored in
a locked portion of a motor vehicle. The chain of custody procedures
provide further protection for ensuring the integrity of the sample.
Air Compliance Inspection Manual 3-31 9/30/85
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3.8.6 Handling in the Office
Immediately upon return to the agency, the potentially confidential
information (data, charts, drawings, etc.) should be placed in a secure,
locked dfile cabinet (in a locked room) designated especially for confidential
information. Only personnel authorized by the Regional Administrator,
Division Director, or Branch Chief will be allowed access to the file.
Records should be kept of every person who uses a document including their
name, signature, and date taken from file. EPA Form 1481-2, Privileged
Information Control Record, may be used for this purpose.
Samples considered confidential should be assigned a document number and
sent to an approved lab for analysis. The chain of custody and analysis
results should bear this document number. At all times prior to analysis
and/or disposal, the samples should be stored in a locked cabinet. Analysis
results should also be treated as confidential information.
Copies of information marked "trade secret" and/or "confidential" should
not be made unless written authorization has been obtained from the Regional
Administrator, Division Director, or Branch Chief. When it becomes necessary
to copy privileged information, all copies should be included in the
confidential document inventory and accounted for as would be an original.
Requests for access to confidential information by any member of the
public, or by an employee of a State, local, or Federal Agency, shall be
handled according to the procedures contained in the Freedom of Information
Act regulations (40 CFR Part 2). All such requests shall be referred to
the responsible Regional organizational unit.
3.8.7 Privileged Data and Report Preparation
In preparing the inspection report, it is recommended that confidential
information be referenced in a nonconfidential manner (i.e., by reference 'to
the document in the confidential files and a general description of the
information contained therein). If necessary, the confidential data may be
included in the report, but the entire report must then be treated as a
confidential document.
3.9 CHAIN OF CUSTODY PROCEDURES
An important aspect of the introduction of evidence during enforcement
proceedings is documentation of the possession and handling of that evidence
from the moment of its collection to its introduction as evidence. This
documentation is generally referred to as the "chain of custody." Chain of
custody documentation assures the court or other quasi-judicial body of the
data integrity and is applicable to the following types of evidence.
Air Compliance Inspection Manual 3-32 9/30/84
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• Samples
• Photographs
• Field Notes
• Laboratory Notes
The most rigorous proof of a chain of custody is usually required for physical
samples, thus this discussion will focus on chain of custody procedures for
samples.
3.9.1 Elements of Custody
A sample or document is in "custody" if:
• It is in one's actual physical possession.
• It is in one's view.
• It was in one's physical possession and it was secured so it couldn't
be tampered with.
• It is kept in a secured area with access restricted to authorized
personnel only.
• It is placed in a container or other receptacle sealed with an
Official Seal (see Figure 3-2) that will be broken when the
receptacle is opened.
^•t^. UNITED STATES
* f\**' IMVIRONMCNTAL PROTECTION AGENCY
( S&2. $ INSPECTOR'S SEAL
SAMPLE NO. 1 O*T«
SIGNATURE
PRINT NAME AND TITLE fM
-------
1. Establishing Custody. Sample custody is initiated at the time of
collection by labeling the sample with a sample tag (see Figure 3-3)
and sealing the sample with the Official Seal. The sample container
or wrapper is sealed with the Official Seal so that it may not be
opened at any point without breaking the seal and/or the original
unit package. No more than one sample should be sealed under one
seal.
If the company declares a physical sample confidential business
information, the inspector should mark the tag and seal "Confidential
Business Information." (See Section 3.8 for more discussion of
confidential business information.)
If it becomes necessary to break a seal, it should be mounted on
a piece of paper, properly initialed and dated and submitted with the
sample records to provide as part of the continuous history of the
sample. The sample itself should be resealed with a new seal.
CHAIN OF CUSTODY RECORD
NAME Of UNIT AND ADDRESS
^
^^^•OURCE OF SAMPLE
NAME OF PERSON TAI
WITNESS(ES) TO TAKIr
TIME TAKEN (hours) I DATE TAKEN
NAME OF PERSON TAKING SAMPLE (First Inillol, Last Nam.)
WITNESSIES) TO TAKINC SAMPLE (First Initial, Last Name)
EPA (DUR) 253
DISPATCH OF RECEIPT OF
SAMPLE SAMPLE
1 hereby certify that 1 received this
noted below.
semple end disposed of it as
RECEIVED FROM I DATE RECEIVED
DISPOSITION OF SAMPLE
1 hereby certify that 1 obtained this
shown below.
DATE OBTAINED TIME OBTAINE
TIME RECEIVED
SIGNATURE
sample and dispatched it as
D SOURCE
DATE DISPATCHED TIME DISPATCHED METHOD OF SHIPMENT
SENT TO
SIGNATURE
.
Figure 3-3. Example of a Sample Tag.
2. Preparing Sample Documentation. A major aspect of the chain of
custody is the preparation and maintenance of written information
describing the collection, shipment, and storage of the sample.
Preparation of this documentation is the responsibility of the
inspector and lab personnel. Properly maintained, this documentation
serves as a clear and complete account indicating the sample has
remained intact from collection to introduction as evidence.
The sample must be consistently identified throughout this
documentation. Sample numbers are used for this purpose; one unique
Air Compliance Inspection Manual
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9/30/84
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sample number is used for each sample. It should appear on all documentation
relating to a sample including; seals, sample tags, the Chain of Custody
Record, inspector's field notes, drawings, photographs, etc.
3. Coordinating Sample and Documentation. The inspector must assure
that the relationship between the physical sample and the related
documentation is clear, complete, and accurate. The sample number,
date, and inspector's initials should appear on all documents, and
the forms should be completed accurately and completely. An example
chain of custody form or record is shown in Figure 3-4.
4. Ensuring Custody during Transit. Shipment to sample of the
laboratory will involve the following procedures:
• Samples must always be accompanied by the Chain of Custody
Record. Copies of documents should be retained by the
originator.
• Sample packages which are mailed must be sent registered or
certified mail with return receipt requested.
• If sent by other common carrier, such as U.P. S., a bill of
lading should be used.
• Samples should be shipped to the person designated laboratory
custodian and labeled "deliver to addressee ONLY." This
person accepts custody and continues the chain of custody
from that point onward.
• All receipts and shipping documents must be included in the
chain of custody documentation.
• Shipped samples should always be properly packed to prevent
breakage, and the package should be sealed or locked so that
any evidence of tampering may be readily detected.
Air Compliance Inspection Manual 3-35 9/30/84
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f\ ^~^^/\ United States
W*^ l—*fr^yfc»V Environmental Protection
\^L_I ^m Agency
Chain of Custody Record
Inspector Name and Address
Inspector Signature
Analysis/Testing Required
Laboratory
Date Received
Received By
Sent Via
Sample Condition
Condition of Seals
Units Received
Storage Location
Assigned By
Assigned To
Delivered By
Date Delivered
Number of Unxts Received
Units Analyzed
Date Seal Broken
Date Resealed
Resealed By
Storage Location
Date Results of Analysis
Issued to EPA
Sample Number
Trtsk Number
Inspection Number
Sample Name
Date Sample Time Duplicate Recpip'»tert
( } Yes ( } No
Location of Sampling
Date Results of Analysis
Issued to Facility
Remarks
Figure 3-4. Example Chain of Custody Record.
Air Compliance Inspection Manual
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9/30/84
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3.10 REFERENCES
1. Memorandum on "Final Guidance on Use of Unannounced Inspections" from the
Director of Division of Stationary Source Enforcement to Air Management
Division Directors, Regions I-X." Office of Air and Radiation. U. S.
Environmental Protection Agency. September 6, 1984.
2. Clean Mr Act Compliance/Enforcement Manual. Draft, 1984.
3. Richards, J., and Segall, R. Advanced Inspection Techniques Workshop,
Student Manual (Draft). Report submitted under EPA Contract No.
68-02-3960, May 1984.
4. Clean Air Act. (42 U. S.C. 7401 et seq., as amended by the Air Quality
Act of 1967, PL 90-148; Clean Air Amendments of 1970, PL 91-604;
Technical Amendments to the Clean Air Act, PL 92-157; PL 93-15, April 9,
1973; PL 93-319, June 24, 1974; Clean Air Act Amendments of 1977, PL
95-95, August 7, 1977; Technical Amendments to the Clean Air Act, PL
95-190 November 16, 1977). Published in the Environmental Reporter,
Bureau of National Affairs, Inc. Washington, D.C., 12-23-77.
5. "Memorandum on Inspection Procedures (April 22, 1979)," from the
Assistant Administrator for Enforcement to the Regional Administrators,
Surveillance and Analysis Division Directors, and Enforcement Division
Directors, U.S. Environmental Protection Agency, published in The
Environmental Reporter, Bureau of National Affairs, Inc., Washington, DC,
6-8-79.
6. Code of Federal Regulations. Title 40, Part 2 - Public Information,
revised as of March 23, 1979.
7. DeWees, William G., von Lehmden, Darryl J. and Carl Nelson. Quality
Assurance Handbook for Air Pollution Measurement Systems, Volume III,
Stationary Source Specific Methods. Section 3.12 - "Method 9 - Visible
Determination of the Opacity of Emissions from Stationary Sources." U.S.
Environmental Protection Agency. EPA 600/4-77-027b. August 1977.
8. Privileged Information Control Record. Part III - Document Security,
Chapter 12. U.S. Environmental Protection Agency. Originator: PM-215.
January 6, 1981.
9. The National Pollutant Discharge Elimination System (NPDES) Compliance
Inspection Manual. Office of Water Enforcement and Permits. U.S.
Environmental Protection Agency. October 1983.
10. Toxic Substances Control Act Inspection Manual. Pesticides and Toxic
Substances Enforcement Division. U.S. Environmental Protection Agency.
January 1980.
11. "Memorandum on Compliance Strategy for Stationary Sources of Air
Pollution (November 14, 1983)," from the Assistant Administrator for Air
and Radiation to the Deputy Administrator. U.S. Environmental Protection
Agency, Washington, D.C., 11-14-83.
Air Compliance Inspection Manual 3-37 9/30/84
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12. Air Pollution Compliance Monitoring Procedures. National Enforcement
Investigations Center, Denver, Colorado. Office of Enforcement. U. S.
Environmental Protection Agency.
13. Richards, John R. Counterflow Inspection Procedures. Draft Report by
Engineering-Science, Durham, North Carolina under EPA Contract No.
68-01-6312, Task No. 28. April 1982.
Air Compliance Inspection Manual 3-38 9/30/84
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4.0 RECORDKEEPING AND REPORTING
The U. S. Environmental Protection Agency (EPA) has promulgated regula-
tions in 40 CFR Parts 51, 60 and 61, which require stationary sources to keep
records and/or report data associated with national emission standards for new
stationary sources and hazardous pollutants. These regulations include con-
tinuous emission monitoring, compliance testing, control device monitoring,
process monitoring, ambient monitoring, and a variety of notification and
information reports.
This chapter provides an overview of recordkeeping and reporting require-
ments under the aforementioned regulations. Source permits may include these or
additional recordkeeping or reportig requirements of which the inspector
should be aware. Information, including excess emission reports and performance
test reports, which is reported to the agency (federal or state) under these
regulations is often available to the inspector for review preceeding or
following his on-site inspection. Records required to be kept by the source
(and not reported) are available to inspector during the on-site inspection
itself and can be checked and/or reviewed at that time.
The chapter is organized by source activities. Section 4.1 delineates
the general reporting requirements for all sources affected by Parts 60 and
61. Section 4.2 addresses the continuous emission monitoring (GEM) require-
ments with emphasis on excess emission reports (EERs) and on GEM Performance
Specification Tests (PSTs). Section 4.3 discusses the essentials of compli-
ance source testing and reporting. Section 4.4 presents proposed forms for
control device monitoring such as fabric filters, wet scrubbers, incinerators,
and electrostatic precipitators. Process parameter monitoring is discussed
in Section 4.5. Special NESHAP requirements that do not logically belong in
the preceding sections are in Section 4.6.
Discussed separately within each section are the sources affected by the
New Source Performance Standards (NSPS) and the National Emission Standards
for Hazardous Air Pollutants (NESHAP); these regulatory requirements are
summarized in narratives, tables, and figures. Recommended reporting formats
are provided where appropriate. Inclusion of any data that exceed the minimum
regulatory requirements is explained.
Since the majority of this chapter concerns NSPS and NESHAP requirements
and these standards are constantly being revised and/or new standards are
being promulgated, the reader is cautioned to consult the Federal Register,
etc. for the most up-to-date information.
4.1 GENERAL REQUIREMENTS
In Subpart A, General Provisions, of CFR Parts 60 and 61 are the
recordkeeping and recording requirements that, unless otherwise specified,
Air Compliance Inspection Manual4-19/30/85
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apply to all sources. The requirements for notification of dates for
various source activities are discussed in this section. Other reports
and records required by this subpart are discussed in Sections 4.2 and 4.3.
4.1.1 Regulatory Requirements
The requirements for NSPS sources in §60.7 are the notification of dates
of source construction and anticipated startup, actual startup, and demonstra-
tion of GEM performance. The notification of the date of any performance tests
is required by §60.8 Notification of dates should be by registered letter to
the appropriate regulatory agency.
For NESHAP sources the notification of anticaipated and actual source
startup dates and the submittal of an application to construct or modify a
source is required by §61.07. Notification of dates should be by registered
letter.
Tables 4-1 and 4-2 summarize the regulatory requirements for NSPS
and NESHAP sources.
4.2 CONTINUOUS EMISSION MONITORING
EPA has promulgated regulations requiring certain NSPS facilities to
install, maintain, and operate continuous emission monitoring (GEM) systems.
In addition, EPA has required that State Implementation Plans (SIPs) be re-
vised to require certain existing facilities to install, maintain, and operate
GEM systems. These regulations require "performance testing" and "periodic
reports and recordkeeping of the nature and magnitude of such emissions."
Furthermore, new interpretation of Sections 113 and 114 of the Clean Air Act
(CAA), as amended in 1977, requires the use of recordkeeping and reporting
requirements as means of enforcing emission standards.
Historically, the reporting requirements for NSPS sources (40 CFR Part
60) have involved a written report for any calendar quarter in which source
emissions exceed the value of the standard. The emission value, as recorded
by the GEM system (i.e., % opacity, ppm, Ib/ton, etc.) must be recorded, as
well as the duration (i.e., six minutes, 3 hours, etc.) of the excess emission.
An excess emission is defined as exceedance of the emission limit values over
the time period specified by the subject standard. Similarly, 40 CFR Part 51
requires some existing stationary sources to implement a continous monitoring
program and to provide quarterly excess emission reports (EERs). The minimum
information required in the excess emission report is:
1. The magnitude, duration and date of excess emissions;
2. The identification of each excess attributable to startups,
shutdowns, and malfunctions;
3. The cause of any malfunction and the corrective action or
preventive measures adopted;
4. The date, time, and duration of any monitor outage for reasons
other than zero and span checks;
Air Compliance Inspection Manual4-29/30/84
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"i. The reason for monitor outage and corrective action taken;
6. If there are no excess emissions and no monitor outages, this
information must also be reported.
These reporting requirements were intended to provide the source operator
the information and incentive to monitor and "fine tune" the pollution control
device. However, as the EPA and many State air pollution control agencies
expand their source emission monitoring programs, the EER is being used for
enforcement of emission standards.
The EER is used by regulatory agencies for enforcement actions; therefore,
the report must be thorough and complete. However, a recent survey of 22 NSPS
NSPS sources required to submit EERs to EPA Regions V, VI, VII, and VIII,
revealed that only 25 percent of the required information was reported to the
Federal or State authorities. All 22 sources surveyed had omitted one or
more of the following areas of information from the EER:
1) reason for the excess emissions.
2) action taken to reduce excess emissions.
3) malfunctions of the GEM system.
Another survey of 12 sources showed that GEM programs with good recordkeeping
and notification procedures also have reliable GEM operations. EPA has not
formalized an EER format and the CFR provides very little guidance to source
operators attempting to comply with the regulations.
4.2.1 Regulatory Requirements
GEM systems are being used as compliance tools by both EPA and state
agencies. Monitoring, recordkeeping, and data reporting requirements vary
from state to state. State requirements for reporting excess emissions
cannot be more lenient than the Federal regulation; however, they may be
stricter. Variability in reporting excess emissions to regulatory agencies
has caused concern when trying to correlate emissions with pollution control
malfunctions across the nation.
The NSPS EER regulatory requirements are in 40 CFR Part 51 and 40 CFR
Part 60 and their subparts. Table 4-3 summarizes the regulations and re-
porting requirements specified in these subparts.
4.2.2 Performance Specification Test Report Format
A standardized format for GEM performance specification test (PST)
reports is recommended to enable accurate, efficient, and effective
reviews. In addition, standardized reporting requirements would emphasize
completeness and promote thorough and better quality PST procedures. A
standardized test report format would be beneficial for both agencies and
source operators.
In the paragraphs that follow, a report format is recommended. The
criteria considered for its development include:
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4-22
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(1) formal elements, such as title pages, certification
pages, table of contents, etc.
(2) background information necessary to present data
and results in the proper technical and regulatory perspective.
(3) sufficient data to determine the performance status
of the tested monitor, and to support the test results.
The performance specifications and test procedures are described in
Appendix B of 40 CFR Part 60. The performance specifications are organized
according to the parameter being monitored, as follows:
• PS 1 for opacity monitors
• PS 2 for S02 and NOx monitors
• PS 3 for C0£ and 02 monitors
4.2.2.1 Performance Specification Test 1 - The PST report Table of Contents
(See Figure 4-1) is an excellent outline of the recommended report format.
Discussion of the information to be included in each element of the outline
follows.
1. Title Page
Figure 4-2 is an example of a PST report title page. The title page
should include the following: (1) the type of CEM(s) tested (in this case,
opacity monitor); (2) test dates; (3) identification of the affected facility
and its location; (4) regulatory agencies receiving the report; (5) the date
the report was submitted; (6) identification of the organization submitting
the test report.
2. Certification Page
For engineering test reports, the test team leader and a professional
engineer or another engineer should verify that the report has been re-
viewed and is accurate. The certification page also provides the Agency
reviewer with the name of a knowledgeable person to contact in the event
that questions arise. A statement that the monitoring system operated
within the performance specifications should also be included. Any speci-
fication not successfully met should be identified. An example of a certi-
fication page appears in Figure 4-3.
3. Table of Contents
A table of contents (See Figure 4-1) aids the reviewer in locating per-
tinent sections of the report. The pages of the report should be numbered.
Air Compliance Inspection Manual 4-23 9/30/84
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4. Introduction
The introduction to the test report should include the purpose and back-
ground of the test. It should be brief, and the following items should also be
included: (1) the name and location of the affected source; (2) a description of
the source process; (3) the process production rate; (4) the fuel category; (5)
an identification of the regulation(s) requiring monitoring of emissions; (6)
if applicable, an identification of the state or local agency with jurisdiction
over the source; (7) a discussion of pertinent pretest protocol; (8) the names
of the testing firm, source, and regulatory agency observers present during the
testing; (9) the types of monitors used, and their serial numbers; and (10)
the dates of the operational test period, and conditioning period. Figure 4-4
provides a format for the PST report introduction.
5. Summary of Results
The summary of results is the heart of a monitor PST report. The results
should be in tabular form. Interpretation and review will be greatly facili-
tated if thft results are juxtaposed with the applicable performance specifica-
tions. Figure 4-5 illustrates an example Summary of Results for PST 1.
6. Discussion of Results
A discussion of the results should follow the summary of results. This
discussion should be brief and should focus on those tests in which: (1) ana-
malous data were obtained, (2) departures from standard test procedures were
observed, or (3) failure to meet the performance specification occurred.
Possible causes for these anomalies, deviations, and/or failures should be
presented and discussed.
7. Description of Source
The report should contain a brief description of the source, with empha-
sis on those aspects of source operation that directly affect the monitor
performance test. For example, if the source is a fossil-fuel fired steam
generator, then the description should address the full load heat input rate,
the fuel, and the location of the monitor within the effluent handling system.
The heat input rate determines the necessity for monitoring. The fuel, be it
gas, oil, or coal, determines the appropriate continuous monitor span. The
continuous monitor location helps to determine the representativeness of the
sample. The location of the monitor (i.e., the region or point within the
effluent stream where pollutant emissions are measured) should be addressed
within all PST reports regardless of the source category. An example of a
plant schematic is shown in Figure 4-6.
Since PST procedures can be conducted during any normal process operating
conditions, any emission rate data can be assumed to represent these conditions.
EPA's current emission rate data base for most source categories represents
only full load, or maximum production rate conditions. Documentation of pro-
cess rate, operating conditions, and control equipment status in PST reports
can aid in expanding the scope of EPA's emission rate data base.
Air Compliance Inspection Manual4-249/30/84
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8. Monitor Description
The test report should include a description of the monitor tested. The
description should identify the monitor location relative to: flow disturb-
ances, particulate and gaseous control equipment, and the duct centerline if
located in a horizontal duct. An example of a schematic appropriate for the
description of a monitor location is shown in Figure 4-7. The nearest access
and type of access (ladder, stairwell, etc.) should also be discussed since
the March 30, 1983, promulgation of the revised PS 1 requires that this be
considered when locating a monitor.
The description should also address the monitor measurement pathlength,
stack exit diameter, internal span calibration filter value, output span val-
ue, and type of recorder. The recorder description should identify the in-
tegration or averaging periods used. All system component manufacturers,
models, and serioa numbers should be listed. The date (month/year) the mon-
itor was manufactured, and the serial number and date of manufacture (month/
year) for the unit tested for design specification conformance should be
included.
9. Discussion of Test Procedures
This section of the report should specifically discuss the test pro-
cedures used to evaluate the monitor's acceptability. For tests conducted
by the manufacturer such as the spectral response, and angle of projection/
view, the manufacturer should provide a description of the procedures used.
Test procedures conducted at the facility installing the monitor should
be documented. The calibration error test procedures, for example, should be
described in enough detail that the report reviewer can determine if the
specifically required procedures were used. At a minimum, the report should
state that the transmissometer was set up, off the stack, using the in-stack
measurement pathlength, that calibration filters were introduced at the
midpoint of the path, and that the entire measurement beam passed through the
filters. Each of the individual performance specification test procedures
should be discussed in similar detail. Those tests that should be addressed
are:
Design Specifications
• Mean and Peak Spectral Response Test
• Angle of View/Angle of Projected Test
• Optical Alignment Site Test
Performance Specifications
• Calibration Error Test
• Response Time Test
• 24-Hour Drift Test
• 2-Hour Drift Test
The date and time all test procedures were performed should be documented
including the conditioning period, and operational test period.
Air Compliance Inspection Manual4-259/30/84
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FIGURE 4-1. PST REPORT RECOMMENDED FORMAT: TABLE OF CONTENTS
TABLE OF CONTENTS
Title Page
Certification Page
Table of Contents
Section 1.0 Introduction
Section 2.0 Summary of Results
Section 3.0 Discussion of Results
Section 4.0 Description of Source
Section 5.0 Description of Monitors
Section 6.0 Discussion of Test Procedures
Section 7.0 Performance Specification Test Data Sheets
APPENDIXES
Appendix A. Reference Method Raw Data
Appendix B. Strip Chart Records
Appendix C. Calibration Data
Appendix D. Standard Reference Material Value Certification
Page
1
2
3
4
6
7
10
14
22
30
A-l
B-l
C-l
D-l
Documentation
Air Compliance Inspection Manual
4-26
9/30/84
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FIGURE 4-2. PST REPORT RECOMMENDED FORMAT: TITLE PAGE
Performance Specification Test Report
for Tests conducted on the
GEM Monitor for Opacity
Test Dates
Name of Company
Unit, Location, State
Submitted to
US EPA
Air Enforcement Branch
Region
Date Submitted
Submitted by:
Company Name
Street Address
City, State, Zip
Air Compliance Inspection Manual 4-27 9/30/84
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FIGURE 4-3. EXAMPLE OF A CERTIFICATION PAGE FOR A PST REPORT
The results of the PST 1 Procedures and Operational Test Periods
indicated that the operation of the CEM system meets PS1 requirements,
We certify that we have reviewed the report and find it accurate.
name
Test Team Chief
name
Professional Engineer
Air Compliance Inspection Manual 4-28 9/30/84
-------
FIGURE 4-4. PST REPORT RECOMMENDED FORMAT: INTRODUCTION
Section 1.0 INTRODUCTION
This report presents the results of a Performance Specification Test
performed date at source company name , location
The unit tested was a coal-fired boiler designated as Unit #2 .
The boiler is a type rated at 110,000 Ib per hour steam flow ,
normally operated at 200 psi steam pressure . Sections 113 and
114 of the CAA and the State SIP administered by the State Department
of Air Quality require this facility to operate a GEM system. Personnel
from testing rTrm name met with source company name and agency
personnel on dates to establish the tests to be conducted and other
sampling protocol. Testing firm name conducted the PST on the GEM
Manufacturer, model, serial number 0000 used to monitor opacity/S02/NOy
Members of the test team were .
Regulatory agency observers from EPA and the State Department of Air
Quality present for the test were .
Air Compliance Inspection Manual 4-29 9/30/84
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FIGURE 4-5. PST 1 REPORT RECOMMENDED FORMAT:
SUMMARY OF RESULTS
Result
Peak Spectral Response 573 run
Mean Spectral Response 562 nm
Spectral Response Above 700 nm 4%
(percent of peak)
Spectral Response Below 400 nm 0%
(percent of peak)
Specification
500 <> 600 nm
500 <> 600 nm
< 10%
< 10%
Angle of Projection (degrees)
Angle of View (degrees)
Calibration Error: High-Range
Mid-Range
Low-Range
Response Time
24-Hour Zero Drift
24-Hour Calibration Drift
3°
3°
2.1%
0.7%
0.2%
2.5 seconds
0.3%
0.4%
<_ 3°
< 3°
< 3%
< 3%
<, 3%
< 10 seconds
<_ 2%
£ 2%
Air Compliance Inspection Manual
4-30
9/30/84
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FIGURE 4-6. PST REPORT RECOMMENDED FORMAT: PLANT SCHEMATIC
AVTEX POWER HOUSE
OLD STACKS
COMMON BREECHING •
FIVE PIPES FROM MULT I CLONES
NEW lb'10
150' AGI
STACK
X
IS COMPARTMENT
FABRIC FILTER
BAGHOUSE
-<
W
TWIN n
- ID -
FANS L
^-
FIGURE 4-7. PST REPORT RECOMMENDED FORMAT: MONITOR LOCATION SCHEMATIC
PORT A
MONITOR
REFLECTOR
• MONITOR
TRANSCEIVER
Air Compliance Inspection Manual
4-31
9/30/84
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10. Performance Testing Data Sheets
The test report should contain documentation of the following tests, as
specified in Performance Specification 1:
Calibration Error Test (See Figure 4-8)
Response Time Test (See Figure 4-9)
Zero Calibration Drift Test (See Figure 4-10)
These data sheet formats are similar to those presented in 40 CFR Part 60,
PS 1, Figures 1-1, 1-2, and 1-3, respectively.
11. Appendices
The test report should include in one appendix all the raw data that were
recorded during the PST. In general, these raw data fall into two categories:
continuous monitor data records, and data from calibration activities.
Copies of the data recorded by the continuous monitor over the entire
operational test period should be included in another appendix. System
recordings of calibration error, zero and optical alignment, response time,
and design specification tests should be included in the appendices.
Certification of all calibration filter values should be in an appendix.
This applies to filters used in calibration error tests as well as internal
span filters.
Finally, a separate appendix should be included for copies of procedures
cedures cited within the "Test Procedures" section.
4.2.2.2 Performance Specification Test 2 and 3 - The following discusses the
contents of the various sections of a report for PST 2 and 3.
1. Title Page
The title page should include the following: (1) the type of CEM(s)
tested (in this case, S02, NOX, C02» or 02 monitor); (2) test dates;
(3) identification of the affected facility and its location; (4) regula-
tory agencies receiving the report; (5) the date the report was submitted;
(6) identification of the organization submitting the test report. The
format is the same as that presented in Figure 4-2 for PST 1 reports.
2. Certification Page
For engineering test reports, the test team leader and a professional
engineer or another engineer should verify that the report has been re-
viewed and is accurate. The certification page also provides the Agency
reviewer with the name of a knowledgeable person to contact in the event
that questions arise. A statement that the monitoring system operated
within the performance specifications should also be included. Any speci-
fication not successfully met should be identified. An example of a certi-
fication page appears in Figure 4-3.
Air Compliance Inspection Manual 4-32 9/30/84
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FIGURE 4-8. PST 1 REPORT RECOMMENDED FORMAT:
CALIBRATION ERROR TEST
Person conducting test
Affiliation
Date
Analyzer Manufacturer
Model/Serial No.
Location
Monitor Pathlength, Lj Emission Outlet Pathlength,
Monitoring System Output Pathlength Corrected? Yes No
Calibrated Neutral Density Filter Values
Actual Optical Density (Opacity):
Low-Range ( )
Mid-Range ( )
High-Range
Path Adjusted Optical Density (Opacity)
Low-Range ( )
Mid-Range
T
High-Range
Run
Number
1-Low
2-Mld
3-High
4-Low
5-Mid
6-High
7-Low
8-Mid
9-High
10-Low
11-Mid
12-High
13-Low
14-Mid
15-High
Calibration Filter
Value
(Path- Ad jus ted Percent
Opacity)
Instrument
Reading (Opacity),
percent
Arithmetic Mean
Confidence Interval
Calibration Error
Arithmetic Difference
(Opacity), percent
Low
-
-
-
-
-
-
-
-
-
-
Mid
-
-
—
-
-
-
-
-
—
High
—
-
—
-
—
-
-
-
—
-
Air Compliance Inspection Manual
4-33
9/30/84
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FIGURE 4-9. PST 1 REPORT RECOMMENDED FORMAT: RESPONSE TIME DETERMINATION
Person Conducting Test
Affiliation .
Date
Analyzer Manufacturer
Model/Serial No
Location
High Range Calibration Filter Value:
Actual Optical Density (Opacity).
Path Adjusted Optical Density (Opacity).
Upscale Response Value ( 0.95 x filter value).
Response Value (0.05 x filter value).
.percent opacity
.percent opacity
Average
7 <«-nnH<
3
a
1
z
A
R
-------
Figure 4-10. PST 1 REPORT RECOMMENDED FORMAT:
ZERO CALIBRATION DRIFT TEST
Person Conducting Test
Affiliation
Date
Analyzer Manufacturer
Model/Serial No.
Location
Monitor Pathlength, Lj Emission Outlet Pathlength, L2
Monitoring System Output Pathlength Corrected:? Yes No
Upscale Calibration Value: Actual Optical Density (Opacity)
Path Adjusted Optical Density (Opacity)
Date
Time
Begin
End
Percent Opacity
Zero
Reading*
Initial
A
Arithmetic Mean
(Eq. 1-2)
Confindence Interval
(Eq. 1-3)
Zero Drift
Final
B
Zero
Drift
C=B-A
Upscale
Calibration
Reading
Initial
D
Final
E
Upscale
Drift
F=E-D
Calibration
Drift
Cali-
bration
Drift
G=F-C**
Align-
ment
*without automatic zero compensation
**if zero was adjusted (manually or automatically)
prior to upscale check, then use c=0.
Air Compliance Inspection Manual
4-35
9/30/84
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3. Table of Contents
A table of contents (See Figure 4-1) aids the reviewer in locating
pertinent sections of the report. The pages of the report should be numbered.
4. Introduction
The introduction to the test report should include the purpose and back-
ground of the test. It should be brief, and the following items should also
be included: (1) the name and location of the affected source; (2) a descrip-
tion of the source process (e.g., fossil-fuel fired steam generator); (3) the
process production rate (e.g., MW); (4) the fuel category (e.g., bituminous
coal); (5) an identification of the regulation(s) requiring monitoring of
emissions; (6) if applicable, an identification of the state or local agency with
jurisdiction over the source; (7) a discussion of pertinent pre-test protocol;
(8) the names of the testing firm, source, and regulatory agency observers
present during the testing; (9) the types of monitors used (manufacturer and
model); and (10) the dates of the operational test period.
5. Summary of Results
The summary of results is the heart of a monitor test report. It should
be in tablular form. If the results are juxtaposed with the applicable per-
formance specifications, interpretation and review will be greatly facilitated.
Figure 4-11 illustrates an example Summary of Results for PST 2 or 3.
6. Discussion of Results
A discussion of the results should follow the summary of results. This
discussion should be brief and should focus on those tests in which: (1)
anomalous data were obtained, (2) departures from standard test procedures
were observed, or (3) failure to meet the performance specification occurred.
Possible causes for these anomalies, deviations, and/or failures should be
presented and discussed.
7. Description of the Source
The report should contain a brief description of the source, with emphasis
on those aspects of source operation that directly affect the monitor perform-
ance test. For example, if the source is a fossil fuel-fired steam generator,
then the description should address the heat input rate, the fuel, and the
location of the monitor within the effluent handling system. The heat input
rate determines the necessity for monitoring. The fuel, be it gas, oil, or
coal, determines the appropriate continuous monitor span. The GEM location
helps to determine the representativeness of the sample. The location of the
monitor (i.e., the region or point within the effluent stream where pollutant
emissions are measured) should be addressed within all PST reports regardless
of the source category.
Air Compliance Inspection Manual 4-36 9/30/84
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FIGURE 4-11. PST 2 AND 3 REPORT RECOMMENDED FORMAT:
SUMMARY OF RESULTS
Result Specification
Monitor
Relative Accuracy 15% < 20% 1
24-Hour Calibration Drift 1.0% ^2.5%
Operational Test Period June 1-7, 1982 2. 168 h
^. Monitor
Relative Accuracy 17% _< 20%
24-Hour Calibration Drift 0.6% _< 2.5%
Operational Test Period June 1-7, 1982 2 168 h
O Monitor
Relative Accuracy 0.6% 0, <^ 20%2
24-Hour Calibration Drift 0.1% 02 <. 0.5% 02
Operational Test Period June 1-7, 1982 _> 168 h
C0? Monitor
Relative Accuracy 0.6% 0, _< 20%2
24-Hour Calibration Drift 0.1% 02 £ 0.5% 02
Operational Test Period June 1-7, 1982 _> 168 h
iThe relative accuracy of the CEMs must be no greater than 20% of the mean
value of the Reference Method test data in terms of the units of the
emission standard or 10% of the applicable standard, whichever is greater.
For S02 emission standards between 130 and 86 ng/J (0.30 and 0.20 Ib/MBtu) ,
use 15% of the emission standard.
2lhe relative accuracy of the CEMs must be no greater than 20% of the the
mean value of the Reference Method test data or 1.0% 02 or C02, whichever
is greater.
Air Compliance Inspection Manual 4-37 9/30/84
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Since PST procedures can be conducted during any normal process op-
erating conditions, any emission rate data can be assumed to represent these
conditions. EPA's current emission rate data base for most source categories
represents only full load, or maximum production rate conditions. Documen-
tation of process rate, operating conditions, and control equipment status in
PST reports can aid in expanding the scope of EPA's emission rate data base.
8. Monitor Description
The test report should include a brief description of the monitors
tested. This is important because, as applied, PST procedures are generally
monitor specific. For example, the calibration error tests for extractive
and in-situ monitors differ radically. Extractive monitors require injection
of calibration gases, while in-situ monitors require the use of cells contain-
ing calibration gases. Another example is the measurement basis of the mon-
itor. Moisture measurements must be performed concurrently with reference
method determinations during relative accuracy testing of wet basis pollutant
gas monitors.
The monitor description should include the following information: (1)
the make and model of the monitor; (2) the analytical measurement process
(e.g., infrared, second derivative ultraviolet, galvanic concentration cell);
(3) the moisture basis (wet or dry); (4) the measurement mode (extractive or
in-situ); and (5) the method employed for calibration.
The test report should contain a drawing that illustrates the general
locations and relative positions of the monitors and the reference method
sampling probe(s) within the effluent handling system (a schematic similar to
the one shown for an opacity GEM in Figure 4-6 is appropriate). The drawing
will aid the reviewer examining anomalous data and establish that the sites
for monitoring and sampling were chosen properly.
The recorder description should identify the integration or averaging
periods used. All system component manufacturers, models, and serial numbers
should be listed. The manufacturer, the serial number, and the date (month/
year) the monitor was manufactured should also be included.
9. Discussion of Test Procedures
The test report should include a section that discusses the procedures
employed during the PST. The discussion should be brief and should empha-
size those parts of the test for which no established procedures exist and/
or those parts of the test in which deviations from established testing pro-
cedures occurred. Specific descriptions of all procedures, including those
performed according to the specifications, should be included. Several ex-
amples of procedures that should be discussed are provided below.
When concentrations for calibration gases are determined using the ref-
erence methods, procedures for sampling gas cylinders should be described.
This is particularly true for Methods 6 and 7 because these methods do not
Air Compliance Inspection Manual 4-38 9/30/84
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directly apply to high pressure samples. The pertinent sampling procedures
should be discussed within the "Test Procedures" section of the report, or a
reference for the procedures should be cited. In the latter case, it would
be helpful to include within the report's appendixes a copy of the citation.
An analogous example would be the documentation of the method used for deter-
mining effluent moisture, if relative accuracy testing were performed for a
wet-basis GEM. Since Performance Specification 2 does not prescribe a method
for determining moisture, testers may choose among several methodologies. If
Reference Method 4 were not used, then the tester must provide a description
and discussion of the method employed in the test report. In this regard,
Performance Specification 2 explicitly states that the method used for deter-
mining moisture and the calculation procedures employed for correcting between
differing measurement bases (e.g., wet-basis or dry-basis) are to be reported.
Performance Specification 2 requires the reporting of the method used
for obtaining the OEM's concentration data for the relative accuracy compu-
tation. Therefore, a description of this method should be included within
the "Test Procedures" section of the test report. Descriptions of monitor-
specific PST procedures should also be included within the "Test Procedures"
section. Two such monitor-specific aspects of the PST are:
1. the pressure and flow rates for calibration gas injections.
2. the use of mixed calibration gases, e.g., S02 and 02 in nitrogen,
for monitors that have dual analysis capability.
Finally, the "Test Procedures" section should address all deviations
from the reference methods that occurred during the performance program. In
this regard, the Introductory paragraphs of 40 CFR Part 60, Appendix A, state:
". . .an owner electing to use . . . techniques (cited as "subject
to the approval of the Administrator" or as "or equivalent") is re-
sponsible for . . . (2) including a written description of the alter-
native method in the test report (the written method must be clear
and must be capable of being performed without additional instruction,
and the degree of detail should be similar to the detail contained
in the reference methods); and (3) providing any rationale or support-
ing data necessary to show the validity of the alternative in the
particular application."
10. Performance Test Data Sheets
The test report should, as appropriate, contain documentation of the
following tests, as specified in Performance Specification 2 and 3.
• Analysis of Calibration Gases (Figure 4-12)
• Zero Calibration and Drift (24 Hour) (Figure 4-13)
• Relative Accuracy Determination (Figure 4-14)
These data sheets are similar to those presented in 40 CFR Part 60, PS 2
and 3.
Air Compliance Inspection Manual 4-39 9/30/84
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FIGURE 4-12. PST 2 AND 3 REPORT RECOMMENDED FORMAT:
ANALYSIS OF CALIBRATION GAS MIXTURE
GAS: S02 NOX 02 C02
DATE REFERENCE METHOD
MID-RANGE CALIBRATION GAS MIXTURE
Sample 1 ppm/%
Sample 2 ppm/%
Sample 3 ppm/%
AVERAGE ppm/%
HIGH-RANGE (SPAN) CALIBRATION GAS MIXTURE
Sample 1 ppm/%
Sample 2 ppm/%
Sample 3 ppm/%
AVERAGE ppm/%
Air Compliance Inspection Manual 4-40 9/30/84
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Air Compliance Inspection Manual
4-41
9/30/84
-------
FIGURE 4-14.
PST 2 & 3 REPORT RECOMMENDED FORMAT
RELATIVE ACCURACY DETERMINATION
Run
No.
1
2
3
4
5
6
7
8
9
10
11
12
Date
and Time
Average
S02e
RM
M |Diff
ppmd
Confidence Interval
AccuracyC
NO be
X
RM
M |Diff
ppmd
C02 or 02ae
RM
M
Diff
%d
S02a
RM
M
Diff
mass/GCV
NO a
A
RM
M
Diff
mass/GCV
aFor steam generators.
bAverage of 3 samples.
cuse average of reference method test results for Relative Accuracy.
dMake sure that RM and M data are on a consistent basis, either wet or dry.
eNot required if applicable standard is diluent corrected.
Air Compliance Inspection Manual
4-42
9/30/84
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11. Appendices
The test report should include all the raw data used in the PST. In
general, these raw data fall into three categories: data from reference
method (and moisture) testing, continuous monitor data records, and data from
calibration activities.
The reference method (and moisture) raw data should be assembled in one
appendix and, as appropriate, should include: sampling data for SC^, NOX,
and H20, and analysis data for S02 and NOX.
Copies of the data recorded by the continuous monitor over the entire op-
erational test period should be included in another appendix.
All calibration data should be included in a separate appendix. These
calibration data may derive from pre- to post-test dry gas meter calibra-
tions, thermometer calibrations, and sampling and analysis of SC>2, NOX, C(>2,
and 02 calibration gases.
A separate appendix should be included for copies of procedures cited
within the "Test Procedures" section.
All calibration reference material (gas cylinders, gas cells) certifi-
cation documentation should be included in the appendices.
4.3 EMISSION TEST REPORT
Each NSPS or NESHAP contains some form of pollutant emission limit
and a test method to determine compliance with this limit. This deter-
mination must be made shortly after initial startup and a written report
of the results must be submitted. Specific standards, especially NESHAP,
often require more frequent or additional testing and reporting. In most
cases, the general rule is ". . .a written report of the results of such
performance test(s). . ." must be submitted to the Administrator. The
performance test report is the primary, and often only, written documen-
tation that the source operator has fulfilled the testing requirements of
the standard.
Most compliance determinations are measurements of the discharge to
the atmosphere. This section will address basically these activities, and
not work practice, control device, or material-input type standards. Some
emission standards (e.g., primary aluminum reduction) contain specific types
of reports or data to be included in the performance test report. Each test
method has certain key elements that are used to evaluate the acceptability
of the testing. The tester and report writer should be sure that the report
includes those elements which are specific to the source and test method.
4.3.1 Regulatory Requirements
The basic requirement is that a written report be submitted and re-
sults reported in terms of the applicable standard.
Air Compliance Inspection Manual 4 - 43 9/30/84
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Tables 4-4 and 4-5 identify the reference test method for each NSPS and
NESHAH source category along with highlights of additional requirements con-
tained in the standards. Each test method contains procedures for sampling,
analysis and calculations and contains criteria for acceptance of the results,
e.g., isokineticity for Method 5. The additional requirements are either
necessary to calculate compliance or to verify proper process operations.
4.3.2 Report Format
Table 4-6 presents the contents of a complete performance test report
in outline form. Most of the items in the outline are in one of these five
catagories:
1. specifically required by the test methods or standards;
2. necessary, although not specifically required, to ensure that
proper procedures were followed;
3. necessary to permit thorough understanding and review
of the procedures;
4. desirable for establishing process operating condi-
tions or sampling representativeness; or
5. necessary from a legal aspect.
The outline is followed by a section-by-section narrative of the report con-
tents that briefly describes the report section and identifies, where poss-
ible, elements of the report required by the test method or standards.
The following describes the contents of a complete report. Depending on
the test situation, report elements can be combined to avoid repetition of
Information presented in another element, or the organization can be re-
arranged.
1. Introduction
The introduction should provide the reader with the who, what, when,
where and why of the test and describe briefly the report contents. The nar-
rative should include identification of the source and facility, applicable
regulations and pollutants measured, reason for the test, names and affilia-
tions of the test team, observers, and plant contact. The sampling and an-
alytical procedures should be referenced. A brief process description may
be desirable for those readers not concerned with the process description
detail in Element III of the test report. Figure 4-15 is an example of
an Emission Test Report introduction.
2. Summary of Results
The test summary presented in Figure 4-16 is an example of the results
from a coal-fired boiler. Note that the summary includes process operation
information in addition to emission test data.
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Air Compliance Inspection Manual
4-49
9/30/85
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TABLE 4-6. BASIC OUTLINE OF AN EMISSION TEST REPORT
i. Cover - Plant name, location, source; testing organization, report date
ii. Abstract - Highlights of each report section
iii. Table of Contents
iv. Certification - Field team leader
I. Introduction
A. Test purpose, location, source name, regulation
B. Test dates, test team members, observers
C. Test methods, pollutants, data collection responsibilities
II. Summary of Results
A. Emission rates, concentrations
B. Process feed rates, analysis results
C. Allowable emissions
D. Description of calculation procedures
III. Process Description
A. Plant details
B. Source details
1. Process design data
2. Control equipment design data
3. Flow diagram
C. Test Operating Data
1. Required compliance data
2. Calculation procedures
3. Other required process data
4. Demonstration of required operation
5. Data to establish baseline or compliance conditions
IV. Sampling Sites
A. Physical location and process orientation of sample collection
points
B. Rationale for site selection
C. Procedures for correction/calculation of results or methods due to
sample site consideration
D. Process and fuel sample collection sites
V. Sample Collection Procedures
A. Sample collection train description
1. Schematic diagram
2. Deviations from specifications
3. Supportive data for equivalency
B. Pre-Test Preparations
I. Assembly, leak checks
2. Process verification
C. Sample Collection
1. Chronology
2. Deviation from intended procedures, intentional or unintentional
3. System operating characteristics
Air Compliance Inspection Manual 4-50 9/30/84
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TABLE 4-6. BASIC OUTLINE OF AN EMISSION TEST REPORT (Continued)
D. Post-Test Activities
1. Sample recovery procedures
2. Field checks of data
3. Sample identification and logging
VI. Sample Analysis
A. Pre-Test Procedures
1. Reagent procurement, preparation
B. Sample Analysis
1. Reference to published procedures
2. Highlights of analytical steps
3. Specific equipment
4. Calculation of results
5. Deviation from accepted procedures
VII. Quality Assurance
A. Sampling
1. Pre-test calibrations, equipment check out
2. Field checks of calibrations
3. Operating procedures during test
4. Post-test leak checks, drift
B. Analysis
1. Field and laboratory blanks
2. Sample spikes
3. Duplicate or replicate analysis
4. Contamination prevention
5. Sample recovery
6. Precision and accuracy
C. Data Handling
1. Error checks
2. Statistical analysis
3. Proofreading
4. Chain of custody
VIII. Detailed Results
A. Emission Data - typical parameters
1. Pollutant emission data
2. Exhaust gas parameters
3. Sampling variables
4. Analytical results
B. Process Data
1. Individual data points
2. Analysis results
C. Calculations
1. Example calculation
2. Miscellaneous
IX. Conclusions
Appendices
A. Raw Field Data Sheets
B. Raw Analytical Data
Air Compliance Inspection Manual4-519/30/84
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TABLE 4-6. BASIC OUTLINE OF AN EMISSION TEST REPORT (Continued)
C. Complete Calculated Results and Example Calculation
D. Calibration Data Procedures
E. Detailed Sampling and Analytical Procedures
F. Raw Process Data
G. Test Log
H. Chain of Custody Records
Air Compliance Inspection Manual 4-52 9/30/84
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FIGURE 4-15. EMISSION TEST REPORT RECOMMENDED FORMAT; INTRODUCTION
INTRODUCTION
Test firm name received Task Order/Contract
from the Air Enforcement Branch, Region V, U.S. Environmental Protection
Agency (U.S. EPA), to conduct particulate emission compliance testing at
Source-Company name , coal-fired steam generating facilities in
location These tests were performed to determine the units' compliance
status with respect to the regulations.
During the period of dates , a total of six particulate emission
rate runs and four particle sizing runs were conducted at the
plants. Samples were collected in accordance with the
procedures specified in U.S. EPA Reference Methods 1-5, (40 CFR, Part
60, Appendix A), except as discussed in Section 3.
Results of the test runs are compiled in this report and particulate
emission rates are presented as a mass emission rate and mass per unit of
heat input. Mass per unit of heat input emission rates were calculated
using an "F" factor value determined from the ultimate analysis of coal
samples collected at the various sites, and from process data taken during
the testing.
Personnel from the office of EPA conducted
visible emissions observations during some of the testing. The test firm
name test crew was composed of test team names Source-Company name
personnel provided assistance to the test team.
Air Compliance Inspection Manual 4-53 9/30/84
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FICURK A-16.
EMISSION TEST REPORT RECOMMENDED FORMAT:
SUMMARY OF RESULTS
SUMMARY
Particulate Emissions
Based on "F" factor, lb/106 Btu
Gross Heat Input, 10& Btu/h
Allowable Emissions, lb/10& Btu
Particulate Emissions, Ib/hr (1)
Particulate Emissions, Ib/hr (2)
Average Steam Production Ib/hr (3)
Stack Gas Flow Rate, scfm (4)
Stack Gas Temperature, °F
Oxygen , %
Isokinetic, %
OF EMISSION TEST
BOILER NO. 2
RUN M5-2
0.18
107.9
0.058
18.9
19.4
107,000
32,999
447
9.7
96.8
RESULTS
RUN M5-3
0.12
115.1
0.057
14.2
13.8
108,000
32,162
451
9.9
99.9
RUN M5-4
0.26
117.4
0.057
30.2
30.5
108,000
37,730
416
10.3
95.7
RUN M5-5
0.16
119.8
0.057
19.5
19.2
110,000
33,285
441 |
10.3
98.2
(1) Results based on front half catch, ref: 40 CFR Part 60, Appendix A, Method 5.
(2) Based on particulate concentration of row 1 and heat input of row 2.
(3) Based on Steam Integrator readings supplied by Power Plant personnel.
(4) Standard cubic feet per minute at 68°F and 29.92 in. Hg, dry basis.
Air Compliance Inspection Manual 4-54 9/30/84
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3. Process Description
The report should reflect the importance of the data in establishing
compliance and operating conditions during the tests. It should provide the
reader with an understanding of how the process unit relates to the whole
operation, what the criteria for normal performance are, and especially, the
data necessary to ascertain compliance. Salient points are highlighted as
follows:
Plant Details - Give the name and location of plant; contact people,
names and titles; and type of plant.
General Facility - Provide a narrative about the process unit in-
volved and its relationship to the plant as a whole. Include:
• Design data- raw material inputs, product outputs, internal
flows, temperatures, design or maximum load criteria as
appropriate for the facility, operating schedule.
• Control device data- design characteristics, e.g., gas flow
rate, pressure drop, temperature, L/G ratio.
• A flow diagram, either block or schematic
Operating Data During Test - report the data collected during
the individual test runs. Typical types of data are:
• Compliance data - the necessary data to calculate total
compliance with regulations, e.g., mass feed rate,
equivalent 1*2^5' phosphorus analysis for phosphate
fertilizer sources.
• Other required data - e.g., the analysis of smelter feeds
for arsenic lead, antimony, and zinc.
• Baseline data - sufficient data related to system operating
conditions and variations to describe the circumstances under
which the samples were obtained.
a. Process
b. Control equipment
Example: Rotary kiln with venturi scrubber kiln data - hot
and cold end temperatures, feed flow rate and percent
solids, kiln rotation speed, fuel burning rate (heating
value, ash, sulfur).
Scrubber data- overall and venturi pressure drop, recir-
culation rate, makeup rate, pH of liquid streams, ven-
turi throat position, inlet gas temperature, fan speed
and current.
4. Sampling Sites
Describe the physical and process location of sampling sites. Show
that the location meets the acceptance criteria, e.g., Method 1. Show
Air Compliance Inspection Manual4-559/30/84
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the location with respect to other process streams, e.g., identify in and out
leakages, and other confluent streams. Discuss the representativeness of the
chosen site, alternate sites considered, and reasons for not choosing the alter-
nates. Any correction or calculation procedures should be mentioned, e.g., a
molecular weight determination and subsequent correction of results for a
municipal incinerator. The means and places of obtaining fuel or process
samples for subsequent analysis should be described with identification and
highlights of standard procedures (e.g., ASTM, API, APHA).
5. Sample Collection Procedures
This is a narrative description of equipment and activities employed to
collect the samples. Most freqently it is a one-sentence statement that a
given reference method was used. However, if non-standard procedures were
used, a verbatim transcript of the method is required. Any deviations from
the accepted procedures must be mentioned. Present a schematic diagram of
the major sampling train components with a narrative description identifying
any deviations from the specified equipment. If required, supportive data
about the equivalency of the equipment or procedures should be presented
here. In some cases, the methods require a demonstration. The pre-test
preparation procedures used should be described. Some examples are:
• System assembly and leak check
• Instrument zero, span, calibration
• Check of process parameters and gas characteristics against
expected or desired values.
Describe applicable sampling procedures from reference methods used for
this particular test. This description should include a chronology with
dates and times, run designations, and sampling system operating characteris-
tics, if applicable. Replacement of reagents or components, interruption of
sample collection, and zero, span, calibration during sampling should be
stated. Deviations from specified procedures, intentional or unintentional,
must be discussed. The post-test activities and sample recovery from the
applicable procedures of the reference methods are also described as used for
this test. Post-test sampling equipment checks (on-site), leak checks,
equipment inspection, and calibration spot checks are included, as well as,
sample train clean-up and removal of collected sample, transport, and/or
preparation for shipping. Other items to be presented are preparation of
field blanks, if appropriate, identification and logging of samples, and
field checks. Field calculations of sample collection validity such as
isokineticity, reagent absorbing efficiency, inspection of moisture traps or
desiccant columns, and converter efficiency checks should be discussed.
6. Sample Analysis
This discussion should contain all analytical procedures used in
generating the results, appending copies of standard written methods and
Air Compliance Inspection Manual4-569/30/84
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including the highlights and changes or modifications. Describe the pre-test
preparations. This should include a discussion of reagent preparation and stand-
ardization; filter media numbering and taring; handling, shipping, and logging
of reagents and collection media; and calibration of laboratory and field
analytical instruments.
Most of these procedures are described in detail in the applicable ref-
erences; thus this subsection need not contain all steps of the analysis used.
The important ones should be highlighted, any deviations from the norm noted,
and appropriate intermediate results (e.g., specific calibration curves) in-
dicated. Examples of the information to be shown are:
• Pre-analysis sample treatment - such as desiccation, acidification,
dilution, chemical preservation and reaction.
• Specific procedures - describe the steps used to analyze the
sample.
• Equipment employed - identify the devices used by brand name and
model number, indicating accuracy and sensitivity where appropriate.
7. Quality Assurance Procedures
These procedures should contain references to the Quality Assurance
(QA) manual and to other written procedures. Written procedures, as per-
formed, will be appended if appropriate. The usual types of pre-test
procedures performed and written up are:
• Equipment and supply procurement and check-out;
• Equipment calibration procedures - general and test specific
descriptions;
• Field checks of equipment and calibration - some procedures
require these types of checks prior to sample collection or
analysis, others are suggested, and others may be peculiar to the
particular test or test crew. Types of checks include leak
checks, temperature measuring device ice-point check, use of
calibrated orifices, field check of lab-prepared materials (tare
weights, flask volumes).
Most QA activities are directed towards pre- and post- sampling func-
tions rather than sampling activities. QA actions during sample collection
are in large part subjective evaluation of the sampling process using pre-
and post- test data as guidelines. This section should discuss such items
as instrumental baseline drift checks, physical integrity of the sample
collection system, and observation of system behavior compared to expected
results, e.g., cylinder gas pressure drop and sampling train vacuum.
Post-test activities generally serve as confirmation that the system
operated properly during sample collection. Other aspects to be discussed
include procedures for determining values for those parameters that can
change during sampling, but do not necessarily invalidate the sampling.
Air Compliance Inspection Manual4-579/30/84
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Analytical quality assurance usually involves the use of internal
and external standards for equipment and operator checks. All types and
procedures should be discussed. Specifics may include:
Field and laboratory blanks
Sample spikes
Duplicate and replicate analyses
Audit sample analysis (simulated field samples)
Contamination prevention procedures
Recovery determinations
Precision and accuracy determinations
Data handling quality assurance procedures are often overlooked both in
performance and reporting. Typical categories which should be discussed are:
Error checking
Procedures for statistical analysis of data
Verification of calculation procedures
Proofreading
Chain of custody
The quality assurance section of the report should contain a brief statement
describing the chain of custody of the samples. The actual chain of custody
forms (See Figure 4-17) are included in the appendix.
8. Detailed Results
The detailed results section should contain the pertinent details of the
sampling and analysis used to determine the final results. The level of de-
tail will vary with the number, type, and complexity of tests performed. The
report should contain at least one example calculation for each and every step
in the process. One or more appendixes may be necessary for the summarized
highlights.
Typical emission parameters to be presented are:
• Pollutant emission data — specie, mass discharge rate,
concentration;
• Exhaust gas parameters - volumetric flow rate, velocity,
temperature, composition;
• Sampling variables - times, volumes sampled, isokineticity,
sample extraction rates, etc.
Details of all process data collected are identified and may be summar-
ized, but all data must be presented in the report. Calculation of data for
compliance evaluations, use of material or fuel analysis results for process
rate determinations, and the like are shown. Also include any miscellaneous
calculations such as determining flow rates where the gas flow is not deter-
mined at the point of discharge (e.g., measuring flow at the inlet of a
multi-discharge baghouse, but sampling at the outlet).
Air Compliance Inspection Manual 4-58 9/30/84
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FIGURE 4-17. EMISSION TEST REPORT RECOMMENDED FORMAT;
FORM FOR CHAIN OF CUSTODY DOCUMENTATION
SAMPLE CHAIN OF CUSTODY
Plant
Sampling Date Test number
Sample Recovery
Container Code Description
Person engaged in Sample Recovery
Signature
Title
Location of Recovery
Date and time of Recovery
Person receiving sample upon recovery if not recovery person
Signature
Title
Date and time of receipt
Sample storage
Laboratory person receiving Sample
Signature
Title
Date and time of receipt
Sample storage
Analysis
Container Method Date and time Signature
code of analysis of analysis of analyst
Air Compliance Inspection Manual 4-59 9/30/84
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9. Conclusions
A formal comparison of regulation compliance and emission rates with
regulation citations can be included in the conclusions, as well as control
device evaluations, recommendations as indicated by the purpose of the test,
and judgements regarding the validity and accuracy of the sampling and analyt-
ical methods used.
4.4 CONTROL DEVICE MONITORING
The EPA has requirements for NSPS and NESHAP stationary sources to
keep records of and report data. These requirements affect such activities
as continuous emission monitoring, emission testing, process monitoring,
and control equipment operation. This section concerns only those NESHAP
and NSPS requirements pertaining to the operation of the air pollution
control systems. It should be noted that EPA does not require a standard
report format for the various types of data.
4.4.1 Regulatory Requirements
The recordkeeping requirements for NSPS sources are specified in 40 CFR
Part 60, Subpart A, §60.7(b), (d). The §60.7(b) and §60.7(d) require the
owner or operator to maintain records on the occurrence and duration of any
malfunction of the air pollution control equipment for at least 2 years.
Unlike the EERs [§60.7(c)], the control device malfunction records need not
be submitted regularly.
The specific data requirements for the various industrial categories
are presented in Table 4-7. It is apparent that EPA has included control
system monitoring requirements for only those sources for which a continu-
ous emission monitor is not used, i.e., wet scrubbers and incinerators.
The explicit data requirements pertaining to the air pollution control
equipment are, in most cases, very brief. For example, operators of thermal
incinerators need only record the exit gas operating temperature. On the
surface it would seem that no recordkeeping format is necessary because of
the limited extent of the specified control device operating data. However,
the implicit recordkeeping requirements in Subpart A, §60.11 (d) suggest that
it would be in the best interest of facilities subject to thes requirements
to develop a standard format. Because to satisfy this provision of the NSPS
regulations, owners and operators of air pollution control systems must moni-
tor and record some key operating parameters not explicity listed in the vari-
ous subparts.
At all times, including periods of startup, shutdown and mal-
function, owners and operators shall, to the extent practicable,
maintain and operate any affected facility including associated
air pollution control equipment in a manner consistent with good
air pollution control practice for minimizing emissions.
Air Compliance Inspection Manual 4-60 9/30/85
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TABLE 4-7. CONTROL EQUIPMENT MONITORING REQUIREMENTS
FOR NSPS SOURCES
Control
Technique
Wet Scrubber
Incinerator
Parameter
Subparts
Requiring Monitoring
Afterburner
Electrostatic
Precipitator
High Velocity
Air Filter
Fabric Filter
Solvent Recovery
System
Emission Control
System
Pressure drop N, T, U, V, W, X, Y, BB, KK, LL, NN
Water pressure N, Y, BB, NN
Inlet gas temperature Y
LL
BB, EE, MM, RR, SS, TT, WW, FFF
Liquid flow rate
Thermal incinerator
exhaust temperature
Catalytic incinerator
upstream temperature
Combustion zone
temperature
Inlet gas temperature
Inlet gas temperature
None
Total volume of VOC-
solvent recovered
Estimated emission
percentage
VOC concentration of
of exhaust
Pressure Drop
EE, MM, RR, SS, TT, WW, FFF
UU
UU
UU
EE, OQ, RR
QQ
FFF
PP
Air Compliance Inspection Manual
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4.5 PROCESS MONITORING
The preponderance of process monitoring and associated recordkeeping and
reporting requirements for NSPS sources relate to process throughput parameters,
with certain facilities subject to requirements that are peculiar to their
specific industry. For example, primary aluminum reduction facilities are
required to monitor and record daily production rates of aluminum and anodes
and to record daily cell or potline voltages. Requirements for NESHAP
sources are limited to vinyl chloride and are contained in the recordkeeping
requirements 40 CFR Part 61.71.
Process monitoring, recordkeeping, and reporting are required in 31 sub-
parts in 40 CFR Part 60 stet and one subpart in 40 CFR Part 61. Subpart Ka,
Storage Vessels for Petroleum Liquids Constructed after May 18, 1978, con-
tains requirements that lend themselves to developments of a standard report
format.
4.5.1 Regualtory Requirements
Table 4-8 lists NSPS requirements for process monitoring, record-
keeping, and reporting. In order to define properly the requirements, it is
necessary to differentiate among requriements fdor monitoring, record-
keeping, and reporting as these requirements are mutually exclusive in many
of the subparts.
Although 23 subparts for NSPS sources are listed in Table 4-8, only
four subparts are affected by actual reporting requirements. Those are as
follows:
Subpart Affected Facility
Ka Storage Vessels for Petroleum
Liquids Constructed after
May 18, 1978
Z Ferroalloy Production
VV Equipment Leaks of VOC in the
Synthetic Organic Chemicals
Manufacturing Industry
GGG Equipment Leaks of VOC in Petroleum
Refineries
Air Compliance Inspection Manual 4-62 9/30/85
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4-70
9/30/85
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Under Subpart Ka, Section 60.113a(a) requires that measurement of the
gap areas and maximum gap widths between the primary seal and the tank wall
be performed within 60 days of the initial fill with petroleum liquid and
once every five years thereafter. For secondary seals, gap measurements must
be performed within 60 days of the initial fill with petroleum liquid and at
least once every year thereafter. A procedure for performing these measure-
ments is identified in 40 CFR Part 60.113a(a).
A written report of the results must be submitted within 60 days of per-
formance of the gap measurements. Figure 4-18 presents a suggested report for-
mat. It should be noted that 40 CFR Part 60.115a(a) requires maintenance of the
data for product stored, true vapor pressure, product storage temperature, and
period of storage, but does not require these data to be submitted. Therefore,
the submitting this information with the gap measurement data is optional.
Subpart Z for Ferroalloy Production Facilities, 40 CFR Part 60.264(c),
requires a written report be submitted that describes any product changes.
Subparts W (and GGG by reference) require that semiannual reports be
submitted beginning six months after the initial start up date. The initial
semiannual report must include: (1) identification of affected process units,
(2) the number of valves subject to Section 60.482-7, (3) the number of pumps
subject to Section 60.482.2, and (4) the number of compressors subject to
Section 60.482-3. All the semiannual reports must include: (1) process unit
identification, (2) dates of process unit shutdowns which occurred within the
semiannual reporting period, (3) revisions to items reported in initial report,
and, for each month during the semiannual reporting period, (4) the number of
valves for which leaks were detected, (5) the number of valves for which leaks
were not reported as repaired, (6) the number of pumps for which leaks were
detected, (7) the number of pumps for which leaks were not repaired as required,
(8) the number of compressors for which leaks were detected, (9) the number
of compressors for which leaks were not repaired, and (10) the facts that
explain each delay of repair and, where appropriate, why a process unit shut-
down was technically infeasible.
The only NESHAP source process monitoring, and associated recordkeeping
or reporting requirement in 40 CFR Part 61 is in Section 61.71(u)(4) for vinyl
chloride. Daily operating records, including pressures and temperatures must be
maintained for each polyvinyl chloride reactor. Such records must be retained
and made available for inspection by the Administrator or his representative
for a minimum of two years.
Air Compliance Inspection Manual4-719/30/85
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Air Compliance Inspection Manual
4-72
9/30/85
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4.6 SPECIAL NESHAP REQUIREMENTS
Many EPA regulations for NESHAP sources (contained in 40 CFR Part 61)
have requirements for reports and the recording of data that do not logically
belong in any of the preceding sections of this document. These include
notifications that detail pertinent data on the particular projects and the
results of certain leak monitoring and ambient sampling programs.
4.6.1 Regulatory Requirements
The NESHAPs contained in the subparts to 40 CFR Part 61 are as follows:
1. Subpart C - Beryllium
2. Subpart D - Beryllium Rocket Motor Firing
3. Subpart E - Mercury
4. Subpart F - Vinyl Chloride
5. Subpart J - Equipment Leaks (Fugitive Emission Sources) of Benzene
6. Subpart M - Asbestos
7. Subpart V - Equipment Leaks (Fugitive Emission Sources)
The beryllium reporting requirements are for both extraction and end
product uses. A source test report is required if compliance is based on an
emission standard; otherwise, an ambient concentration of 0.01 g/m3 of
beryllium averaged over 30 days must not be exceeded. The results of the
ambient monitoring system must be reported every 30 days.
The standard for rocket motor test sites is an ambient beryllium concen-
tration. Release of beryllium resulting from the collection of combustion
products in a closed tank is regulated by a limit on emissions measured by
continuous sampling conducted during the release. Reports presenting the
data collected during either ambient or source sampling is due 30 days after
sample collection or prior to any further motor firings or propellant dis-
posal.
The standards for mercury apply to ore processing facilities, chlor-
alkali manufacturing plants, sludge dryers, and sludge incinerators. Source
tests are required for all of these facilities. Sludge dryers and incinera-
tors may use a sludge test in lieu of a source test. All results must be
reported within 30 days of sample collection.
Vinyl chloride standards affect various process equipment and other
plant components (e.g., valves, seals, pumps) that have the potential for
fugitive emissions. The regulations require the submittal of reports for the
source tests and continuous monitoring programs. Additionally, reports that
provide notification and certain information on any emergency manual vent
valve or emergency relief valve discharge are required. Submittal of these
reports is required within 10 days of a discharge.
Air Compliance Inspection Manual 4-73 9/30/85
-------
The asbestos regulations affect all aspects of asbestos uses — pro-
duction from a raw material, a finished product, to disposal of waste
asbestos. The specific activities affected are asbestos mills, roadway
surfacing, manufacture of asbestos containing products, demolition and ren-
ovation of asbestos-containing structures, asbestos spraying, fabricating
with asbestos, use of insulating materials, waste disposal, and waste
disposal sites.
The requirements for asbestos contained in this section include an
initial report (format in Appendix A of 40 CFR 61), notification of project
dates, and the reporting of certain project information for the demolition
and renovation of structures and the spraying of asbestos. The regulations
exempt certain demolition and renovation projects from the detailed project
reports if the amount of pipe covered or coated with friable asbestos is less
than 80 meters and if the amount used elsewhere is less than 15 square meters.
The regulations concerning equipment leaks (Subparts J and V), like the
vinyl chloride standards, affect various process equipment and components
(e.g., valves pumps, compressors) that have the potential for fugitive emis-
sions. The regulations require detailed recordkeeping on the status (leak
detection, repair, etc.) of the subject equipment and submittal of an initial
report identifying this equipment and semiannual reports thereafter summariz-
ing its status.
Table 4-9 summarizes the NESHAP regulations for emission standards,
sampling, monitoring, and reporting. Portions of this table were extracted
from Reference 1.
Air Compliance Inspection Manual 4-74 9/30/85
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4.7 REFERENCES
1. "National Emission Standards for Hazardous Air Pollutants - A
Compilation as of August 1, 1982", EPA-340/1-82-006, August 1982.
2. "Standards of Performance for New Stationary Sources - A Compilation
as of December 31, 1984," EPA-340/l-85-005a, March 1985.
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5.0 INSPECTION SAFETY
The performance of field inspection duties always involves a certain
degree of risk. It is the objective of this chapter to describe means of
minimizing this risk through adherence to safety procedures and to established
U.S. Environmental Protection Agency policy. Specific procedures are present-
ed for most common health and safety problems encountered during the evalua-
tion of air pollution sources and control devices.
5.1 POTENTIAL HEALTH AND SAFETY HAZARDS
The preferred method of minimizing potential health and safety hazards is
through the application of engineering controls which eliminate the problem.
This is not usually possible in the case of field activities. Accordingly,
the inspector must be constantly aware of potential problems and avoid these
to the extent possible. When the environmental conditions demand personal
protection equipment, the inspector must know how to select and use this
equipment. The limitations of this personal protection equipment must also
be appreciated.
5.1.1 Inspection Health and Safety Hazards
The inspection of air pollution control systems inherently involves a
large number of potential health and safety problems. A partial list of these
potential hazards is provided in Table 5-1. It should be noted that they
occur frequently. Therefore, the EPA inspector must be constantly alert so
that they can be avoided.
Inhalation hazards are often created by fugitive leaks of pollutant laden
gases out of worn expansion joints, cracked welds, and corroded shells of
the control system itself. The sudden downdraft from nearby stacks and vents
can also lead to acute exposures. The partially confined areas formed by
weather enclosures, walkways between compartments, fan houses, and areas
adjacent to large ducts allow high concentrations of toxic material to
accumulate even when the fugitive emission rates are comparatively small.
Most of the high pollutant concentrations occur by accident and without the
knowledge of plant personnel. The highly variable conditions make any
monitoring data highly questionable even in the rare instance when exposure
monitoring has been conducted. These problems complicate the selection of the
proper respirator for these conditions.
The risk due to the sudden release of chlorine, ammonia, and high
temperature steam is compounded by the location of most air pollution control
equipment at elevated portions of the plant. Rapid egress from high platforms
is difficult in the large majority of cases.
The elevated and isolated locations of many control systems also increases
the inspection safety risk. It is usually necessary to climb permanent or
portable ladders to reach the equipment. In some cases, the equipment can only
be reached by crossing roofs or elevated walkways. Since these portions of the
plant are not regular work areas, even the plant personnel may not be aware of
Air Compliance Inspection Manual 5-1 9/30/84
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TABLE 5-1. POTENTIAL HEALTH AND SAFETY RISKS WHILE INSPECTING
AIR POLLUTION CONTROL EQUIPMENT
Acute exposure to toxic gases such as aromatic hydrocarbons,
chlorinated hydrocarbons, nitrogen oxides, and sulfur dioxide.
Exposure to chemical asphyxiants such as hydrogen sulfide and carbon
monoxide.
Exposure to toxic fumes and dusts containing asbestos, lead,
beryllium, and arsenic.
Falls through roofs or through horizontal surfaces weakened by the
accumulation of excessive solids or the corrosion of supports.
Falls on wet and/or icy walking surfaces.
Falls from ladders with mud or ice on the foot rungs.
Falls from improperly maintained or secured portable ladders.
Head injuries from falling objects, overhead beams, and protruding
obstacles.
Static electrical shock during measurements conducted downstream of
electrostatic precipitators or in any fiberglass ducts.
Duct explosions initiated by static accumulation on measurement probes.
Entrapment in rotating mechanical equipment such as fan sheaves and
screw conveyors.
Explosions of fans operating at excessive tip speeds and/or operating
severely out-of-balance.
Asphyxiation due to free flowing solids discharged from hopper access
hatches.
Injuries due to fast moving plant equipment such as fork lifts and
overhead cranes.
Burns due to contact with hot objects such as uninsulated flue gas
ducts and stacks.
Burns due to acid spray from leaking process equipment.
Burns due to high pressure steam leaks.
Eye injuries due to splashing chemicals and flying objects.
Hearing impairment due to exposure to high noise levels.
Burns due to contact with highly alkaline dusts and liquids.
Static electrically initiated explosions while obtaining samples of
fuel oils, waste oils, or coatings.
Electrical shock due to exposed high voltage lines.
FAectrical shock due to contact with exposed parts within an
electrical cabinet.
Insect stings due to approaching nests which are often located in the
warm and sheltered areas around hoppers, weather enclosures, and
electrical cabinets of air pollution control systems.
Inhalation of bacteria, viruses, and fungi from material being
handled prior to or by the control system.
Exposure to toxic clouds of chlorine or ammonia released during
plant upsets.
Heat stress due to hot process equipment, hot gas ducts, and stacks.
Cold stress due to work at elevated portions of a plants or in areas
unprotected from the wind.
Lightning injuries due to work at elevated portions of the plant.
Absorption of chemicals through the skin.
Asphyxiation in oxygen deficient atmospheres.
Air Compliance Inspection Manual 5-2 9/30/84
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some of the potential problems Involved with the ladders and roof areas. Some
areas do not have guard rails and some have only Improperly secured guard
rails. Roofs which cannot take the weight of one or more individuals are
relatively common. Furthermore, there are frequently cables, hoses and debris
along the elevated platforms and roofs since plant maintenance personnel find
it difficult to remove this material. Injuries which occur in these portions
of the plant can be very serious. Rescue of injuried personnel is difficult
and time consuming due again to the isolated and elevated locations of con-
trol equipment.
There are several factors which make an agency inspector more at risk to
the potential hazards than plant personnel. The inspector is rarely familiar
with the numerous walking hazards such as missing grate sections, protuding
beams and valves, weakly supported ladders and guard rails, and exposed
electrical lines. Plant personnel may take such conditions for granted and
forget to point them out to visiting inspectors. Also, the inspector can
easily become so preoccupied with conversations with the plant personnel that
supposedly obvious hazards are not recognized. On occassion plant personnel
attempt to hurry the inspector so that they can get back to more pressing
production-related duties. This inadvertedly increases the the risk of
inj ury.
The inspector who often does his work in a different place each day does
not have the opportunity to physically acclimate to the heat stress caused by
some systems. Also, the inspector may be sensitive to certain materials used
in or certain pollutants generated by.the process.
Due to the numerous potential hazards, is very important that each
inspector adhere to established safety policies and procedures. It is also
necessary that the inspector recognize unusual and extreme conditions, in
which additional or extreme safety precautions are warranted.
5.1.2 General Precautions
To minimize the risk of potential hazards, each inspector should follow
the general rules summarized below.
o The work should be halted immediately when the inspector suffers
one or more of the nonspecific symptoms of exposure. The area of
possible exposure should be approached again only after the proper
personal protective equipment has been obtained.
o The work should be conducted at a controlled pace.
o If the work cannot be accomplished safely, it should be postponed
until the appropriate engineering controls and/or plant operational
procedures are changed to permit safe inspection.
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Nothing should be done which risks the health and safety, of the
inspector. Nothing should be done which risks the health and
safety of plant personnel or which risks the condition of plant
equipment.
All agency and plant safety requirements must be satisfied at all
times.
Work should be interrupted whenever an inspector encounters any non-spe-
cific symptoms of exposure such as headache, anusea, drowsiness, chest pains,
shortness of breath, lightheadedness and/or eye irritation. While these feel-
ings may not be due to any exposure which occured at the plant, the inspctor
cannot afford to base his actions on this assumption. These are the initial
symptoms of exposure to a variety of pollutants. If the inspector (and/or
plant personnel) has been exposed they can be disabled in a very short time.
When these symptoms are experienced the inspector should immediately go to a
well-ventilated area.
It is important that the inspector work at a controlled pace to mini-
mize the chances of accidents while walking and climbing at the plant and
while making measurements. Inspectors must never shortcut safety procedures.
Occassionally, it is necessary to terminate an inspection due to ser-
ious safety risks. The most common reasons irfclude inclement weather, severe-
ly vibrating fans, apparently weak walkways or roofs leading to the collector,
high concentrations of fugitive pollutants, and intermittant releases from
process equipment. If there is a significant health and safety risk for any
reason, the inspection should be terminated. The inspector should notify his
or her supervisor of the problem, and alternative inspection procedures should
be established by follow-by negotiations with the plant management. The
inspection should then be completed immediately after the necessary changes are
made in the plant conditions and/or the inspection procedures.
Often there are equipment related factors which limit the effectiveness of
the inspection. For example, many control systems do not have any test ports to
facilitate the measurement of static pressures, temperatures, and oxygen
concentrations. An inspector must never demand that such ports be installed
while the equipment is operating since it is possible to cause an explosion
within the ducts of numerous types of sources. Often when ports are available,
they are at dangerous locations. The inspector should not attempt to use such
ports and should not ask plant personnel to make these measurements.
It is the responsibility of each inspector to know all of the applicable
safety requirements for each plant inspected and to know all of the agency
safety requirements. The most stringent of these must be followed. Even
when plant personnel are not using common safety equipment such as hard hats
and safety shoes, the inspector must always use this equipment. The inspector
cannot afford to abdicate judgement on safety procedures to plant personnel.
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5.2 U. S. ENVIRONMENTAL PROTECTION AGENCY HEALTH AND SAFETY POLICY
Health and safety policy for EPA field personnel is set forth in EPA Order
1440.2 dated July 12, 1981. Supervisory personnel are responsible for ensuring
that all employees have access to this order and have the necessary training
and personal protective equipment as required by the order. All inspectors
have a responsibility to use the personal protective equipment and to fully
adhere to the policies and procedures established.
5.2.1 Training
An important aspect of Administrative Order 1440.2 is the requirement
for safety training directed at the specific types of field activities
performed by EPA personnel. There is a basic course for all field personnel,
an intermediate course for individuals involved in hazardous waste site work
and other potentially dangerous activities, and an advanced course for
individuals who manage investigations at hazardous waste sites.
The basic course consists of 24 hours of in-class training. It should be
completed prior to involvement in the routine field activities. The subjects
addressed include, but are not limited to, the subjects listed in Table 5-2.
Table 5-2. SUBJECTS ADDRESSED IN BASIC SAFETY COURSE
Employee Rights and Responsibilities
Nature of Anticipated Hazards
Emergency Help and Self-Rescue
Vehicles - Mandatory Rules and Regulations
Safe Use of Field Equipment
Use, Handling, Storage, and Transportation of
Hazardous Materials
Personal Protective Equipment and Clothing, Use
and Care
Safe Sampling Techniques
At the conclusion of this course, the inspector should appreciate the
importance of proper safety procedures, understand how to recognize and avoid
common health and safety hazards, understand how to select and use personal
protective equipment, and know how to use portable inspection equipment. In
addition to this classroom instruction, it is important that each trainee
accompany an experienced inspector for a minimum of three days of field work
within 3 months of the classroom sessions. Following this work, the individ-
ual will be awarded a certification upon completion of the Basic Level Instruc-
tion from the Occupational Health and Safety Designee at the Reporting Unit.
Without this certification, no EPA employee should be involved in any field
activities.
Intermediate Level training is necessary for any inexperienced personnel
who will be working with experienced employees at uncontrolled hazardous waste
and hazardous spill site investigations. Such training is also required for
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individuals involved In other activities which have been ascertained to in-
clude unique ha/.ards. This course conslsLH of a minimum of 8 hours in ad-
dition to the 24 hour basic course and emphasizes topics relevant to health
and safety problems potentially involved in this type of field work. In the
case of hazardous waste site work these topics would include those listed in
Table 5-3.
TABLE 5-3. INTERMEDIATE LEVEL SAFETY TRAINING
Site surveillance, Observation, and Safety Plan
Development
Use and Decontamination of Totally Enclosed Protective
Clothing and Equipment
Use of Field Test Equipment for Radioactivity,
Explosivity, and Other Measurements
Topics Specific to Other Identified Activities
There are a number of situations which warrant Intermediate Level training
for field personnel who are inspecting air pollution control systems. A partial
list includes: inspection of sources of toxic materials, inspection of sources
of hazardous materials (designated under Section 112 of the Clean Air Act),
inspection of sources of hydrogen sulfide, inspection of coke oven batteries,
and inspection of sources of highly explosive dusts such as coal dust, flour,
grain, and metallic fumes. In such cases, the training should emphasize the
potential hazards in lieu of items 1 through 3 in Table 5-3.
As with the Basic Level Course, each inspector must complete three days of
field demonstration work under the supervision of an experienced agency
inspector. The individual taking the course must demonstrate the ability to
train others to perform routine inspection activities. Employees completing
these requirements will be issued a certificate by the Occupational Health and
Safety Designee.
The Advanced Level training is necessary for any EPA employee who will
be managing uncontrolled hazardous waste site and spill site monitoring,
sampling, investigations, and cleanup operations. It involves (in addition
to the 24 hour basic course) 8 hours of classroom instruction concerning the
topics exclusively involving hazardous waste site field activities. This
training is not necessary for field personnel who work only with air pollu-
tion control systems.
All EPA employees are required to complete at least 8 hours of refresher
training annually to maintain safety certification. This training must be
oriented toward the specific Training Level desired and include topics relevant
to the type of work performed by the individual. Also, inspectors must
Air Compliance Inspection Manual 5-6 9/30/84
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demonstrate that they have sufficient practical field experience to ensure that
work can be conducted in a safe and healthful manner. A record of the current
level of certification must be maintained in the employee's file.
5.2.2 Occupational Medical Monitoring Requirements
All field personnel involved in the inspection of air pollution control
systems must be included in an Occupational Medical Monitoring Program
regardless of the level of inspections conducted by the individual. A complete
description of the U.S. Environmental Protection Agency Medical Monitoring
Program Guidelines should be available to each person assigned to field
activities.
There should be a baseline medical examination performed on each person who
will be assigned field duties. This provides a frame of reference for later
medical examinations and can therefore be of use in identifying changes due to
occupational exposure. There should also be a periodic reexamination. This is
performed at a frequency dependent on the type of work done by the individual.
For most inspectors involved with air pollution control sources, it should be
performed biennually. There should also be an examination whenever an individual
is terminating any field work due either to reassignment to other agency duties
or due to leaving government service.
The scope of each type of medical examination is shown in Table 5-4 which
is based on the Attachment 1 of the EPA Medical Monitoring Guidelines. Spec-
ific blood tests and urinalysis tests are described in the Medical Monitoring
Guideline. Inspectors should also consult the Medical Monitoring Guidelines
(and any recent revisions) to determine what types of immunizations are recom-
mended.
5.2.3 Written Safety Procedures
It is the policy of the Environmental Protection Agency to administer its
programs in a manner that will assure its employees places and conditions of
employment free from recognized hazards which are likely to cause death or
serious harm. Accordingly, the U.S. EPA has issued certain policy statements and
guidelines concerning health and safety. It is the responsibility of both
supervisors and employees to carefully review updated copies of these policy
statements and guidelines. All requirements stated in these documents must be
followed.
The safety material presented in this manual is simply a condensed summary of
U.S. EPA policy statements and guidelines concerning inspection safety. It is
not intended to substitute for the above documents.
The EPA Policy and Responslbilites are set forth in an Administrative
Directive dated May 14, 1982. As stated in Section 5, Paragraph b of this
directive, the provisions do apply to EPA personnel conducting field work at
private facilities. Some of the most important requirements of this directive
concerning the inspection of air pollution control systems are described in the
paragraphs which follow.
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TABLE 5-4. MEDICAL MONITORING EXAMINATIONS*
Baseline Periodic Termination
History and Physical
Examination
Complete Medical History x x
Interval History x
Physical Exam by Physician x x x
Visual Acuity x x x
Routine Laboratory Tests and
Procedures
Pulmonary Function x x x
Audiometry x x x
Electrocardiogram x o x
Chest X-ray x x x
Complete Blood Count x x x
Blood Chemistry x x x
Special Tests
Cholinesterase o x o
Methemoglobin o x o
Heavy Metal Screen o x o
Urine and Sputum Cytology o o o
Toxicological Studies o o o
Notation: x Recommended
o As Indicated
*See Attachment 1, Table 1 of Medical Monitoring Guideline concerning
recommendations for unscheduled medical examinations and concerning
research oriented tests and procedures.
'EPA employees may be withdrawn from private sector facilities if
safe and healthful working conditions conditions cannot be assured
by the use of administrative controls and personal protective
equipment."
"Supervisors are responsible, to the extent of their authority, for
the health and safety of their employees and for furnishing them
employment and a place of employment which are free of recognized
hazards that are likely to cause death or serious harm. They shall
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comply with the Agency's occupational health and safety standards
and with all rules, regulations, and orders issued by the Agency
with respect to the occupational health and safety programs and
shall enforce correct work practices."
"Employees shall comply with the Agency's occupational health and
safety standards, rules, regulations, and orders which are applicable
to their own actions and conduct. Employees shall also use the safety
equipment, personal protective equipment, and other health and safety
devices and shall follow the procedures, provided or as directed,
that the Agency deems necessary for their protection."
The first of these excerpts provides the policy basis for general rule
number 3 (see Section 5.1.2) discussed earlier. Simply stated, the inspection
should be terminated whenever it is apparent that the field activities involve
a significant health and/or safety risk. Administrative procedures on the
part of the source and the use of personal protective equipment may be re-
quired before the inspection can be performed.
This directive clearly requires that supervisors take an active role in the
health and safety program. They must ensure that each field unit has copies of
the latest health and safety policy guidelines, rules, regulations, and written
procedures. Also, supervisory personnel should review each employee's record
to confirm that each has had the certified training necessary for the types of
assigned duties and that each has had the specified medical monitoring exam-
ination. The supervisor is responsible for continually stressing the import-
ance of proper safety procedures. In the event that an employee has to
interrupt an inspection due to a suspected safety or health related issue, the
supervisor should work with the inspector and the source personnel to design
alternative inspection approaches free of these recognized hazards. It is
often necessary for the supervisory personnel to contact agency specialists
and management personnel to develop the alternative procedures.
The individual inspector must bear a significant portion of the overall
responsibility in ensuring safe field practices. The inspector should follow
all agency and source safety procedures even when others at a facility are
ignoring these requirements. Furthermore, the inspector must be constantly
alert for unusual conditions which have not been directly addressed by applicable
safety procedures. If there is any question concerning the appropriateness
or completeness of the safety precedures, the inspection should be terminated
immediately. Further guidance should be obtained from supervisory personnel
before resuming the field work. The inspector mst exercise common sense at all
times while conducting field activities.
The inspector should report all occupational accidents and illnesses,
regardless of the assumed level of severity. All incidents which could have
resulted in accidents or pollutant exposure should be reported to supervisory
personnel so that the Agency procedures can be refined as necessary to mini-
mize future health and safety problems. Furthermore, any conditions at a
specific plant which could cause injuries to Agency field personnel should be
reported so that other EPA personnel who visit the facility can be advised of
the potential conditions.
Air Compliance Inspection Manual5-99/30/84
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5.3 SPECIFIC SAFETY AND HEALTH PROCEDURES FOR INSPECTION OF AIR POLLUTION
CONTROL SYSTEMS
Safe work practices begin with a full understanding and respect for
potential hazards. Some of the hazards most frequently encountered while
evaluating air pollution control systems are addressed in this section.
Specific procedures to minimize risk to the inspector, plant personnel, and the
plant equipment are specified.
5.3.1 General Safety Procedures
5.3.1.1 Personal Protective Equipment - Agency inspectors should bring with
them whatever personal protective equipment is necessary to conduct the inspec-
tion of the facility. Facility personnel should not be asked to supply such
equipment to the inspector. All personal protective equipment should be in
good working order and the Agency inspector using it should be trained in its
use and limitations.
5.3.1.2 Internal Inspections - Under no circumstances should Agency in-
spectors attempt to enter air pollution control devices or the associated
process equipment. Even when units are out-of-service and locked off-line,
numerous serious safety hazards can exist inside; these include but are not
limited to asphyxiants, high concentration of toxic pollutants, hot free
flowing solids, high gas temperatures, and high static charges. All of the
information necessary to make a complete and accurate assessment of per-
formance can be obtained without entry to the equipment.
5.3.1.3 Unaccompanied Inspections - The Agency inspector should insist
that at least one responsible plant representative accompany him at all
times. The plant representative can identify areas known to be unsafe (weak
ladders and catwalks, poorly ventilated areas, moving equipment, spraying
chemicals, high voltage cables in exposed locations) and can warn the agency
inspector about intermittant plant operations which can result in health and
safety risks, such as overhead cranes, molten metal transfer, and high temper-
ature steam releases.
5.3.1.4 Warning Codes and Sirens - Prior to conducting an inspection of any
plant, the inspector should learn the warning codes and sirens used at the
plant to indicate blasting or emergencies such as plant fires, chlorine
releases, ammonia releases, and vinyl chloride releases. The inspector should
move to a safe location as rapidly as possible after hearing the warning
sirens. Upon reaching a secure area, the inspector (and plant representative)
should report in to the appropriate authorities so that no attempt is made to
"rescue" them from the affected area.
5.3.1.5 Personnel Rescue - If an Agency inspector observes another individual
who has been overcome, help must be summoned before any attempt is made to
rescue the individual. Usually high concentrations of asphyxiants such as
hydrogen sulfide, carbon monoxide, or oxygen deficient gases will persist in
the area around the stricken person. Attempting to rescue the person can lead
to the death of the rescuer unless the proper procedures are used. Rescue
should be attempted only if the proper equipment is available to ensure the
safety of the rescuer. The Agency inspector should never assume that he or she
can hold his/her breath long enough to pull the stricken individual to safety.
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5.3.1.6 Inclement Weather Conditions - Except in the case of public health
emergencies, field activites should be interrupted or postponed whenever severe
weather conditions present a significant safety risk to either the Agency
inspector or the plant personnel accompanying the inspector. The specific
criteria for interrupting or postponing the field activities should determined
by each office with the assistance of the EPA Office of Health and Safety. As
a general guideline, work should be delayed whenever the ambient temperature
is less than -20°F (wind chill), the ambient temperature is greater than 100°F,
the wind speed is greater than 25 mph, and/or whenever there are sleet and
freezing rain conditions.
5.3.2 Walking and Climbing Hazards
5.3.2.1 Hard Hats - Agency inspectors should wear hard hats at all facilities
being inspected regardless of whether they are required by the plant. These
hats provide protection against collision with overhead beams and protuding
obstacles. They also provide limited protection against falling objects. Each
inspector should be aware not to drop the hard hat when working on elevated
platforms, when bending over to reach measurement ports, or when bending over
to obtain samples of liquor from ponds and tanks.
5.3.2.2 Safety Shoes - Agency inspectors should wear safety shoes approved for
the specific type of facility being inspected. In all cases, the shoe should
be slip resistant to minimize the risk of falls in wet and icy areas. Plant
personnel should be consulted to determine if it is necessary to have shoes
with conductive soles to prevent static accumulation, to wear shoes with wooden
soles, or to have metataursal protection. Under no circumstances should street
shoes or soft shoes (e.g. tennis shoes) be worn on inspections.
5.3.2.3 Gloves - Gloves should be worn whenever the inspection will involve
climbing of ladders or handling of hot instrument probes. The gloves reduce
the risk of burns on hot ladders and the risk of falls due to wet or muddy foot
rungs. Gloves also reduce the risk of cuts on corroded or sharp foot rungs.
5.3.2.4 Slippery Areas - Portions of the facility with potentially slippery
surfaces should be avoided to the extent possible. Common slippery areas
include concrete surfaces under hoppers, areas adjacent to wet scrubber pumps,
and oily surfaces. Icy surfaces along catwalks and in depressions around roof
mounted collectors should be avoided.
5.3.2.5 Temporary Walkways - Inspectors should not use temporary "walkways"
such as planks and horizontal ladders. Specially constructed temporary walk-
ways should be used only when both ends are firmly secured, and the construc-
tion materials can take the intended weight.
5.3.2.6 Elevated Walkways - Before walking on elevated catwalks around
control systems or leading to control systems, the inspector should confirm, to
the extent possible, that the supports are intact and have not corroded or
rotted.
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5.3.2.7 Roofs - Accumulations of solids and snow can easily exceed the rated load
bearing capacity of roofs. Furthermore, portions of the roof can be made of
materials with only a limited load bearing capability. For these reasons,
all roofs and other elevated, horizontal surfaces should be approached
cautiously. It is recommended that inspectors follow plant personnel in such
areas and that they remain on defined walkways.
5.3.2.8 Climbing Ladders (All Types) - In climbing any ladder, the foot
rungs should be grasped while climbing even when the rungs are wet or muddy.
Using the ladder side rails is never recommended since it is impossible in this
position maintain a grip on the ladder if the feet slip off due to the wet or muddy
conditions.
Under no circumstances should an inspector attempt to climb a ladder
covered with ice or snow. Both hands must always be free for climbing ladders,
therefore, portable instruments, probes, and sample bags must not be carried
in the hands when climbing. Only one person should be on a ladder segment
at a time (except in emergencies) to prevent injuries from falling objects.
5.3.2.9 Portable Ladders - Only portable ladders in good physical condition
should be used. They should be inclined on an angle to minimize the chances
of slippage or toppling and must have secure footing on the bottom to pre-
vent slippage. The ladder must extend above the surface being reached by a
minimum of 3 feet. It must be a safe distance from high voltage electrical
lines and out of the possible path of low elevation steam vents and pollutant
vents.
5.3.2.10 Fixed Ladders - Only ladders in good physical condition should be
used. The cage (if present) must have an opening ranging from 18 inches to 24
inches at the top. The cage should not be severly distorted since this would
prevent easy movement inside. The ladder must have at least 9 inches clear-
ance between it and where it is attached to allow secure placement of the feet
on the rungs. The rungs must be evenly spaced. Ladders must be a safe distance
from high voltage electrical lines. A caged ladder should extend at least three
feet above the platform or surface being reached. Entry to a ladder at the
top should be blocked by a chain or passive restraint.
5.3.2.11 Guard Rails - Guard rails should never be used for climbing. Also,
the inspector should not aviod leaning against guard rails since the supports
occassionally weaken.
5.3.2.12 Protruding Obstacles - While walking through the plant, inspectors
must be alert for protruding obstacles such as conduit supports, beams,
valves, conveyors, and support wires. Often these are difficult to spot in
dimly lit portions of plants. It is advisable to wait several minutes for
the eyes to adjust whenever entering an inside area from the outdoors.
5.3.2.13 Rotating Equipment - Loose clothing should not be worn when conducting an
inspection since this can result in entrapment in rotating equipment. Ties
are never appropriate. Exposed rotating equipment such as incompletely
shielded sheaves should not be approached. Inspectors must be cautious when in
the vicinity of all rotating equipment since it is often impoasible to see the
components moving at high speed. Equipment which operates intermittantly,
such as hoists, should never be touched since this equipment often starts auto-
matically and without warning.
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5.3.2.14 Elevated Platforms - Exposed platforms around air pollution control
systems or around stacks should be left immediately if there is a release of
toxic gases or steam from process equipment. These areas should also be
avoided during thunderstorms.
5.3.2.15 Rail Sidings - Agency inspectors should stay at least 75 feet from
all stationary rail cars at sidings since these are sometimes coupled to
remote controlled engines run by an operator without a complete view of the
siding areas. Also, areas near car pullers should not be approached since
failure of the cable which pulls the cars can lead to serious injuries.
5.3.2.16 Material Piles - Agency employees should not stand on coal piles and other
material stockpiles since it is possible to become entrapped in the conveying
equipment which is often underneath these piles. Also, inspectors should not
stand on fixed sludge lagoons since the material may not have much load
bearing capability.
5.3.3 Eye Protection
5.3.3.1 Contact Lenses - Because of the possibility of hazaradous chemicals
or gases becoming trapped under them or irritating the eyes while they are in,
contact lenses should not be used during the inspection of air pollution control
systems, the inspection of general plant processes, or the handling of any chemicals.
5.3.3.2 Safety Glasses - Field personnel should use prescription safety
glasses while performing field activities. Side shields should be used whenever
there is a possiblitity of exposure to flying materials. Splash goggles
should be used in addition to the safety glasses whenever there is potential
exposure to acid mist and/or liquid chemicals.
5.3.3.3 Minimizing Potential Eye Injuries - To the extent possible, inspectors
should avoid areas directly underneath downward pointed vents and horizontal
vents. The gas streams leaving these sources are often moving at 1500 to 3000
feet per minute and particulate in these gas streams is difficult to see in the large
particle size ranges. Also, inspectors should not obtain liquid samples downstream
of pumps (or in other high pressure locations) where splashing of the liquor is
likely to occur because of the high line pressures. Inspectors should not lean
over tanks containing chemicals in an attempt to assess hood capture effectiveness.
Care must he taken whenever opening inspection hatches on incinerators or boilers.
5.3.4 Hearing Protection
5.3.4.1 Use of Hearing Protection - Agency inspectors should use hearing
protection whenever required by plant policies and whenever it is difficult to
hear another person talking in a normal tone of voice at a distance of 2 feet.
5.3.4.2 Minimizing Hearing Loss - To the extent possible, time spent in areas
of the plant with high noise levels should be minimized. It is rarely nec-
essary to spend extended periods of time in the vicinity of high noise equipment
such as compressors, grinders, pulverizers, screens, steam vents, and fans.
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5.3.5 Electrical Hazards
5.3.5.1 Ground Fault Interrupters - The agency inspector should not use line
powered equipment or instrumentation not served by an approved ground fault
interrupter.
5.3.5.2 Control Cabinets - Under no circumstances should an inspector open an
electrical cabinet in an attempt to measure operating conditions such as fan or
pump currents, or to evaluate the operational status of electrostatic precipi-
tator automatic voltage control circuits.
5.3.5.3 High Voltage Lines - Prior to inspecting any facility, the inspector
must ask responsible plant personnel to identify any high voltage cables in the
area to be inspected. It is important to find any lines which could be
inadvertently approached by long sampling probes and any lines which could be
accidently touched while walking through the plant. It must be noted that
it is sometimes difficult to identify these lines since some of the lines are
incompletely labelled and sometimes identification signs become covered with
dust.
5.3.5.4 Bonding of Probes - Agency inspectors should electrically bond all
probes used downstream of electrostatic precipitators and in fiberglass ducts.
The high static electricity charge which can develop on the probes can cause the
inspector to have a severe involutary reaction which in turn can lead to a
serious fall.
5.3.6 Explosions
5.3.6.1 Bonding of Probes - Agency inspectors should electrically bond all
probes whenever making measurements in gas streams containing potentially
explosive dusts. Due to the finely divided nature of the dusts contained in
most air pollution control systems, static charges can accumulate on the probes
due to the friction between the impacting particles and the electrically iso-
lated probe. The build-up of static electricity on the probes can cause a
spark within the duct which in turn can initiate an explosion.
5.3.6.2 Grounding/Bonding of Sample Bottles - Agency inspectors should
electrically bond all sample bottles and funnels used to collect samples of
fuel oils, waste oils, solvents, coatings and other flammable liquids. Prior
to taking the sample, the adequacy of the ground line for the main storage
vessel should be visually checked. To properly bond the sample bottle and
funnel, both must be constructed of a conducting metal. Failure to take the
sample in this manner can lead to a static electricity initiated explosion.
Agency personnel should leave the plant while samples are being acquired if
plant personnel fail to head warnings concerning improper sample acquistion
techniques. Serious explosions are common due to this problem.
5.3.6.3 Portable Equipment - Agency inspectors should never take battery
powered portable equipment such as non-explosion proof flashlights, pH meters,
and thermocouples into portions of the plant where there are potentially ex-
plosive dusts and/or vapors. The equipment can be a source of ignition.
5.3.6.4 Smoking - Smoking materials, including but not limited to matches
and lighters, should never be taken into any facility. Many areas of plants
visited by inspectors can have explosive dusts and vapors.
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5.3.6.5 Severly Vibrating Fans - The inspection should be terminated
immediately whenever a severly vibrating fan is encountered. When a fan
disintegrates, shrapnel can be sent over a large area resulting in very
serious injuries. Plant personnel should be notified immediately if this
problem is detected.
5.3.7 Burns
5.3.7.1 Hoppers - Agency inspectors should not stand in the immediate
vicinity of hopper doors being opened and should not request plant personnel
to open hopper hatches. Accumulations of hot solids can frequently be resting
behind such doors even when the hoppers appear to be empty and cold.
5.3.7.2 Solids Handling Lines - These lines should not be touched since they
are often carrying solids at several hundred degrees.
5.3.7.3 Probes - Sampling probes withdrawn from hot stacks and vents should
be allowed to cool before being touched. The large port plugs commonly used
should only be handled with gloves since they can remain hot for several hours
after being removed from the stack.
5.3.7.4 Steam Leaks - In the event of high pressure steam leaks, the inspector
should immediately follow the recommended safety procedures at the plant. If
the inspector is in the general vicinity of the leak, such procedures
generally require very little movement since it is practically impossible to
identify the location of the leak. The inspector must be familiar with the
plant warning codes in order to recognize the emergency and take the proper
action.
5.3.7.5 Hot Ductwork - The areas immediately around hot ducts should be
avoided to the extent possible.
5.3.7.6 Hot Roofs - Uninsulated hot roofs should be avoided to the extent
possible. Unfortunately, many common sources such as coke ovens and asphalt
concrete plants typically have hot roofs and it is sometimes necessary to
visit these areas. In such cases, the proper foot wear must be worn. When
climbing up to potentially hot roofs, gloves should be worn and the roof
should not be touched.
5.3.8 Ionizing Radiation
5.3.8.1 Nuclear Instrumentation - Areas around damaged level detectors and
flow monitors must be avoided since the lead shielding around the Cesium 137
radiation source can be damaged.
5.3.8.2 Flow Monitors - Under no circumstances should an inspector reach
between the source and the detector of ionizing radiation type flow rate monitors
such as those often used on sewage sludge incinerators.
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5.3.9 Inhalation Hazards
5.3.9.1 Partially Confined Areas - To the extent possible, inspectors should
avoid areas which allow the accumulation of airborne pollutants. Such areas are
commonly found around air pollution control systems include weather enclosures
on hoppers and roofs, fan houses, pump houses, walkways between compartments of
the collector, protected areas near large ducts, and areas on top of floating
roof storage tanks.
5.3.9.2 Selecting Respirators - The appropriate respirators should selected
in accordance with the procedures discussed during basic and intermediate
safety training and in accordance with EPA Administrative Order 1440.3, dated
July 24, 1981 (and revisions). The latter specifies that each individual
required to wear a respirator have training concerning the selection, use,
fitting, and maintenance of the respirators. Furthermore, the respirator must
not be worn whenever any condition would prevent a good seal. The most common
reason for an improperly fitted respirator is facial hair.
5.3.9.3 Respirator Limits - Each inspector must understand the protection
factor limits of each respirator. They must be used only for the specific
contaminants listed and only for the concentration range listed. Since moni-
toring data is rarely available, the inspector must exercise some judgement
when selecting the appropriate respirator. Selection of the type of respira-
tor should never be done by smell or taste perception, since some of the most
toxic pollutants cannot be detected at high concentrations.
5.3.9.4 Oxygen Deficient Atmospheres - Inspectors should use only a self-
contained breathing apparatus or an air line respirator when entering areas
believed to be oxygen deficient. Each individual using such a respirator must
be trained in its proper fitting, use, maintenance, and storage. Under no
circumstances should an inspector attempt to enter an air pollution control
device or part of the process equipment using these respirators.
5.3.9.5 Respirator Maintenance - Proper inspection, maintenance, storage,
and repair of respiratory protection devices are required by EPA Administra-
tive Order 1440.3 to ensure that these devices protect the health and safety
of employees when in use. The respirator must be inspected before and after
each use (disposable respirators excluded). Equipment used only for emergen-
cies will be inspected at least monthly. A record should be kept by date with
the results of all inspections. All respirators must be cleaned and
disinfected after each use. All filters and cartridges must be replaced
whenever necessary. Replacement of other than disposable parts and any repair
should be done only by personnel with adequate training and test equipment to
ensure the equipment will function properly after the work is accomplished.
Only certified parts supplied by the manufacturer for the product being re-
paired shall be used. The respirators should be stored in atmospheres that
will protect them from dust, sunlight, extreme heat or cold, and damaging
chemicals.
5.3.9.6 Eyeglasses in Respirators - The Agency should supply individualized
eyeglasses mounted to the face piece of full face mask respirators, whenever
such respirators are necessary for the field duties assigned. Spectacle temple
bars or straps that pass between the sealing surface and the wearer's face
prevent a good seal and should not be permitted with a full-face respiratory
protection device.
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5.3.9.7 Physical Limits to the Use of Respirators - Employees with perforated
ear drums should not wear respirators.Employees who have not demonstrated, by
means of regular physical examination, that they are capable of withstanding
the additional physical stress imposed by respirators, should not wear respira-
tors. Since respirators are necessary for field activities, such individuals
should not perform field duties.
5.3.9.8 Contact Lenses and Respirators - Contact lenses should not be worn
when Agency employees are wearing respirators [OSHA Standard 1910.134 (e) (5)
(11)]. A properly fitted respirator may stretch the skin around the eyes,
creating the possibility that the contact lens will fall out. Also, in a full-
face respirator contaminants penetrating the respirator could get under the
lens and cause eye irritation; the user's first reaction might then be to
remove the facepiece to remedy the situation.
5.3.9.9 Gum and Tobacco Chewing with Respirators - Agency employees should not
chew gum or tobacco while wearing a respirator.
5.3.10 Use of Portable Instruments
5.3.10.1 Selection of Ports - Agency inspectors should not attempt to use
measurement ports on positive pressure ducts or collectors that are more than
1 inch in diameter when the static pressure exceeds 1 inch of water. At this
pressure, a high velocity gas stream, possibly containing toxic pollutants, can
quickly engulf the area of the measurement port.
5.3.10.2 Positive Pressure Ports - All measurement ports under positive
pressure must be opened carefully and be sealed while the measurements are
being made. A glove is not recommended for sealing the port since leakage of
gas around portions of the glove is usually significant.
5.3.10.3 Negative Pressure Ports - The measurement probe and associated
equipment must be secured so that nothing is sucked into the ductwork or
collector. This can result in significant damage to the plant air pollution
control system, fan, and process equipment. It is recommended that ports less
than 1 inch in diameter be used whenever the static pressures are less than
minus 1 inch of water.
5.3.10.4 Lifting Equipment - When lifting large and bulky equipment to
elevated platforms, a rope should be used rather than attempting to carry
it up the ladder. Each article must be securely tied to the rope before
been lifted. This should not be attempted if the wind speed is high, since
it will be difficult to control the equipment being lifted. Under no circum-
stances should small tools, probes, or samples be allowed to drop from ele-
vated platforms.
5.3.11 Heat Stress
5.3.11.1 Prinking Water - Each inspector working in moderate and hot
climates should carry drinking water in the vehicle used. It is recommended
that this water contain 0.1% by weight salt. It should be remembered that heat
stress can occur while inspecting air pollution control systems even when the
ambient temperatures are low. The close proximity of high temperature ducts
and the limited air movement around portions of the control system provide
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areas of high heat stress. The work involved in climbing to the various
platforms around the control equipment and the work involved in making some of
the measurements contributes to the heat stress conditions.
5.3.11.2 Heat Exhaustion - The inspection should be interrupted immediately
whenever an inspector experiences the symptoms of heat exhaustion including
but not limited to fatigue, nausea, vomiting, headache, dizziness, clammy
skin, and rapid pulse. The affected individual should rest in a cool place
which is not less than 75°F and seek medical care as soon as possible.
Continuing the field activities during the onset of heat exhaustion can lead
to heat stroke, a very serious condition requiring immediate medical help.
5.3.11.3 Heat Cramps - The inspection should be interrupted immediately
whenever an inspector experiences heat cramps. The affected individual should
find a cool place to rest and drink water containing 0.1% by weight salt (1
teaspoon per 5 quarts of water).
5.3.11.4 Appropriate Clothing - When working near non-radiant sources of
heat, light clothing should be worn so that evaporative cooling is facili-
tated. In general, when the temperature is less than 100°F the clothing
should be light and loose fitting. When the temperature is greater than 100°F,
it should cover as much of the body as possible to decrease the convective
heat transfer from the surrounding air.
5.3.11.5 Synthetic Materials - Synthetic materials should not be worn in
areas where there is high radiant heat. It is possible for some of the
synthetics to bond to the skin when the temperature is high. Work clothes
should be composed primarily of cotton.
5.3.12 Cold Stress
5.3.12.1 Extreme Weather Conditions - Field inspectors should avoid portions
of the plant exposed to high wind conditions or wet areas when the ambient
temperature is low.
5.3.12.2 Appropriate Clothing - Clothing for inspections conducted during
cold weather must be selected to provide the appropriate degree of protection
and to reduce the chances of excessive perspiration accumulation. Clothing
should generally be layered to trap heat and to provide the flexibility to
adjust to both outside and inside conditions while conducting the inspection.
Steel tipped shoes should not be worn whenever the ambient temperature is low.
All shoes worn must be water tight.
5.3.12.3 Cold Weather Supplies - Field personnel working in areas prone to
severe winter conditions (e.g. Minnesota, North and South Dakota, Montana,
Wyoming, Utah, and Alaska) should include a winter survival kit in their vehicle.
This should include but not be limited to flares, a shovel, sleeping bag,
compass, drinking water, candle, food, and a two way radio. Each individual
should be trained in the proper procedures to survive white-out conditions, and
extended periods of extreme temperatures.
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5.3.13 Skin Absorbable Chemicals
5.3.13.1 Personal Protective Equipment - Agency personnel should consult
published reference materials concerning the selection and use of clothing
(including gloves) whenever working with or near chemicals which are readily
adsorbed by the skin. A partial list of such chemicals is provided in the OSHA
Pocket Guide to Occupational Hazards.
5.3.13.2 Sampling - Agency personnel should exercise extreme caution when
sampling liquids containing skin absorbable chemicals. Under no circumstances
should the employee allow direct contact between such liquids and the skin (e.g.
hands and arras) while acquiring a sample.
5.3.14 Transportation of Materials and Supplies
5.3.14.1 Compressed Gas Cylinders - All compressed gas cylinders transported
in cars and trucks must be secured in accordance with D.O.T. Specifications.
These should never simply be placed in the back of a station wagon, the back
of a pick-up truck, or in the trunk of a car. These cylinders must be treated
carefully.
5.3.14.2 Potentially Hazardous Samples and Supplies - All such materials must
be packaged and transported in accordance with D.O.T. Specifications. This is
necessary to ensure that the material does not leak during routine transport
or following an accident.
5.3.15 Biologically Active Materials
5.3.15.1 Sampling - Agency inspectors should exercise extreme caution
whenever sampling any solid or liquid material potentially containing bacteria
and/or viruses. Such materials can be present in the scrubbing liquors for
sewage sludge incinerators and in the solids fed to pathological waste
incinerators. The proper personal protective equipment and proper sampling
procedures must be used when acquiring samples.
5.3.15.2 Airborne Exposure - It is conceivable that bacteria and viruses can
be entrained in the gas streams from improperly operating crematoriums and
pathological waste incinerators. Exposure to the effluent from such sources
must be avoided. Inspectors should seek guidance from the EPA Safety and
Health Office concerning the proper personal protective equipment and other
procedures to be followed during field work in the vicinity of such sources.
5.3.15.3 Fungi - Exposure to some forms of fungi common in the grain and feed
industries can lead to serious health problems. The proper respiratory
protection is necessary to minimize this exposure.
5.4 UNUSUAL AND EXTREME HAZARDS
While the EPA Administrative Orders concerning health and safety and the
specific safety procedures outlined in Section 5.3 are believed to be
appropriate for commonly encountered conditions, each inspector must realize
that the safety procedures may have to be modified for unusual and extreme
hazards at a specific site. It is the responsibility of the inspector, with
the assistance of plant personnel, to identify these conditions. If there is
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any question concerning the proper health and safety procedures, the
inspection (or other field activities) should be interrupted until guidance
can be obtained from supervisory personnel.
5.5 REFERENCES
1. Executive Order 12196, Occupational Safety and Health Programs for Federal
Employees, February 27, 1960.
2. Occupational Safety and Health Standards, U.S. Department of Labor,
Federal Register, Vol. 37, Number 202, October 18, 1972.
3. Richards, J. R. and Segall, R. R. Inspection Safety Procedures Workshop,
Student Manual (Draft), Report under EPA Contract No. 68-01-6312,
May 1984.
4. National Fire Protection Association, Static Electricity, Publication No.
77, 1983.
5. American Petroleum Institute, Recommended Practices Concerning Static
Grounding, Manual 2003, 1982.
6. U.S. Environmental Protection Agency, Safety Manual for Hazardous Waste
Site Investigations, Draft Manual Dated September 1979, Available from the
Office of Occupational Health And Safety, Waterside Mall, 401 M. Street
S.W., Washington D.C.
7. National Safety Council, Accident Prevention Manual for Industrial
Operations, 6th Edition 1971.
8. U.S. Department of Health, Education and Welfare, The Industrial
Environment - Its Evaluation and Control, 1973.
9. U.S. Department of Health, Education and Welfare, Occupational Diseases, A
Guide to Their Recognition, Revised Edition, June 1977.
10. Norman V. Steere & Associates, Stack Sampling Safety Manual, Report under
EPA Contract No. 68-02-2892, September 1978.
11. Patty's Industrial Hygiene and Toxicology, Third Revised Edition, Vol. 1,
G. Clayton and F. Clayton, Editors, Wiley Interscience Publication, 1978.
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6.0 VISIBLE EMISSION OBSERVATIONS
NOTICE: This chapter on visible emission observations Is not presented In this draft
of the manual because the Visible Emission Observation Form which was presented and discussed
In this chapter Is presently undergoing substantial revision based on agency technical and
administrative peer review. The revised chapter (Including the finalized Visible Emission
Observation Form and corresponding Instructions for Its completion) will be published In the
near future.
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7.0 OBSERVING THE COMPLIANCE TEST
As outlined in Chapter 2, the Level 4 inspection consists of
establishing a set of baseline process and control equipment operating
conditions. This is accomplished by monitoring all process and control
device parameters during a compliance stack test; these parameters,
considered to be representative of emission levels during the test, can then
be used for comparison during subsequent Level 2 and Level 3 inspections.
The responsibility for collecting this data often falls to the air compliance
inspector, since he/she will utilize it later. This task is often combined
with the observation of the compliance test. This chapter addresses
compliance test observation procedures as a whole, with emphasis on the
aspects pertinent to the Level 4 inspection and the air compliance inspector.
7.1 INTRODUCTION
The stationary source performance or compliance test is an important
part of compliance monitoring. Under current environmental regulations, a
plant or facility that emits pollutants to the atmosphere must maintain the
emissions at or below certain levels, as set forth in the applicable Federal,
State, or local standards. Thus, an important aspect of the overall program
of air pollution control is compliance testing, in which emissions are
sampled and measured while the plant operates under typical conditions
considered "representative" of day-to-day operations.
With the possible exception of comparison of data from several
inspections to good continuous emissions monitoring data, the compliance test
is the air compliance inspector's best opportunity to both (1) determine the
conditions that the source considers as the optimal process and control
equipment operationing conditions and (2) to compare these conditions to
emissions in terms of the applicable emission standard. This constitutes a
Level 4 inspection and can be best utilized in the inspection program when an
inspector observes the process and control equipment operations and makes
visible emission determinations (if applicable).
The compliance test observation involves two main objectives.
• To certify that the testing method is proper and in accordance with
any pretest protocol established.
• To develop an engineering profile of process and control equipment
operating conditions prior to and during the emission test which
demonstrates that the test was conducted under "representative
conditions" and also establishes a set of representative conditions
under which the source's emissions are within the required
limitations.
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The set of conditions referred to above can then he used during
subsequent compliance inspections as an indication of changes in plant
operations, control device performance, or other parameters that could result
in an increase in emissions.
Facility operation during the compliance test is of critical interest to
the agency for several reasons. For example, during the initial compliance
test the observer can usually determine the range of process and control
equipment parameters that the plant operator and equipment supplier consider
optimal for achieving compliance with the applicable emission standard. This
information is useful not only for establishing representative operating
conditions during this test or pretest protocols for subsequent emission
tests, but also in selecting or evaluating stipulations of operating permits,
and in assisting agency inspection personnel in evaluating future performance
and continuing compliance status. The overall process of establishing this
benchmark set of data on the facility operation is referred to as
"baselining."
Establishing a baseline involves documenting all pertinent operating
parameters as they relate to the emission characteristics of the source; this
includes both process and control equipment parameters. The baseline
provides a fixed point of operation or a narrow range of operating parameters
against which other determinations may be made. The concurrent emission test
provides a documented emission rate(s) that may be correlated with process
and control equipment operating characteristics and, at times, visible
emissions observations made during the test. The use of baseline values in
later compliance inspections and obtaining baseline data for specific types
of control equipment is discussed at length in Chapter 10.
If an opacity standard is also a requirement of the facility being
tested, the agency observer generally has the responsibility of making the
visible emissions determinations. These determinations can often be
correlated with the mass emissions and so become part of the baseline.
The typical agency approach to the determination of compliance through
emission testing is summarized in the following seven steps.
Step 1: Orient the agency staff and plant personnel concerning plant
operations, emissions, and applicable regulations.
Step 2: Establish the requirement for a source test.
Step 3: Formulate written testing requirements for testing methodology.
Step 4: Conduct a planning session with test team and plant representatives
to finalize testing procedures and perform a pretest survey.
Step 5: Observe the compliance test including both facility operations and
testing methodology.
Step 6: Review the test data; determine compliance status and give official
notification.
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Step 7: Continue enforcement of compliance by performing follow-up
Inspections using data generated from the compliance test as baseline
for comparison.
The principle function performed by the compliance test observation is
to evaluate the representativeness of the compliance test itself. This
evaluation is generally based on five criteria; if any one of these criteria
is not met, the compliance test is considered nonrepresentative:
• Process and control equipment must be operated in such a manner as to
produce representative atmospheric emissions.
• Locations of the sample ports and sample points must provide samples
representative of the atmospheric emissions.
• The sample collected in the sample train must be representative of
the sample points.
• The sample recovered and analyzed must be representative of the
sample collected in the sample train.
• The reported results must be representative of the sample recovered
and analyzed.
The following subsections describe more fully the responsibilities of
the observer as related to four phases of the compliance test: (1) prepar-
ation and planning, (2) conducting the test, (3) recovery, transport, and
analysis of the sample, and (4) preparing the compliance test report.
7.2 PREPARATION AND PLANNING
The initial phase of any performance test observation is preparation and
planning. During this phase the representative agency (either EPA or the
state agency) defines, through written or verbal test guidelines for the test
team leader and the plant representative, all procedures to be followed
during the entire test program. These compliance test guidelines assist the
test team leader in formulating a protocol for the compliance test that is
compatible with agency requirements.
In instances where the compliance test being conducted is the initial
performance test, it is often the case that continuous emission monitoring
system (GEMS) performance evaluations are conducted simultaneously. (These
performance evaluations are generally referred to as performance specifica-
tion tests or PSTs.) Because the relative accuracy tests for sulfur dioxide
and nitrogen oxides CEMSs involve use of the same methods employed for
compliance tests, sources typically propose that the compliance test and GEMS
PST be conducted concurrently. Test protocols can be easily prepared which
provide for concurrent testing that meets applicable requirements. The
nature and extent of preparation and planning efforts will be clearly
affected by such concurrent PSTs; however, a discussion of such efforts is
beyond the scope of this manual. Documents ' are available which deal
with PST observation; the reader is referred to these.
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Prior to the establishment of a test protocol, the observer or other
agency representative may need to conduct a pretest "walkthrough" (see
Section 7.2.2) of the facility to locate and check operational status of
process and control equipment instrumentation. This is used to assist in
outlining recommendations for equipment operations and monitoring during
testing and to draw up requirements for the facility to make repairs,
calibrate, etc. of instrumentation that is not operating correctly.
The test protocol is then submitted to the agency by the test consultant
or the plant representative. It is reviewed by the agency to confirm that it
meets all agency requirements. In particular, the agency/observer gives close
attention to (1) any deviations from standard sampling procedures due to certain
processes, available sampling locations, and/or pollutants and (2) proposed
operation of the facility during the compliance test. Based on the review, the
protocol is generally finalized at the pretest meeting. With the test protocol
agreed upon, the observer/inspector prepares for the actual test observation by
further familiarizing himself with the plant and processes and gathering any
checklists, date sheets, etc. that he will need on the day of the test. The
following subsections describe each part of preparation in more detail.
7.2.1 Compliance Test Guidelines
Because the results of any compliance test may be contested, agency
staff must be aware of potential legal implications of the compliance test.
It is recommended that they prepare written guidelines and clearly delineate
acceptable sampling procedures. They should inform the test team (usually
from an independent, professional testing consultant firm) and the plant
representative of all baseline or minimum conditions to be met in the test,
and provide clear guidance for calculation and presentation of test data.
Having developed these criteria, the responsible agency should then ensure
that they are applied uniformly. Thus, any new or inexperienced agency staff
members should be thoroughly trained before being assigned a responsibility
as critical as compliance determination. The availability of written
protocols can minimize the need for impromptu decision making by the agency
observer during the compliance test.
Approximately half the states in the nation have written compliance test
guidelines. If an agency has guidelines they should be used. If guidelines
have not yet been developed, it is recommended they be written. Reference
may be made to other agencies guidelines. The key items which should be
addressed in the guidelines are listed below.
• Introductory Section - Reviews regulations authorizing agency to
require performance tests.
• Procedures Section - Reviews agency administrative procedures.
• Protocol Section (Specific Information) - Lists required source,
testing firm, and gas stream information.
• Protocol Section (Additional Information) - Lists additional
information requested such as information on the sampling train and
analytical procedures, sample data sheets, process description, and
control equipment description.
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7.2.2 Pretest Facility "Walkthrough"
In some cases, the agency may want to obtain certain facility
information prior and subsequent to the pretest meeting and the compliance
test itself. A pretest and post-test walkthrough of the facility is often
used in obtaining process, control equipment, and monitoring data to confirm
representative conditions during the test and to provide a sounder basis for
baselining the facility. A pretest walkthrough is also used to check on the
operational status of any process and control equipment instrumentation that
will be used to monitor operating parameters. By performing these checks
prior to the test, the agency can inform the plant representative of any work
that needs to be done before the test such as repair and calibration.
It is recommended that the following be checked during a walkthrough.
• Sampling port locations (pretest walkthrough only).
• Process materials sampling locations (pretest walkthrough only, if
required).
• Location(s) for making visible emission observations (pretest
walkthrough only).
• Process operations, instrumentation and associated calibration
factors.
• Control equipment operation instrumentation and appropriate
calibration factors.
• Continuous emissions monitors and their data recording equipment.
7.2.3 Sampling Procedure Review
Prior to any compliance test the responsible agency must review the
test protocol. A major part of this test protocol consists of an explanation
of the sampling and analysis procedures to be used in conducting the com-
pliance test. The agency must determine if the procedures described are in
accordance with the regulations applicable to the compliance test. It is
suggested that the observer use the test protocol review checklists found in
Reference 1 to ensure that all significant points are reviewed.
In certain cases the protocol will entail modification of standard
sampling procedures due to particular processes, sampling locations, and
pollutants. In these cases the agency must determine whether the proposed
modification will give results equivalent to or with a high bias compared to
those which would be obtained with the standard method. More detailed
information on making determinations of acceptable test protocols is
available in References 4 and 5.
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7.2.4 Establishing Representative Process Conditions and Baseline Values
Section 60.8(c) of the New Source Performance Standards states:
"Performance tests shall be conducted under such conditions as
the Administrator shall specify to the plant operator based on
representative performance of the affected facility. The
owner or operator shall make available to the Administrator
such records as may be necessary to determine representative
operating conditions to be used while conducting performance
tests."
If the testing is to be performed under the new Source Performance
Standards, then the agency can take full advantage of this requirement by
having the facility or test team submit a written test protocol describing
representative process and control equipment operating parameters and mode of
operation to be used during the compliance test. This is generally required
even if the test is performed for other reasons. If the facility is told that
their permit to operate, operation and maintenance, program and future
inspections will be based on conditions recorded during the performance test,
their testing protocol will more likely be detailed and realistic.
In general, standardized forms can be sent to the facility that will
indicate representative conditions and the level at which the agency intends
to baseline the facility. The items below show an example of the minimum that
is generally agreed upon for future baseline use of the data.
PRETEST AGREEMENT OF CONTINUING COMPLIANCE CONDITIONS
Process
- Process parameters that must be recorded and submitted to agency
or kept on file for later inspection.
- Percentage by which each process parameter can exceed the tested
rate and on what time weighted average.
- Future operating procedures.
• Control Equipment
- Control equipment parameters that must be recorded and submitted
to the agency or kept on file for later inspections.
- Normal operating procedures.
- Normal maintenance schedule.
- Frequency of scheduled inspections by agency.
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The second list shows the minimum items that should be agreed upon for the
testing protocol as representative conditons.
PRETEST AGREEMENT ON FACILITY OPERATION
• Process
- Maximum process rate/capacity.
- Method of process weight or rate determination.
- Process parameters to be monitored and recorded, and their
acceptable limits to document process operation.
- Frequency of data collection during testing.
- Raw material feed and/or fuel acceptable analyzed values.
- Normal operating cycle or procedures.
- Portions of the operating cycle that will be represented by each
run.
• Control Equipment
- Control equipment and effluent parameters to be monitored and
recorded, and their acceptable limits to document control
equipment operations.
- Normal operating cycle (cleaning, dust removal, etc.).
- Normal maintenance schedule.
- Manner in which the control equipment will be operated.
The final agreement should establish the basis for the baselining of the
facility. The agency observer may wish to describe the purpose for
baselining of the facility to the plant personnel to give them a better
understanding of what will be accomplished.
The baseline may be used for several purposes. First, for existing
sources, baseline values may be obtained prior to a test to assist in the
establishment of representative operating conditions. The normal range of
values may be recorded during a period prior to a test and these values may
be specified in the test protocol to establish representative conditions or
to be used as a starting point in negotiating the test protocol with repre-
sentatives of the plant. Comparison of compliance test parameters with those
specified in the protocol is then used to establish whether the process and
control equipment are operating during the test at representative conditions
as specified.
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Second, for new sources the Initial compliance test provides values of
operating parameters that correspond with measured omission rates and since
(Or these sources there is no previous operating history, it also allows
comparison against design values for process and control equipment. This
provides a fixed reference point against which to compare future operating
data to establish normal operating ranges. Third, documentation of the
baseline data will assist in setting specific ranges on important parameters
for inclusion into an operating permit (if required by the agency).
Fourth, and most important for the inspector, the values of the baseline
parameters provide comparison data for evaluation of routine inspection
results. By having knowledge of the effects of various process and control
equipment operating parameters on emissions, comparison will assist in
evaluating the direction and magnitude of any changes in performance.
Finally, the baseline test provides a fixed reference point to compare
long-term performance trends that are of particular interest in discussing
aspects of continuous compliance. Proper evaluation of data may assist in
establishing preventive maintenence schedules as well as provide an indicator
for any design or installation problems that may exist. In addition, the
rate at which the normal operating parameters move off from baseline values
may assist the agency in scheduling routine inspections and periodic
compliance tests.
The types of data recorded are dependent upon site-specific factors
(i.e., the type of source or process, the product(s) produced, the control
equipment installed). For that reason the observer and the inspector (if
different from the observer) should be aware of the site-specific factors
that affect the emissions, and take steps to obtain the appropriate data.
See the detailed discussion of baselining in Chapter 10.
7.2.5 Pretest Meeting
Before compliance testing, the agency observer, the test team leader,
and a plant representative with process control authority should meet to
finalize sampling protocols, to establish representative operating and
baseline conditions, and to coordinate the testing schedule. At this meeting
the compliance test protocol is finalized and agreed upon by all parties. A
pretest checklist can be used to organize the meeting and to ensure that all
pertinent areas as listed below are discussed.
• Designation of Responsible Persons
- Plant representative
- Plant manager
- Test team company
- Test team representative
- Person responsible for test team
- Responsible agency
- Agency representative
- Person responsible for agency
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Pretest Plant Requirements
- Safety requirements
- Entrance requirements
- Acceptability of sampling sites
- Number of sampling points required
- Diagram of sampling points
Sampling Methodology
- Pollutant
- Method
- Remarks, additional QA, modifications
Pretest Agreement on Process Operation
- Maximum process rate and method of determination
- Parameters to be monitored and recorded
- Acceptable composition of raw materials or fuel
- Normal operating cycle
- Portions of operating cycle to be included in each run
Pretest Agreement Control Equipment Operation
- Equipment and effluent parameters to be monitored and recorded
- Normal operating cycle
- Normal maintenance schedule
- Control equipment operating procedure
Pretest Agreement of Continuing Compliance
- Process parameters that must be submitted to the agency or kept
on file for inspection
- Percentage by which process operations can exceed tested rate
- Future process operating procedures
- Control equipment parameters that must be submitted to the agency
or kept on file for inspection
- Normal control equipment operating procedures
- Normal control equipment maintenance schedule
- Frequency of scheduled inspections
Review and Approvals
- Tester on pretest agreements on facility operations
- Agency on pretest agreements on facility operations and
continuing compliance
— Facility on pretest agreements on facility operations and
continuing compliance
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At the conclusion of the meeting, the test team supervisor must know the
exact sampling procedures to be used, the minimum data requirements, and the
conditions that constitute an invalid test. Likewise, the plant represen-
tative should know what process and control equipment parameters will be
recorded, the intervals of data collection, the raw materials that must be
used, and the conditions that constitute an invalid test. Since the agency
observer has authority for approval or disapproval of the compliance test,
he/she must be certain that all aspects of the test protocol are clearly
understood at this time. Execution of the compliance test in accordance with
the agreed upon protocol and facility operational conditions should consti-
tute a valid test.
Some compliance tests of relativity simple processes may be routine
enough that a pretest meeting on the morning of the test before sampling
begins will be adequate to ensure complete understanding among all parties
involved. In all cases, however, whether the process is simple or complex,
it is the observer's responsibility to be certain that all details of the
test procedure are understood and accepted before the test begins.
7.2.6 Observer Preparation
The observer must become familiar with the process to be sampled.
Whenever possible the agency field inspector should be the "observer" for the
process and control equipment. If the process is large or highly
complicated, the observer may be aided by an agency process control
engineer. An emission test performed at the wrong process rating or without
sufficient process data will not be considered valid. The observer can
familiarize himself with a specific process by consulting one or more of the
many inspection manuals prepared by the U. S. Environmental Protection
Agency. These manuals generally describe the process, indicate the methods
and devices used in monitoring process rates and/or weights, and address
methods of emission control and control performance evaluation.
The observer should also be prepared to handle any nonroutine situations
that arise during the compliance test. Before the test begins, he should
prepare a written or mental list of potential problems and possible solu-
tions. The list should establish limits at which the minimum requirements
for sampling and process rating are not met; for example, sampling may be
unacceptable if the sampling box cannot maintain the filter at minimum
temperature, and process rating is unacceptable if a power plant is unable to
maintain full load because of poor quality coal. If the observer plans to
use checklists, method modifications, anticipated problems, etc. should be
noted on these. In preparing to meet such emergencies in testing, the
, observer must know who in his organization is authorized to make decisions
that are beyond his capability or authority.
The number of persons scheduled to observe the compliance test must be
adequate to ensure that (1) the facility operation (both process and control
equipment) is monitored and recorded in a manner that provides a basis for
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present and future evaluations of representativeness, (2) visible emission
observations are conducted (if applicable) to use as an index of continuing
compliance, and (3) the prescribed testing methodology is followed by the
test team. With respect to item (2), as previously recommended, inspection
personnel should be resposible for observing facility operations and taking
visible emission readings during the compliance test.
7.3 DURING THE TEST
The attitude and behavior of the agency observer during the compliance
test, are of utmost importance. He should perform his duties quietly and
thoroughly, conversing with the test team and plant personnel as little as
possible. If test procedures do not follow the established guidelines', the
observer should deal solely with the test supervisor and plant representative
or should have a clear understanding with them if it is necessary to
communicate with the test team or plant operators. Conversely, he should
refrain from answering queries from the test team and plant operators
directly, referring such inquiries to the appropriate supervisor. The ideal
emission test is one in which the data gathered is representative and no
discussion of the test procedure is required.
During the test, the observer or observers must perform a number of
tasks to ensure that the test is representative and to construct a baseline
set of data. These tasks include (1) observation of sampling procedures,
(2) on-site estimation of possible measurement errors, (3) observation of
plant operational parameters, (including baselining and visible emissions
observations) and (4) confirmation of normal facility operations during the
test. All are covered in more detail in the following sections. Section
7.3.5 at the end presents suggestions for coordinating accomplishment of
these tasks within the framework of the compliance test.
7.3.1 Observation of Sampling Procedures
During the test the observer must make a number of checks to confirm the
test team's adherence to specified sampling procedures. These checks are
aimed specifically at confirming the following two major points.
• The locations of the sample ports and sample points will provide
samples representative of the atmospheric emissions.
• The samples collected in the sample train are representative of the
sample points.
In most cases the observer should utilize a checklist or checklists
covering the details of the sampling procedures to eliminate the possibility
of overlooking any necessary checks. Example checklists for each of the EPA
Reference Methods can be found in the Reference 1. These checklists contain
all the necessary checks for the standard sampling methods. If the test team
is using modified procedures of any type, the observer should modify or
rewrite his checklists to reflect all modifications.
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7.3.2 Measurement Errors
To gauge the relative importance of the measurement errors on stack test
measurement of emission values, the observer must know the significance of
each type of error. The procedure for determining pollutant emission rates
by stack sampling involves measurement of a number of parameters. Errors of
measurement associated with each parameter combine to produce an error in the
calculated emission rate. Measurement errors are of three types: bias,
blunders, and random errors.
Bias errors, usually a result of poor technique, cause the measured
value to differ from the true value in one direction. This operator error
often can be minimized by proper calibration and by adequate training in
instrument operation. Most bias errors should have been eliminated with
receipt of documentation of the calibration of emission measuring equipment
in the pretest meeting. The observer may believe, however, that a one point
field check of calibration is warranted. Minimizing bias errors requires
diligent effort by skilled sampling teams who adhere closely to the
prescribed methods.
Most blunder errors occur during collection, recovery, or transportation
of the sample or during analysis. For example, if the sample nozzle is
allowed to touch the inner stack wall and collects foreign material from the
wall, the resulting error may be extremely large. Such errors are difficult
to observe and the total effect cannot be calculated. Fortunately, most of
these errors can be determined using common sense rationalization. Elimi-
nation of all blunders should be a main concern of the observer.
Random errors, which result from a variety of factors, cause a measured
value to be either higher or lower than the true value. Such errors are
caused by inability of sampling personnel to read scales precisely, poor
performance of equipment indicators, and lack of sensitivity in measurement
devices. The usual assumption is that random errrors are normally dis-
tributed about a mean or true value and can be represented statistically in
term of probabilities. Determining the maximum expected error, however, does
not require a strict statistical approach. It can be estimated by summing
the maximum expected errors for each factor as explained in Reference 4.
7.3.3 Observation of Plant Operational Parameters
During the baseline compliance test, the agency observer must
essentially conduct an inspection to obtain the operating parameters
necessary for evaluating the test and constructing the baseline. The only
major difference between this and a routine inspection is the fact that
emission testing is occurring simultaneously. Process, control equipment,
and other necessary parameters are checked throughout the test. As explained
in Section 7.2.2 for pre- and post-test "walkthroughs", this data may also be
obtained for the weeks previous to and after the stack test to further
confirm representative conditions during the test.
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As the Initial part of this inspection, the observer should tour the
facility ensuring that all monitoring equipment and sampling locations are
acceptable, functional, and when necessary, calibrated. In particular, he
should check the following items.
• Process operations monitors and their calibration factors.
• Process materials sampling locations (if required).
• Control equipment instrumentation and calibration factors.
• Location for making visible emissions determinations.
• Continuous emissions monitors and their data recording equipment.
If any of these items are not acceptable by test time, the facility contact
should be informed that the problem must be corrected prior to the test for
the test to be valid.
The status of CEMSs are checked when they are present and have been
successfully performance tested. In this respect, the general operation of a
GEMS is assessed based upon the status of fault lights and other easily
accessed parameters such as the pollutant emission levels being measured.
If, for example, fault lights are lit or if indicated emission levels are
inconsistent with the nature of the process, the observer should note that
the source's GEMS program may warrant attention by the control agency.
Manuals which contain information dealing with the auditing of CEMSs are
available.'»B'y
The process parameters monitored as part of the test are as numerous as
the types of industry and, therefore, specific guidelines require site
specific plans and will not be discussed here. However, process and control
equipment parameters to be observed can be grouped under six general
headings:
• Raw material inputs,
• Production (output),
• Fuels needed for the process,
• Mode of operation,
• Control equipment parameters, and
• Effluent characteristics (such as oxygen and carbon
monoxide content).
Raw material characteristics that should be monitored include the
quantity of all raw materials, chemical composition (including elemental
analysis if needed), the size distribution of the feed materials (if
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applicable), moisture content, and any feed cycles that are present if the
raw material feeds are not continuous. All recycle loops should be included
in the materials balance, as the amount and type of materials recirculated
generally will affect emission rates. To the extent possible, continuous
strip chart recorders are valuable in providing real-time data and should be
used where available. Otherwise, visits to process monitoring areas at a
reasonable frequency are necessary to provide adequate documentation.
The product characteristics should also be monitored including
production weight, chemical and physical characteristics, particle size,
density (specific or bulk), temperature and in the case of steam production,
pressure. Although many of the characteristics are typically not measured
during the test, those parameters that significantly affect performance
should be measured for comparison with data obtained in the future. Care
must be taken to protect the confidentiality of this data, if required by the
plant, for it is in these areas that most sources are most sensitive about
releasing data.
In those processes utilizing a fuel for heat input, the fuel type and
heat content of the fuel should be specified. Other parameters that are
commonly of interest are the sulfur content of the fuel, the ash content (not
applicable to all fuels), and any chemical components that are included in
the fuel that might affect the performance characteristics of the process
and/or control equipment emisison rate or emission characteristics.
The final process check is the mode of operation. Many processes have
several modes for which they can be operated. The two general modes are
automatic and manual. However, there are many variations that would allow
the facility to divert pollutants, shut down auxiliary or cleaning systems,
change pollutant reinjection systems, or even extend the normal operating
cycle. For many sources, the mode of operation is probably the most
difficult parameter for which to determine representative operation. A
process flow chart can be reviewed with the facility to discuss the options
for operation. Only processes for which it is the normal mode of operation,
may be controlled manually during the test. No cleaning (i.e., soot blowing)
or other auxiliary systems should be shut down unless they rarely operate
during the normal operations. All pollutant reinjection (e.g., fly ash
reinjection, insufflation) systems should be in operation. Operational
cycles that extend beyond their normal time should not be considered
representative.
The establishment of baseline parameters for the control equipment is
invaluable in determining operating characteristics and compliance
capabilities during future routine inspecitons. As explained in the process
parameter section, the mode of operation is important. Two types of control
equipment are particularly amenable to baselining: ESP's and wet scrubbers.
Fabric filters and mechanical collectors may also be baselined, but in many
cases operation and maintenance play a major role in the long-term
performance and there are relatively few indicators that are truly useful in
the sense of baseline parameters.
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The actual monitoring and recording of the facility operations is the
responsibility of the facility. The observer's responsibility is to see that
it is conducted in a proper manner and to report any changes that need to be
made to the facility contact. The observer should never tamper with any
equipment or handle or mark on any operating logs.
It is usually advisable during a compliance test to check the operating
parameters on a routine schedule (half hour intervals) and to note any sudden
changes that occur during the test period. Specifically, the observer must
check to see that the process and control equipment are operating as
prescribed in the test protocol and must determine if any significant shifts
in parameters occur during or between test runs. If shifts do occur, it is
the repsonsibility of the agency to determine the effect on emissions and
whether the shift(s) compromise the representativeness of the emission test.
The emission test will provide the basic data for all control equipment,
including gas volume, composition, and temperature, pollutant emission rate,
and an average opacity. For each control equipment category the final
disposition of the collected material should be determined (disposal
provisions) by the observer. And, if a simultaneous inlet test is performed,
the efficiency of the control equipment can be determined. The specific
parameters to be monitored for each type of control device are discussed in
the next Chapter in the section on constructing a baseline data set.
7.3.4 Coordination of Observation Tasks
The following paragraphs describe the recommended agenda for one
observer to conduct a complete, typical test observation during the three
test runs. Extra time, if available, should be used to conduct additional
visible emissions observations. This additional data can prove useful at a
later time should a company wish to obtain a variance for visible emissions.
7.3.4.1 The First Run - The observer should be present when the test team
starts preparations. They will unpack the test equipment, check all
equipment for damage, set up the sample recovery lab, and assemble the
sampling train. The observer should inspect the sample recovery area and
observe the assembly of the sampling train. Checklists (Reference 1) may be
used to ensure that all items requiring attention at this period of the test
are observed.
For the first test, after determining that the facility is operating as
specified, the observer should go to the sampling site to observe the test
team recording the initial data. He need not observe the initial leak
check, since he will observe the leak check at the completion of the test.
When the observer is satisfied with the sampling train preparation and that
the facility is operating under representative conditions, he allows the test
to be started. He should then observe the sampling of the first port and the
changeover to sampling of the second port. If he is satisfied with the
performance of the test team, he can go to a point at a suitable distance
from the stack and read visible emissions for a 6-minute period.
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He will then recheck facility operations. If the process and control
equipment are operating satisfactorily and the data are being recorded as
specified, he should again read visible emissions over a 6-minute period.
The observer can then return to the sampling site to observe completion
of the test, giving close attention to the final readings and the final leak
check. Following this should be the observation of transport of the sample
train to the cleanup area and recovery of the sample.
7.3.4.2 The Second Run - If the observer is satisfied with all sampling
procedures in the first test, he can spend most of the second test period in
observing process operations and reading visible emissions. He may wish to
spot check the sampling operation and/or be present at the completion of the
sampling. During the second test he should make visible emission readings
for two 6-minute periods and check facility operations between periods. He
must still be satisfied that the data being recorded are representative of
the facility operations.
If the sampling site is easily accessible, the observer may wish to
observe the final data recording, final leak check, and transport of the
sampling train to the cleanup area. In any case, he should witness the
recovery of the second sample. A visual observation of particulate buildup
on the filter and in the acetone rinse from the first two tests can be
correlated with the visible emission readings to determine the observation
emphasis for the final test. Comparison of particulate collected will be
valid only if the sample volumes for both tests are approximately the same.
If the particulate catch on the filter and in the acetone rinse for the
second test is consistent with or greater than that indicated by the opacity
readings for the first test, then the observer should continue surveillance
of facility operations. If the particulate catch for the second run appears
lower than is indicated by the opacity readings, he should return to
observing the testing procedures.
7.3.4.3 The Third Run - Regardless of the observer's focus during the third
run, he must perform certain observations during this final run. He/she
should again check all facility operations prior to the run. He should again
make visible emission readings for two 6—minute periods, with a check of
facility operations in between. He should again witness sample recovery and
compare the apparent particulate catch with visible emission readings.
Finally, special attention should be given any suspected weak points or
problem areas during this final run.
A summary of the recommended observation sequence is provided below.
• First Run Observations
- Unpacking of test equipment, damage check
- Sample recovery lab set up
- Sample train assembly
- Facility operations
- Initial data recording
- Sampling of first port
- Port changeover
- 6-minute VEO
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• Second Run Observations
- 6-minute VEO
- Facility operations
- 6-minute VEO
- Final data recording, leak check, sample train transport
(optional)
- Sample recovery
- Comparison of particulate catch to VE observations
• Third Run Observations
- Facility operations
- 6-minute VEO
- Facility operations
- 6-minute VEO
- Facility operations jar testing procedures
- Suspected weak points and problem areas
- Sample recovery
- Comparison of particulate catch to VE observations
7.4 SAMPLE RECOVERY, TRANSPORT, AND ANALYSIS
Proper recovery, transport, and analysis of the sample is crucial to the
compliance test. Test teams may not be well-versed in the legal requirements
for documentation of these tasks. It is imperative that they are accom-
plished by standard procedures and that noncompliance with these procedures
is well-documented. Because the test report may ultimately be subject to the
requirements of the Rules of Evidence, it is suggested that the observer use
a sample recovery checklist to ensure that all tasks are performed properly.
Examples are contained in Reference 10, the QA Handbook Volume III.
7.4.1 Sample Recovery and Transport
To reduce the possibility of invalidating the test results, the
responsible person must carefully remove all of the samples from the sampling
train and place then in sealed, nonreactive, numbered containers. It is
recommended that the samples then be delivered to the laboratory for analysis
on the same day. (See Section 3.9 for additional information on chain of
custody procedures.) If this is impractical, all samples should be placed in
a carrying case (preferably locked), in which they are protected from
breakage, contamination, loss, or deterioration.
The responsible person must also mark the sample properly to provide
positive identification throughout the test and analysis procedures. The
Rules of Evidence require impeccable identification of samples, analysis of
which may be the basis for future evidence. Admission by a laboratory
analyst that he is not positive whether he analyzed sample No. 6 or sample
No. 9, for example, could destroy the validity of an entire compliance test
report.
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Positive identification must also be provided for any filters used in a
test. All identifying marks should be made before taring the filter. Three
or more digits should suffice to ensure the uniqueness of a filter for many
years. The ink used for marking must be indelible and unaffected by the
gases and temperatures to which the filter is subjected. If any other method
of identification is proposed, it must be a positive means of identification
and must not impair the function of the filter.
Finally, each container must be uniquely identified to preclude the
possibility of interchange. The number of each container is recorded on the
analysis data chain of custody sheet(s) associated with the sample throughout
the test and analysis. (See Section 3.5.3 for more detailed information.)
Samples should be handled only by persons associated in some capacity
with the task of analysis. A good general rule is "the fewer hands the
better", even through a properly sealed sample may pass through a number of
hands without loss of integrity.
It is generally impractical for analyst to perform the field test. The
Rules of Evidence, however, require that a party be able to prove the chain
of custody of a sample, and more importantly, the sample integrity. The use
of standardized data sheets by the tester/analyst as show in Reference 10
should assist the tester in meeting these requirements.
7.4.2 Analysis
Potential sources of error in analysis lie in the sample, the analyzing
equipment, the analytical procedures, and documentation of results. Since
analysis is often performed at a laboratory distant from the test site, the
agency observer usually is not present during analysis. The best method of
checking the accuracy of the analytical system is through the use of an audit
sample. Audit samples are available for most Reference Methods through EPA's
Quality Assurance Division at the following address.
Environmental Monitoring Systems Laboratory
U. S. Environmental Protection Agency
Quality Assurance Division (MD-77)
Research Triangle Park, N. C. 27711
If the observer has any doubt about the ability or desire of the
designated analyst to adhere to proper practices in analyzing and reporting
data, the observer has two paths of recourse: (1) he may be present during
analysis or (2) he may require that analysis be done by a certified labor-
atory, if one is available. The latter requirement is an unecessary burden
and should not be imposed as a general rule. The most common and reasonable
approach when the agency questions the results of the test is to perform
another test with agency staff or under agency contract. To ensure proper
execution of the required procedures, the observer may request that the
analyst complete the appropriate analytical checklist contained in Reference 10.
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7.5 COMPLIANCE TEST REPORT REVIEW
Upon completion of the compliance field test, the observer begins the
final task of determining the representativeness of the compliance test data.
An observer's report is written for attachment to the test team report. The
facility operation data from the field checklists and field notes provide the
observer with the information to determine the representativeness of the
process and control equipment operation and the sample collection. Minimum
conditions must have been met. If the observer suspects a bias in the
results, this bias and its direction should be noted. A bias that can only
produce emission values higher than the true emissions would not invalidate
the results if the plant is determined to be in compliance, but should still
be noted.
The test team supervisor is generally responsible for compilation of the
test report, usually under the supervision of a senior engineer, who reviews
the report for content and technical accuracy. Uniformity of data reporting
enhances the speed and efficiency of agency review, hence the recommendation
that the agency provide a report format and other guidelines to the test team
supervisor (see Section 7.2.1). Recommended report format elements are listed
below.
• Cover
- Plant name and location
- Source sampled
- Testing company or agency, name and address
• Certification
- Certification by team leader
- Certification by reviewer (e.g., P.E.)
• Introduction
- Test purpose
- Test location, type of process
- Test dates
- Pollutants tested
- Observers' names (industry and agency)
- Any other important background information
• Summary of Results
- Emission results
- Process data, as related to determination of compliance
- Allowable emissions
- Visible emission summary
- Discussion of errors, both real and apparent
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• Source Operation
- Description of process and control devices
- Process and control equipment flow diagram
- Process data and results, with example calculations
- Representativeness of raw materials and products
- Any specially required operation demonstrated
• Sampling and Analysis Procedures
- Sampling port location and dimensioned cross-section
- Sampling point description, including labeling system
- Sampling train description
- Description of sampling procedures that deviated from standard
methods
- Description of analytical procedures that deviated from standard
methods
• Appendices
- Complete results with example calculations
- Raw field data (original, not computer printouts)
- Laboratory report, with chain of custody records
- Raw production data, signed by plant official
- Test log
- Calibration procedures and results
- Project participants and titles
- Related correspondence
The observer performs the first review of the test report. He should
check all calculations and written material for validity, noting any errors
and providing any necessary comments. Although the conclusions in the
observer's report do not constitute final authority, they generally carry
great weight in the final decision concerning the representativeness of the
test. Because of the importance of the observer's report and the likelihood
that it will be used as evidence in court, the observer should use a standard
format that will cover all areas of representativeness in a logical manner.
His report review form should parallel the report format provided to the test
team leader and may include, if desired, all field notes and checklists.
Figure 7-1 shows one suggested format for the review comments section of the
observation review report.
In addition to the determination of representativeness of the compliance
test, the observer reports the conditions under which the facility must oper-
ate in the future to maintain their conditional compliance status. These
compliance test reports and the conditions of compliance acceptance provide
the inspector with sufficient data for conducting future facility inspec-
tions.
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Were calculations validated? yes no
If yes, were any calculation errors greater than normal round off
errors? yes no
Were any sampling or analytical procedures unacceptable?
yes no
Were any process or control equipment operations unacceptable?
yes no
List any unacceptable items
List any additional items requested from the source or tester after
report reviewed yes no
List items and reason for request
This report is acceptable, unacceptable give reason(s)
for unacceptability
Comments reviewed by
Figure 7-1.
Suggested Format for Source Test
Report Review Comments.
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7.6 SUMMARY
Clear written guidelines for stack testing that fully explain testing
methodology and minimum data requirements, and provide a mechanism for
obtaining data that can be used to specify future facility operating
constraints and that anticipate expected testing problems, should be
established. The successful compliance test requires close coordination
between agency technical and legal staffs and extensive communication and
coordination among the observer, the testing team, and plant representatives.
The observer is in a good position to assist the test team in obtaining
valid compliance test results by advising them of any potential shortcomings
that might compromise the test data. The observer should never, however,
direct, interfere with, or intrude into the relationship of the plant
representatives and the testing consultant.
The observer/inspector plays a key role by determining whether process
operations during the test are representative of normal operations and are
consistent with the accepted test protocol. Baselining testing, in
particular, can form the basis for selection of indicative parameters that
can be used (1) for comparative purposes during future inspections; (2) in
establishing permit requirements; and (3) for comparisons of source to source
performance. Baseline testing does require a division of effort between the
actual stack test team observation and the process operation. However, the
benefits generated far outweigh any inconvenience. Thus, during the emission
test the agency obtains data useful in conducting future plant compliance
determinations in addition to that used to determine the validity of the
emission test results themselves.
7.7 REFERENCES
1. Evaluation of Stationary Source Performance Tests. Observation and
Evaluation of Performance Test Series D. PEDCo Environmental, Inc.,
Durham, NC. Prepared for U. S. Environmental Protection Agency,
Office of Air, Noise and Radiation. EPA Series 1-200. July 1982.
2. Guidelines for the Observation of Performance Specification Tests of
Continuous Emission Monitors, EPA-340/1-83-009, January 1983.
3. Observer's Checklist Package for EPA Reference Test Methods and
Continuous Emission Monitor Certification, (draft), EPA 340/1-80-009,
June 1980.
4. Evaluation of Stationary Source Performance Tests. Emission Testing
Concepts and Special Topics, PEDCo Environmental, Inc., Durham, NC.
Prepared for the U. S. Environmental Protection Agency, Office of
Air, Noise, and Radiation. EPA Series 1-100, July 1982.
5. Evaluation of Stationary Source Performance Tests, Special Problems
and Concepts. PEDCo Environmental, Inc. Prepared for U. S. Environ-
mental Protection Agency, Office of Air, Noise, and Radiation. EPA
Series 1-300. July 1982.
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6. Code of Federal Regulations. Title 40, Part 60. Standards of
Performance for New Stationary Sources, revised as of July 1, 1983.
7. Performance Audit Procedures for Opacity Monitors, EPA 340/1-83-010,
January 1983.
8. Performance Audit Procedures for S02, NOX, (X^, and 02 Continuous
Emission Monitors, EPA-340/1-83-015, January 1983.
9. Performance Specification Tests for Pollutant and Diluent Monitors:
Reporting Requirements, Report Format, and Review Procedures," EPA-
340/1-83-013, January 1983.
10. W. G. DeWees, D. J. von Lehmden, and C. Nelson. Quality Assurance
Handbook for Air Pollution Measurement Systems, Volume III.
Stationary Source Spetific Methods. U. S. Environmental Protection
Agency. EPA 600/4-77-027b. August 1977.
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8.0 BASELINE INSPECTION PROCEDURES FOR AIR POLLUTION CONTROL SYSTEMS
Tbe primary objective of control agency inspections is to minimize air
pollution through promoting adherence to promulgated emission regulations and
permit stipulations. The inspection provides data for determining the com-
pliance status, helps identify sources in violation, and provides information
indicating the underlying causes of excess emissions. The latter can be used
in detailed negotiations with the operators or in support of enforcement
actions. The inspection also provides a stimulus to the regulated industry
by demonstrating the control agency's determination to ensure continuous
compliance. The Baseline Inspection Technique has been developed by EPA's
Stationary Source Compliance Division to aid both EPA Regional Offices and
other control agencies in conducting effective and complete inspections of air
pollution control systems.
The primary purpose of this chapter is to describe the Baseline Inspection
Technique and illustrate how it should be applied to the common types of par-
ticulate control devices. In the part of the chapter devoted to the Baseline
Technique, a methodical approach is presented so that inspectors can obtain all
the relevant data in a organized fashion. These procedures are organized into
"Levels of Inspection" (see Section 2.3) reflecting the fact that there are dif-
ferent degrees of intensity necessary for different situations. The inspection
procedures have been developed to ensure that the data obtained is as accurate
and complete as possible; important safety considerations have also been in-
cluded. These procedures should be used by EPA field personnel unless there
are compelling technical or safety factors at a specific site which demand
modified approaches. In such a case, the reasons for the deviation from the
standard procedures should be briefly described in the inspection report.
Two introductory sections discuss two other important technical aspects
of preparing for and conducting inspections of particulate control equipment.
These sections address (1) how to assemble background material concerning
specific industirial processes, control equipement operation and maintenance,
procedures for conducting inspections of specific control equipment and pro-
cesses, and (2) the inspection of potential sources of fugitive particulate
emissions or fugitive dust.
8.1 ASSEMBLING BACKGROUND INFORMATION
The inspector's knowledge of the process(es) and the associated control
equipment at a facility plays an important part in the success of an inspec-
tion, particularly in the diagnosis of control problems. It is therefore
highly recommended that the inspector work at building his own and/or an
agency technical library of books, reports, guideline documents, and other
publications related to the inspection process. This should include materials
addressing specific processes, operation and maintenance of all types of
control equipment, and specific inspection procedures for various types of
control equipment and industrial processes.
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The remainder of this section offers a list of suggested sources for this
type of information. Obviously, this list cannot be exhaustive, but it should
in almost all cases serve as an excellent starting point for research into any
of these subjects. The annotated list of information sources and contacts is
as follows.
• Stationary Source Compliance Series Publications (340 Series) - These
are issued by the Stationary Source Compliance Division (SSCD) of EPA.
They cover inspections of the various categories of sources under NSPS
and NESHAPS, VOC source inspection, emissions testing and GEM, VE observ-
ation, and compliance monitoring program development. A list of these
publications as of June 1, 1985 is reproduced in Appendix B of this
manual.
• EPA Library, Office of Research and Development - This EPA Library
located in Research Triangle Park, NC carries EPA publications, books,
and journals on all facets of air pollution control. It has copies of
certain EPA publications (generally the EPA/340 series from SSCD and the
EPA/450 series out of the Office of Air Quality Planning and Standards)
available for distribution. The library can also provide information on
how to obtain reports from other sections of EPA such as the Offices of
Solid Waste, Pesticide Programs, and Toxic Substances. The address for
requests is:
Library Services Office (MD-35)
U. S. Environmental Protection Agency
Research Triangle Park, North Carolina 27711
(919) 541-2777
FTS: 629-2777
• Center for Environmental Research Information (CERI) - CERI is part of
EPA's Office of Research and Development (ORD) and handles the ORD (EPA/
600 series) publications. It, like the EPA Library in Research Triangle
Park, has copies of certain EPA publications available for distribution.
For information or publications contact:
U. S. Environmental Protection Agency
ORD Publications
26 West St. Glair
Cincinnati, OH 45628
FTS: 684-7562
(513) 684-7562
i
• Office of Research and Development Publications Announcement - This is
published quarterly.EPA/600 reports are summarized and ordering in-
formation is provided. There is no charge for the subscription; send
name and address to:
ORD Publications
P. 0. Box 14249B
Cincinnati, OH 45214
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• EPA Regional Office Libraries - Each of the EPA Regional Offices supports
a library which contains a large selection of EPA reports and documents
along with other publications such as periodicals and abstracts of publi-
cations available elsewhere. Information concerning a library's holdings
can be obtained by calling the appropriate Regional Office.
• Air Pollution Training Institute (APTI) - APTI, which is part of
EPA's Manpower and Technical Information Branch, offers several
different types of air pollution related training. These include
self-instructional and correspondence courses which can be completed
without traveling or time away form work and intensive short courses
(3 1/2 to 5 days) covering specific aspects of air pollution control.
Information on APTI training courses and materials may be obtained by
writing to:
Air Pollution Training Institute
Manpower and Technical Information Branch
U. S. Environmental Protection Agency (MD-20)
Research Triangle Park, North Carolina 27711
FTS: 629-2497
(919) 541-2497
• National Technical Information Service (NTIS) - NTIS is part of the
U. S. Department of Commerce which reproduces (for a fee) technical
reports and publications generated by government agencies, departments,
etc. A list of current publications available through NTIS can be found
at all U. S. Government Document Depositories (found in many university
libraries, federal libraries, large city libraries) around the country.
Most EPA libraries carry the EPA Publications Bibliography which con-
tains citations, abstracts, and indexes to all EPA reports entered into
NTIS; it is issued quarterly. NTIS publications can be ordered using
NTIS number (PB - #) and contacting:
National Technical Information Service
5285 Port Royal Road
Springfield, VA 22161
FTS: 737-4650 or
(703) 487-4650
• Trade Journals - There are a number of air pollution control journals
and other trade journals that generally publish air pollution control
related articles. Some of the most useful include:
- Journal of the Air Pollution Control Association
- Environmental Science and Technology
- Power
- Pit & Quarry
- Chemical Engineering
8.2 FUGITIVE DUST INSPECTION
Nonprocess fugitive particulate emissions commonly referred to as fugitive
dust include particulate matter generated from nonindustrial activities such as
travel on paved and unpaved plant roads; grain handling; mining; and fuel, feed,
and waste storage piles.
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Because of their significant impact on the ambient air quality it is be-
coming increasingly more important for fugitive dust sources to be taken into
consideration during the air compliance inspection.
Although fugitive dust control measures are generally implicit in Federal
air quality regulations, few include readily enforceable standards of perform-
ance, etc. However, a number of states have (as part of their implementation
plan for total suspended particulate) developed and adopted rules to control
fugitive dust emissions. These rules are enforceable by either state or federal
air pollution control officials.
Clearly, a portion of the air compliance inspeciton should be devoted to
identifying potential sources of fugitive dust emissions and the collection of
data indicative of a source's compliance status with regard to applicable fugi-
tive dust regulations. The following subsections (1) briefly outline the types
of facilities and that are likely to have fugitive dust emissions and/or are
likely to be affected by fugitive dust regulations and (2) offer recommendations
on the types of data which should be collected during the fugitive dust related
inspection.
8.2.1 Affected Sources and Industries
The following is a list of the most common sources of fugitive dust emis-
sions. Many industrial facilities include at least one of these sources.
• Material stroage piles including fuel, feedstock, and waste
• Loading and unloading operations
• Conveying, transferring, and transporting of materials
• Crushing, grinding, mixing, screening, and compacting operations
• Paved roads and lots
• Unpaved roads and lots
• Construction/demolition sites
• Agricultural fields
Industries which are generally affected by fugitive dust emission regula-
tions because their operations involve significant use of one or more of these
types of sources are:
• Asphalt plants
• Cement plants
• Coal processing plants
• Concrete ready-mix plants
• Foundries
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• Grain elevators
• Lime plants
• Municipalities, road crews, etc.
• Open pit mines
• Power plants
• Quarries
• Sand and aggregate screening plants
• Secondary metals plants
• Slag processing plants
• Steel mills
8.2.2 Fugitive Dust Inspection Procedures
As is the case for other types of emission sources, the inspector should
prepare himself ahead of time and be familiar with potential sources of fugitive
dust at the plant and applicable state/local and federal regulations and permit
requirements. As seen previously in Section 3.2.1, the pre-entry evaluation
from outside the plant is particularly important in regard to fugitive sources.
During this evaluation, the inspector should, in particular, look for and note
any fugitive emissions which cross or are near plant boundries and their source(s);
conditions around feed, product, and/or waste storage piles; and any other obvious
sources of fugitive emissions. Visible emissions readings and photographs should
be taken at this time, as appropriate.
The portion of the fugitive dust inspection which is conducted within the
plant boundries generally consists of four phases:
• Visual inspection of the facility in order to observe fugitive emission
sources and any controls (including VE readings and photographs to doc-
ument) ,
• Examination of the source's fugitive dust control equipment,
• Observations of any spraying or other dust control operations undertaken
by source during the inspector's visit, and
• Examination of the source's relating to records relating to fugitive dust.
The following lists are offered as a reminder of key informantion to be col-
lected by the inspector. They should be refined to according to the specific
goals of the inspection and can be arranged in traditional checklist or chart
formats if desired.
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INFORMATION TO BE OBTAINED DURING VISUAL INSPECTION
Fugitive dust emission points. Are all points listed in State permit/
control plan still existent? Are there additional points that are
not noted in the files?
Control measures. For each control measure, note equipement, etc. and
evaluate its effectiveness.
- Enclosures, hooding - Is there a fan and control device associated
with the enclosure?
- Distance at materials drop points - Are telescoping spouts used?
Is the system capable of varying the height?
- Vegetation - What type(s)? Where planted?
- Spraying - What suppressant is used? Frequency? Is a surfactant
used? If so, what kind and in what dilution?
- Stationary Spraying Systems - Are they located as indicated in
files? Are they in use? Are nozzles plugged?
- Vacuuming of paved roads and lots - What frequency? What type
equipment? Describe, including model number.
- Paving of roads and lots - Is paving work finished? Are paved
surfaces vacuumed or flushed?
- Other measures - Describe.
EXAMINATION OF CONTROL EQUIPMENT
Types of equipment. Does equipment match the information from control
plan files? List each. Does it appear to be well-maintained and
recently used? Is there evidence that the source can and does make
repairs to fugitive dust control equipment? Specify. Determine dilu-
tion rates of any chemical suppressants used, either at this stage or
during spraying operations.
INFORMATION TO BE OBTAINED DURING SPRAYING OPERATIONS
Observe areas to be sprayed. Do this at least twice, several hours
apart, during the visit. Photographs may be appropriate; so may be
VE readings. Determine if spray nozzles are plugged.
Inquire about 0 & M procedures. Ask to see source's checklist and
schedule.
Examine reports re; spraying. How frequent are the applications?
What amounts of water or chemical suppressants are used? Do these
meet manufacturer's specifications?
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• Examine any chemical suppressants. If requested, take a sample of
each for follow-up laboratory analysis. Identify and cross-check
with manufacturer's instructions for use.
• Inspect stationary spraying towers. Do they appear to be regularly
operated?
INFORMATION TO BE OBTAINED FROM SOURCE'S FILES
• Copy of State permit to operate. Check for any conditions that
pertain to source's operations. Ask if source is aware of existing
rules. Note any fugitive dust controls needed.
• Copy of source's control plan. Does control plan address each needed
control noted in State permit and thus comply with the permit?
• Resource program and assignments. Has staff been assigned to imple-
ment the control plan? Does a budget exist?
• Equipment purchases. Are there order forms and invoices that quan-
tify equipment to be used in support of control plan? Note specific
equipment, which can be expected to be seen outside the office.
Include chemical suppressants as equipment, as well as fencing,
ducting, vegetation, etc.
• Recordkeeping program. Are records being kept? Do they cover the
duration of the control plan? Is there a current O&M schedule for
implementing the control plan?
• Self-monitoring procedures. Note frequency of controls. Are there
records of VE readings? Of surprise inspections by control plan
supervisor?
• Maps of fugitive dust points. Do they exist? Do they locate any
air monitoring stations?
• Stationary spraying systems using water or chemical suppressant. Do
they correspond to fugitive dust points as mapped? Do they spray
the proper liquid?
• Ambient air monitoring. Are they located appropriately to control
fugitive dust emissions from large piles? Are the piles mapped?
8.3 BASELINE INSPECTION TECHNIQUE
The Baseline Inspection Technique can aid both the source operators and
the regulatory agency inspectors in routinely evaluating air pollution control
equipment performance. The procedure is designed to identify problems at an
early stage, thereby minimizing periods of excess emissions and minimizing
the equipment detereoration. By utilizing similar evaluation approaches,
inspectors and operators can communicate effectively regarding the nature of
any problems detected. This should facilitate the expeditious correction of
operating problems and reduce the number of enforcement actions necessary.
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8.3.1 Basic Principles
The fundamental principle underlying the Baseline Inspection Technique
is that control device performance should be evaluated primarily by comparison
of present conditions with specific baseline data. In other words, each
seperate control device should be initially approached with the assumption
that its operating characteristics and performance levels will be unique. It
is necessary to take this position since there are a myriad of process vari-
ables and control device design factors, any one of which can singly or collec-
tively influence performance. It is often difficult, if not impossible, to
determine why apparently similar units operate quite differently. Thus, a
prime requirement of an inspection method (i.e. the Baseline Technique) in
ensuring the collection of useful data is the comparison of conditions against
a site-specific data base. Each variable which has shifted significantly is
considered a "symptom" of possible operation problems.
While the Baseline Technique depends mainly on the machine-specific data
and shifts in performance levels over time, it should not be implied that in-
dustry "norms" are irrelevant. There are cases in which deviations from cer-
tain typical industry operating conditions can be an indication of operation
and maintenance problems. However, this data is considered secondary to the
site specific data. This industry data is often difficult to compile, and it
is sometimes difficult to establish the relevance of the data in enforcement
proceedings.
One of the major problems in conducting an inspection of an air pollution
control system is that the instruments necessary to monitor basic operating
conditions are often either non-existent or are malfunctioning. Data quality
problems are especially severe on those units which are subject to frequent
excess emission incidents and are thereby of most interest to control agencies.
The design deficiencies or improper maintenance practices which have reduced the
effectiveness of the control device usually have had a severe disabling effect
on whatever instrumentation is on the control device. For these reasons, it is
rarely wise to accept the data from on-site gauges at face value. The Baseline
Technique includes some routine checks of these on-site gauges. When there is
a question concerning the completeness or adequacy of the available data, the
inspector must obtain the data by means of portable instruments. Such instru-
ments can either be used by plant operators in the presence of the inspector
or can be used by the inspector directly.
Performance evaluations should be done by examination of a number of dif-
ferent types of information. The type of emerging performance problem can
often be determined better by evaluating the impact on the set of variables
rather than relying on a shift in one operating variable. Also, general
observations concerning the extent of corrosion, solids discharge rate, and
fan physical conditions can be used to support preliminary conclusions reached
by examining the operating data. Failure characteristics on materials removed
from the collectors (e.g. bags, discharge electrodes, nozzles) can be used to
determine the type of corrective actions which have a reasonable chance of
being successful. The Baseline Inspection Technique incorporates both measure-
ments and observations.
It is recognized that the control agency inspection represents an incon-
venience to source personnel who must accompany the inspector while he is on
plant property. To minimize this inconvenience, EPA inspectors should make
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every reasonable effort to reduce the time necessary to complete the field ac-
tivities. One means to accomplishing this goal is to organize the data and
observations in a coherent fashion during the inspection and use this data to
focus the field work toward the specific problems, if any, which appear to
exist. If the initial information clearly suggests that there are no present
or emerging problems, the inspection should be terminated. The Baseline Inspec-
tion Technique utilizes both "Counterflow" and "Co-Current Flow" approaches in
order to organize and focus inspection efforts.
The Counterflow approach is appropriate when the EPA inspector is making
a routine inspection of a facility for which baseline data is available. Such
sources could include plants covered by an EPA enforced SIP, or a NSPS or
NESHAP source for which the State agency has not received delegation of author-
ity. Figure 8-1 illustrates the Counterflow approach. It starts with an
observation of the stack opacity using Method 9 or equivalent procedures. In
addition to the use of changes in the average opacity since the baseline period,
the inspector evaluates the pattern of opacity variability. The inspector also
checks for fugitive emissions from process areas and for emissions from bypass
stacks and other unauthorized locations. The next step is the evaluation of
transmissometer data assuming that the monitor passes basic quality assurance
requirements. The emphasis of the inspection is on the control device operating
conditions, both measured and observed. The control device information coupled
with the stack conditions can be used to: (1) determine if there is a probable
problem, (2) determine if the problem is due due primarily to control device
related conditions, or (3) determine if the problem is due primarily to process
related factors. If the process appears to be important, then the inspection
should continue with an evaluation of any relevant portions of the plant. If
the problem is simply control device related, the time consuming inspection of
process sources can be either abbreviated or eliminated. The latter also
reduces the liabilities involved in the acquistion and handling of confidential
data. The Counterflow approach should only be used when the baseline data is
available and the basic process operation is well documented in the agency
files.
COUNTERFLOW APPROACH
PROCESS
GAS STREAM
I CONTROL
I DEVICE
STACfr
Figure 8-1. Counterflow Inspection Approach.
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The Co-current Flow Inspection approach is performed on sources which
inherently do not have air pollution control devices for minimizing emissions.
A partial list of such sources include oil- and gas-fired boilers, indirect
fired dryers, and refinery heaters. It is also performed on sources for which
there are a number of emission problems related entirely to changes in process
operating conditions, raw materials and additives, fuels, and overall equipment
design. The Co-current inspection starts with the preparation of a flowchart
of the process, including the locations of all vents and control devices. The
inspector starts with raw material piles or storage piles and follows this
material in a Co-current fashion through the mill. The emphasis in this type
of inspection is on the raw material and fuel characteristics, operating rates,
operating temperatures and pressures, and other information relevant to the
generation of air pollutants. Major variables affecting the quantity, particle
size distribution, and characteristics of the effluent gas stream should be
noted to the extent possible. The Co-Current Flow approach is illustrated in
Figure 8-2.
CO-CURRENT APPROACH
PROCESS
CONTROL
DEVICE
STACK
Figure 8-2. Co-Current Inspection Approach.
Due to the diversity of air pollution sources and control systems, it is
important that the inspection procedures incorporate some flexibility. The
Baseline Inspection Technique includes several "levels of intensity." These
can be preselected by agency personnel before the inspection, based on normal
targeting criteria. The level can also be changed by the inspector during the
field work based on preliminary data and observations. This flexibility allows
the agency to focus on actual emission problems instead of simply completing a
prescribed number of "inspections." The flexibility built into the Baseline
Technique must also be exercised whenever, in the judgement of the inspector,
the standard procedures would be unsafe or incorrect for a specific source. It
should also be noted that specific inspection activities can be deleted.
However, inspectors are should not to add new or different procedures without
the express approval of supervisory personnel.
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8.3.2 Levels of Inspection
Without any constraints of Agency manpower and resources it would be
desirable to conduct detailed engineering oriented inspections at all sources.
This is obviously impractical due to the large number of air pollution sources
inspected regularily by EPA Regional Offices and the State and local agencies.
Levels of inspection have been incorporated into the inspection program to
give control agencies the opportunity to properly allocate the limited
resources available. The most complete and time consuming evaluations are
done only when preliminary information indicates that there is or will soon be
a significant emission problem.
The levels of inspection are designated at 1 through 4 with the intensity
of the evaluation increasing numerically. The types of activities normally
associated with each level and the experience levels necessary to conduct the
different levels vary substantially.
The Level 1 inspection is a field surveillance tool intended to provide
relatively frequent but very incomplete indications of source performance. No
entry to the plant grounds is usually necessary and the inspection is never
announced in advance. The inspector makes visible emission observations on
all stacks and vents which are visible from the plant boundry and which can be
properly observed given prevailing meteorological conditions. Odor conditions
are noted both upwind and downwind of the facility. General plant operations
are observed to confirm that these conform to permit requirements. Unusual
conditions provide the stimulus for an in-plant inspection in the near future.
If the visible emission observations and/or other observations will probably
provide the basis on a Notice of Violation, the information should be
transmitted to source management personnel immediately to satisfy "due process"
requirements.
The Level 2 inspection is a limited "walk through" evaluation of the
air pollutant source and/or the air pollution control equipment. Entry to the
facility is necessary. Therefore, the administrative inspection procedures
specified in Chapter 3 of this manual should be followed. The inspection can
be performed either in a co-current or countercurrent fashion depending on the
anticipated types of problems. In either case, the inspection data gathered is
limited to that which can be provided by on-site permanently mounted instrument-
tion. An important aspect of this type of inspection is the evaluation of the
accuracy of the data from this instrumentation.
When control devices are not in service during the plant inspection, the
Level 2 inspections can include checks on the internal conditions. This is
particularly useful for the evalution of fabric filter performance. The
inspection involves observations from access hatches and under no circum-
stances includes entry into the collector by the inspector.
When the Level 1 data and/or the preliminary observations during Level 2
inspections indicate problems, an inspector may wish to conduct the more
detailed and complete Level 3 inspection. This effort is done only on those
individual units with apparent problems. Where necessary, portable gauges
provided by the inspector are used to measure certain operating parameters.
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The most commonly used types of instruments are listed below.*
Differential Pressure Gauges
Thermocouples and Thermometers
Combustion Gas Analyzers (C>2 and CC>2 Monitors)
pH Meters or Paper
Pitot Tubes
The Level 3 inspection includes a detailed evaluation of stack effluent
characteristices, GEM monitoring data, control device performance parameters,
and the process operating conditions. Raw material and fuel analyses may be
reviewed and samples of the scrubber liquor may be obtained for later
evaluation. Failed bags or electrostatic precipitator discharge electrodes
may be obtained to confirm that the plant has correctly identified the general
type of problem(s). In some cases, the Level 3 inspection will include an
evaluation of the internal portions of an air pollution control device. This
is done simply by observating conditions from an access hatch and under no
circumstances should include entry of the inspector into the control device.
The internal checks are included only when the unit is locked-off line or when
one or more compartments can be safety and conveniently isolated for
evaluation.
The Level 4 inspection is identical in scope to the Level 3 procedures.
This is done explicity to gather baseline information for use later in
evaluating the performance of the specific sources at a given facility. This
type of inspection should be done jointly by a senior inspector and the EPA
personnel who will be assigned responsibility for the plant. Such inspections
are conducted in conjunction with the stack tests on major sources such as large
electrostatic precipitators, wet scrubbers, or fabric filters. With smaller
sources which are rarely tested, the Level 4 inspection is done during a period
when source personnel believe that the source is in compliance and the control
device is working properly.
An important part of the Level 4 inspection is the preparation of general
process and control device flowcharts. It is recommended that these be prepared
in accordance with the guidelines presented in the section on flowcharting tech-
niques for air pollution control equipment found in Reference 1. As a starting
point, the inspector should request the block flow diagrams or drawings for the
portions of the plants which are of interest. Specific flowcharts should be pre
pared so that all of the important information concerning process flow streams,
measurement ports, locations of vents and bypass stacks, and locations of all
control deivces are clearly shown.
The following sections define the specific inspection points included in
Level 1, 2, and 3 inspections of major types of air pollution control systems.
Procedures involved in preparation of baselines (Level 4 inspections) are also
covered since the procedures differ for each type of control system.
*A complete list of inspection equipment can be found in Table 3.1.
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8.4 LNSPKCTION OK FABRIC FILTERS
Application of the Baseline Inspection Technique to the evaluation of
fabric filter control systems is described in this section. Lists are pro-
vided of the necessary observations and data collection for inspecting the
major categories of fabric filters. General approaches for efficient data
aquisition are discussed. Each of the major types of fabric filters are
briefly discussed at the beginning of this section. However, this does not
substitute for a review of other background materials including the EPA train-
ing information concerning fabric filter systems (References 1, 2, 3, and 4).
Inspection safety procedure (References 5 and 6, and Chapter 5 of this manual)
should also be reviewed prior to any field work.
8.4.1 Descriptions of Major Types of Fabric Filters
The four major categories of fabric filters that are addressed in this
manual are pulse jets, shakers, reverse air (inside-to-outside flow) and
reverse air (outside-to-inside flow). Each is discussed separately due to
major diffences in emphasis during the inspection.
8.4.1.1 Pulse Jet Fabric Filters - A pulse jet filter uses compressed air in
the range of 50 to 120 psig for the routine cleaning of the fabric. The
filter bags are supported on interior cages and hung from a tube sheet near
the top of the baghouse. The arrangement of bags and the compressed air
system are shown in Figure 8-3.
Source: APTI
Figure 8-3. Sketch of a Pulse Jet Fabric Filter.
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The baghouse shown in Figure 8-3 is termed a "top access" pulse jet filter,
since it is possible to enter the clean air plenum to change bags. With this
design, the bag and cage assemblies are mounted in a way that permits easy
removal from the top. Other pulse jet collectors, termed "bottom access" or
"dirty side access" units, only have a hatch below the tube sheet to permit
entry to the unit. With the bottom access designs, the bag and cage assembles
are attached to nipples extending downward from the bottom of the tube sheet.
The gas to be filtered may enter the collector at any point below the
elevation of the tube sheet. Those units with gas inlets near the tube sheet
called "down flow" pulse jets are claimed to have more effective cleaning
action since the dust released form a bag during pulsing has a tendency to
move with the downward moving gases. An equally popular design has the gas
inlet in the hopper area. The gas stream moves upward around the outside of
the bags. This is obviously called an "upward flow" design. With both
configurations it is common practice to install a deflection plate on the gas
inlet to minimize abrasion of the bags.
The compressed air is received either from the plant air supply or from a
compressor serving the pulse jet collector. Removal of the ambient moisture
in the compressed air is often necessary to reduce operating problems in the
pulse jet cleaning system and in the bags. Many systems also utilize an oil
trap to remove the condensed lubricating oil which was added at the
compressor. The compressed air is stored in a reservior at the top of the
baghouse and this reservior often has a permanently mounted pressure gauge and
a drain. The compressed air enters a series of diaphragm valves, each one
serving a blow tube mounted above a row of bags. The operation of the
diaphragm valves is controlled by an electrically activated solenoid valve,
often termed the "pilot valve" When the solenoid is activated, compressed air
trapped behind the diaphrapm can be exhausted up the trigger line and through
the solenoid valve. This allows the diaphragm valve to open suddenly and
causes a pulse of compressed air to enter the top of every bag in the row
served by that blow tube. In the very large majority of pulse jet units, the
cleaning is done row-by-row without taking the compartment off-line.
A plenum pulse baghouse is similar to the pulse jet baghouse except for
the way that compressed air is delivered to the bags. These units have a
number of small compartments which are isolated from the inlet gas stream
during cleaning. The entire compartment is pulsed using a set of poppet val-
ves. Individual blow tubes are not necessary. The pressures used in the
cleaning operation are lower than those used in pulse jet collectors.
A cartridge type baghouse using compressed air cleaning is also similar
to the pulse jet collector and is inspected in the same manner. The major
design differences are the types of filtering media and the characteristically
short filter elements. These are usually very small baghouses.
One of the commonly used design parameters is the gas-to-cloth ratio.
This can vary from a low of 4 ft3/ft2/min to as high as 20 ft3/ft2/min
depending on the type of cloth, the particle size distribution of the
material, the particulate matter characteristics, the humidity, and the bag
spacing. As the gas-to-cloth ratio goes up, there can be increased seepage
through the material, increased gas velocities at the baghouse inlet, in-
creased velocities around the bags, and greater tendencies for fabric holes.
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The instrumentation generally installed on pulse jet and similar collectors
is listed below:
• Static Pressure Drop Gauges
• Compressed Air Reserviour Pressure Gauge
• Gas Stream Inlet Temperature Monitor
• Fan Motor Current Meter
The majority of units have only the static pressure drop gauge.
Compressed air reservior pressure gauges are useful to evaluate cleaning
intensity, a factor which can directly relate to particulate emission prob-
lems. Such pressure gauges can usually be easily retrofitted to pulse jet
compressed air reservoirs. The gas inlet temperature monitor is useful only
when the system is operating at elevated temperatures and there is the poten-
tial for the condensation of corrosive materials or there is the potential
for exceeding the rated temperature capability of the bag fabric. The fan
motor currents provide an indirect, but nevertheless uselful, indicator of the
gas flow through the baghouse.
8.4.1.2 Reverse Air (Outside-to-Inside Flow) - This style of fabric filter
is geometrically similar to the pulse jet with the exception of the manner
in which the fabric is cleaned. A sketch of one common type reverse air fabric
filter (outside-to-inside flow) is shown in Figure 8-4.
REVERSE AIR
PRESSURE (LOWER
OUTER HOW
REVERSE AIR
MANIFOLD
FABRIC
FILTER TUBES
MIDDLE ROW
REVERSE AIR
MANIFOLD
PRE-CIEANING
BAFFLE
HEAVY DUST
DROPOUT
Source:
Carter-Day Company
Figure 8-4. Reverse Air Fabric Filter (Outside-to-inside Flow).
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The bags are supported on interior cages and hang freely from a tube
sheet near the top of the collector The particulate laden gas enters from the
bottom and the gas stream passes up around the outside of each bag. The dust
cake accumulates on the outside of the bags and the filtered gas passes up the
center of the bags to the clean air plenum at the top. A rotating cleaning
arm in the clean air plenum stops over each row of bags and introduces either
ambient air or recycled filtered air in a reverse direction.
Another common style of reverse air fabric filter (outside-to-inside flow)
has the bags arranged in a set of compartments. Each of these is equipped with
poppet dampers, one to allow the filtered gas to exit the baghouse and another
to allow the entry of reverse air.
The instrumentation generally mounted on this type of fabric filter is
limited to static pressure drop gauges. A few units may include a fan motor
current meter.
The performance problems with these type of units are very similar to those
discussed earlier for pulse jet collectors. The reverse air units operating at
ambient pressure are obviously less prone to fabric attack during start-up and
due to high temperature damage. Instead of compressed air and diaphragm valve
problems, maintenance on reverse air (0/1) units must focus on the reverse air
fan and rotating cleaning arm.
8.4.1.3 Reverse Air (Inside-to-Outside Flow) Fabric Filters - This style is
generally used in moderate to large systems. The bags are hung from a top
assembly fixed to a tube sheet which is positioned near the bottom of the bag-
house. The particulate laden gas stream enters the hopper area below the tube
sheet and gas flows up the center of each bag. The dust cake forms on the
inside surfaces of each bag. The filtered gas is collected in the clean gas
plenum which surrounds the bags. A number of separate compartments are used
so that it is possible to isolate one compartment at a time for cleaning. Once
the isolation dampers are activated, the reverse air fan supplies air to the
clean gas plenum for a period of 15 seconds to several minutes. This air
passes from the outside of each bag into the center of the bag and out the
bottom exit. The dust cake is cracked and discharged due to the reverse air
flow and the slight flexing of the cloth during cleaning. A typical reverse
air (inside-to-outside flow) fabric filter is shown in Figure 8-5.
Reverse air (I/O) baghouses use woven cloths composed of numerous fabric
types. Due to the relativley gentle cleaning action it is possible to use
fiberglass which presently has the highest temperature limits of commercially
available fabrics. Other common cloth materials include Nomex^, Nylon^,
polypropylene, and DacronR. The bags are kept under tension to minimize
fabric damage during the cleaning cycle and to reduce damage due to abrasion
at the bag inlet. The gas-to-cloth ratios vary from as low as 0.5 ft3/ft2 min
to as high as 3 ft3/ft2 min.
This type of baghouse can be operated under either positive or negative
pressure. Those with negative pressure generally have one or two induced draft
and a single stack. The positive pressure units often have individual vents
above each compartment or a single roof monitor for the entire unit. The
positive pressure units cannot be easily stack tested.
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Compartments filtering
Clean
exhaust
gas
Compartment
being —
cleaned
Main fan
Reverse air fan
Source: APTI
Figure 8-5. Reverse Air Fabric Filter (Inside-to-Outside Flow).
Instrumentation used on reverse air (I/O) baghouses depends partially on
the size of the unit and partially on the type of effluent gas being treated.
Many of the large systems include a transmissometer on the exhaust stack
(negative pressure systems). Most include static pressure gauges for each
compartments and for the overall baghouse. Hopper level alarms and hopper
heaters are common for those treating boiler or kiln processes. Some of the
units which operate at elevated temperature have inlet gas temperature
monitors.
8.4.1.4 Shaker Fabric Filters - Shaker collectors are geometrically similar to
reverse air (I/O) fabric filters and are inspected in the same manner. The only
major difference is in the way the bags are hung and the way dust is dislodged
from the bags. With the shaker collectors, each set of bags is mechanically
connected to a shaker motor which is usually outside the box. On a regular
basis, a compartment is isolated from the gas stream and the bags are "shaken"
from side to side. After the dust has had a chance to settle from the inside of
the bag, the compartment is brought back on line. A sketch of a shaker assembly
is provided in Figure 8-6.
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Dirty gas -* ff -f
Source: APTI
Figure 8-6. Shaker Fabric Filter.
Due to the severity of the cleaning action, the use of flex sensitive bag
materials is not advisable. This limits the application of shaker units to
low temperature operations with the most common materials being cotton, Dacron^,
polypropyplene, Nomex^, and NylonR. Woven bags were used primarily in the past.
However, some felted materials are now receiving some service in shaker units.
The types of instrumentation used on a shaker collector are usually
limited to the static pressure drop gauges on each compartment and across the
entire baghouse. Fan motor current meters are occassionaly used. Inlet gas
temperature monitors are used for baghouses operating over 120°F. Shaker
fabric filters can operate as either positive or negative units. However, the
very large majority of these are designed for negative pressure.
8.4.2 Level 1 Inspections of Fabric Filters
The purpose of Level 1 inspections of fabric filters is to determine if
the unit is operating in compliance with the visible emission requirements and
if there are any fugitive emissions from the sources served by the unit. If
the stack opacity exceeds 5% (well below most SIP, NSPS, and NESHAP visible
emission limits) or there are noticeable fugitive emissions, a more detailed
inspection would be necessary. Level 1 inspections are used for this source
category since there are usually a large number of such collectors in most
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areas. It may not be possible to see all of Lliu fabric filters at a given
plant from the plant boundry since many are small and are mounted very close
to the point of particulate generation. The view is often hidden by adjacent
buildings, ducts and other plant equipment. If the unit(s) cannot be seen
from the plant boundry, the inspector must enter the facility to make the Level 1
inspection. This is obviously more time consuming for the inspector and can
also represent an inconvenience to source personnel. The data and observa-
tions recorded during Level 1 inspections of pulse jet, reverse air (0/1),
reverse air (I/O), and shaker fabric filters is presented in Table 8-1 at the
end of this section. It should be noted that there is no difference in the
Level 1 inspection steps for the four categories of fabric filters.
8.4.3 Level 2 Inspections of Fabric Filters
The Level 2 inspection is useful for confirming if the baghouse is opera-
ting is compliance with the visible emission regulations. Method 9 observations
are made from a location close to the unit. Therefore, there are not problems
with hidden units as there were with the Level 1 inspection. A counterflow
approach is used starting with the visible emissions observation and proceeding
opposite the direction of gas flow back to the point(s) of particulate genera-
tion. Pollutant capture problems at the originating sources are identified.
Contributing problems such as corroded ductwork, open cleanout ports, and
damaged hoods are observed and noted. If the capture problems seem to be due to
the baghouse, the inspector must evaluate the present static pressure drop and
the operating characteristics of the cleaning system.
It should be noted that the latter two factors are only evaluated after
the initial counterflow inspection of the entire gas handling system (stack,
baghouse, ductwork, and hoods) indicates a pollutant capture problem. The
cleaning system is also checked whenever there is puffing from the stack at
regular intervals. Level 2 inspection steps are tabulated in Tables 8-2
through 8-5 found at the end of this section. The different bag cleaning tech-
niques utilized require three specific sets of Level 2 inspection procedures.
When the average opacity of the unit exceeds 5% to 10%, serious baghouse
problems exist. The inspector must then evaluate maintenance records such as
bag failure rate records, gas temperature data, static pressure drop data,
and cleaning system operating data. The general type of problem causing the
particulate emission can often be identified by the evaluation of this data in
conjunction with diagnostic fabric testing. During the inspection, the "rip
test" can be performed on recently removed bags if the source has not yet sent
the bags for failure analysis.
During the Level 2 inspection, it is important to document that the
process equipment is operating in a representative fashion. It is also neces-
sary to confirm that the material being discharged from the fabric filter is
not being reentrained and is being disposed of in a proper manner. In some
cases, the baghouse discharge is hazardous material. Contamination of ground
waters and surface waters must also be avoided.
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Many fabric filters operate on an intermittant basis, and therefore, may
not be operating during the time period of the inspection. In such cases, the
inspection should be limited to evaluating the "clean side" conditions and
other factors listed in Tables 8-6 to 8-8. Dust accumulation on the clean
side of the tube sheet is a clear indication of operating problems. A follow-
up inspection to document the excessive emissions is warranted in such a case.
The inspection should also include a review of bag failure records, and other
operating records for the unit.
8.4.4 Level 3 Inspections of Fabric Filters
Level 3 inspections are performed on fabric filters in response to prob-
lems identified in Level 1 or 2 inspections or for major units having chronic
compliance problems. The objective is to gather sufficient information to
thoroughly evaluate corrective actions proposed or taken by the operators to
minimize future problems. A review of previous inspection reports and a review
of relevant correspondance in the agency files are important prerequisites
to the Level 3 inspection. Flow charts for the overall process and the fabric
filter system should be brought on the inspection.
The inspector's efforts must be focused on the specific types of problems
which have been reported. These are found in the following list:
• Emissions due to bag failures, poor unit fabrication,
and other equipment related conditions.
• Fugitive emissions due to poor fabric cleaning and fabric
blinding.
• Fugitive emissions due to air infiltration in ductwork and/or
poor hood capture.
• Detached plume conditions.
• Reentrainment from solids discharge equipment or improper
disposal of collected solids.
If high visible emission levels are noted, the problems at the least
include high bag failure rates, fabric seepage, poor unit fabrication, or
other similar problems. To characterize the main problems (there is rarely
just one), it is necessary to measure the pressure drop and the inlet gas
temperature. Air infiltration across the fabric filter can be estimated by
measuring the inlet and outlet gas temperatures (elevated temperature units
only). A difference of more than 10° to 20°F is indicative of significant
infiltration. For units serving combustion sources, the change in the flue
gas oxygen content before and after the unit is also useful for estimating the
extent of infiltration. It is very useful to make a clean side check on at
least one compartment of the fabric filter.
Fugitive emissions may be a result of deficiencies in the fabric filter,
problems with the hoods and ventilation (ductwork and fans), or changes in
the process operating conditions. The principal fabric filter related problems
are blinding of the fabric, inadequate cleaning, and severe air infiltration.
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The static pressure drop across the entire unit should be measured to indicate
poor cleaning or blinding. Bags removed from the unit can be visually checked
for blinding problems. Process related problems leading to fugitive emissions
include improper start-up/shut-down procedures, air infiltration, improper
hood conditions, and changes in process operating conditions. The impact of
air infiltration problems can be quantified by means of a pitot traverse
downstream of the fabric filter and possibly at several locations along the duct
work leading to the fabric filter. A comparison of the hood static pressure
against baseline levels can provide a useful index in the change in total gas
flow rates at the hood.
While performing Level 3 inspections it is often necessary to evaluate
the process operating conditions. Any changes in operating conditions or
raw materials which could influence the quantity, particle size, and character-
istics of the particulate are relevant to the inspection. Also, any changes
which could result in an increase in vaporous material within the gas stream
should be noted. While portable instrumentation is used less in the evaluation
of the process conditions, it is usually helpful to measure the oxygen contents
of all flue gases from combustion sources (except driers, gas turbines, and
flares) and to measure the exhaust temperatures from most processes. The
inspection of process equipment is most effectively done by starting with the
raw materials (and fuels) and proceeding through the process in the same
general direction as the effluent gas stream. This is termed the Co-current
flow approach. The Level 3 inspection should only be conducted by experienced
inspectors trained in inspection safety, in the use of portable instrumentation
and in the performance evaluation techniques for air pollution control equip-
ment. Level 3 inspections of the three main categories of fabric filters are
summarized in Tables 8-8 through 8-10.
Safety considerations are extremely important. Portable instruments must
not be carried through areas of high dust or vapor concentration since battery-
powered instruments can be a source of ignition. The probes must be elec-
trically bonded to prevent the accumulation of static charge. Hot equipment
and port plugs must be handled carefully. Partially confined areas with poor
ventilation must be avoided since the concentrations and types of contaminants
may exceed the capabilities of the respirators normally used by inspectors.
8.4.5 Level 4 Inspections of Fabric Filters
Level 4 inspections are performed to obtain baseline data concerning both
the baghouse and the associated process equipment. A necessary first step in
a Level 4 inspection is the preparation of flowcharts for both the process
equipment and the air pollution control system. Information on the preparation
of these flowcharts is provided in Reference 1. Only data relevant to the
performance of the air pollution control system should be obtained. Acquistion
of potentially confidential data should be avoided unless absolutely necessary.
The best opportunity to obtain baseline data is during a Method 5 stack
test of the fabric filter. Immediately prior to the stack test a quick walk-
through inspection should be conducted to confirm that adequate measurement
ports are available and to make any internal checks of the air pollution
control device. During the pretest meeting, the inspector should also discuss
what is to be considered representative operating conditions for both the
process units and air pollution control system. During the test, one
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inspector should be performing an inspection equivalent in scope to the
Level 3 inspection (without the internal checks since this had been completed
just prior to the test). All measurements should be repeated several times
during the complete test period so that the data is representative of actual
conditions. The steps in a Level 4 inspection of any fabric filter system
can be used to supplement the baseline data set. The inspector should
encourage baghouse operators to save several new bags of the type installed in
the unit so that later diagnostic bag testing can be done.
Many units do not have stack sampling ports and some only have a fan
discharge point rather than a defined stack. The positive pressure reverse
air (I/O) filters usually have only a roof monitor for the exhaust gas stream.
For these reasons, some units, especially pulse jet and reverse air (0/1), are
rarely stack tested. The baseline data for these types of fabric filters is
usually obtained during a period or periods when the unit appears to working
properly. The criteria used to judge the adequacy of performance are:
• Visible emissions from the stack are < 5%.
• No apparent fugitive emissions from the process equipment.
• No solids reentrainment from the solids discharge equipment.
• Process equipment operating in representative manner.
• Negligible clean side deposits accumulation over several week
period (or, unit passes tracer dust test).
Fabric filter and process data obtained during a period in which the above
criteria are satisfied, will provide a very useful means of evaluating
future operating problems. Data obtained in subsequent Level 2 and 3 inspec-
tions can be used to further document normal operating conditions for the
system.
Baseline data can also be compiled for fabric filter systems which are
not presently working in an optimum fashion. The nature of the present prob-
lem(s) should be noted in the inspection report, so that it is clear that some
of the data and observations do not represent desired conditions. The scope
of the Level 4 inspection for a unit with performance problems is identical to
that described earlier with respect to Level 3 inspections. A summary of
the data to be obtained in a Level 4 inspection is provided in Table 8-11.
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TABLE 8-1. LEVEL 1 INSPECTIONS OF FABRIC FILTERS (ALL TYPES)
Inspection Data and Observations
- Method 9 observation of stack (or stacks) for not < 6 min; calculate
average opacity
- Method 9 observation of fugitive emissions from process equipment
served by fabric filter; observe specific units, if possible;
otherwise, check roof monitor and general plant areas
- Presence or absence of visible emission spikes at fabric filter
discharge or step changes in visible emission levels
- Presence or absence of detached plume
- Presence or absence of apparent shell corrosion
- Presence or absence of settled dust in the vicinity of unit
- Presence or absence of high settled solids levels in downwind areas
- Presence or absence of dust reentrainment from discharge
Evaluation
- Visible emissions > 5%, warrant a follow-up inspection (Level 2 or 3);
properly operated units operate with essentially zero opacity
- There should be no apparent visible emissions from process areas
served by the fabric filter; however, a number of problems increase
resistance to gas flow and thereby decrease the effectiveness of
pollutant containment at the process source
- Presence of a detached plumes suggests that vaporous material is
passing through the fabric filter and condensing upon entering the
cold ambient air; co-current flow inspection of the process and raw
materials is necessary
- Settled material in the vicinity of the stack or in downwind areas
suggests poor baghouse performance; excessive emissions of large
particle size material can occur without any apparent "visible"
emissions
- Corrosion of the baghouse shell can indicate improper baghouse
operating conditions or the use of process raw materials with
corrosive components; fuels contaminated with PCBs may also induce
severe corrosion
Safety Considerations
- Location(s) selected for observations should be protected from moving
vehicles (cars, trains,heavy equipment) and should provide secure
footing; coal and material stockpiles are not suitable
Special Notes
- Avoid trespassing on private property to obtain a good location for
observations (unless public access is allowed); if plant entry is
necessary to observe the equipment, the normal entry procedures are
applicable
- If the observations will probably form the basis for a NOV, results
should be provided to source as soon as possible
Air Compliance Inspection Manual8 - 239/30/84
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TABLE 8-2. LEVEL 2 INSPECTIONS OF PULSE JET FABRIC FILTERS
(OPERATING SYSTEMS)
• Inspection Steps
- Method 9 observation of fabric filter discharge
- Method 9 observation of fugitive emissions from solids handling
operation (if reentrainment)
- Method 9 observation of fugitive emissions from process equipment
- Counterflow checks of audible air infiltration into fan, baghouse
(solids discharge valve, access doors, shell), and ductwork; check
physical condition and location of hoods
- Check static pressure drop across baghouse using on-site gauge;
compare with baseline data
- Compare compressed air pressures at reservior with baseline values;
check for audible leaks of compressed air at fittings; check
operation of diaphragm valves, record number of valves which do
not appear to be working properly
- Check inlet gas temperatures using on-site gauge
- Observe and describe corrosion of fabric filter shell and hoppers
- Evaluate bag failure records, gas inlet temperature records,
pressure drop data, and other maintenance information
• Evaluation
- Visible emissions > 10% indicate poor performance; inspection should
include: evaluation of bag problems, including but not limited to
abrasion, chemical attack, ember damage, high temperature damage,
and improper cleaning; rip test should be done on failed bags unless
quantitative fabric tests have been performed; if conditions appear
to be severe, a Level 3 inspection (primarily clean side checks) is
recommended
- Fugitive emissions from all process sources should be carefully
documented; reasons for poor capture should be investigated, and
include air infiltration, poor hood condition or location, fan belt
slippage (listen for squeal), fabric blinding, and poor cleaning
effectiveness
- Static pressure drop data and cleaning system performance checks
(compressed air pressures, conditions of diaphragm valves, and
frequency of cleaning) are very important
- Check of the entire system for air infiltration is very important,
since it can lead to severe problems
• Safety Considerations
- Level 2 inspection involves some climbing and close contact with
the pulse jet baghouse; check the integrity of all supports and
ladders; climb ladders properly; avoid contact with hot ducts and
roofs; avoid downward point gas discharge points
- Since the inspector must enter the facility to conduct a Level 2
inspection, all facility and agency safety precautions apply
• Special Notes
- All normal legal considerations applicable to on-site inspections
apply
Air Compliance Inspection Manual 8-24 9/30/84
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TABLE 8-3. LEVEL 2 INSPECTION OF OPERATING REVERSE AIR
(OUTSIDE-TO-INSIDE FLOW) FABRIC FILTERS
• Inspection Steps
- Method 9 observation of the fabric filter discharge
- Method 9 observtion of fugitive emissions from solids handling
operation (if reentrainment) is occurring
- Method 9 observation of fugitive emissions from process equipment
- Counterflow checks of audible air infiltration into fan, baghouse
(solids discharge valve, access doors, shell), and ductwork; check
physical condition and location of hoods
- Check static pressure drop across baghouse using on-site gauge;
compare with baseline data
- Confirm that reverse air fan and drive motor for rotating cleaning
arm (if present) are operating
- Check inlet gas temperature using on-site gauge (if present)
- Observe and describe corrosion of fabric filter shell and hoppers
- Evaluate bag failure record, gas inlet temperature records,
pressure drop data, and other maintenance information
• Evaluation
- Visible emissions > 10% indicate poor performance; inspection should
include: evaluation of bag problems, including abrasion, chemical
attack, ember damage, high temperature damage, and improper cleaning;
rip test should be done on failed bags unless quantitative fabric
tests have been performed; if conditions appear to be severe, a Level 3
inspection (including clean side checks) is recommended
- Fugitive emissions from all process sources should be carefully
documented; reasons for poor capture should be investigated, and
include air infiltration, poor hood condition or location, fan belt
slippage (listen for squeal), fabric blinding and poor cleaning
effectiveness static pressure drop data are very useful
- Check of the entire system for air infiltration is very important,
it can lead to severe problems
• Safety Considerations
- Level 2 inspection involves some climbing and close contact with
the reverse air unit; check integrity of all supports and
ladders; climb ladders properly; avoid contact with hot ducts and
roofs; avoid downward pointed gas discharge points
- Since the inspector must enter the facility to conduct a Level 2
inspection, all facility and agency safety precautions apply
• Special Notes
- All normal legal considerations applicable to on-site inspections
apply
Air Compliance Inspection Manual 8-25 9/30/84
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TABLE 8-4. LEVEL 2 INSPECTION OF OPERATING SHAKER AND REVERSE AIR
(INSIDE-TO-OUTSIDE FLOW) FABRIC FILTERS
Inspection Steps
- Method 9 observation of fabric filter stack or individual compartment
discharge points
- Check operating condition of transmissometer; then average opacity
and variations in visible emissions
- Method 9 observation of fugitive emissions from solids handling
operation (if reentrainment)
- Method 9 observation of fugitive emissions from process equipment
- Counterflow checks of audible air infiltration into fan, baghouse
(solids discharge valve, access doors, shell), and ductwork; check
physical condition and location of hoods
- Check static pressure drop across collector using on-site gauges
- Check static pressure drop across each compartment during cleaning;
values should be zero for shaker collectors
- Confirm that reverse air fan or shaker motor is operating
- Check inlet gas temperatures using on-site gauges
- Observe and describe corrosion of fabric filter shell and hoppers
- Evaluate bag failure records, gas inlet temperature records, pressure
drop data, and other records
Evaluation
- Visible emissions > 5% indicate poor performance; inspections should
include: evaluation of bag problems, including abrasion, chemical
attack, ember damage, high temperature damage, and excessive cleaning
intensities; rip test should be done on failed bags unless quantitative
fabric test have been performed; if conditions appear severe, a Level 3
inspection is recommended
- Detached plumes are often due to the condensation of vaporous material;
a co-current flow inspection of process operation and a check of
raw material characteristics may help identify reasons for vaporous
material
- Fugitive emissions from all process sources should be carefully
documented
- Static pressure drop data and cleaning system performance checks
(compartment static pressure drops during cleaning, operation of
reverse air fan) are very useful for determining if the problem is
due to the unit
- Counterflow inspection of the entire system for air infiltration
is very important since it can gradually lead to severe bag damage,
and reduced capture effectiveness at the process
Safety Considerations
- Level 2 inspection involves some climbing and close contact with
the unit; check the integrity of all supports and ladders; climb
ladders properly; avoid contact with hot ducts and roofs; avoid
poorly ventilated areas under hoppers and between compartments
- All plant and agency safety procedures for on-site inspections apply
Special Notes
- All normal legal considerations for on-site inspections apply
Air Compliance Inspection Manual 8-26 9/30/84
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TABLE 8-5. LEYEL 2 INSPECTION OF PULSE JET FABRIC FILTERS
(NONOPERATIONAL SYSTEMS)
• Inspection Steps
- Confirm that unit is out-of-service and will not be brought on line
during period of inspection
- Request plant personnel to open one or more access hatches on clean
side of unit; evaluate quantity and pattern of clean side deposits
- Check orientation of blow tubes (and extension nipples, if present)
- Check for obvious poorly seated bags and gaps in tube sheet welds
- Request that plant personnel open side access hatches if available
- Check for bag abrasion against side flanges, internal walkways, and
other bags; check for bowed and bent bag/cage assemblies
- Check the condition of any deflector plates on the gas inlet
- Check for obvious erosion of ductwork leading to baghouse
- Check operation of bag cleaning equipment
• Evaluation
- Presence of clean side deposits (enough to make a footprint) indicates
poor performance; inspection should include an evaluation of bag
failure problems due to abrasion, excessive cleaning intensities,
improper blow tube alignment, chemical attack, ember damage, and high
temperature damage; a rip test should be conducted if quantitative
fabric test data is not available; potential for leakage around top
of bag and tube sheet should also be checked
- Potential for bag-to-bag abrasion at bottom and for damage of the
fabric against side flanges and internal walkways can be seen from
side access hatches
- Deflector serves to protect the bags from abrasive materials
- Erosion of these plates could contribute to premature failures;
eroded ductwork could lead to reduced pollutant capture at the gener-
ation source and operating temperatures below the acid dewpoint
• Safety Considerations
—Hatches located on hoppers should never be opened during an inspection
since there is often dangerous accumulations of hot, free flowing
solids behind door
- Inspector should never stick his or her head into the clean air
plenum since this poorly ventilated area may contain asphyxiants and/or
toxic gases
- Pulse jet units serving combustion sources should never be opened
immediately after shut-down since the inrush of ambient air may cause
an otherwise innocuous ember to flare into a baghouse fire
- All hatches must be opened carefully to prevent hand injuries
• Special Notes
- Presense of clean side deposits or other abnormal conditions cannot
be used alone as a basis for a NOV
Unit should be opened only with consent of plant management
personnel
Air Compliance Inspection Manual8-279/30/84
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TABLE 8-6. INSPECTION OF NON-OPERATING REVERSE AIR (OUTSIDE-TO-INSIDE FLOW)
FABRIC FILTERS
• Inspection Steps
- Confirm that unit is out-of-service and will not be brought on-line
during period of the inspection
- Request plant personnel to open one or more access hatches on clean
side of unit; evaluate quantity and pattern of clean side deposits
- Check for obviously poorly seated bags and gaps in tube sheet welds
- Request that plant personnel open side access hatches, if available
- Check for bag abrasion against side flanges, internal walkways, and
other bags; check for bowed and bent bag/cage assemblies
- Check the condition of any deflector plates on the gas inlet
- Check for obvious erosion of ductwork leading to unit
• Evaluation
- Presence of clean side deposits (enough to make a footprint or
handprint) indicates poor performance; inspection should include an
evaluation of bag failure problems due to abrasion, chemical attack,
ember damage, and high temperature damage; a rip test should be
conducted if quantitative fabric test data is not abailable; potential
for leakage around top of bag and tube sheet should also be checked
- Potential for bag-to-bag abrasion at the bottom and for damage of
the fabric against side flanges and internal walkways can be seen from
side access hatches
- Deflector plates serve to protect bags from abrasive materials;
erosion of these plates could contribute to premature bag failures
- Eroded ductwork could lead to reduced pollutant capture at the
generation sources and operating temperatures below acid dewpoint
in unit
• Safety Considerations
- Hatches located on hoppers should never be opened during an
inspection since there is often dangerous accumulations of hot, free
flowing solids behind the door
- Inspector should never stick his or her head into the clean air
plenum since this poorly ventilated area may contain asphyxiants
and/or toxic gases
- Units serving combustion sources should never be opened up
immediately after shut-down since the inrush of ambient air may
cause an otherwise innocuous ember to flare into a baghouse fire
- All hatches must be opened carefully to prevent hand injuries
• Special Notes
- Presence of clean side deposits or other abnormal conditions cannot
be used alone as a basis for a NOV
- Unit should be opened only with consent of plant management management
Air Compliance Inspection Manual 8 -2.8 9/30/84
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TABLE 8-7. LEVEL 2 INSPECTION OF NON-OPERATING SHAKER AND REVERSE AIR
(INSIDE-TO-OUTSIDE FLOW) FABRIC FILTERS
Inspection Steps
- Confirm that unit or individual compartment is out-of-service and will
not be brought on-line during period of inspection
- Request that plant personnel open access hatch of compartments isolated;
use hatch just above the elevation of the tube sheet; evaluate quantity
and pattern of clean side deposits
- Observe bag tension throughout portion of compartment visible from
access hatch; check tension of bags which can be reached without
entering compartment
- Check for leaks around thimble connections or snap ring connections
- Check for obvious bag abrasion on internal flanges
- Check for obvious tube sheet weld failures
- Note any holes or tears in bags visible from access hatch
Evaluation
- Presence of clean side deposits (enough to make a footprint) indicates
poor performance; inspection should include an evaluation of bag
failure problems due to abrasion, excessive cleaning intensities,
chemical attack, ember damage, and high temperature attack
- Bag tension is critical; in both reverse air and shaker collectors
bags must not sag at bottom; the reverse air bags are kept under
40 to 120 pounds tension; shaker bags are normally hung with no
measureable tension
- Spatial pattern of clean side deposits can be used to indicate dust
emission problems; however, once deposits exceed several inches in
depth, diagnostic signs are essentially buried
- Gaps in tube sheet welds are usually visible since the high velocity
gas stream passing through gap moves the dust deposits away from that
portion of tube sheet
Safety Considerations
- Hatches located on hoppers should never be opened during inspection
since there is often dangerous accumulations of hot, free flowing
solids behind door
- Side access hatches for each compartment should also be opened
carefully since hot clean side deposits ranging from several inches
to several feet in depth may be behind door
- Under no circumstances should inspector enter compartment
- Even compartments properly isolated may have high concentrations of
toxic gases, toxic particulate and asphyxiants; the gas temperature
inside can be quite hot due to radiation and conduction from adjacent
compartments still operating
- Respirators should be worn whenever observing conditions through
an open hatch
Special Notes
- Presence of clean side deposits or other abnormal conditions cannot
be used alone as a basis for a NOV
- Unit should be opened only with consent of plant management
Air Compliance Inspection Manual 8-29 9/30/84
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TABLE 8-8. LEVEL 3 INSPECTIONS OF PULSE JET FABRIC FILTERS
• Inspection Steps
- Method 9 observation of fabric filter discharge, all process units
served by fabric filter and solids discharge equipment
- Presence or absence of visible emission spikes at regular intervals
- Presence or absence of detached plumes
- Counterflow evaluation of system air infiltration, starting with the
fan and going backwards to the baghouse, ductwork, and hoods; note
points of audible infiltration; quantify infiltration using pitot
tubes on outlet, oxygen increases across collector (combustion sources
only), temperature drops across unit (elevated temperature units only),
and measurement of hood static pressures
- Evaluate cleaning system frequency and compressed air pressures
- Note points of compressed air leakage
- Evaluate performance of diaphragm valves
- Check for rate of solids discharge (if safely possible) and check for
reentrainment of dust from solids discharge equipment
- Measure static pressure drop across baghouse
- Measure inlet and outlet gas temperatures
- Review bag failure records, pressure drop data, start-up and shut-down
procedures, and bag installation procedures
- Perform rip tests on recently removed bags
• Evaluation
- Due to comprehensive nature of Level 3 inspections, only those factors
relevant to reported problem(s) should be considered
- Evaluate by checking location and form of bag deposits; inside
deposits are often caused by poor compressed air quality; outside
deposits are usually caused by (1) generation of sticky material at
the process source, (2) infiltration induced condensation of vaporous
material, and (3) improper start-up
- Fugitive emissions from process equipment are often due to bag
blinding, poor bag cleaning, or severe air infiltration
- Use rip test and/or diagnostic fabric test data to categorize
failure mode as due to abrasion, embers, chemical attack, high
temperature damage, or fabrication errors; corrective actions
planned by source should address major causes of problems
- Clean side evaluation can help determine locations and types
of bag failures
• Safety Considerations
- All safety considerations for Level 2 inspections apply
- All portable instrumentation must be used carefully; battery-powered
gauges can initiate dust and vapor cloud explosions; also, probes
inside high gas velocity ducts (the majority of systems) can accumulate
static charges which may lead to a dust explosion; probes must be
grounded to prevent static problems
- Avoid partially confined areas with poor natural ventilation; large
positive pressure ports should not be used
- Hot probes and hot surfaces must be treated carefully
- Probe and other materials must never be sucked into ductwork
Air Compliance Inspection Manual 8-30 9/30/84
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TABLE 8-9. LEVEL 3 INSPECTIONS OF REVERSE AIR (OUTSIDE-TO-INSIDE FLOW)
FABRIC FILTERS
• Inspection Steps
-Method 9 observations of fabric filter stack or discharge point
- Method 9 observation of all process areas served by unit and of
solids discharge system
- Note presence or absence of detached plume
- Counterflow inspection of air infiltration in entire gas handling
system including fans, baghouse, ductwork, and hoods; evaluate
infiltration in detail if audible inleakage is noticed, unit pressure
drop is low, or fugitive emissions are high
- Pitot traverses, inlet and outlet oxygen concentrations, and inlet
and outlet gas temperatures are used to evaluate infiltration; oxygen
and static pressure profiles for system should be prepared
- Evaluate cleaning system frequency
- Check for rate of solids discharge (if safely possible)
- Measure baghouse static pressure drop and compare with baseline data
- Measure gas inlet temperature and compare with fabric limits
- Observe clean side conditions
- Evaluate any bags recently removed from unit for symptoms of damage
- Review bag failure records and maintenance records
• Evaluation
- Due to the comprehensive nature of Level 3 inspections, only those
inspection steps relevant to reported problems(s) should be conducted
- Evaluate blinding by checking recently removed bags and by checking
source of the reverse air; use of cold moisture laden ambient air in
a unit running with hot vapor laden gas can lead to blinding,
especially on inside surfaces of bags
- High pressure drops are often due to poor cleaning, fabric blinding,
and increased gas flows
- Spatial pattern of clean side deposits can help to determine locations
of bag holes and tears, to identify any poorly seated bags, and to
locate any tube sheet weld gaps
• Safety Considerations
- All safety considerations for Level 2 inspections apply
- All portable instrumentation must be used carefully; battery-powered
gauges can initiate dust and vapor cloud explosions; probes inside
high gas velocity ducts (the majority of systems) can accumulate
static charges which in turn may lead to a dust explosion
- Avoid partially confined areas with poor natural ventilation; large
ports under positive pressure should not be used
- Hot probes and hot surfaces must be treated carefully
- Probes and other material should never be sucked into ductwork
- Under no circumstances should an inspector enter equipment
• Special Notes
- All plant and union policies regarding the use of portable gauges and
tools should be followed
Air Compliance Inspection Manual8-319/30/84
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TABLE 8-10. LEVEL 3 INSPECTIONS OF SHAKER AND REVERSE AIR (INSIDE-TO-OUTSIDE)
FABRIC FILTERS
Inspection Steps
- Method 9 observation of fabric filter stack or individual compartment
discharge points; observe pattern of visible emission variations
- Method 9 observation of bypass ducts and process areas served by unit;
observe reentrainment from solids discharge equipment
- Note presence or absence of detached plume
- Counterflow inspection of entire gas handling system, including fans,
baghouse, ductwork, and hoods; if audible infiltration is found,
static pressure drop is low, or fugitive emissions are high,
infiltration should be evaluated in detail; means to quantify
infiltration include pitot traverses at various points along the
direction of gas flow, inlet and outlet oxygen levels, and inlet and
outlet gas temperatures
- Measure static pressure drop for collector and compare with baseline
values (pressure will vary constantly)
- Measure pressure drops across each compartment
- Measure gas inlet temperature to unit and compare against fabric limit;
measure gas outlet temperature and compare with acid and moisture dew
points
- Evaluate clean side deposits and bag tension
- Examine recently removed bags for symptoms of blinding, abrasion, ember
damage, high temperature attack, and chemical attack
- Review bag failure records and maintenance records
Evaluation
- Due to the nature of Level 3 inspections, only those inspection
procedures relevant to reported problems(s) should be used
- Large majority of bag failures occur within one or two feet from
bottom of bag; many of these can be identified by comparing spatial
pattern of clean side deposits
- Bag tension is critical; reverse air bags should be under noticeable
tension while shaker bags are hung with no tension and no slack
- Leaks can occur near bag bottoms if not secured properly
- Changes in static pressure drops across compartment during cleaning
indicate damper problems
- Air infiltration is a common problem which can lead to chemical attack
of bags, abrasion of bags, and fugitive emissions
Safety Considerations
- All safety considerations for Level 2 inspections apply
- All battery-powered instruments must be kept out of explosive dust or
vapor areas, and all probes used in ducts must be grounded
- All poorly ventilated areas must be avoided; large diameter ports
under positive pressure should not be used
- Avoid hot ducts, hot surfaces, and hot probes
- Under no circumstances should inspector enter equipment
Special Notes
- All tools and instruments must be used in accordance with plant and
union policies
Air Compliance Inspection Manual 8-32 9/30/84
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TABLE 8-11. LEVEL 4 INSPECTIONS OF FABRIC FILTER SYSTEMS
• Inspection Steps
- Prepare flow charts for both process equipment and fabric filter; show
all major components for unit are shown such as compressed air source,
compressed air drier, solids discharge valve, and baghouse
instrumentation
- Check confonnance of system to construction and/or operating permit
- Perform inspection steps as presented for Level 3
• Evaluation
- Compile baseline data; send a copy to source operator
- Check flow charts for accuracy through discussions with plant personnel
- Evaluate procedures for disposal of collected material to ensure all
water and solids waste requirements will be satisfied
- Discuss start-up procedures and other operational procedures
- If measurement ports were not available in necessary locations or
available ports were not appropriate size, the desired locations
should be specified
• Safety Considerations
- All safety considerations applicable to Level 2 and 3 inspections are
applicable
- Source operator should not be asked to put in measurement ports until
equipment is down and can be properly prepared for cutting or welding
operations
• Special Notes
- Plant management should be advised that compilation of baseline data
is simply to aid inspector (and plant operations personnel) and is
not intended to represent operational restraints or other limits on
manner in which equipment is operated
- Inspector should never use baseline data to interfere with the
operator's prerogatives in running facility; data are used strictly
to determine (1) if there is a probable compliance problem which
justifies a reference method test, and (2) if proposed corrective
actions to be taken by plant in response to a problem have a
reasonable chance to succeed
- Confidential data should be taken only if absolutely necessary
Air Compliance Inspection Manual8-339/30/84
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8.5 INSPECTION OF ELECTROSTATIC PRECIPITATORS
These inspections start with a careful evaluation of the visible emissions
and an evaluation of the electrical operating conditions. The remainder of the
inspection focuses on potential problems identified by the shifts in this data.
The Counterflow approach is the most appropriate methodology for electrostatic
precipitator inspection.
8.5.1 Descriptions of Major Types of Electrostatic Precipitators
Electrostatic precipitators consist of a large array of small discharge
electodes suspended between large collection plates. A high voltage is
applied to the discharge electrodes. The collection plates are grounded along
with the hoppers and shell. Alignment of the discharge electrodes and the
collection plates is critical to the proper operation of the unit. Operating
problems and installation errors can contribute to poor alignment.
The discharge electrodes are arranged in fields, each powered by its own
transformer-rectifier set (often termed a T-R set). There are normally a
number of these in series along the gas flow path as shown in Figure 8-7. There
is a solid partition between the chambers to prevent gas flow from on chamber
to another.
50kVA
Field
1
65kVA
Field
Z
85kVA
Field
3
100 kVA
Field
4
Source: APTI
Figure 8-7. Fields in Series.
The sectionalization illustrated in the previous two figures allows
operation at optimum electrical conditions and isolates possible internal
problems to one T-R set without affecting the performance of the other power
supplies.
Air Compliance Inspection Manual
8-34
9/30/84
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Section A 11 Section B
Source: APTI
Figure 8-8. Chambers of a Precipitator.
Each power supply energizes the discharge electrode frame within the
field. The electrical conditions within the power supply and within the field
itself are monitored by gauges on the control cabinet for that T-R set. The
commonly monitored electrical conditions include primary current, primary
voltage, secondary current, secondary voltage, and spark rate. Many of the
older units do not monitor the secondary voltage and some of the newer systems
do not include a spark rate gauge. The meanings of the parameters are illus-
trated in Figure 8-9.
As shown in the Figure 8-9, the primary current and primary voltages
are the conditions of the inlet alternating current power line to the
transformer-rectifier set. Since this line is connected to the primary side
of the transformer, it is called the primary line. The secondary voltage is
the voltage of the entire discharge electrode frame and the discharge
electrodes. The current which passes from the discharge frame and electrodes
to the grounded portions of the precipitator are termed the secondary current.
Again the term "secondary" derives from the position on the secondary side of
the transformer. The spark rate is simply the number of sparks per minute
which pass from the discharge electrodes (or frame and high voltage line) to
the grounded portions of the unit. The circuit leading from the transformer-
rectifier set inside to the discharge electrodes over to the collection plates
and ultimately to ground is direct current. The performance of the
precipitator can be evaluated by comparing the secondary currents, secondary
voltages, and spark rates against baseline values. If the unit does not have
secondary voltage meters, similar analyses can be done using the primary
currents, primary voltages, secondary currents, and spark rates. To perform
meaningful reviews the data from all fields of the precipitator must be
obtained and analyzed.
Air Compliance Inspection Manual
8-35
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Support insulator
housing
High voltage
bus duct
Secondary
Side
Transformer-
rectifier
Primary
Side
Discharge electrode
support frame
Discharge electrode
Source: APTI
Figure 8-9. Field Electrical Conditions.
The precipitator should operate at the maximum possible secondary
voltages (and primary voltages). The factors which determine the actual
voltages in each of the fields includes the transformer-rectifier design, the
internal physical dimensions, internal faults, the dust resistivities, and the
characteristics of the gas stream. While some variability of operating
voltages is inevitable, major decreases in the voltages are a clear symptom of
operating problems. The secondary current data and the spark rate data are
useful in identifying the general category of problem(s) which may exist.
One important operating variable which cannot be measured is the
resistivity of the dust layer on the collection plate. The resistivity can
alter the electrical operating conditions of a field and also can affect the
amount of material released as a puff during rapping of the collection plates.
In precipitators operating at relatively low gas temperatures, the resistivity
is a strong function of the gas temperature with changes of 10°F to 30°F
sufficient to modify the unit's overall particulate removal efficiency. Units
operating at high temperature are less sensitive to gas temperature. While it
is not possible for an inspector to determine the resistivities prevailing
during the inspection, it is possible to identify the general range of
resistivity as low, moderate, or high. This is done by observing the field
Air Compliance Inspection Manual
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by field changes in voltages, currents, and spark rates. Other data used
include gas temperatures, fuel sulfur content (if applicable), conditioning
system operating conditions (if applicable), particle composition analyses,
and rapping reentrainment spike timing. All of this data must be evaluated
together to evaluate the extent to which the overall resistivity is varying
and to determine the extent to which resistivity varies throughout the
precipitator.
If the resistivity for a given chamber is in the moderate or high range,
the power input to the chamber is a useful indirect index of the particulate
removal efficiency. This can be calculated by multipying the secondary
current times the secondary voltage for each field and summing across the
chamber. If secondary voltage data is not available, the power input can be
approximated by multiplying the primary voltage times the primary current
times an adjustment factor between 0.60 and 0.80. If the power input for a
single chamber or a number of chambers has dropped substantially relative to
the baseline values, the particulate removal efficiency has probably
decreased.
The gas velocity through the precipitator is also an important variable
which cannot be measured directly. An increase in the velocity decreases the
time available for some of the small particles to pass across the space
between the discharge electrodes and collection plates. Gas velocity
increases also result in more reentrainment of particles during rapping of the
discharge electrodes and collection plates. Since it is impractical to
conduct a pitot traverse of the large ducts during an inspection, the gas flow
rate must be indirectly evaluated using process related factors.
Variations in the local gas velocites throughout the inlet to the preci-
pitator affect the particulate removal efficiency; however, there is no simple
way to identify gas flow differences. This problem can only be identified by
special field testing and scale model flow tests.
The rapping of collection plates and discharge electrodes must be done at
the correct intensity to remove the proper amount of material without causing
a large interraittant puff of solids out of the unit. The optimum rapping
intensity is a function of the dust resistivity. Therefore, it varies on a
regular basis. The operation of the rapping system is checked by examining
the transmissometer strip chart for possible rapping spikes, by checking for
obvious puffing at the stack exit, and by checking the intensity of the rapping
systems. The inspection may include a check of the rapper systems to confirm
that all or most of the rappers are operational.
Most electrostatic precipitators operate at static pressures ranging
from -10 inches of water to -25 inches of water. At these pressures, air
infiltration is very possible and this could lead to a number of serious
conditions. Air infiltration is evaluated using the process oxygen monitor
and the stack oxygen monitors. Points of audible air infiltration around
hoppers, solid discharge valves, access hatches, expansion joints, and other
spaces should be noted. When the oxygen monitors are not available, the
inspection is limited to audible checks and this is not a very complete survey
since it is difficult to safely approach many of the common sites of
infiltration.
Air Compliance Inspection Manual 8-37 9/30/84
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In addition to checking the precipitator performance, it is often
necessary to evaluate any process related conditions which could conceivably
affect the overall particulate removal effectiveness. Any factors which
affect the particle size distribution, compositon of fine particles,
concentration of sulfur trioxide, concentration of water vapor, and gas flow
rate should be evaluated. Such evaluations are difficult and time consuming.
Therefore, these are only performed in response to a chronic and significant
excess emission condition.
8.5.2 Level 1 Inspections of Electrostatic Precipitators
The Level 1 inspection of large electrostatic precipitator systems
consists primarily of a careful and complete evaluation of the stack effluent
gas characteristics. This can be done at the plant boundry without the need
to enter the facility. Since the stacks are often high, the location for the
observation should be chosen to minimize the elevation angle. For the very
small positive corona precipitators, the stack is generally too low to be seen
from the plant boundry. In this case, it is necessary to perform the
inspection on the plant grounds.
The visible emissions should be observed using Method 9 procedures. For
the few cases it which there is a condensed water droplet plume, the observa-
tions should be made at the point of maximum opacity either before or after
the "steam" plume. The dispersion characteristics of steam vents should be
noted in the inspection notes in addition to the notes concerning the plume
from the precipitator. The average opacity should be compared with the
regulatory limit and against the baseline values. A significant increase in
the average opacity is of concern even if the regulatory limit is not yet
exceeded. The magnitudes of intermittant spikes should also be recorded.
Any detached plume or condensing/reacting plume characteristics should be
carefully described in the notes. With plumes of these types, at least part
of the liqht scattering material is due to vapors which pass through the
precipitator before condensing. Process related factors are responsible for
these conditions.
While conducting the Level 1 inspection, the presence of large settleable
particulate in the general vicinity of the stack, often termed "snowing",
should be noted. Under cold conditions, this can actually be snow flakes
formed by the condensation and freezing of small water droplets in the plume.
Solid particulate "snowing" has also been observed at certain types of plants
under all weather conditions. In these cases, it appears to be due to various
precipitator and stack related problems.
Fugitive emissions from the precipitator solids discharge system, fuel
and raw material stockpiles, and other plant sources should be observed. It
is generally necessary to make such observations at a point or points differ-
ent than that used for the stack observation.
Air Compliance Inspection Manual 8-389/30/84
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If any of the observations indicate that the visible emissions are above
regulatory limits or that fugitive emissions are in violation of applicable
regulations, the data should be provided to the plant management as soon as
possible. This is necessary to satisfy Due Process requirements. A summary
of the Level 1 inspection steps are provided in Table 8-12.
8.5.3 Level 2 Inspections of Electrostatic Precipitators
The Level 2 inspection includes the steps outlined in Table 8-13 plus an
evaluation of the transmissometer data and an evaluation of the electrical
conditions in each field. The analysis of the data gained during a Level 2
inspection can be used to address the following questions:
• Are the visible emissions above the regulatory limit?
• Are there significant fugitive emissions as defined by the
applicable regulations?
• Do the visible emissions data and electrical data baseline
evaluations indicate a possible mass emission compliance
problem on either a continuous or intermittant basis?
• Are all the necessary records being maintained?
Based on the results of the Level 2 inspection, it is possible to
determine if follow-up evaluation of either the precipitator and/or the
process equipment is necessary. These additional efforts should focus on only
those factors considered relevant to the potential problems identified.
It is often necessary to make the visible emission observations from a
location similar to that used for the Level 1 inspections. Due to the tall
stacks, the elevation angle might be too great from a position inside the
plant grounds. The Method 9 observation should be made before the data from
the transmissometer has been reviewed.
If it is possible to safely and conveniently reach the transmissometer,
the monitor should be checked before reviewing any of the strip chart data.
It should be confirmed that the unit purge air blowers are working and that
the unit is mounted correctly on the stack or breeching. If the unit includes
provisions for quickly checking the alignment, this should also be done.
The transmissometer zero and span should be checked by plant personnel
during the evaluation of the strip chart data. Any indicator lights denoting
"dirty" windows or other operational problems should be noted in the
inspection report. If the both the physical evaluation of the transmissometer
and the operational evaluation done at the console indicate that the unit is
working properly, the monitoring data should be reviewed. Short and long term
shifts in the average opacity should be carefully analyzed by reviewing data from
the previous 12 to 24 hours. The timing, duration, and pattern of any spikes
should be analyzed to the extent possible. It should be noted that these
spikes can be due to several unrelated precipitator and process related
conditions, thereby making any analysis difficult. Nevertheless, it is useful
to determine if there are any regular or repeating patterns to these spikes to
Air Compliance Inspection Manual8-399/30/84
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facilitate latter portions of the inspection. The average opacity should be cal-
culated from the transmissometer strip chart. With highly varying conditions, it
may be necessary to graphically integrate the data and this is best done following
the inspection. A simple "eye ball" estimate can be used as an interim value
until this calculation is completed.
The next step in the Level 2 inspection is the evaluation of the field-
by-field electrical data available on the control cabinet gauges. It is
important that this data be recorded starting with the inlet field and
proceeding backward through the chamber. The field designations must be known
before recording the data since the control cabinets in the substation are
rarely arranged in the same order as the fields on the precipitator. The data
to be recorded is listed below:
Secondary Voltage
Secondary Current
Spark Rate
Primary Voltage
Primary Current
Automatic Voltage Controller Status Light
If a spark rate meter is not available or appears to not be working
correctly, the spark rate can be estimated by counting the fluctuations of the
primary or secondary voltage meter for a period of 1 to 2 minutes. The
accuracy of the secondary voltage and secondary current meters is checked by
comparison with the primary voltage and current meters. There is a
proportionality between the primary side and secondary side data. With this
comparison it is possible to identify seriously malfunctioning gauges.
The secondary voltage, secondary current and spark rate data for each
chamber should be plotted starting with the inlet field and proceeding to the
outlet field. The baseline data should have previously been plotted on the
same graph. Shifts from baseline conditions which affect every field in a
chamber are generally caused by factors controlled by process equipment. This
includes changes in the fuel sulfur content, the dust composition, the gas
stream humidity, the flue gas conditioning equipment, and the inlet particle
size distribution. Most of these affect the particulate resistivity.
Conditions which affect only one field or several fields are normally caused
by physical problems within the precipitator itself. In most cases these
physical problems cause a drop in the secondary voltage, a slight increase in
the secondary currents, and an increase in the sparking rates.
The field-by-field plots should be analyzed to determine if the dust
resistivities are in the low, moderate, or high range. Data concerning fuel
sulfur contents, gas temperatures, and conditioning system operation can be
used as supplementary information in assessing resistivities. If the resist-
ivities are in the moderate or high range, the power input for each chamber
can be used as a general indicator of precipitator performance. A significant
decrease in the power input to any one chamber warrants a Level 3 inspection.
Also if the field-by-field voltage plots indicate a significant drop in all of
the voltage levels, then a Level 3 inspection is warranted.
Air Compliance Inspection Manual8 - 409/30/84
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If the visible emission data and the electrical data both indicate that
there have been no significant changes since the baseline period (when the
unit was known to be in compliance), the inspection should be terminated.
However, if either the visible emissions data or the electrical data indicate
operating problems, further review is recommended. The Level 2 inspection
is limited to a review of previous transmissometer strip charts and
precipitator logs (electrical set data) to confirm that the data obtained is
representative of typical conditions. Basic data concerning the process
operation such as fuel quality, load, and operating temperatures should be
obtained. Follow-up analysis of the problems identified, however, falls
within the scope of a Level 3 inspection. This can be conducted immediately
if the inspector is qualified. Otherwise, the inspector must wait until a
senior agency engineer experienced with precipitators is available.
8.5.4 Level 3 Inspections of Electrostatic Precipitators
The purpose of the Level 3 inspection of electrostatic precipitators is
for the inspector to determine: (1) if the operators recognize that a problem
exists and (2) if the operators proposed corrective actions have a reasonable
chance of success. This is done only as a follow-up to a Level 2 inspection.
The starting point for the Level 3 inspection is the evaluation of the
visible emissions data and the electrical data obtained during the Level 2
inspection. If some time has passed since the Level 2 inspection, this data
should also be obtained for the present period.
A co-current inspection of the process should be conducted whenever there
are symptoms of high or low resistivity in one or more chambers of the
precipitator. The areas of interest include: (1) the fuel sulfur content
variability, (2) the gas temperatures at the inlet to the precipitator, (3)
the particle composition, and (4) the performance of any flue gas conditioning
equipment or additives. Rapping intensities on the precipitator should also
be checked since it is often more difficult to rap effectively when the
resistivity is high.
Factors which potentially cause resistivity variations should be
evaluated whenever the power inputs to the various chambers are significantly
different. A partial list of the potential causes include: (1) poor gas
distribution, (2) air preheater induced gas and temperature maldistribution,
and (3) air infiltration.
Whenever there is a decrease in the voltage to a field coupled with
increases in the currents and spark rates, physical conditions within the
field should be evaluated to the extent possible. Some of the potential
conditions include: (1) misalignment of the discharge electrodes and/or
collection plates, (2) solids overflow of hoppers, (3) discharge electrode
failure or sway, (4) high resistance shorts across insulators or support
beams, (5) air infiltration, and (6) clearance problems. A useful starting
point for the evaluation of these conditions is a review of the air-load
curves obtained during the previous start-up and the air-load curves obtained
during the baseline period. A walk around check for audible air infiltration
should be made in the hopper areas, near access hatches, adjacent to expansion
joints, and on the precipitator roof. The oxygen monitors located after the
Air Compliance Inspection Manual 8-41 9/30/84
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process equipment and in the stack should be checked to determine the rise in
oxygen levels across the precipitator.
The wire failure records should be reviewed if a number of fields have been
out of service during the preceeding months. Wires which have been discarded on
the roof of the precipitator should be examined to find the location of the
failure and the general type of break. Plant personnel should be asked about
any special tests which have been performed to confirm the type of damage.
If one or more fields have suppressed currents, the operation of the
collection plate and discharge electrodes should be checked. The rapper
operation is visually observed for part of the rapping cycle. Out-of-service
rappers should be noted.
If there have been frequent field outages due to hopper overflow, the
operating conditions of the solids discharge system should be checked. The
status of hopper heaters and vibrators can be confirmed at the control
cabinet. The presence or absence of hopper insulation and wind shields should
be noted. The Level 3 inspection steps for electrostatic precipitators are
summarized in Table 8-14.
8.5.5 Level 4 Inspections of Electrostatic Precipitators
The most favorable opportunity for a Level 4 inspection of electrostatic
precipitators is during a Method 5 or Method 17 stack test. This inspection
should be performed by a senior agency engineer who is experienced with the
inspection and evaluation of electrostatic precipitators. This individual should
not be assigned any duties for the observation of the stack test team since this
will distract from the effort necessary to obtain the baseline information.
The scope of a Level 4 inspection is similar to the Level 3 inspection
with the exception that all of the listed activities in Table 8-15 will be
performed. In a Level 3 inspection, only those relevant to a suspected
performance problem are investigated.
In addition to gathering the data and related information, the inspector
should prepare several sketches. The layout of fields and chambers in the
precipitator should be illustrated. The designations used by the plant should
be clearly shown on this sketch. Another sketch should show a simplified
drawing of the solids discharge system and include information on hopper heat-
ers and hopper vibrators. A sketch should be prepared showing the locations of
all collection plate, discharge electrode, and gas distribution screen rappers.
The control cabinet for each set of rappers should be marked. A sketch should
sketch should illustrate the flue gas conditioning system and the location of
the injection points. A brief description of the important operating variables
for this system should be noted on the drawing or on some attached notes.
The inspector should also prepare some brief notes concerning the opera-
tion of the process equipment with emphasis on the variables which will be of
most interest with respect to potential air pollution control problems. The
types of data to be taken and observations to be made during a routine Level 2
inspection should be listed. The start-up procedures for the unit should
also be described.
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TABLE 8-12. LEVEL 1 INSPECTIONS OF ELECTROSTATIC PRECIPITATORS
Inspection Data and Observations
- Method 9 observation of the stack for a period not less than 6 minutes;
average opacity should be calculated and compared with regulatory
limit and baseline values
- Method 9 observation of fugitive emissions from precipitator solids
discharge equipment, stockpiles, and other sources
- Magnitudes of intermittent emission spikes
- Presence or absence of detached plume
- Presence of absence of condensing or reactive plumes
- Presence of large settleable dust from plume
- Weather conditions should be fully described
- Note plume color and plume dimensions relative to typical conditions
(i.e. small, typical, large)
Evaluation
- If average opacity has increased by 5% since baseline period, or if
the average opacity is within 5% of regulatory limit, a Level 2
inspection is indicated
- Presence of a detached plume, a condensing plume, and/or a reacting
plume suggests that vapors and/or gases are passing through precipitator
and then undergoing physiochemical changes to produce light scattering
material; a co-current inspection of process is warranted
- There should be no significant fugitive emissions from precipitator
solids discharge system, stockpiles, haul roads, or other sources;
note localized wind conditions near source of fugitive emissions
- A general assessment of the gas flow should be noted; this is done by
observing magnitude of plume in a area not affected by condensed water
droplets; this helps distinguish normal emissions from off-line
emissions due to equipment maintenance
- Plume color is useful for identifying condensing/reactive plumes
Safety Considerations
- Location(s) selected for observations should be protected from moving
vehicles (cars, trains, heavy equipment) and should provide secure
footing; coal and material stockpiles are not suitable
- ESP's pose a potential electrical hazard due to the high voltages
involved in their operation and their associated electrical components
such as rappers and vibrators
Special Notes
- Avoid trespassing on private property to reach a good location for
observations (unless public access is allowed)
- If plant entry is necessary to observe equipment, normal procedures
are applicable
- If observations will probably form the basis for a NOV, results should
be provided to source as soon as possible
- Elevation angle correction may be necessary to compare stack opacity
observations to baseline data period if observations are made at dif-
ferent distances from the stack; however, it is not required by Method 9
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TABLE 8-13. LEVEL 2 INSPECTIONS OF ELECTROSTATIC PRECIPITATORS
• Inspection Steps
- Method 9 observation of stack discharge
- Timing, duration and pattern of intermlttant puffs
- Characteristics of any detached, condensing or reactive plumes
- Physical conditions of transmissometer transmitter and retroreflector
- Transmissometer zero and span values, status of window lights
- Transmissometer strip chart data
- Precipitator electrical set data, including plots of the secondary
voltages, secondary currents, and spark rates for each chamber starting
with the inlet field and proceeding to the outlet field
- Process operating data
- Transmissometer strip chart records and electrical set records
• Evaluation
- Increase of > 5% opacity in visible emissions since baseline period or
visible emissions within 5% opacity of the regulatory limit warrant a
Level 3 inspection
- If data indicates unit is operating in moderate or high resistivity
conditions, power input should be computed and compared against baseline
values
- Compare the secondary (or primary) voltages with the baseline values
- Compare the field-by-field electrical data plots with baseline values
- Analyze transmissometer strip charts for characteristic patterns of
operating problems
• Safety Considerations
- ESP's pose a potential electrical hazard due to the high voltages
involved in their operation and their associated electrical components
such as rappers and vibrators
- Inspectors should be trained in safety procedures prior to using stack
elevators to reach transmissometers mounted on stacks
- Check all ladders and platforms before use; safe ladder climbing
practices are necessary
- Avoid poorly ventilated areas around expansion joints, flanges, and
other areas
• Special Notes
- Power input calculations and electrical set analyses provide only a
general indication of performance this data cannot be used in lieu of
standard stack sampling procedures to document a violation of mass
emission regulations
- Elevation angle correction is necessary to compare stack opacity
observations to baseline data; however, it is not required for Method 9
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TABLE 8-14. LEVEL 3 INSPECTIONS OF ELECTROSTATIC PRECIPITATORS
• Inspection Steps
- All inspection steps listed for Level 2 inspections are included
within scope of Level 3 inspection; if Level 3 inspection is being
done on a different day, then repeat original Level 2 steps
- Check for audible air infiltration at access hatches, expansion joints,
flanges, and hopper area; check for increases in oxygen levels across
precipitator using permanently mounted plant monitors
- Check rapper intensities, operating status, and sequence
- Check hopper heater status, hopper vibrator operating status, and for
presence or absence of insulation and wind protection
- Analyze air-load curves for symptoms of misalignment, clearance
problems, and high resistance shorts
- Check gas distribution screen rappers
- Check operation of flue gas conditioning system
• Evaluation
- Perform a co-current inspection of the process if there is a detached
condensing or reactive plume; check fuel quality data, operating
temperatures, and other process operating conditions
- A co-current inspection of the process should be conducted if the
following symptoms of high resistivity are observed in all or most
fields of a chamber: increases in the average opacity/decreases in
voltages, or decreases in secondary currents/increases in sparking
- A co-current inspection of the process should be conducted if the
following symptoms of low resistivity are observed in all or most
fields of a chamber: increases in average opacity, increases in
intermittant spikes, drops in voltages, increases in the secondary
currents, and decreases in the spark rates
- Evaluate factors which cause resistivity variations when there are
significant differences in the power input levels to each chamber
- Physical problems which are normally isolated to single fields should
be evaluated when the following symptoms are observed: an increase in
average opacity, a decrease in voltage of a single field, increase in
current of same field, and an increase in spark rates of field
- Check rapper operation if currents have decreased
- Check rapper intensity if there are regularly occurring spikes
• Safety Considerations
- ESP's pose a potential electrical hazard due to the high voltages
involved in their operation and their associated electrical components
such as rappers and vibrators
- Under no circumstances should the inspector enter a precipitator even
though it has been deenergized, locked out, and purged; no attempt
should be made to observe conditions from an open hatch
- Avoid contact with hot ducts and precipitator components
- Avoid poorly ventilated areas
• Special Notes
- Level 3 inspection results help negotiate corrective actions and/or
compliance with the source management; they do not provide direct
evidence of noncompliance with mass emission regulations
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TABLE 8-15. LEVEL 4 INSPECTION OF ELECTROSTATIC PRECIPITATORS
Inspection Steps
~~- Scope of trie inspection is identical to that for Level 3 inspections
- Prepare sketches of layout of fields and chambers, locations of all
rappers, solids discharge system, and any flue gas conditioning system
- Check conformance of the system to construction and/or operating permit
requirements
- Prepare a brief discussion of process operating variables for field
inspectors who will have responsibility for this plant
- Summarize electrostatic precipitator start-up procedures
Evaluation
- Compile baseline data; copy may be sent to source management
- Evaluate procedures for the disposal of the collected material to
ensure that all applicable water and solid waste requirements are
satisfied
- Discuss start-up procedures and precipitator recordkeeping procedures
with the plant management
Safety Considerations
- All safety considerations applicable to Level 2 and Level 3 inspections
should be satisfied
Special Notes
- Advise plant management that the compilation of baseline data is simply
to aid the inspector (and perhaps plant operations personnel) and is
not intended to represent operational restraints
- Never use the baseline data to interfere with the operator's perogatives
in running the facility; the data is used strictly to determine:
(1) if there is probable compliance problems, and (2) if proposed
corrective actions to be taken by a plant in response to a problem have
a reasonable chance of succeeding
- Confidential data should be taken only if absolutely necessary
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8.6 INSPECTION OF PARTICUIATE WET SCRUBBERS
Particulate wet scrubber inspection procedures based on the Baseline
Technique are presented in this section. Commercially available units have
been divided into four separate categories based on the specific inspection
steps necessary to evaluate their performance. Data and observations which
are useful for evaluating performance are listed for each of the four levels
of inspection. While this section presents listings of the normal inspection
steps, these cannot serve as a substitute for a full understanding of wet
scrubber operating principles and inspection techniques. Technical informa-
tion concerning wet scrubber systems are presented in References 7, 8, and 9.
8.6.1 Descriptions of Major Types of Particulate Wet Scrubbers
The four major categories of particulate wet scrubbers discussed in this
section include: (1) spray tower scrubbers; (2) packed bed, moving bed, and
tray-type scrubbers; (3) mechanically aided scrubbers; and (4) gas-atomized
scrubbers. The following section describes the general configuration of the
scrubber, the common components of the scrubber system, and the important
operating parameters.
8.6.1.1 Spray Tower Scrubbers - The spray tower scrubber is the simplest
type of scrubber used for removal of particulate matter. It is a vertical
tower with one or more sets of spray nozzles. The gas stream can pass
directly up the tower as shown in Figure 8-10a or the unit can be designed
with a cyclonic flow section near to the bottom as shown in Figure 8-10b.
Typical gas velocities range from 2 to 4 feet per second. The static
pressure drop across the unit is generally quite small. Demisters are used in
the top of the scrubber vessel to reduce the quantity of water droplets
emitted from the scrubber. The two most common types of demisters for this
type of scrubber are the chevron and mesh pad demisters.
This type of scrubber is often difficult to evaluate due to the lack of
instrumentation and the poor accessibility to the demister and spray nozzle
header areas. The system being inspected may not have inlet gas temperature
recorders, liquor pH recorders, recirculation liquor flow rate indicators,
pump discharge pressure gauges, and nozzle header discharge pressure gauges.
The factors which govern performance of these scrubbers are the types and
orientation of the spray nozzles, the physical condition of the spray nozzles,
the liquid-to-gas ratio, and the particle size distribution. The latter is most
important since the spray tower scrubber has only limited capability for the
removal of small particles. Nozzle erosion and pluggage can be problems due
to the characteristics of the recirculation liquor and the often difficult
accessibility to the nozzles.
Air Compliance Inspection Manual8-479/30/84
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Clean gai
Clean gat
Source: APTI
Spray manifold
Simple Spray Tower
Figure 8-10.
Dirty gu
b. Cyclone Spray Tower
Spray Tower Scrubbers.
8.6.1.2 Packed Bed, Moving Bed, and Tray-Type Scrubbers - This category
includes a very large variety of commercial designs. The scrubber is always a
vertical cylinder; However, the method of gas-liquid contact differs.
Figure 8-11 is sketch of a packed tower scrubber. The gas stream enters
from the bottom and passes upward through one or more beds of solid packing
material. The liquor is distributed on the top of the first bed by spray nozzles
and the liquor passes downward over the surface of the packing. The primary func-
tion of the packing is to maximize the amount of surface area available for
absorption of gases and vapors. Clean ea»
Mist eliminator
Water sprays
\'.:\Dirty gas
Figure 8-11. Packed Bed Scrubber.
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The packed tower scrubber has only limited capability for particulate
control since the velocities are low as the gas stream passes up through the
open areas of the packing. Also, the low liquor velocities down the packing
only weakly remove deposited solids. Therefore, the scrubber is not
appropriate for sources with high solids loadings in the gas stream. Despite
these limits, the scrubbers have been used successfully for the removal of
particulate matter on some sources.
The most important operating variables are the gas velocity up through
the bed and the degree of gas-liquid maldistribution, termed channeling, which
has occurred.
A moving bed scrubber is shown in Figure 8-12. Most commercial units
have several of the beds in series rather than the single stage shown in this
figure. The gas stream enters from the bottom and passes up the scrubber
vessel counterflow to the liquor. The spray nozzles at the top of the unit
are intended to provide good gas-liquid distribution. The beds are only
partially full of hollow spheres which move in a highly turbulent manner. The
water droplets and water sheets which form due to the motion of the balls
provide targets for impaction of particles. This style of scrubber can also
be used for the removal of gases.
This scrubber is well-suited for sources of sticky material or sources
with high solids loadings since there are no restricted passages which can
plug. The turbulent action of the spheres also has a self-cleaning effect.
*g*^:":^^
O O S O 00
-------
The most important factors controlling the performance of the moving bed
scrubber include the pressure drop across the scrubber, the liquor-to-gas ratio,
the degree of gas-liquor maldistribution, and the particle size distribution.
There are often measurement ports before and after each stage. The degree of
instrumentation used is a function of the size of scrubber and the type of
application.
In the tray scrubbers, the gas stream enters near the bottom of the scrubber
vessel and passes upward through a series of horizontal trays. Holes in the
trays allow the gas to pass through the trays to contact a layer of water on each
of the trays. Particles impact on the atomized water droplets formed by the high
velocity gas streams leaving each of the holes. The liquor is introduced at the
top and flows across each of the trays in sequence. Down-comers are used to move
the liquor from one tray to the next. A sketch of a tray tower scrubber is shown
in Figure 8-13. An impingement tray is used in this sketch. Other common tray
designs include a flexible cap and a sieve plate.
Clean gas
Mist eliminator
Impingement plate
Source: APTI
Figure 8-13. Tray Tower Scrubber.
This basic scrubber design has the capability for moderate to high
efficiency particulate removal. Variables which control the scrubber per-
formance include the liquor flow rate, the degee of gas-liquor maldistrib-
ution, static pressure drop, and the liquor suspended solids content. Liquor
pH is important with respect to corrosion. It is possible that the surface
tension of the liquor also has some impact on the overall particulate removal
efficiency.
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8.6.1.3 Mechanically Aided Particulate Wet Scrubbers - The most common type
of mechanically aided scrubber is similar to a fan equipped with water sprays
as shown in Figure 8-14. The unit can serve as both a particulate control
device and as the main gas mover for the system being controlled. As with any
fan, there is a static pressure increase rather than a "pressure drop."
Spray nozile
Clean gas
Dirty gas
Source: APTI
Figure 8-14. Mechanically Aided Scrubber.
This type of scrubber is normally small. The important scrubber
operating variables include the liquor flow rate and the fan rotation speed.
The liquor suspended solids and pH are important since these determine the
rate of erosion and corrosion of the fan blades.
8.6.1.4 Gas-Atomized Scrubbers - This category includes all scrubbers which
atomize the liquid stream by accelerating the gas stream in a restricted
throat. The most common gas-atomized scrubbers include Venturis, orifice
scrubbers, and rod scrubbers. A typical venturi is shown in Figure 8-15.
The gas stream enters from the top and passes down the converging section to
the throat. The liquor is injected at a position close to the throat entrance.
The gas stream within the throat, moving at velocities between 15,000 and 40,000
feet per minute, atomizes and accelerates the water droplets. Impaction of
particles occurs on the droplets.
Some venturi designs include adjustable throat mechanisms so that the gas
velocity can be varied. Normally one or two wear resistant vanes are used for
this service. The gas stream is decelerated in the diverging section of the
venturi and is directed to a demister vessel for removal of the entrained
water droplets. Common demister designs include cyclonic chambers and cylin-
drical chambers with either chevrons or mesh pads.
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Clean gu
Water sprays
Source: APTI
Figure 8-15. Venturi Scrubber.
The important operating variables include the particle size distribution,
the static pressure drop across the throat, and the liquor-to-gas ratio. The
surface tension may also influence the particle collection efficiency,
especially for difficult-to-wet materials. The degree of gas-liquor
maldistribution is an important factor since most particle collection occurs
rapidly in the top of the throat. The liquor solids content and the pH both
influence the rate of erosion and corrosion of the shell and determine the
useful life of the liquor nozzles near the throat. Pollutants arriving at the
scrubber as vapors may not be effectively collected since the gas stream
will pass through the throat before the material condenses to a particulate
form and grows to a sufficient size to impact.
Two other examples of gas-atomized scrubbers are illustrated in Figures
8-16 a and b. The first shows a single stage rod type scrubber. The spaces
between the rods comprise the area of gas stream acceleration and droplet
atomization. A set of spray nozzles above this deck serves to distribute the
liquor evenly across the open area. The second scrubber is an orifice unit.
With this type of scrubber, the gas stream is forced through a narrow area
underneath a partition. The turning gas stream entrains some of the liquor in
a pool beneath the gas inlet. The atomized droplets serve as impaction tar-
gets for the particles. These orifice scrubbers are generally smaller than the
venturi and rod scrubbers.
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Clean gM
Dirty gas
.. Dirty
Source: APTI
Dirty gu
a. Orifice Scrubber b. Rod Scrubber
Figure 8-16. Gas-Atomized Scrubbers.
The inspection procedures for the rod type and orifice type gas-atomized
scrubbers are similar to those for the standard venturi scrubbers. The
operating principles are also similar.
8.6.2 Level 1 Inspections of Particulate Wet Scrubbers
The procedures for a Level 1 inspection are the same for all types of wet
scrubbers. For large wet scrubber systems, it is usually possible to use a
plant boundry line plume observation to determine if the visible emissions are
in compliance with the regulatory limits. The stacks for small scrubbers are
often obscured by plant buildings and structures. Entry to plant grounds is
necessary to complete Level 1 inspections of these units. Fugitive emissions
from process sources and scrubber system bypass stacks are also checked from
various vantage points either inside or outside the facility.
Areas near the scrubber stack should be visited to determine if there
is any significant fallout of entrained scrubber droplets due to an inadequate
demister or a severe stack reentrainment condition. The presence of obvious
corrosion of the scrubber shell and the associated components should be noted
if the unit can be seen well from the observation point.
Weather conditions obviously limit possible time periods for a Level 1
inspection. During periods of cold temperatures and/or high humidity it may
be difficult to find a location in the plume free of condensed water droplets.
At a minimum, the inspector should attempt to characterize the residual plume
as: small, moderate, or large. During such periods a Level 2 inspection
may be the only option.
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8.6.3 Level 2 Inspections of Particulate Wet Scrubbers
The Level 2 inspection can be conducted as part of a routine inspection
program or as a follow-up evaluation of unusual conditions noted during a
Level 1 inspection. This consists of a walk-through inspection of the scrubber
system and the associated process sources served by the scrubber. No portable
instruments are used.
8.6.3.1 Level 2 Inspections of Spray Tower Scrubbers - The Level 2 inspection
is done in a counterflow manner, starting with the observation of the scrubber
stack emissions. Method 9 procedures should be used to determine the average
opacity. The visible emissions should be observed for sufficient time to
determine if the opacity varies significantly during normal cycles of the
process equipment. Due to the limited particulate control capability of spray
tower scrubbers, there may be periods when the particle size distribution
shifts into a smaller, less collectable range. The reentrainment of droplets
from the scrubber stack should be noted. In addition to obvious rainout of
the droplets, the presence of a mud "lip" at the stack discharge is a symptom
of reentrainment.
The vibration of the induced draft fan (if present) should be noted prior
to continuing the inspection. If the vibration appears to be severe, the
inspection should be discontinued since there is a possibility that the unit
will disintegrate.
Physical condition of the shell and ductwork should be evaluated for
signs of erosion and corrosion. The locations of all holes should be noted
and the degree of damage described. On scrubbers operating under negative
pressures, these holes can have high ambient air infiltration rates which
reduces the quantity of gas pulled from the process equipment. Accordingly,
the process equipment should be evaluated for poor pollutant capture.
A sample of the liquor leaving the scrubber should be requested so that
the turbidity and suspended solids levels can be qualitatively evaluated. If
plant personnel have a pH meter on site, the inspector should request a pH
measurement. The inspector should inquire about the source and quality of any
make-up water. The liquor flow rate should be recorded from on-site gauges.
If these are not available, the rate of flow from the scrubber to a pond or
recirculation tank should be qualitatively assessed. The recirculation pump
discharge pressure and the liquor pressures at the nozzle headers should be
recorded, if monitored. These pressures provide an indication of the liquor
flow rates and of the conditions of the spray nozzles within the scrubber
vessel. The presence of audible pump cavitation should be noted since this is
often a symptom of reduced liquor flow rate and reduced liquor pressure. The
ultimate disposal technique for the liquor purged from the scrubber system
should be evaluated against regulatory requirements.
If a pond is used for the recirculation liquor, the location of the pump
intake should be checked. It should be low enough to provide the required Net
Positive Suction Head, but not so low that suspended solids are reentrained
from the bottom of the pond. The pond should be designed to facilitate solids
settling.
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If the spray tower scrubber is out-of-service and locked out, it may be
possible to inspect the spray nozzles for signs of pluggage and erosion. This
should be done only when there is safe and convenient access to this portion
of the scrubber vessel. Under no circumstances should the inspector enter the
scrubber since inhalation hazards could exist, footing is usually poor, and it
is possible to damage the corrosion resistant liners found in some units.
8.6.3.2 Level 2 Inspections of Packed Bed, Moving Bed and Tray Scrubbers -
The evaluation of visible emissions from the scrubber stack are performed
first using Method 9 procedures. The average opacity should be calculated and
compared against both the baseline levels and the regulatory limit. Droplet
fallout close to the stack and the presence of a lip of material at the stack
discharge are symptoms of reentrainment.
The liquor flow rate is determined from on-site monitors, if available.
An indirect indication of liquor flow rate can be obtained by noting the
recirculation pump discharge pressure and the pressures of the headers supply-
ing the nozzles at the tops of the scrubbers. Audible pump cavitation also
indicates a reduced liquor flow rate.
Pressure drop across tray tower and moving bed tower scrubbers is observed
from the on-site gauges. Shifts from baseline levels are indicative of either
gauge malfunction or shifts in the gas and liquor flow rates. A change in the
pressure drop of a packed tower scrubber is indicative of either a change in
the gas flow rate or pluggage of the bed. If the on-site gauges indicate a
significant change in the scrubber pressure drop, either a Level 3 inspection
should be performed or a stack test requested.
Turbidity of the recirculation liquor is very important when evaluating
both the packed tower and tray tower scrubbers. Both are sensitive to pluggage.
Therefore, the suspended solids must be low. High turbidity is a clear sign
of an undesirable suspended solids level. Data concerning the pH of the
liquor should be requested from plant personnel along with the source and
qualtiy of any make-up water used.
The scrubber vessel and the ductwork should be inspected for obvious
erosion and corrosion. The extent to which this damage reduces pollutant
capture at the source should be checked by evaluation of the visible fugitive
emissions and/or evaluation of hood static pressure data (if available).
When the scrubber is out-of-service and locked off-line, the conditions of
the trays or beds can be observed from the access hatches. Common problems
include pluggage of the beds, pluggage of the holes in the trays, and sagging
of the trays. Any factors which could lead to gas-liquor maldistribution
should be described. Pluggage of the demister in the top of the scrubber
should be observed. The physical conditions of the nozzles can also be obser-
ved if there is a safe and convenient access hatch directly below the nozzle
headers. Under no circumstances should the inspector attempt to enter the
scrubber vessel since there could be inhalation hazards, weakly supported
trays and supports, and vulnerable corrosion resistant linings.
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8.6.3.3 Inspections of Mechanically Aided Particulate Wet Scrubbers - Evalu-
ation of visible emissions is done using Method 9 procedures. The average
opacity is calculated and compared with both the baseline levels and the
regulatory limits. The presence of reentrainment is determined by apparent
rainout close to the stack and a lip of mud at the discharge point.
The liquor flow rate is determined from the on-site gauges on the liquor
recirculation line. Indirect indicators of liquor flow include pressure
gauges on the line leading to the spray nozzles and the recirculation pump
discharge pressure gauge. Audible pump cavitation should be noted as a poten-
tial cause of reduced liquor flow.
The physical condition of the shell and ductwork should be examined for
possible erosion and corrosion. Damage here is indicative of potential prob-
lems with the fan blades. This can cause frequent outages of the scrubber
system for cleaning or repair of the scrubber fan. The liquor turbidity must
be relatively low to minimize the erosion and solids accumulation on the
rotating fan blades. The inspector should inquire about source and quality
of the make-up liquor.
Sites of audible air infiltration should be noted. A walk-through inspec-
tion of the ductwork and process equipment served is necessary to check for
visible fugitive emissions. A hood static pressure gauge provides a useful
check of the shift in air capture rates since the baseline period. However,
many small hoods do not have such a gauge.
As with any wet scrubber, the pH of the liquor is important. If there is
apparent corrosion, the plant personnel should be requested to take a sample
during the inspection and determine the pH.
8.6.3.4 Inspections of Gas-Atomized Particulate Wet Scrubbers - Method 9
procedures are used to determine the average opacity of the effluent gas
stream. This is compared to both the baseline values and the regulatory
limits. Reentrainment symptoms such as rainout close to the stack and a mud
lip at the discharge point are noted in the inspection report. The Method 9
procedures are also used for any bypass stacks and vents included in the
system.
Before entering the area near the scrubber system, a brief check of fan
vibration should be made. If the vibration appears to be severe, the inspec-
tion should be postponed and the plant management should be notified of the
potentially dangerous situation.
The pressure drop across the scrubber should be determined from the on-
site gauges. The position of the instrument taps should be noted along with
the value of the pressure drop so that the meaning of the number is clear. If
available, the scrubber inlet gas temperature should be recorded. If there
has been a significant decrease in the static pressure drop, either a Level 3
inspection or a stack test is recommended.
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A liquor sample from the scrubber discharge should be requested so that
the turbidity and pH can be evaluated. Plant instruments should be used to
determine the pH. The rate of solids settling provides an indirect indication
of the erosive characteristic of the liquor. Another sample is needed from
the line serving any evaporative coolers or presaturators ahead of the gas-
atomized scrubber vessel. The presence of high suspended solids here may
indicate some particulate regeneration due to droplet evaporation. The in-
spector should inquire about the source and quality of any make-up liquor.
The physical condition of the scrubber vessel and ductwork should be
inspected for visible signs of erosion and corrosion. The principal areas of
erosion are elbows and turns in the ductwork and any portion of the scrubber
where the gas velocities are high. If there are visible holes or audible air
infiltration, a check for process fugitive emissions should be made to see if
pollutant capture has been seriously hampered.
The liquor flow rate can often be determined from flow monitors on the
recirculation line leading to the scrubber throat. Other indirect indications
of the flow rate include the pump discharge pressure gauge, the nozzle header
pressure gauge, and the pump motor currents. Pump cavitation is usually a
sign of reduced liquor flow and impending pump maintenance problems.
Pluggage of one of more of the nozzles located near the scrubber throat
can sometimes be identified by checking the pipe skin temperatures. A
noticeable difference between the skin temperatures leading to the various
nozzles is a sign that the colder lines lead to plugged or partially blocked
nozzles.
The flowchart for the scrubber system should be reviewed for any major
piping changes which would affect the performance of the scrubber or which
affects the ultimate disposal of purged liquor. Modifications should be marked
on this flowchart and discussed with plant management personnel.
8.6.4. Level 3 Inspections of Particulate Wet Scrubbers
A Level 3 inspection may be performed at a source with chronic compliance
problems or at a source where a Level 1 or Level 2 inspection has indicated
possible compliance problems. As a follow-up inspection, it is necessary to
confirm: (1) if there is in fact a major shift from baseline conditions, and
(2) if the operator's proposed corrective actions have a reasonable chance of
minimizing the problem in the future. If there are doubts about the source's
approach, a stack test is recommended.
Use of portable instrumentation is an important aspect of Level 3 wet
scrubber inspections. It allows for a much more complete and accurate
evaluation of performance on those systems lacking some or all of the scrubber
monitoring instruments. Higher quality data is also possible, since on-site
gauges can be malfunctioning during an inspection. It is difficult to keep
static pressure gauges, liquid flow meters, liquid pressure gauges, and pH
meters operating on some systems, due to the internal conditions.
A Level 3 inspection is conducted while the scrubber system is operating.
Therefore, there are no internal checks made of the system components.
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There are some elements of Level 3 inspections which are common to all
four main categories of wet scrubbers. Visible emissions from the stack
should be observed using Method 9 procedures for a sufficient period of time
to characterize the average opacity. Any cyclic pattern to the average
opacity should be described so it is possible to relate this to process
operational cycles. The emissions from all scrubber bypass stacks and vents
should be checked. There is little sense in performing a detailed inspection
of a wet scrubber if a significant portion of the gas stream is escaping to
the atmosphere through a bypass stack or duct. There should be no apparent
particulate and/or "steam" emissions from these points unless there is an
ongoing malfunction.
Any rainout of particulate laden droplets close to the scrubber stack is
probably due to reentrainment of liquor from the scrubber demister. Another
indication of reentrainment is a mud lip at the stack. If these symptoms
are noted, the demister should be inspected. The pressure drop should be
measured using the portable static pressure gauge. The demister cleaning
schedule and type of liquor used for cleaning should be discussed with
management personnel. The turbidity of the liquor used for cleaning should be
observed.
Before entering the area around the scrubber system, fan vibration should
be checked by simply walking by. If it appears to be severe, the inspection
should be terminated since it conceivable that the fan could disintegrate.
Plant management should be advised of this potentially dangerous situation.
The inspection should be rescheduled as soon as the condition is corrected.
Apparent corrosion and erosion of the scrubber vessel, ductwork and other
system components should be characterized. If there appears to be significant
air infiltration, an attempt should be made to characterize the impact on
pollutant capture. If there is an adequate measurement port upstream of the
scrubber system, a pitot traverse should be conducted to determine the present
gas flow rate. The stack measurement ports should be used for the traverse,
if safe and convenient ports are not available upstream of the scrubber. It
should be noted that the pitot traverse data demonstrates the degree of change
since the baseline period due to both air infiltration and process operation
factors. Additional information is necessary to complete documentation of any
potential infiltration conditions.
One means to document air infiltration on scrubbers serving combustion
sources is to measure the oxygen and carbon dioxide content of the gas stream
entering the scrubber. An increase in the oxygen content is usually a clear
sign of air infiltration. It should be noted, however, that the degree of
infiltration cannot be quantified simply by comparison with baseline data. In
many combustion systems, the oxygen and carbon dioxide concentrations normally
vary in a narrow range as a function of load. To quantify the infiltration
using these measurements, it is necessary to measure the oxygen and carbon
dioxide concentrations of the flue gas directly after the combustion source.
The incremental increase in the oxygen levels is related to the rate of infil-
tration. One some systems, the locations of infiltration can be identified by
preparing an oxygen profile for the ductwork leading from the source to the
scrubber inlet.
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Hood static pressures provide an indication of the gas flow through a
hood. If it has dropped relative to baseline values without a corresponding
change in the process operating rate, air infiltration is possible.
Liquor flow rate is important in the evaluation of all wet scrubber
systems. However, there are no portable instruments available to permit the
inspector to make independent measurements. Therefore, continued reliance on
on-site flow monitors and the use of indirect flow indicators are included in
the Level 3 inspection procedures. A change in the pump discharge pressure
and a decrease in the pump motor currents usually indicate a decrease in the
liquor flow. Audible cavitation of the pump is often accompanied by a signi-
ficant decrease in liquor flow and greatly accelerated pump wear. Another
indicator of flow changes is a change in the nozzle header pressure. All of
these indirect indicators should be used in conjunction with the on-site flow
monitor to assess the liquor flow rate.
Recirculation liquor pH and scrubber effluent liquor pH should be measured
using the portable pH meter. The scrubber effluent liquor usually has the
lowest pH and, therefore, is the most corrosive. The pH of this stream can
characterize one of the major corrosion problems within the scrubber vessel.
The recirculation liquor pH measurement characterizes conditions in the recir-
culation tank, the recirculation pump, and the piping. Recirculation liquor
pH is normally higher than scrubber effluent liquor pH due to the additon of
alkaline additives in the recirculation tank. If the pH levels appear low,
the performance of the alkaline addition system should be checked.
The turbidity of the recirculation liquor should be visibly checked
during the inspection. High turbidity can be associated with accelerated pump
impeller wear, piping pluggage and erosion, nozzle pluggage and erosion, and
scaling within the scrubber vessel. If turbidity has increased since the base-
line period, an evaluation of the following is advisable: (1) make-up and
purge stream flow rates, (2) operation of clarifier, and (3) condition of
ponds or settling basins. The inspector should also inquire about make-up
water, source and quality. The quantities of surfactants, flocculants and
anti-foaming solutions used should be recorded.
The settling rate of the liquor should be qualitatively evaluated.
Solids which settle rapidly are normally large diameter, erosive type par-
ticles. There is a greater chance for erosion damage with the rapidly
settling solutions.
If the unit has been subject to nozzle pluggage or line freezing, the
inspector should evaluate the adequacy of the piping layout. All of the lines
should be sloped slightly to allow drainage during cold weather off-line
periods. A small level is useful to check that all lines are sloped downward
to a point where there is a drain. Non-drainable portions of the line due to
pipe deflection between supports or due to the use of valves which prevent
drainage (i.e. globe valves) should be noted. Also provisions to flush out
the piping on a routine basis must be available if pluggage of nozzles is
frequent. This can consist of the use of tees rather than elbows and the use
of unions at several points along the line. The design requirements necessary
to allow drainage of liquor also favor flushing of solids. There should also
be a means to flush out the horizontal headers which supply the nozzles.
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If recirculation pump failure has been frequent, the inspector should
check the following items: (1) the pump suction line, (2) the pump discharge
line, and (3) the pump seal water flow. The pump intake must have
sufficient net positive suction head to prevent cavitation within the casing.
The suction line should be sloped to prevent air pockets and there should be
valves to prevent accumulation of air in the suction line during off-line
periods. The discharge line should be properly supported so that loads are
not placed on the pump shaft and bearing. Also the discharge line valves
should be selected so that water hammer is not transmitted to the pump. High
quality seal water is usually necessary to prevent damage to the pump bearings.
During the inspection the scrubber system flowchart originally prepared
during a previous Level 4 inspection should be checked for accuracy. Of
particular interest is any change in the make-up and purge water rates and any
change in the means of ultimate disposal of the liquor.
In the following subsections, the inspection points which are unique to
each of the major classes of wet scrubbers are presented. These steps are
in addition to the inspection steps discussed immediately above.
8.6.4.1. Level 3 Inspections of Spray Tower Scrubbers - The performance of
spray towers is very sensitive to the operation and orientation of the spray
nozzles. Problems with the nozzles can lead to severe gas-liquor maldistri-
bution and/or low liquor flow.
The nozzles must be selected properly so that the desired spray pattern
results. Full cone, hollow cone and fan spray type nozzles are available.
Also, nozzles are selected partially on the basis of the desired spray angle.
The inspector should evaluate the types of nozzles in present service versus
those used in the scrubber originally. It is necessary to have a sketch or
drawing of the nozzle layout in the scrubber to make this evaluation. In
considering the adequacy of the nozzle selection, the inspector must also keep
in mind the differences in susceptibility to pluggage and erosion for those
systems in which the suspended solids levels are high.
Gas-liquor maldistribution cannot be accurately quantified during an
inspection. One indication of this problem is an unsaturated gas stream at
the outlet of the scrubber. Fluctuations in the temperature measured by the
portable thermocouple may be due to a difference between the wet bulb and dry
bulb temperatures. An increase in the overall scrubber effluent gas tempera-
ture may also indicate poor gas liquor distribution.
Nozzle pluggage can cause severe distribution problems and reduce the
overall liquor flow rate. One symptom of nozzle pluggage is an increase in
the pressure of the header serving the nozzles. Unfortunately, there are
rarely any pressure gauges on this line.
8.6.4.2. Level 3 Inspections of Packed Bed, Moving Bed and Tray Scrubbers -
The static pressure drop across the scrubber vessel should be measured. The
ports should be located at the scrubber inlet and at a point prior to the
demister. For moving bed and tray scrubbers, the comparison of the pressure
drop against baseline values provides an indirect measure of the particulate
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removal performance. Decreases in the static pressure drop are due to decreases
in the gas flow rate and/or decreases in the liquor flow rate and/or pluggage
of some of the beds or trays. If ports are available across each moving bed or
tray, these can be used to check pluggage.
The pressure drop across the packed bed provides an indication of the gas
flow rate through the scrubber. If this has dropped significantly, a pitot
traverse should be conducted at the scrubber outlet to quantify the decrease in
gas flow rates. Also, checks for fugitive emissions from the process area
should be made.
Fiberglass ductwork and plastic components are common in these types of
scrubbers. Both are sensitive to damage in the event of the loss of liquor
flow. Signs of damage should be noted in the inspection report. The provisions
for emergency flushing of the system when liquid flow is lost should be examined
if this has occurred previously.
The packed bed and tray tower scrubbers are very sensitive to suspended
solids levels. If pluggage appears to be a problem, a sample of the liquor and
make-up water should be obtained for later analysis of suspended and total
solids.
8.6.4.3. Level 3 Inspections of Mechanically Aided Scrubbers - The performance
of the mechanically aided scrubber (only the wet fan design discussed earlier)
is dependent on the fan rotational speed. This should be measured using a
tachometer if there is a safe and convenient location for the measurement.
Another indication of the fan speed is the static pressure increase.
Since it is difficult to modify the gas flow rate without affecting the
scrubbing effectiveness, many operators will include air intake vents on the
suction side of the ductwork to control the amount of air drawn from the source
of the particulate. These vents, along with the capture efficiency at the
source, should be checked to confirm that there are no fugitive emissions.
Liquor suspended solids levels are important due to the potential wear of
the scrubber fan blades. If there have been frequently reported erosion problems,
a liquor sample should be obtained for later analyses of suspended and total
solids. Also, the liquor treatment system should be reviewed to determine if
there has been an increase in the solids levels since the baseline period.
8.6.4.4. Level 3 Inspections of Gas-Atomized Scrubbers - The static pressure
drop across the scrubber vessel should be measured using the portable static
pressure gauges since the pressure drop is related to the overall particulate
removal effectiveness. The static pressures should be measured at a location
ahead of the scrubber and at a point either before or after the demister.
With these types of scrubbers, the contribution of the demister to the overall
pressure drop is relatively minor due to the normally high static pressure
drop across the scrubber. Gas temperature data should be measured along with
the static pressure measurements since the pressure drop must be corrected for
gas density changes across the scrubber. If there has been a decrease in the
density corrected static pressure drop relative to the baseline levels, the
following conditions should be evaluated: (1) low gas flow rate, (2) low liquor
flow rate, (3) poor gas-liquor distribution in the throat, and (4) change in
the area of the restricted throat.
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If there has been a decrease in the static pressure drop, the gas flow
rate at the scrubber discharge should be measured using a pitot tube. The
pressure drop across a gas-atomized scrubber with a fixed throat is related to
the square of the gas flow rate. Therefore, small changes in the gas flow
since the baseline period can have a large impact on the pressure drop. If
the gas flow rate is constant on fixed throat units, the most likely cause of
reduced static pressure drop is a decrease in the liquor flow.
On variable throat gas-atomized scrubbers, the position of the control
mechanism should be determined to the extent possible. If the pitot traverse
indicates no change in gas flow rate since the baseline period while there has
been a decrease in the pressure drop, the throat area probably has been
increased.
It is difficult to determine or quantify the degree of liquor maldis-
tribution. The skin temperatures of the pipes leading to the nozzles should
be measured and compared against each other. A slight drop in a line compared
to the others often means a plugged pipe or nozzle. A difference in the wet
and dry bulb temperatures at the scrubber exit is proof of unsaturated condi-
tions which in turn suggests poor gas-liquor distribution.
Gas-atomized scrubbers are often used on high gas temperature sources.
However, it is necessary to cool the gas stream prior to entry to the scrubber,
The quality of the liquor used in presaturators and evaporative coolers is
very important since regeneration of particulate can occur if droplets con-
taining solids evaporate to dryness. A sample of the water used in these
coolers should be obtained for later analyses of total solids content.
8.6.5 Level 4 Inspections of Particulate Wet Scrubbers
The Level 4 inspections are performed to obtain baseline data concerning
the wet scrubber system and the associated process equipment. Only data
relevant to the performance of the air pollution control system should be
obtained. Acquistion of potentially confidential data should be avoided
unless absolutely necessary. This inspection should be done by a senior
agency engineer experienced with wet scrubber inspection and evaluation.
The optimum time for compilation of baseline data is during a stack test.
The basic operational data (pressure drops, liquor flows and pressures, gas
temperatures) should be obtained for each of the separate Method 5 or
Method 17 runs. If more than one stack test has been performed on this
system the data concerning pressure drop (gas-atomized, moving bed and tray
scrubbers) should be compiled in a plot of the outlet particulate concentra-
tion versus the corrected pressure drop (simply the pressure drop divided by
the average gas density in the scrubber). This plot can then be used as a
rough indicator of performance.
Samples of all liquor streams should be obtained and analyzed. The
measurements should include: suspended solids, total solids, pH, chloride
content, fluoride content, and turbidity. This data will be useful in deter-
mining possible reasons for corrosion, erosion and pluggage.
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A complete flowchart should be prepared on the scrubber system. This
should show every major component such as presaturators, evaporative coolers,
clariflers, vacuum filters, pumps, alkaline additive systems, demisters, and
fans. The locations of any bypass stacks and dampers should be marked. All
liquor flows should be indicated including the make-up stream, the purge
stream, demister cleaning flows, and seal-water streams. Standard instrumen-
tation symbols should be used to denote on-site gauges and measurement ports.
With the agreement of the plant management, the stack sampling program
can be expanded to provide a more detailed set of baseline data. Multiple
stack sampling runs can be performed while basic scrubber operational para-
meters are intentionaly modified. The result is a plot showing the effluent
particulate concentration as a function of a basic operating parameter. The
type of plots vary with the type of scrubber as indicated in the list below:
Scrubber Plot
Gas-Atomized Scrubbers Concentration versus Corrected Pressure Drop
Tray Scrubbers Concentration versus Corrected Pressure Drop
Moving Bed Scrubbers Concentration versus Corrected Pressure Drop
Mechanically Aided
Scrubbers (Wet Fans) Concentration versus R.P.M. or Pressure Rise
Packed Tower Scrubbers Not Applicable
Spray Tower Scrubbers Concentration versus Liquor Flow Rate
In the case of the gas-atomized scrubbers the pressure drop should be
adjusted by varying the gas velocity rather than changing the liquor flow
rate. Changing the liquor flow rate can induce areas of poor gas-liquor
distribution that would not otherwise exist.
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TABLE 8-16. LEVEL 1 INSPECTION OF PARTICIPATE WET SCRUBBERS
• Inspection Steps
- Method 9 observation of the stack for a period not less than 6 minutes;
calculate average opacity and compare with regulatory limit and
baseline values
- Method 9 observation of fugitive emissions from scrubber bypass stacks
and process sources
- Plume color and dimensions relative to typical conditions (i.e. small,
typical, large)
- Presence of droplet deposition in areas adjacent to stacks
- Note visible corrosion of the scrubber shell and ductwork
• Evaluation
- If the average opacity has increased by 5% since the baseline period
or if the average opacity is within 5% of the regulatory limit, a
Level 2 inspection is warranted
- There should be no visible emissions or "steam plumes" from any of the
bypass vents and stacks
- Plume color is useful for identifying condensing or reactive plume
constitutents
• Safety Considerations
- Location(s) selected for observations should be protected from moving
vehicles (cars, trains, and heavy equipment) and should provide secure
footing; coal piles and material stockpiles are not suitable
• Special Notes
- Avoid trespassing on private property to reach a good location for
observations (unless public access is allowed)
- If plant entry is necessary to observe the equipment, the normal plant
entry procedures are applicable
- If the observations will probably form the basis for a NOV results
should be provided to source as soon as possible
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TABLE 8-17. LEVEL 2 INSPECTIONS OF SPRAY TOWER SCRUBBERS
Inspection Steps
- Method 9 observation of stack for a period of not less than 6 minutes;
calculate average opacity and describe cycles in the average opacity
- Method 9 observation of all bypass stacks and vents and any fugitive
emissions from process equipment
- Presence of rainout close to the stack or mud lips at the discharge
point
- Presence of fan vibration
- Liquor flow rate indicated by on-site flow monitor
- Pump discharge pressure and motor current indicated by on-site gauges
- Audible pump cavitation
- Nozzle header pressure indicated by on-site gauge
- Physical condition of shell and ductwork
- Recirculation pond layout and pump intake position
- Physical condition of nozzles observed through access hatch
- Note means used to dispose of purged liquor
Evaluation
- A shift in the average opacity may be due to a decrease in the particle
size distribution of the inlet gas stream; a co-current inspection of
the process operation is often advisable
- Anything which affects the nozzles will reduce performance; liquor
turbidity is related to the vulnerability to nozzle pluggage and
erosion
- Shell and ductwork corrosion is often caused by operation at pH levels
which are lower than desirable; measure the liquor pH using in-plant
instruments, if available
- Performance of a spray tower scrubber is dependent on the liquor flow
rate; any problems which potentially reduce the flow rate should be
fully examined
Safety Considerations
- Check all ladders and platforms before use; safe climbing and walking
practices are important, especially in cold weather
- Avoid poorly ventilated areas
- Avoid hot duct and pipes
- Terminate inspection if a severly vibrating fan is noted in the
vicinity of the scrubber
- Under no circumstances should inspector attempt to look inside an
operating wet scrubber
- Visible emission observations should be made only in secure areas
Special Notes
- Observations and data do not provide conclusive evidence of
noncompliance; they can be used only as a general indicator of
performance
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TABLE 8-18. LEVEL 2 INSPECTIONS OF PACKED BED SCRUBBERS,
MOVING BED SCRUBBERS AND TRAY-TOWER SCRUBBERS
• Inspection Steps
- Method 9 observation of stack for a period of not less than 6 minutes;
calculate average opacity
- Method 9 observation of all bypass stacks and vents and any fugitive
emissions from process equipment
- Presence of rainout close to the stack or mud lips at the discharge
- Presence of fan vibration
- Static pressure drop across moving bed and tray tower scrubbers
- Liquor flow rate indicated by on-site flow monitor
- Pump discharge pressure and motor current indicated by on-site gauges
- Audible pump cavitation
- Nozzle header pressure indicated by on-site gauge
- Physical condition of shell and ductwork
- Recirculation pond layout and pump intake position
- Physical condition of trays and beds observed through access hatch
- Means used to dispose of purged liquor
- Turbidity of recirculation liquor
• Evaluation
- A shift in the average opacity may be due to a decrease in the particle
size distribution of the inlet gas stream; a co-current inspection of
the process operation is often advisable
- Anything which reduces the pressure drop of moving bed scrubbers and
tray tower scrubbers will reduce the performance; reduced liquor flow
rates should be checked if pressure drop is low; indirect indications
of reduced liquor flow rate include increased pump discharge pressure,
increased nozzle header pressure, and decreased pump motor currents
- Shell and ductwork corrosion is often caused by operation at pH levels
which are lower than desirable; measure the liquor pH using in-plant
instruments, if available
- Performance of packed bed and tray tower scrubbers is very vulnerable
to pluggage problems caused by high suspended solids in the recircula-
tion liquor
• Safety Considerations
- Check all ladders and platforms before use; safe climbing and walking
practices are important at all times
- Avoid poorly ventilated areas
- Avoid hot ducts and pipes
- Terminate the inspection if a severly vibrating fan is noted in the
general vicinity of the scrubber
- Under no circumstances should inspector attempt to look inside an
operating wet scrubber
- Visible emission observations should be made only in secure areas
• Special Notes
- Inspection data and observations do not provide conclusive evidence of
violation of mass emission standards; these can be used only as a
general indicator of performance
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TABLE 8-19. LEVEL 2 INSPECTIONS OF MECHANICALLY AIDED SCRUBBERS
• Inspection Steps
- Method 9 observation of the stack for a period of not less than
6 minutes; calculate average opacity
- Method 9 observation of all bypass stacks and vents and any fugitive
emissions from process equipment
- Presence of rainout close to the stack or mud lips at the discharge
point
- Presence of fan vibration
- Liquor flow rate indicated by on-site flow monitor
- Pump discharge pressure and motor current indicated by on-site gauges
- Audible pump cavitation
- Nozzle header pressure indicated by on-site gauge
- Physical condition of shell and ductwork
- Recirculation pond layout and pump intake position
- Note means used to dispose of purged liquor
- Static pressure increase across scrubber monitored by on-site gauge
» Evaluation
- Shift in the average opacity may be due to a decrease in the particle
size distribution of the inlet gas stream; a co-current inspection of
the process operation is often advisable
- Liquor turbidity is related to the vulnerability of the fan blades to
erosion damage
- Shell and ductwork corrosion is often caused by operation at pH levels
which are lower than desirable; measure liquor pH using in-plant
instruments, if available
- Performance of a mechanically aided scrubber is dependent on liquor
flow rate; any problems which potentially reduce the flow rate should
be fully examined; indirect indications of liquor flow rate include
pump discharge pressure, nozzle header pressure, pump motor currents,
and audible pump cavitation
i Safety Considerations
- Check all ladders and platforms before use; safe climbing and walking
practices are important at all times
- Avoid poorly ventilated areas
- Avoid hot duct and pipes
- Terminate inspection if the fan is vibrating severly
- Under no circumstances should inspector attempt to look inside an
operating wet scrubber
- Visible emission observations should be made only in secure areas
* Special Notes
- Inspection data and observations do not provide conclusive evidence of
violation of mass emission standards; these can be used only as a
general indicator of performance
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TABLE 8-20. LEVEL 2 INSPECTIONS OF GAS-ATOMIZED SCRUBBERS
• Inspection Steps
- Method 9 observation of stack for a period of not less than 6 minutes;
calculate average opacity
- Method 9 observation of all bypass stacks and vents and any fugitive
emissions from process equipment
- Presence of rainout close to the stack or mud lips at the discharge
- Presence of fan vibration
- Liquor flow rate indicated by on-site flow monitor
- Static pressure drop across the scrubber indicated by on-site gauge
- Pump discharge pressure and motor current indicated by on-site gauges
- Audible pump cavitation
- Nozzle header pressure indicated by on-site gauge
- Physical condition of shell and ductwork
- Recirculation pond layout and pump intake position
- Physical condition of nozzles observed through access hatch
- Note means used to dispose of purged liquor should be noted
• Evaluation
- Shift in the average opacity may be due to a decrease in particle size
distribution of the inlet gas stream; a co-current inspection of the
process operation is often advisable
- Anything which affects the nozzles will reduce performance; liquor
turbidity is related to the vulnerability to nozzle pluggage and
erosion
- Shell and ductwork corrosion is often caused by operation at pH levels
which are lower than desirable; measure liquor pH using in-plant
instruments, if available
- Performance of a gas-atomized scrubber is partially dependent on the
liquor flow rate; any problems which potentially reduce the flow rate
should be fully examined
- Overall performance of a gas-atomized wet scrubber is related to the
static pressure drop except in cases where there is a particle size
shift, a change in the liquor surface tension, or gas-liquor
maldistribution problems
• Safety Considerations
- Check all ladders and platforms before use; safe climbing and walking
practices are important at all times
- Avoid poorly ventilated areas
- Avoid hot duct and pipes
- Terminate inspection if a severly vibrating fan is noted in the general
vicinity of the scrubber
- Under no circumstances should inspector attempt to look inside an
operating wet scrubber
- Visible emission observations should be made only in secure areas
• Special Notes
- Inspection data and observations do not provide conclusive evidence of
violation of mass emission standards; these can be used only as a
general indicator of performance
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TABLE 8-21. LEVKL 3 INSPECTIONS OF SPRAY TOWER SCRUBBERS
• Inspection Steps
- Method 9 observation of stack over a sufficient time to characterize
average opacity
- Method 9 observation of all bypass stacks and vents and any fugitive
emissions from process equipment
- Presence of rainout and/or mud lip at stack discharge
- Fan vibration conditions
- Pump discharge pressure and motor current
Presence of audible pump cavitation
- Presence of pump seal water flow
- Liquor flow rate indicated by on-site gauge
- Nozzle header pressure
- Liquor turbidity and pH
- Physical condition of scrubber shell, ductwork and piping
- Presence of drains and line flushing capability
- Pump suction line conditions
- Turbidity of liquor used to clean demisters
Types of nozzles used in scrubber
Pitot traverse of scrubber inlet or outlet ducts
• Evaluation
- Only those measurements and observations relevant to the suspected
problem should be conducted
Evaluate types of nozzles in present use with respect to the spray
angle and type of spray pattern developed
- High turbidity can be associated with nozzle pluggage, nozzle erosion,
pump impeller wear, and pipe erosion
- Air infiltration may result in high fugitive emissions
Reduced pump discharge pressure, reduced pump motor currents, and
changes in the nozzle header pressures may be associated with reduced
liquor flow these can seriously reduce scrubber performance
• Safety Considerations
- All climbing and walking safety practices are important
Avoid poorly ventilated areas, especially around positive pressure
vessels and ducts
- Avoid contact with hot ducts, pipes, and probes
Ground all portable instruments used on the scrubber inlet; in areas
of possible gas vapors or particulate clouds only intrinsically safe
instruments should be used
- Obtain liquor samples so that the liquor does not splash
• Special Notes
Plant management should be advised that the evaluation of the Level 3
data is used only to aid the inspector in evaluating scrubber
performance and possible corrective actions planned; it is not
intended to restrict the operator's options in running the unit
- Level 3 data does not conclusively demonstrate non-compliance with
mass emission requirements
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TABLE 8-22. LEVEL 3 INSPECTIONS OF PACKED BED, MOVING BED AND TRAY SCRUBBERS
• Inspection Steps
- Method 9 observation of stack over a sufficient time to characterize
average opacity
Method 9 observation of all bypass stacks and vents and any fugitive
emissions from process equipment
- Presence of rainout and/or mud lip at stack discharge
- Fan vibration conditions
- Static pressure drop across entire scrubber
- Static pressure drop across each tray or bed
Pump discharge pressure and motor current
- Presence of audible pump cavitation
- Presence of pump seal water flow
- Liquor flow rate indicated by on-site gauge
- Nozzle header pressure
- Liquor turbidity and pH
- Physical condition of scrubber shell, ductwork and piping
- Presence of drains and line flushing capability
- Pump suction line conditions
- Turbidity of liquor used to clean demisters
- Types of nozzles used in scrubber
- Pitot traverse of scrubber inlet or outlet ducts
• Evaluation
- Only those measurements and observations relevant to the suspected
problem should be conducted
- Static pressure drop across moving bed and tray scrubbers is related
to the overall particulate efficiency; decreases from the baseline
levels should be examined
High turbidity can be associated with pluggage of packed beds and
trays; both conditions lead to severe gas-liquid maldistribution
- Air infiltration may result in high fugitive emissions
Reduced pump discharge pressure, reduced pump motor currents, and
changes in the nozzle header pressures may be associated with reduced
liquor flow; these can seriously reduce scrubber performance
• Safety Considerations
- All climbing and walking safety practices are important
- Avoid poorly ventilated areas
- Avoid contact with hot ducts, pipes, and probes
- Ground all portable instruments used on the scrubber inlet; in areas
of possible gas vapors or particulate clouds, only intrinsically safe
instruments should be used
- Splashing is hazardous while obtaining a liquor sample
• Special Notes
- Plant management should be advised that the evaluation of the Level 3
data is used only to aid the inspector in evaluating scrubber
performance and possible corrective actions planned; it is not
intended to restrict the operator's options in running the unit
- Level 3 data does not conclusively demonstrate non-compliance with
mass emission requirements
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TABLE 8-23. LEVEL 3 INSPECTIONS OF MECHANICALLY AIDED SCRUBBERS
• Inspection Steps
- Method 9 observation of stack over a sufficient time to characterize
average opacity
- Method 9 observation of all bypass stacks and vents and any fugitive
emissions from process equipment
- Presence of rainout and/or mud lip at stack discharge
- Fan vibration conditions
- Static pressure increase across scrubber
Scrubber rotational speed
- Pump discharge pressure and motor current
- Presence of audible pump cavitation
- Presence of pump seal water flow
- Liquor flow rate indicated by on-site gauge
Nozzle header pressure
- Liquor turbidity and pH
Physical condition of scrubber shell, ductwork and piping
Presence of drains and line flushing capability
- Pump suction line conditions
Turbidity of liquor used to clean demisters
- Types of nozzles used in scrubber
Pitot traverse of scrubber inlet or outlet ducts
• Evaluation
- Only those measurements and observations relevant to the suspected
problem should be conducted
- Scrubber rotational speed is proportional to particulate control
effectiveness; if the rotational speed cannot be safely measured,
static pressure rise should be measured
- High turbidity can be associated with rapid erosion of scrubber fan
blades and with pluggage of spray nozzles
- Air infiltration may result in high fugitive emissions
- Reduced pump discharge pressure, reduced pump motor currents, and
changes in nozzle header pressures may be associated with reduced
liquor flow; these can seriously reduce scrubber performance
• Safety Considerations
- All climbing and walking safety practices are important
- Avoid poorly ventilated areas
Avoid contact with hot ducts, pipes, and probes
Ground all portable instruments used on the scrubber inlet; in areas
of possible gas vapors or particulate clouds only intrinsically safe
instruments should be used
Splashing liquids can be hazardous while obtaining samples
• Special Notes
Plant management should be advised that the evaluation of the Level 3
data is used only to aid the inspector in evaluating scrubber
performance and possible corrective actions planned; it is not
intended to restrict the operator's options in running the unit
Level 3 data does not conclusively demonstrate non-compliance with
mass emission requirements
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TABLE 8-24. LEVEL 3 INSPECTIONS OF GAS-ATOMIZED SCRUBBERS
• Inspection Steps
- Method 9 observation of stack over a sufficient time to characterize
average opacity
- Method 9 observation of all bypass stacks and vents and any fugitive
emissions from process equipment
- Presence of rainout and/or mud lip at stack discharge
Fan vibration conditions
- Static pressure drop across scrubber
- Static pressure drop across demister
- Pump discharge pressure and motor current
- Presence of audible pump cavitation
- Presence of pump seal water flow
- Liquor flow rate indicated by on-site gauge
- Nozzle header pressure
- Recirculation liquor turbidity and pH
- Scrubber effluent liquor pH
- Evaporative cooler or presaturator turbidity and total solids
- Physical condition of scrubber shell, ductwork and piping
- Presence of drains and line flushing capability
- Pump suction line conditions
Turbidity of liquor used to clean demisters
- Pitot traverse of scrubber inlet or outlet ducts
Orifice scrubber liquid level
- Skin temperatures of pipes serving individual nozzles
• Evaluation
- Only those measurements and observations relevant to the suspected
problem should be conducted
- Pressure drop, corrected for gas density changes, is a useful indicator
of particulate removal efficiency; decreases since the baseline period
should be full investigated
- High turbidity can be associated with nozzle pluggage, nozzle erosion,
pump impeller wear, and pipe erosion
- Air infiltration may result in high fugitive emissions
• Safety Considerations
- All climbing and walking safety practices are important
- Avoid poorly ventilated areas
Avoid contact with hot ducts, pipes, and probes
- Ground all portable instruments used on the scrubber inlet; in areas
of possible gas vapors or particulate clouds only intrinsically safe
instruments should be used
- Splashing liquids can be hazardous while obtaining a liquid sample
• Special Notes
- Plant management should be advised that the evaluation of the Level 3
data is used only to aid the inspector in evaluating scrubber
performance and possible corrective actions planned; it is not
intended to restrict the operator's options in running the unit
- Level 3 data does not conclusively demonstrate non-compliance with
mass emission requirements
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TABLE 8-25. LEVEL 4 INSPECTIONS OF PARTICULATE WET SCRUBBERS
• Inspection Steps
- All specific inspection steps for Level 3 inspections are included in
the Level 4 inspection
- Prepare a detailed flowchart of the scrubber system
- Evaluate conformance of system to construction and/or operating permit
requirements
- Obtain samples of the recirculation liquor, purge liquor, system
make-up liquor, water used in evaporative coolers, and water used in
presaturators
- Note any conditions which would represent a hazard during Level 2 or 3
inspections
- Evaluate types of records to be kept and summarize malfunction
reporting procedures agreed upon with source management
• Evaluation
- Compile and summarize baseline data; emphasize parameters which may
govern particulate control efficiency
- Prepare specific guidelines for conducting Level 2 and 3 inspections
(modify list of inspection steps provided here to adapt to actual
system)
• Safety Considerations
- All climbing and walking safety practices are important
- Avoid poorly ventilated areas, especially around positive pressure
vessels and ducts
- Avoid contact with hot ducts, pipes, and probes
Ground all portable instruments used on the scrubber inlet; in areas
of possible gas vapors or particulate clouds only intrinsically safe
instruments should be used
- Obtain liquor samples in a manner so that the liquor does not splash
• Special Notes
- Plant management should be advised that the evaluation of the baseline
data is used only to aid the inspector in evaluating scrubber
performance and possible corrective actions planned; it is not
intended to restrict the operator's options in running the unit
- Copies of the baseline data and any plots prepared should be sent to
the plant management
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8.7 INSPECTION OF MECHANICAL COLLECTORS
Baseline Inspection Technique procedures for the inspection and evaluation
of mechanical collectors are discussed in this section. Brief descriptions of
the major types of units in commercial service and of the operating principles
of these collectors are presented. The inspection data and observations
necessary to characterize performance are presented.
8.7.1 Descriptions of Mechanical Collectors
The two major categories of mechanical collectors are large diameter
cyclones and multi-cyclone collectors. The large diameter units have a very
limited particle-size related collection capability. Therefore, these are
used only when the particle size is quite large. The multi-cyclone units have
a much greater control capability and have been successfully used on a number
of combustion sources and materials handling sources.
8.7.1.1 Large Diameter Cyclones - A single large diameter cyclone is illus-
trated in Figure 8-17. The gas stream enters near the top of the cyclone
through the tangentially oriented inlet duct. The gas stream spins several
times before turning up and exiting through the center outlet tube. Due to
inertia, most of the particles do not turn with the gas but instead concentrate
near the wall. The particulate matter than falls into the hopper and is
removed from the collector.
Clean
Source: APTI
Dust
Figure 8-17. Large Diameter Cyclone.
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The efficiency of the unit is partially dependent on the inlet gas flow
rato since this determines the gas velocities within the cyclone. As a
general rule, the efficiency is a function ol the square of the gas flow rate.
One way to enchance cyclone velocities is to use banks of relatively small
diameter cyclones rather than a single larger cyclone for a given gas stream.
It is common to have 2 to 8 large diamter cyclones mounted together for this
purpose. The physical condition of the cyclone body also affects the removal
efficiency. Dents, riveted joints and other surface irregularities can dis-
rupt the vortex within the cyclone, thereby causing particles to bounce back
into the center of the cyclone and be emitted. Air infiltration up through
the solids discharge valve, through holes or through weld failures can also
disrupt the vortex.
The typical large cyclones have sizes ranging from 1 foot to more than
12 feet in diameter. The pressure drops, which are a function of gas flow
rate, vary from one inch of water to several inches of water. The lack of
measurement ports on many units makes inspection very difficult.
8.7.1.2 Multi-Cyclone Collectors - These collectors gain enhanced collection
efficiency by the use of a number of small diameter cyclone tubes mounted in
a single chamber. The higher centrifugal forces within the small 3 inch to 12
inch tubes allows higher efficiency removal of small particles. This is done
at the expense of higher static pressure drops across the unit, with values in
the range of 2 inches of water to 8 inches of water. A sketch of a common
multi-cyclone unit is shown in Figure 8-18.
dean gas
Dirty gas
Source: APTI
Figure 8-18. Multi-Cyclone Collector.
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The gas stream enters the unit between the "clean" side and "dirty" side
tubesheets. Spinner vanes mounted near the top of each cyclone tube cause
the gas to rotate as it passes downward. As with the large diameter cyclones,
particle inertia causes the particles to leave the gas stream flow and to
concentrate near the wall of the tube. The gas stream turns 180° and passes
upward through the outlet tube. The solids are removed from the hopper on a
continuous basis. Commercial multi-cyclone units have from 16 to 200 indivi-
dual tubes in a single collector.
The overall efficiency is related to the square of the gas flow rate.
Common operating problems include pluggage of the spinner vanes, erosion of
the outlet tubes, gasket failures, air infiltration, and hopper overflow.
Some of the larger units may suffer from cross hopper flow which is simply
clean gas flow from several of the front tubes down through the hopper and up
through the bottom of tubes near the back of the collector.
8.7.2 Level 1 Inspections of Mechanical Collectors
The Level 1 inspection procedures for both major types of mechanical
collectors is similar. A plant boundry Method 9 observation of the stack is
done if the control device discharge is visible. The average opacity is
compared to both the baseline values and the regulatory limit. Any cycles in
the visible emissions are characterized so that it is possible to relate these
to process operating cycles. It should be noted that the materials collected
most efficiently by mechanical collectors do not scatter light very effectively.
Therefore, even a small increase in the opacity can be associated with a large
increase in the mass emissions. One symptom of high mass emissions is the
accumulation of piles of settled solids in the vicinity of the collector
discharge or stack. Common areas of accumulation include adjacent building
roofs, horizontal ductwork leading to and from the collector, and support
beams. All such areas should be checked for obvious deposits.
Method 9 observations should be conducted of the process area served by
the collector. Any fugitive emissions from material or fuel stockpiles should
be noted.
On some of the systems, especially the large diameter cyclones, the unit
does not have a stack and the discharge point is too low to be seen from
outside plant grounds. In such cases, plant entry is necessary to complete
this portion of the inspection.
8.7.3 Level 2 Inspections of Mechanical Collectors
The Level 2 inspection consists of a walk through check of the overall
system including the evaluation of data provided by on-site permanently mounted
gauges. Such inspections are not time consuming since the mechanical collector
systems are relatively simple.
8.7.3.1 Level 2 Inspections of Large Diameter Cyclones - The visible emissions
from large diameter cyclones should be observed using Method 9 procedures.
If the process equipment operates in a cyclic manner, the stack should be
observed for a sufficient period of time to fully characterize the visible
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emissions. If the plume has a bluish white or light brown tint, the particu-
late matter is probably too small to be effectively collected in the large
diameter cyclone. In such a case, a co-current inspection of the process
operation and raw materials is a necessary part of the inspection.
After making the visible emission observation, checks should be made for
accumulated materials in the vicinity of the stack. It is possible to have
large mass emissions of large diameter particulate with only slight opacity.
The condition of the collector shell should be checked to the extent
possible. Any dents, erosion holes, or gaps in welds and joints should be
noted in the inspection report. Air infiltration up through the cyclone dis-
charge may be caused by the lack of a solids discharge valve. If audible leak-
age is occurring, this should also be noted.
The static pressure drop across the large diameter cyclone should be
recorded from on-site gauges if there are installed gauges and they appear to
be working properly. This provides one indication of the flow rate through
the cyclone.
The ductwork leading from the process equipment to the cyclone should be
checked for sites of air infiltration. Any hoods which exist should be checked
to determine: (1) if the hood(s) is in the proper position to capture the
particulate, (2) if the hood has been damaged, (3) if the blast gates on the
ductwork are open, and (4) if the hood static pressure has changed since the
baseline period. Fugitive emissions from the process area should be observed
using Method 9 procedures.
8.7.3.2 Level 2 Inspections of Multi-Cyclone Collectors - The inspection
starts with a Method 9 observation of the plume visible emissions. The average
opacity should be calculated and compared with both the baseline values and
the regulatory limit. An increase of 5% opacity over the baseline levels
should be of concern even if the regulatory limit has not yet been exceeded.
The pressure drop across the collector should be recorded if there are
installed gauges and they appear to be working properly. The pressure drop
should be directly related to the process operating rate. Therefore, if the
observed value is either higher or lower than expected for the present operat-
ing conditions, it is probable that there are internal problems within the
collector.
Audible air infiltration points around the collector hopper area, the
solids discharge valve, and the ductwork leading to the collector should be
identified to the extent possible. It should be noted that these systems
usually operate at elevated temperatures and there is usually only limited
accessibility to the collector. For this reason, it is difficult to safely
approach the units to find the air infiltration points.
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The process equipment should be evaluated for any factors which affect
the quantity and collectability of particulate matter generated. Combustion
sources should be checked for changes in fuel characteristics, outlet oxygen
concentrations, and undesirable firing conditions. Material handling opera-
tions should be checked for anything which affects the amount and particle
sizes of material entrained in the gas stream.
8.7.4 Level 3 Inspections of Mechanical Collectors
This type of inspection is conducted as a follow-up to the Level 2 inspec-
tion or as a routine procedure for certain units with chronic compliance
problems. Portable instrumentation is used to gain data which is often un-
available due to the lack of permanently mounted on-site gauges. An attempt
is made to determine the general nature of the problem(s), if any, so that the
corrective actions proposed by the operators can be evaluated.
The visible emission observations are identical to those conducted as
part of level 2 inspections. These should include the stack discharge, process
equipment areas, material handling operations, and any stockpiles of raw
materials and fuels.
8.7.4.1 Level 3 Inspections of Large Diameter Cyclones - If measurement ports
can be reached safely and conveniently, a pitot traverse can be conducted
across the inlet to a large diameter cyclone. This data can be used to eval-
uate the impact of air infiltration in the cyclone and outlet ductwork. As in
the case of Level 2 inspections, all audible air infiltration points in the
cyclone shell, hopper area, and solids discharge valve area should be charac-
terized.
Another pitot traverse can be conducted near the hood serving the process
equipment. This provides an indication of the total quantity of gas being
pulled from this area which in turn is related directly to the particulate
capture effectiveness. A significant difference between the hood outlet flow
and the cyclone inlet flow is a clear indication of air infiltration in the
connecting ductwork. The hood static pressure can also be measured (if there
is safe and convenient accessibility) using the 0-5 inch static pressure
gauge. The value of the static pressure is related to the total gas flow
through the hood.
The process equipment should be inspected for any conditions which affect
either the quantity or characteristics of the particulate matter. Of parti-
cular concern is anything which would lead to the formation of fine particles
which are inherently not collectable in a large diameter cyclone.
8.7.4.2 Level 3 Inspections of Multi-Cyclone Collectors - If there is safe
and convenient access to measurement ports before and after the multi-cyclone
collector, the following measurements should be made using the portable instru-
ments: (1) static pressure, (2) gas temperature, (3) gas flow rates and
(4) oxygen and carbon dioxide concentrations. The latter measurements are
only appropriate when combustion sources are being inspected. This data can
be used to determine if there has been a change in the resistance to flow in
the cyclone tubes or if there is significant air infiltration in the unit.
The inlet port measurements also provide some information regarding the per-
formance conditions of the process equipment.
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To determine if there is a change in the gas flow resistance the static
pressure drop must be corrected for the present gas flow rate using the
equation presented below.
pc =
Where: Pc= Corrected Static Pressure Drop
Pm= Measured Static Pressure Drop
Qa= Measured Gas Flow Rate
Qb= Baseline Gas Flow Rate
If the corrected static pressure drop is significantly different than the
baseline static pressure drop, then a change in resistance has occurred. A
decrease normally means higher emissions due to erosion of the outlet tubes or
failure of the gaskets. An increase in the resistance usually means increased
emissions due to partially plugged spinner vanes.
For multi-cyclones serving combustion sources (with the exception of most
driers), the oxygen measurements provide a means to evaluate air infiltration
problems. If the outlet oxygen concentration is more than 1% higher than the
inlet, the rate of infiltration is high. This can cause higher emissions by
disrupting the vortices within the cyclone tubes. The cooling effect of the
infiltration may also lead to severe solids emptying problems in the hopper.
Another clear indicaion of air infiltration problems is a major drop in the
gas temperature across the multi-cyclone collector.
An increase in the inlet oxygen value as compared to baseline levels
suggests combustion problems with the process equipment. In this case, the
condition should be confirmed by measuring the oxygen concentration at a point
as close as possible to the outlet of the boiler or combustion source.
8.7.5 Level 4 Inspections of Mechanical Collectors
The Level 4 inspections are identical in scope to the Level 3 inspections.
The measurements are conducted to provide data on normal gas flow rates,
static pressure drops, inlet gas temperatures, and inlet oxygen concentrations
(if applicable). Hood static pressures should also be measured to document
the gas flow conditions at the process area.
A flowchart of the system should be prepared showing all process sources
served by the system. The locations of all measurement ports and on-site
permanently mounted gauges should be shown on this chart.
The optimum time for a Level 4 inspection is during a stack test of the
system to verify compliance with mass emission regulations. However, such
tests are rarely done for large diameter cyclones. In this case, the Level 4
inspection should be done during a period when the visible emissions are low,
the process is operating in a representative fashion, and there are no obvious
solids settling problems.
Air Compliance Inspection Manual 8-79 9/30/85
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TABLE 8-26. LEVEL 1 INSPECTIONS OF MECHANICAL COLLECTORS
• Inspection Steps
- Method 9 observation of the stack for a sufficient period to fully
characterize conditions during normal process cycles
- Method 9 observation of any fugitive emissions from process equipment,
material handling operations, and stockpiles
- Presence of accumulated solids in the vicinity of the stack
- Presence of obvious holes and dents in cyclone shell
• Evaluation
- If the visible emissions have increased by more than 5% since the
baseline period or if the visible emissions are within 5% of the
regulatory limit, a Level 2 or Level 3 inspection is warranted
- Accumulated solids near the stack generally imply high mass emissions
composed of large particles which do not scatter light effectively
- Fugitive emissions from the process area can be at least partially
due to air infiltration into the ductwork or collector; check the
process area and ductwork in any subsequent Level 2 or 3 inspections
• Safety Considerations
- Positions selected for the Method 9 observations should be secure from
moving vehicles such as cars, trains, and moving machinery
- Footing must be secure; stockpiles are not acceptable
- If plant entry is necessary, all standard in-plant safety considerations
apply
• Special Notes
- Avoid trespassing on private property to reach a good location for
observations (unless public access is allowed)
Information which may be used to support a notice of violation should
be supplied to source management as soon as possible to satisfy "due
process" requirements
Air Compliance Inspection Manual 8-80 9/30/84
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TABLE 8-27. LEVEL 2 INSPECTIONS OF LARGE DIAMETER CYCLONES
• Inspection Steps
- Method 9 observation of the stack for a sufficient period to fully
characterize conditions during normal process cycles
Method 9 observation of any fugitive emissions from process equipment,
material handling operations, and stockpiles
- Presence of accumulated solids in the vicinity of the stack
- Presence of obvious holes and dents in cyclone shell
- Air infiltration sites on cyclone shell, cyclone hopper, solids
discharge valve, and inlet ductwork
- Obvious corrosion of cyclone
- Static pressure drop across cyclone as indicated by on-site gauge
• Evaluation
If the visible emissions have increased more than 5% since the baseline
period or if the visible emissions are within 5% of the regulatory
limit, a Level 2 or Level 3 inspection is recommended
- Accumulated solids near the stack generally imply high mass emissions
composed of large particles which do not scatter light effectively
- Fugitive emissions from the process area can be at least partially due
to air infiltration into ductwork or collector; check process area and
ductwork in any subsequent Level 2 or 3 inspections
- Holes and dents in shell can disrupt the gas vortex, causing some
particulate reentrainment and emissions
- Static pressure provides an indication of the flow rate; removal
efficiency generally increases with the static pressure
• Safety Considerations
- Positions selected for the Method 9 observations should be secure from
moving vehicles such as cars, trains, and moving machinery
- Footing must be secure; stockpiles are not acceptable
- All climbing and walking safety procedures are very important; some
horizontal structures may not be able to withstand the load of
accumulated solids and several people
Avoid contact with hot surfaces
- Some fugitive leaks from the cyclone body and the cyclone discharge
vents may contain high velocity materials which could cause eye
injuries; avoid potential areas of exposure
• Special Notes
- Information which may be used to support a NOV should be supplied to
source management as soon as possible to satisfy "due process"
requirements
- Inspection results do not conclusively demonstrate noncompliance
with mass emission regulations; they can, however, support either a
stack test request or a Level 3 inspection
Air Compliance Inspection Manual 8-81 9/30/84
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TABLE 8-28. LEVEL 2 INSPECTIONS OF MULTI-CYCLONE COLLECTORS
* Inspection Steps
- Method 9 observation of stack for a sufficient period to fully
characterize conditions during normal process cycles
- Method 9 observation of any fugitive emissions from process equipment,
material handling operations, and stockpiles
- Air infiltration sites on collector shell, hopper, solids discharge
valves, and inlet ductwork
- Static pressure drop across collector as indicated by on-site gauge
- Inlet gas temperature as indicated by on-site gauge
• Evaluation
- If the visible emissions have increased more than 5% since baseline
period or if the visible emissions are within 5% of the regulatory
limit, a Level 2 or Level 3 inspection is recommended
- Fugitive emissions from the process area can be at least partially
due to air infiltration into ductwork or collector; check process area
and ductwork in any subsequent Level 2 or 3 inspections
- Static pressure provides an indication of the flow rate and the
resistance to gas flow; static pressure should be checked against
baseline static pressure drops for similar process operating rates; the
present value is higher, then pluggage is possible; if it is lower,
erosion of outlet tubes and gasket problems are likely
• Safety Considerations
- Positions selected for the Method 9 observations should be secure from
moving vehicles such as cars, trains, and moving machinery
- Footing must be secure; stockpiles are not acceptable
- All climbing and walking safety procedures are very important; some
horizontal structures may not be able to withstand the load of
accumulated solids and several people
- Avoid contact with hot surfaces
Many multi-cyclone collectors are located in hot areas; avoid heat
stress by limiting the time spent in the area (moderate heat conditions)
or by not entering the area (high heat areas)
- Avoid poorly ventilated areas
• Special Notes
Information which may be used to support a NOV should be supplied to
source management as soon as possible to satisfy "due process"
requirements
- Inspection results do not conclusively demonstrate noncompliance with
mass emission regulations; they can, however, support either a stack
test request or a Level 3 inspection
Air Compliance Inspection Manual 8-82 9/30/84
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TABLE 8-29. LEVEL 3 INSPECTIONS OF LARGE DIAMETER CYCLONES
Inspection Steps
- Method 9 observation of the stack for a sufficient period to fully
characterize conditions during normal process cycles
- Method 9 obaervation of any fugitive emissions from process equipment,
material handling operations, and stockpiles
- Presence of accumulated solids in the vicinity of the stack
Presence of obvious holes and dents in cyclone shell
Air infiltration sites on cyclone shell, cyclone hopper, solids
discharge valves, and inlet ductwork
- Obvious corrosion of cyclone
- Static pressure drop across cyclone as measured by portable gauges
Inlet gas flow rate as indicated by pitot traverse
- Hood static pressure as measured by portable gauges
Evaluation
- If the visible emissions have increased more than 5% opacity since the
baseline period or if the visible emissions are within 5% of the
regulatory limit, a stack test is recommended
- Accumulated solids near the stack generally imply high mass emissions
composed of large particles which do not scatter light effectively
- Fugitive emissions from the process area can be at least partially
due to air infiltration into the ductwork or collector; check process
area and ductwork for infiltration using the hood static pressure
value as a general index of gas flow
Holes and dents in the shell can disrupt the gas vortex, causing some
particulate reentrainment and emission
- Static pressure provides an indication of the flow rate; removal
efficiency generally increases with the static pressure
Safety Considerations
- Positions selected for the Method 9 observations should be secure from
moving vehicles such as cars, trains, and moving machinery
- Footing must be secure; stockpiles are not acceptable
- All climbing and walking safety procedures are very important; some
horizontal structures may not be able to withstand the load of
accumulated solids and several people
- Avoid contact with hot surfaces, and hot probes
- Some fugitive leaks from the cyclone body and the cyclone discharge
vents may contain high velocity materials which could cause eye
injuries; avoid potential areas of exposure
Special Notes
Information which may be used to support a NOV should be supplied to
the source management as soon as possible to satisfy "due process"
requirements
- Inspection results do not conclusively demonstrate noncompliance with
mass emission regulations; these do, however, support a request for a
stack test
Air Compliance Inspection Manual 8-83 9/30/84
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TABLE 8-30. LEVEL 3 INSPECTIONS OF MULTI-CYCLONE COLLECTORS
Inspection Steps
- Conduct Method 9 observation as for Level 2 inspections
- Air infiltration sites on shell, hoppers, and discharge valves
Static pressure drop across collector as indicated by portable gauge
- Inlet and outlet gas temperatures as indicated by portable gauge
- Inlet gas flow rates as indicated by pitot tube
- Inlet and outlet gas oxygen levels as indicated by portable gauge
- Inlet and outlet gas carbon dioxide concentrations
- Combustion process outlet gas stream oxygen and carbon dioxide
concentrations as indicated by portable gauges
Hood static pressure as indicated by portable gauge
Evaluation
- If the visible emissions have increased more than 5% opacity since the
baseline period or if the visible emissions are above the regulatory
limit, a stack test is recommended
- Fugitive emissions from the process area can be at least partially due
to air infiltration into the ductwork or collector; check process area
and ductwork using pitot traverse at the process outlet and the control
device inlet; measure hood static pressure
- Static pressure provides an indication of the flow rate and the
resistance to gas flow; correct to present gas flow conditions using
the pitot traverse at the collector inlet; corrected static pressure
drop should be compared with the baseline static pressure drops; if
the present value is higher, pluggage is possible; if the static
pressure drop is now lower, erosion of outlet tubes and gasket
problems are likely
- Increases in the oxygen values of 1% oxygen or more in the outlet as
compared to the inlet indicates air infiltration
- Increases in the oxygen concentration of the gas stream entering the
collector indicates combustion system operating problemms if the
process operating rate has remained constant
Satety Considerations
Positions selected for the Method 9 observations should be secure from
moving vehicles such as cars, trains, and moving machinery
- All climbing and walking safety procedures are very important; some
horizontal structures may not be able to withstand the load of
accumulated solids and several people
- Avoid contact with hot surfaces
- Many multi-cyclone collectors are located in hot areas; avoid heat
stress by limiting the time spent in the area (moderate heat
conditions or by not entering the area (high heat areas)
- Avoid poorly ventilated areas
Special Notes
Information which may be used to support a NOV should be supplied to
the source management as soon as possible; inspection results do not
conclusively demonstrate noncompliance with mass emission regulations
Air Compliance Inspection Manual 8-84 9/30/84
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TABLK 8-31. LRVK1. 4 INSPKCTIONS OF MKCHANICAL COLLKCTORS
• Inspection Steps
- Inspection steps for a Level 4 inspection are identical to those
listed for a Level 3 inspection
- Prepare a flowchart of the system
- Check conformance with all applicable construction and/or operating
permit requirements
• Evaluation
- Prepare a specific list of inspection steps for the actual system
- Summarize the baseline measurements
• Safety Considerations
- Safety considerations for a Level 4 inspection are identical to those
for a Level 3 inspection
• Special Notes
- Plant management should be advised that the baseline data is intended
to assist inspectors evaluate performance and does not restrict their
prerogatives in operating the equipment
- Baseline data set should be provided to plant personnel
Air Compliance Inspection Manual 8-85 9/30/84
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8.8 REFERENCES
1. Richards, J. Flowcharting Techniques for Air Pollution Control Systems.
In: Baseline Inspection Techniques Manual, Draft Report submitted under
Contract No. 68-02-6312, February 1982.
2. Beachler, D., and Jahnke, J.A. APT1 Course 413, Control of Particulate
Emissions, Student Manual. Publication No. EPA/460-80-066, October, 1981.
3. Beachler, D., and Jahnke, J.A. Fabric Filter Permit Review Manual.
APTI Course No. SI: 412-A, 1982.
4. Richards, J., and Segall, R. Advanced Inspection Techniques Workshop,
Student Manual. Draft Report submitted under Contract No. 68-02-3960,
May 1984.
5. Executive Order 12196, Occupational Safety and Health Programs for
Federal Employees. February 27, 1960.
6. Richards, J., and Segall, R. Inspection Safety Procedures Workshop,
Student Manual. Draft Report submitted under Contract No. 68-02-3960,
May 1984.
7. Richards, J., and Segall, R. Wet Scrubber Performance Evaluation.
Publication No. EPA 340/1-83-022., September 1983.
8. Beachler, D., and Jahnke, J.A. Wet Scrubber Permit Review Manual (Draft).
Publication No. 450/2-82-020, March 1984.
9. Kertcher, L. , Torrez, L. , and Newson, S. An Inspector's Guide for Fugitive
Emission Sources, Causes and Control Techniques, Recommendations and
Examples. EPA Publication No. EPA 905/2-84-001, February 1984.
Air Compliance Inspection Manual 8-869/30/84
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APPENDIX A
CLEAN AIR ACT
95th Congress!
1st Seulon /
COJDCITTKK PEINT
THE CLEAN AIR ACT
AS AMENDED AUGUST 1977
NOVEMBER 1977
SERIAL NO, 95-11
Printed tor the uae of the Senate
Committee on Environment and Public Works
D.I. OOVHRNMHNT PRINTING OFFICE
WASHINGTON : 10TT
CONTENTS
NOTE: This contents Is solely for the convenience of the reader and
Is not part of the net.
TITLE I—AIR POLLUTION PREVENTION AND CONTOOL
PABT A—Ai» QUALITY AND EMISSION LIMITATIONS
flection: ,
101—Findings and purposes - J
102—Cooperative activities and uniform laws .--- — -
10S—Research, Investigation, training, and other activities jj
1OI—Research relating lo fnelH und vehicles »
KiB—UrnnlH for mipiwrl «f air iH.lliitlon planning and control pro-
irrumff «--_—.—-,„__-—---——-.-——--—-«—•—---—-*•-—"•• ------ '
105—Interstate air quality agencies or commissions *
107—Air quality control regions 10
108—Air quality criteria and control techniques 12
109—National ambient air quality standards 15
110—Implementation plans IT
111—Standards of performance for new stationary sources 29
113—National emission standards for hazardous air pollutants S7
113—Federal enforcement 3"
114—Inspections, monitoring, and entry 47
US—International air pollution -19
lift—Retention of State authority 50
117—President's air quality advisory board and advisory committees.- SO
118—Control of pollution from Federal facilities 51
110—Primary nonferrous smelter orders 52
120—Noncompllance penalty Sfl
121—Consultation 82
122—Listing of certain unregulated pollutants 63
123—Stack heights 64
1-4—Assurance of adequacy of State plans 05
12S—Measures to prevent economic disruption or unemployment Ii6
128—Interstate pollution abatement 68
128—State boards at)
PAKT I)—OZONE PUTECTION
Section:
150—Purposes . . TO
151—Findings and definitions 70
152— Definitions TO
16,1—Studies by Environmental Protection Agency . 71
154—Research and monitoring by other agencies 73
155—Progress of regulation . 74
150—International cooperation . 74
1ST—Regulations " " 75
168—Other provisions unaffected . . " 75
159—State authority IIIIII 76
(ml
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IV
PABT C—PREVENTION OF SIGNIFICANT DETERIORATION or An QOAIJTT
SUBFART i
Section: '
160—Purposes
161—Plan requirements
162—Initial classifications
163—Increments and ceilings
164—Area redesignation
165—Preconstruction requirements ,..-„
_6&—Other pollutants
167—Enforcement
168—Period before plan approval
169—Definitions
RCBPABTl
Section:
169A—Visibility protection for Federal class I areas
PABT D—PLAN REQUOCXESTS FOB NONATTAINUEXT AREAS
Section:
171—Definitions
172—Sonattainment plan provisions
173—Permit requirements
174—Planning procedures
175—Environmental Protection Agency grants
176—Limitations on certain Federal assistance
177—New motor vehicle emission standards In no-Attainment areas..
178—Guidance document. _.____—.__ _—___________„
76
77
77
77
79
82
87
90
M
95
97
97
98
99
100
100
TITLE II—EMISSION STANDARDS FOR MOVING SOURCES
Section:
201—Short title 100
PAST A—Morot VEHICLE EMISSION AND FUEL STANDARDS
Section:
202—Establishment of standards
203—Prohibited act*
204—Injunction proceedings
205—Penalties
206—Motor vehicle and motor vehicle engine compliance testing
and certification _ _-___.____._. .
207—Compliance by vehicles and engines In actual use
20S—Records and reports
209—State standards . .
210—State grants
211—Regulation of fuels
212—Development of low-emission vehicles
213—Fuel economy Improvement from new motor vehicles
214—Study of particulate emissions from motor vehicles
215—High altitude performance adjustments
216—Definitions for part A
PABT B—AXBCBAFT EMISSION STANDARDS
Section:
231—Establishment of standards _
232—Enforcement of standards
233—State standards and controls
234— Definitions
100
112
115
115
116
120
124
125
128
127
132
136
187
1ST
138
TITLE III—GENERAL
Section:
301—Administration
302—Definitions
303—Emergency powers
804—Citizen suits
805—Representation in litigation
306—Federal procurement
307—General provisions relating to administrative proceedings and
judicial review
308—Mandatory licensing
309—Policy review—
310—Other authority not affected _
311—Records and audit :
312—Comprehensive economic cost studies and studies of cost-effec-
tiveness analysis
318—Additional reports to Congress
314—Labor standards
315—Separability
816—Sewage treatment grants
317—Economic Impact assessment
818—Financial disclosure; conflicts of interest
819—Air quality monitoring
320—Standardised air quality modeling
321—Employment effects
322—Employee protection
823—National Commission on Air Quality
824—Cost of emission control for certain vapor recovery to be borne
by owner of retail outlet
325—Vapor recovery for small business marketers of petroleum
products
826—Construction of certain clauses
827—Appropriations
Provisions of Public Law 95-95 which do not amend tbe Clean Air Act
P.f»
141
141
143
144
146
147
147
153
154
154
156
154
155
156
156
156
157
159
161
161
162
163
166
„ 170
170
171
171
173
139
140
140
140
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THE CLEAN AIR ACT'
TITLE I—AIR POLLUTION PREVENTION AXD
CONTROL
PART A—Am QPALITT AXD EMISSION LISIITATIOXS
PIXDIXGS AND PURPOSES
SEC. 101. (a) The Congress finds—
(1) that the predominant part of the Nation's
population is located in its rapidly expanding metro-
politan and other urban areas, which generally cross
the boundary lines of local jurisdictions and often
extend into two or more States;
(2) that the growth in the amount and complex-
ity of air pollution brought about by urbanization.
industrial development, and the increasing use of
motor vehicles, has resulted in mounting dangers to
the public health and welfare, including injury to
agricultural crops and livestock, damage to and the
deterioration of property, and hazards to air and
ground transportation j
(3) that the prevention and control of air pollu-
tion at its source is the primary responsibility of
States and local governments; and
(4) that Federal financial assistance and leader-
ship is essential for the development of cooperative
Federal, State, regional, and local programs to pre-
vent and control air pollution.
(b) The purposes of this title are—
(1) to protect and enhance, the quality of the Na-
tion's air resources so as to promote the public
health and welfare and the productive capacity of
its population;
(2) to initiate and accelerate a national research
and development program to achieve the prevention
and control of air pollution;
(3) to provide technical and financial assistance
to State and local "ovcrnmcnts in connection with
the development ana execution of their air pollution
prevention and control programs; and
(4) to encourage and assist the development and
operation of regional air pollution control programs.
'Clean Air Act (42 C.S.C. 1S57 et sea.) Includes the Clean Air Act of
19GS—P.L 88-206, and amendments made by the Motor Vehicle Air
1'iillullon Control Act—I'L. 89-272 (October 20, 1003). the Clean Air
Act Amendments of 1966—P.L. Sft-075 (October 16. 1960). the Air
Quality Act of 1967—P.L. 90-HS (November 21. 1967). the Clean Air
Amendment* of 1070—P.I. 01-«W (December 31. 1970). the Ompreheu-
«lve Health Manpower Tralnlnc Act of 11171—P.L 92-157 (Novomlwr IS.
1971). the Energy Supply and Environmental Coordination Act of 1974—
P.L. 93-318 (June 22. 1974). Clean Air Act Amendments at 1977—P.L.
93-95 (August 7. 1977). and Safe Drinking Water Act of 1977—P.L.
90-190 (Noicmlicr 10, 1977).
(1)
Air Compliance Inspection Manual A - 3 9/30/84
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COOPERATIVE ACTIVITIES AXD UNIFORM LAWS
SEC. 102. (a) The Administrator shall encourage co-
operative activities by the States and local governments
for the prevention and control of air pollution; encour-
age the enactment of improved and, so far as practicable
in the light of varying conditions and needs, uniform
State and local laws relating to the prevention and con-
trol of air pollution; and encourage the making of
agreements and compacts between States for the pre-
vention and control of air pollution.
(b) The Administrator shall cooperate with and en-
courage cooperative activities by all Federal depart-
ments and agencies having functions relating to the
prevention and control of air pollution, so as to assure
the utilization in the Federal air pollution control pro-
gram of all appropriate and available facilities and
resources within the Federal Government.
(c) The consent of the Congress is hereby given to
two or more States to negotiate and enter into agree-
ments or compacts, not in conflict with any law or treaty
of the United States, for (1) cooperative effort and
mutual assistance for the prevention and control of air
pollution and the enforcement of their respective laws
relating thereto, and (2) the establishment of such agen-
cies, joint or otherwise, as they may deem desirable for
making effective such agreements or compacts. No such
agreement or compact shall be binding or obligatory
upon any State a party thereto unless and until it has
been approved by Congress. It is the intent of Congress
that no agreement or compact entered into between
States after the date of enactment of the Air Quality
Act of 1967, which relates to the control and abatement
of air pollution in an air quality control region, shall
provide for participation by a State which is not in-
cluded (in whole or in part) in such air quality control
region.
RESEARCH, IXVESTIGATIOX, TRAIN'IXQ, AND OTHER
AcrmnES
SEC. 103. (a) The Administrator shall establish a na-
tional research and development program for the pre-
vention and control of air pollution and as part of such
program shall—
(1) conduct, and promote the coordination and
acceleration of, research, investigations, experi-
ments, demonstrations, surveys, and studies relating
to (lie causes, effects, extent, prevention, and control
of air pollution;
(2) encourage, cooperate with, and render tech-
nical services and provide financial assistance to air
pollution control agencies and other appropriate
public or private agencies, institutions, and orga-
nizations, and individuals in the conduct of such
activities;
(3) conduct investigations and research and make
surveys concerning any specific problem of air pol-
lution in cooperation with any air pollution control
agency with a view to recommending a solution of
such problem, if he is requested to do so by such
agency or if, in his judgment, such problem may af-
fect any community or communities in a State other
than that in which the source of the matter causing
or contributing to the pollution is located;
(4) establish technical advisory committees coin-
posed of recognized experts in various aspects of air
pollution to assist in the examination and evaluation
of research progress and proposals and to avoid du-
plication of research; and
(5) conduct and promote coordination and accel-
eration of training for individuals relating to the
causes, effects, extent, prevention, and control of air
pollution.
(b) In carrying out the provision? of the preceding
subsection the Administrator is authorized to—
(1) collect and make available, through publica-
tions and other appropriate means, the results of and
other information, including appropriate recom-
mendations by him in connection therewith, per-
taining to such research and other activities;
(2) cooperate with other Federal departments and
agencies, with air pollution control agencies, with
other public and private agencies, institutions, and
organizations, and with any industries involved, in
the preparation and conduct of such research and
other activities;
(3) make grants to air pollution control agencies.
to ptner public or nonprofit private agencies, insti-
tutions, and organizations, and to individuals, for
purposes stated in subsection (a) (1) of this section;
(4) contract with public or private agencies, in-
stitutions, and organizations, and with individuals,
without regard to sections 3648 and 3709 of the Re-
vised Statutes (31 U.S.C. 5-29; 41 U.S.C. 5);
(5) establish and maintain research fellowships,
in the Environmental Protection Agency and at
public or nonprofit private educational institutions
or research organizations;
(6) collect and disseminate, in cooperation with
other Federal departments and agencies, and with
other public or private agencies, institutions, and
organizations having related responsibilities, basic
data on chemical, physical, nnd biological effects of
varying air quality nnd other information pertaining
to air pollution and the prevention and control there-
of; and
Air Compliance Inspection Manual
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(7) develop effective and practical processes, meth-
ods, and prototype devices for the prevention or
control of air pollution.
In carrying out the provisions of subsection (a), the Ad-
ministrator shall provide training for, and make training
grants to, personnel of air pollution control agencies and
other persons with suitable qualifications and make
grants to such agencies, to other public or nonprofit
private agencies, institutions, and organizations for the
purposes stated in subsection (a) (5). Reasonable fees
may be charged for such training provided to persons
other than personnel of air pollution control agencies but
such training shall be provided to such personnel of air
pollution control agencies without charge.
(c) In carrying out the provisions of subsection (a) of
this section the Administration shall conduct research on,
and survey the results of other scientific studies on, the
harmful effects on the health or welfare of persons by the
various known air pollutants.
(d) The Administrator is authorized to construct such
facilities and staff and equip them as he determines to be
necessary to carry out his functions under this Act.
(e) If, in the judgment of the Administrator, an air
|X>lhition problem of substantial significance may result
from discharge or discharges into the atmosphere, he may
call a conference concerning this potential air pollution
problem to be held in or near one or more of the places
where such discharge or discharges are occurring or will
occur. All interested persons shall be given an opportu-
nity to be heard at such conference, either orally or in
writing, and shall be permitted to appear in person or by
representative in accordance with procedures prescribed
by the Administrator. If the Administrator finds, on the
basis of evidence presented at such conference, that the
disohnrgc or discharges if permitted to take place or con-
tinue are likely to cause or contribute to air pollution
subject to abatement under section 115, he shall send such
findings, together with recommendations concerning the
measures which he finds reasonable and suitable to pre-
vent such pollution, to the person or persons whose ac-
tions will result in the discharge or discharges involved;
to air pollution agencies of the State or States and of
tlic municipality or municipalities where such discharge
or discharges will originate; and to the interstate air
l>olliition control agency, if any. in the jurisdictional area
of which any such municipality is located. Such findings
and recommendations shall be advisory only, but shall be
admitted together with the record of the conference, as
part of the proceedings under subsections (b), (c), (d),
(e).and (f) of section 115.
(f) (1) In carrying out research pursuant to this Act,
the Administrator shall give special emphasis to research
on file sliort- and long-term effects of air pollutants on
public health and welfare. In the furtherance of such
research, he shall conduct an accelerated research
program—
(A) to improve knowledge of the contribution
of air pollutants to the occurrence of adverse effects
on health, including, but not limited to, behavioral
physiological, toxicological, and biochemical effects;
and
(B) to improve knowledge of the short- and long-
term effects of air pollutants on welfare.
(2) In carrying out tne provisions of this subsection
the Administrator may—
(A) conduct cpidemiologieal studies of the effects
of air pollutants on mortality and morbidity;
(B) conduct clinical and laboratory studies on the
immunologic, biochemical, physiological, and the
toxicological effects including carcinogenic, terato-
genic, and mutagenic effects of air pollutants;
(C) utilize, on a reimbursable basis, the facilities
of existing Federal scientific laboratories and re-
search centers;
(D) utilize the authority contained in paragraphs
(1) through (4) of subsection (b): and
(E) consult with other appropriate Federal agen-
cies to assure that research of studies conducted pur-
suant to this subsection will be coordinated with re-
search and studies of such other Federal agencies.
(3) In entering into contracts under this subsection,
the Administrator is authorized to contract for a term
not to exceed 10 years in duration. For the purposes of
this paragraph, there are authorized to be appropriated
$15,000,000. Such amounts as nre appropriated snail re-
main available until expended and shall be in addition
to an}' other appropriations under this Act.
RESEARCH KELATIXQ TO FTELS -IXD VEHICLES
SEC. 104 (a) The Administrator shall give special em-
phasis to research and development into new and im-
proved methods, having industrywide application, for
the prevention and control of air pollution resulting from
the combustion of fuels. In furtherance of such research
and development he shall—
(1) conduct and accelerate research programs
directed toward development of improved, low-cost
techniques for—
(A) control of combifetion byproducts of
fuels.
(B) removal of potential air pollutants from
fuels prior to combustion.
(C) control of emissions from the evapora-
tion of fuels.
(D) improving the efficiency of fuels combus-
tion so as to decrease atmospheric emissions, and
(E) producing synthetic or new fuels which.
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when used, result in decreased atmospheric
emissions.
(2) provide for Federal grants to public or non-
profit agencies, institutions, and organizations and
to individuals, and contracts with public or private
agencies, institutions or persons, for payment of (A)
part of the cost of acquiring, constructing, or other-
wise securing for research and development pur-
poses, new or improved devices or methods having
industrywide application of preventing or control-
ing discharges into the air of various types of pol-
lutants; (B) part of the cost of programs to develop
low emission alternatives to the present internal com-
bustion engine; (C) the cost to purchase vehicles
and vehicle engines, or portions thereof, for research,
development, and testing purposes; and (D) carry-
ing out the other provisions of this section, without
regard to sections 3648 and 3709 of the Revised Stat-
utes (31 U.S.C. 529; 41 U.S.C. 5) : Provided. That
research or demonstration contracts awarded pur-
suant to this subsection or demonstration contracts
awarded pursuant to this subsection (including con-
tracts for construction) may be made in accordance
with, and subject to the limitations provided with
respect to research contracts of the military depart-
ments in, section 2353 of title 10, United States Code,
except that the determination, approval, and cer-
tification required thereby shall be made by the Ad-
ministrator : Provided further, That no grant may be
made under this paragraph in excess of $1,500,000;
(3) determine, oy laboratory and pilot plant test-
ing, the results of air pollution research and studies
in order to develop new or improved processes and
plant designs to the point where they can be demon-
strated on a large and practical scale;
(4) construct, operate, and maintain, or assist in
meeting the cost of the construction, operation, and
maintenance of new or improved demonstration
plants or processes which have promise of accom-
plishing the purposes of this Act;
(5) study new or improved methods for the re-
covery and marketing of commercially valuable by-
products resulting from the removal of pollutants.
(b) In carrying out the provisions of this section, the
Administrator may—
(1) conduct and accelerate research and develop-
ment of low-cost instrumentation techniques to facil-
itate determination of quantity and quality of air
pollutant emissions, including, but not limited to,
automotive emissions;
(2) utilize, on a reimbursable basis, the facilities
of existing Federal scientific laboratories;
(3) establish and operate necessary facilities and
test sites at which to carry on the research, testing,
development, and programing necessary to effec-
tuate the purposes of this section;
(4) acquire secret processes, technical data, in-
ventions, patent applications, patents, licenses, and
an interest in lands, plants, and facilities, and other
property or rights by purchase, license, lease, or
donation; and
(5) cause on-site inspections to be made of promis-
ing domestic and foreign projects, and cooperate and
participate in their development in instances in
which the purposes of the Act will be served thereby.
(c) For the purposes of this section there are author-
ized to be appropriated $75,000.000 for the fiscal year
ending June 30,1971, $125.000.000 for the fiscal year end-
ing June 30, 1972, and $150.000,000 for the fiscal year
ending June 30,1973, $150.000.000 for the fiscal year end-
ing June 30, 1974, and $150,000,000 for the fiscal year
ending June 30, 1975. Amounts appropriated pursuant
to this subsection shall remain available until expended.
GRANTS FOR SUPPORT OF AIR POLLUTION PLANXIXG
AND CONTROL PROGRAMS
SEC. 105. (a) (1) (A) The Administrator may make
grants to air pollution control agencies in an amount
up to two-thirds of the cost of planning, developing,
establishing, or improving, and up to one-half of the
cost of maintaining, programs for the prevention and
control of air pollution or implementation of national
primary and secondary ambient air quality standards.
(B) Subject to subparagraph (C), the Administrator
may make grants to air pollution control agencies within
the meaning of paragraph (1), (2), or (4) of section
302(b) in an amount up to three-fourths of the cost of
planning, developing, establishing, or improving, and
up to three-fifths of the cost of maintaining, any pro-
gram for the prevention and control of air pollution or
implementation of national primary and secondary am-
bient air quality standards in an area that includes two
or more municipalities, whether in the same or different
States.
(C) With respect to any air quality control region or
portion thereof for which there is an applicable imple-
mentation plan under section 110, grants under subpara-
graph (B) may be made only to air pollution control
agencies which have substantial responsibilities for
carrying out such applicable implementation plan.
(2~) Before approving any grant under this subsection
to any air pollution control agency within the moaning
of sections 302(b) (2) and 302(b) (4) the Administrator
shall receive assurances that such agency provides for
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adequate representation of appropriate State, interstate,
local, and (when appropriate) international, interests in
the air quality control region.
(3) Before approving any planning grant under this
subsection to any air pollution control agency within
the meaning of sections 302(b)(2) and 302(b)(4), the
Administrator shall receive assurances that such agency
has the capability of developing a comprehensive air
quality plan for the air quality control region, which
plan shall include (when appropriate) a recommended
system of alerts to avert and reduce the risk of situations
in which there may be imminent and serious danger to
the public health or welfare from air pollutants and the
various aspects relevant to the establishment of air
quality standards for such air quality control region, in-
cluding the concentration of industries, other commercial
establishments, population and naturally occurring
factors which shall affect such standards.
(b) From the sums available for the purposes of sub-
section (a) of this section for any fiscal year, the Admin-
istrator shall from time to time make grants to air pollu-
tion control agencies upon such terms and conditions as
the Administrator may find necessary to carry out the
purpose of this section. In establishing regulations for
the granting of such funds the Administrator shall, so
far as practicable, give due consideration to (1) the
population. (2) the extent of the actual or potential air
pollution problem, and (3) the financial need of the re-
spective agencies. Xo agency shall receive any grant un-
der this section during any fiscal year when its expendi-
tures of non-Federal funds for other than nonrecurrent
expenditures for air pollution control programs will be
less than its expenditures were for such programs during
the preceding fiscal year, unless the Administrator, after
notice and opportunity for public hearing, determines
that a reduction in expenditures is attributable to a non-
selective reduction in expenditures in the programs of all
executive branch agencies of the applicable unit of Gov-
ernment; and no agency shall receive any grant under
this section with respect to the maintenance of a pro-
gram for the prevention and control of air pollution
unless the Administrator is satisfied that such grant will
be so used to supplement and, to the extent practicable,
increase the level of State, local, or other non-Federal
funds that would in the absence of such grant be made
available for the maintenance of such program, and will
in no event supplant such State-, local, or other non-
Federal funds. Xo grant shall be made under this sec-
tion until the Administrator has consulted with the
appropriate official as designated l>v the Governor or
Governors of the State or States affected.
(c) Xot more than 10 per centum of the total of funds
appropriated or allocated for the purposes of subsection
9
(a) of this section shall be granted for air pollution con-
trol programs in any one State. In the rase of a grant
for a program in an area crossing State boundaries, the
Administrator shall determine the portion of such grant
that is chargeable to the percentage liinitntion under this
subsection for each State into Tvnich such area extends.
In fiscal year 1978 and subsequent fiscal years, subject
to the provisions of subsection (b) of this section, no
State shall receive less than one-half of 1 per centum of
the annual appropriation for grants under this section
for grants to agencies within such State.
•. (d) The Administrator, with the concurrence of any
recipient of a grant under this section may reduce the
payments to such recipient by the amount of the pay,
allowances, traveling expenses, and any other costs in
connection with the detail of any officer or employee to
the recipient under section 301 of this Act, when such de-
tail is for the convenience of, and at the request of. such
recipient and for the purpose of carrying out the provi-
sions of this Act. The amount by which such payments
have been reduced shall be available for payment of such
costs by the Administrator, but shall, for the purpose of
determining the amount of any grant to a recipient under
subsection (a) of this section, be deemed to have been
paid to such agency.
= (e) Xo application by a State for a grant under this
section may be disapproved by the Administrator with-
out prior notice and opportunity for a public hearing in
the affected State, and no commitment or obligation of
any funds under any such grant may be revoked or re-
duced without prior notice and opportunity for a miblic
hearing in the affected State (or in one of the affected
States if more than one State is affected).
INTERSTATE AIR QUALITY AGENCIES OR COMMISSIONS
SEC. 106. For the purpose of developing implementa-
tion plans for any interstate air quality control region
designated pursuant to section 107, the Administrator is
authorized to pay. for two years, up to 100 per centum
of the air quality planning program costs of any agency
designated by the Governors of the affected States, which
agency shall be capable of recommending to the Gover-
nors plans for implementation of national primary and
secondary ambient air quality standards and shall in-
clude representation from the States and appropriate
political subdivisions within the air quality control re-
irion. After the initial two-year period the Administrator
is authorized to make grants to such agency in an amount
up to tlnve-foiirtlis of the air quality planning program
costs of such agency.
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10
AM QUALITY CONTROL REGIONS
SEC. 107. (a) Each State shall have the primary respon-
sibility for assuring air quality within the entire geo-
graphic area comprising such State by submitting an
implementation plan for such State which will specify
the manner in which national primary and secondary
ambient air quality standards will be achieved and main-
tained within each air quality control region in such State.
(b) For purposes of developing and carrying out im-
plementation plans under section 110—
(1) an air quality control region designated under
this section before the date of enactment of the Clean
Air Amendments of 1970, or a region designated
after such date under subsection (c), shall be an air
quality control region; and
(2) the portion of such State which is not part^of
any such designated region shall be an air quality
control region, but such portion may be subdivided
by the State into two or more air quality control
regions with the approval of the Administrator.
(c) The Administrator shall, within 90 days after the
date of enactment of the Clean Air Amendments of 1970,
after consultation with appropriate State and Iccal au-
thorities, designate as an air quality contr-1 reckon any
interstate area or major intrastate area which he deems
necessary or appropriate for the attainment and mainte-
nance of ambient air quality standards. The Administra-
tor shall immediately notify the Governors of the affected
States of any designation made under this subsection.
(d) (1) Forthe purpose of transportation control plan-
ning, part D (relating to nonattainment). part C (relat-
ing to prevention of significant deterioration of air
quality), and for other purposes, each State, within one
hundred and twenty days after the date of enactment of
the Clean Air Act Amendments of 1077. shall submit to
the Administrator a list, together with a summary of the
available information, identifying those air quality con-
trol regions, or portions thereof, established purusant to
this section in such State which on the dnte of enactment
of the Clean Air Act Amendments of 1977—
(A) do not meet a national primary ambient ttir
quality standard for any air pollutant other than
sulfur dioxide or participate matter;
(B) do not meet, or in the judgment of the State
may not in the time period required by an applicable
implementation plan attain or maintain, any national
primary ambient air quality standard for sulfur di-
oxide or participate matter;
(C) do not meet a national secondary ambient air
quality standard;
11
(D) cannot be classified under subparagraph (B)
or (C) of this paragraph on the basis of available in-
formation, for ambient air quality levels for sulfur
oxides or participate matter; or
(E) have ambient air quality levels better than
any national primary or secondary air quality stand-
ard other than for sulfur dioxide or participate mat-
ter, or for which there is not sufficient data to be
classified under subparagraph (A) or (C) of this
paragraph.
(2) Kot later than sixty days after submittal of the list
under paragraph (1) of this subsection the Administra-
tor shall promulgate each such list with such modifica-
tions as he deems necessarv. Whenever the Administra-
tor proposes to modify a list submitted by a State, he
shall notify the State and request all available data relat-
ing to such region or portion, and provide such State
with an opportunity to demonstrate why any proposed
modification is inappropriate.
(4) Any region or portion thereof which is not classi-
fied under subparagraph (B) or (C) of paragraph (1)
of this subsection for sulfur dioxide or participate mat-
ter within one hundred and eighty days after enactment
of the Clean A»r Act Amendments" of 1977 shall be
deemed to be a region classified under subparagraph (D)
of paragraph (1) of this subsection.1
(5) A State may from time to time review, and as ap-
propriate revise and retubmit, the list required under this
subsection. The Administrator shall consider and promul-
gate such revised list in accordance with this subsection.
(e) (1) Except as otherwise provided in paragraph
(2), the Governor of each State is authorized, with the
approval of the Administrator, to redesignate from time
to time the air quality control regions within such State
for purposes of efficient and effective air quality manage-
ment Lpon such redesignation, the list under subsection
(d) shall be modified accordingly.
(2) In the case of an air quality control region in a
State, or part of such region, which the Administrator
finds may significantly affect air pollution concentrations
iu another State, the Governor of the State, in which such
region, or part of a region, is located may redosignnte
from time to time the boundaries of so much of such air
quality control region as is located within such State
only with the approval of the Administrator and with
the consent of all Governors of all States which the Ad-
ministrator determines may be significantly affected.
(3) Xo compliance date extension granted under sec-
tion H3(d) (5) (relating to coal conversion) shall cease
to be effective by reason of the regional limitation pro-
1 This paragraph was apparently Intended to be numbered paragraph
(3) See tectlon 103 of Public Law 05-95.
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12
vidcd in section 113(d) (5) if the violation of such limita-
tion is due solely to a redesignation of a region under this
subsection.
AIR QUALITY CRITERIA AXD CONTROL TECHNIQUES
SEC. 108. (a) (1) For the purpose of establishing na-
tional primary and secondary ambient air quality stand-
ards, the Administrator shall within 30 days after the
date of enactment of the Clean Air Amendments of 1970
publish, and shall from time to time thereafter revise, a
list which includes each air pollutant—
(A) emissions of which, in his judgment, cause or
contribute to air pollution which may reasonably be
anticipated to endanger public health or welfare;
(B) the presence of which in the ambient air re-
sults from numerous or diverse mobile or stationary
sources; and
(C) for which air quality criteria had not been
issued before the date of enactment of the Clean Air
Amendments of 1970, but for which he plans to issue
air quality criteria under this section.
(2) The Administrator shall issue air quality criteria
for an air pollutant within 12 mouths after he has in-
cluded such pollutant in a list under paragraph (1). Air
quality criteria for an ah- pollutant shall accurately re-
flect the latest scientific knowledge useful in indicating
the kind and extent of all identifiable effects on public
health or welfare which may be expected from the pres-
ence of such pollutant in the ambient air, in varying
quantities. The criteria for an air pollutant, to the extent
practicable, shall include information on—
(A) those variable factors (including atmospheric
conditions) which of themselves or in combination
with other factors may alter the effects on public
health or welfare of such air pollutant;
(B) the types of air pollutants which, when pres-
ent in the atmosphere, may interact with such pollut-
ant to produce an adverse effect on public health or
welfare; and
(C) any known or anticipated adverse effects on
welfare,
(b) (1) Simultaneously with the issuance of criteria
under subsection (a), the Administrator shall, after con-
sultation with appropriate advisory committees and Fed-
oral departments and agencies, issue to the States and
appropriate air pollution control agencies information on
air pollution control techniques, which information shall
include data relating to the cost of inMnllation and opera-
tion, energy requirement?, emission reduction benefits,
and environmental impact of the emission control tech-
nology. Such information shall include such data as are
13
available on available technology and alternative meth-
ods of prevention and control of air pollution. Such in-
formation shall also include data on alternative fuels,
processes, and operating methods which will result in
elimination or significant reduction of emissions.
(2) In order to assist in the development of informa-
tion on pollution control techniques, the Administrator
may establish a standing consulting committee for each
air pollutant included in a list published pursuant to sub-
section (a) (1), which shall be comprised of technically
qualified individuals representative of State and local
governments, industry, and the economic community.
Each such committee shall submit, as appropriate, to the
Administrator information related to that required by
paragraph (1).
(c) The Administrator shall from time to time review,
and, as appropriate, modify, and reissue any criteria or
information on control techniques issued pursuant to
this section. Not later than six months after the date of
the enactment of the Clean Air Act Amendments of 1977,
the Administrator shall revise and reissue criteria relat-
ing to concentrations of NOs over such period (not more
than three hours) as he deems appropriate. Such criteria
shall include a discussion of nitric and nitrous acids,
nitrites, nitrates, notrosamines, and other carcinogenic
and potentially carcinogenic derivatives of oxides of
nitrogen.
(d) The issuance of air quality criteria and informa-
tion on air pollution control techniques shall be an-
nounced in the Federal Resister and copies shall be made
available to the general public.
(e) The Administrator shall, after consultation with
the Secretary of Transportation and the Secretary of
Housing and Urban Development and State and local of-
ficials and within ISO days after the enactment of this
subsection, and from time to time thereafter, publish
guidelines on the basic program elements for the plan-
ning process assisted under section 175 of part D. Such
guidelines shall include information on—
(1) methods to identify and evaluate alternative
planning and control activities;
(2) methods of reviewing plans on a regular basis
as conditions change or new information is
presented;
(3) identification of funds and other resources
necessary to implement the plan, including inler-
agency agreements on providing such funds and
resources:
(4) methods to assure participation bv the public
in all phases of the planning process: ami
(5) Mich other methods as tho Administrator de-
termines necessary to carry out a continuous plan-
ning process.
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14
(f) (1) The Administrator shall publish and make
available to appropriate Federal agencies, States, and air
pollution control agencies, including agencies assisted
under Action 175 within 6 months after enactment of this
subsection for clauses (i), (ii), (Hi), and (iv) of subpar-
agraph (A) and within one year after the enactment of
this subsection for the balance of this subsection (and
from time to time thereafter),
(A) information, prepared, as appropriate, in co-
operation with the Secretary of Transportation, re-
garding processes, procedures, and methods to re-
duce or control each such pollutant, including but
not limited to—
(i) motor vehicle emission inspection and
maintenance programs;
(ii) programs to control vapor emissions
from fuel transfer and storage operations and
operations using solvents;
(iii) programs for improved public transit;
(iv) programs to establish exclusive bus and
earpool lanes and area wide carpool programs:
(v) programs to limit portions of road sur-
faces or certain sections of the metropolitan
areas to the use of common carriers, both as to
time and place;
(vi) programs for long-range transit improve-
ments involving new transportation policies and
transportation facilities or major changes in ex-
isting facilities;
(vii) programs to control on-street parking:
(viii) programs to construct new parking
facilities and operate existing parking facilities
for the purpose of park and ride lots and fringe
parking;
(ix) programs to limit portions of road sur-
faces or certain sections of the metropolitan area
to the use of nonmotorized vehicles or pedestrian
use, both as to time and place;
(x) provisions for employer participation in
programs to encourage carpooling, vanpooling,
mass transit, bicycling, and walking;
(si) programs for secure bicycle storage fa-
cilities and other facilities, including bicycle
lanes, for the convenience and protection of bi-
cyclists, in lioth public and private areas;
(xii) programs of staggered hours of work;
(xiii) programs to institute road user charges.
tolls, or differential rates to discourage single
occupancy automobile trips;
(xiv) programs to control extended idling of
vehicles;
(xv) programs to reduce emissions by im-
provements in traffic flow;
15
(xvi) programs for the conversion of fleet ve-
hicles to cleaner engines or fuels, or to otherwise
control fleet vehicle operations;
(xvii) programs for retrofit of emission de-
vices or controls on vehicles and engines, other
than light duty vehicles, not subject to regula-
tions under section 202 of title II of this Act;
and
(xyiii) programs to reduce motor vehicle
emissions which are caused by extreme cold start
conditions;
(B) information on additional methods or stra-
tegies that will contribute to the reduction of mobile
source related pollutants during periods in which
any primary ambient air quality standard will be
exceeded and during episodes for which an air pol-
lution alert, warning, or emergency has been
declared;
(C) information on other measures which may be
employed to reduce the impact on public health or
protect the health of sensitive or susceptible individ-
uals or groups;and
(D) information on the extent to which any proc-
ess, procedure, or method to reduce or control such
air pollutant may cause an increase in the emissions
or formation of any other pollutant
(2) In publishing such information the Administrator
shall also include an assessment of—
(A) the relative effectiveness of such processes,
procedures, and methods;
(B) the potential effect of such processes, proce-
dures, and methods on transportation system and the
provision of transportation services; and
(C) the, environmental, energy, and economic im-
pact of such processes, procedures, and methods.
NATIONAL AMBIEXT AIR QUAIJTT STANDARDS
SEC. 109. (a) (1) The Administrator—
(A) within 30 days after the date of enactment of
the Clean Air Amendments of 1970, shall publish
proposed regulations prescribing a national pri-
mary ambient air quality standard and a national
secondary ambient air quality standard for each air
pollutant for which air quality criteria have been
issued prior to such date of enactment; and
(B) after a reasonable time for interested per-
sons to submit written comments thereon (but no
later than 90 days after the initial publication of such
proposed standards) shall by regulation promulgate
such proposed national primary and secondary am-
bient air quality standards with such modifications as
he deems appropriate.
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16
(2) With respect to any air pollutant for which air
quality criteria are issued after the (Into of enactment of
the Clean Air Amendments of 1970, the Administrator
shall publish, simultaneously -with the issuance of such
criteria and information, proposed national primary and
secondary ambient air quality standards for any such pol-
lutant. Tihe procedure provided for in paragraph (1) (B)
of this subsection shall apply to the promulgation of such
standards.
(b)(l) National primary ambient air quality stand-
ards, prescribed, under subsection (a) shall be ambient
air quality standards the attainment and maintenance
of which in the judgment of the Administrator, based on
such criteria and allowing an adequate margin of safety,
are requisite to protect the public health. Such pri-
mary standards may be revised in the same manner as
promulgated.
(2) Any national secondary ambient air quality stand-
ard prescribed, under subsection (a) shall specify a level
of air quality the attainment and maintenance of which
in the judgment of the Administrator, based on such cri-
teria, is requisite to protect the public welfare from any
known or anticipated adverse effects associated with the
presence of such air pollutant in the ambient air. Such
secondary standards may be revised in the same manner
as promulgated.
(c) The Administrator shall, not later than one year
after the date of the enactment of the Clean Air Act
Amendments of 1077, promulgate a national primary
ambient air quality standard for NO. concentrations
over a period of not more than 3 hours unless, based on
the criteria issued under section 10S(c). he finds that
there is no significant evidence that such a standard for
such a period is requisite to protect public health.
(d) (1) Not later than December 31.1080. and at five-
year intervals thereafter, the Administrator shall com-
plete a thorough review of the criteria published under
section 108 and the national ambient air quality stand-
ards promulgated under this section and shall make such
revisions in such criteria and standards and promulgate
such new standards as may be appropriate in accordance
with section 108 and subsection (b) of this section. The
Administrator mnv review and revise criteria or promul-
gate new standards earlier or more frequently than re-
quired under this paragraph.
(2)(A) The Administrator shall appoint an inde-
pendent scientific review committee composed of seven
members including at least one meml>cr of the Xational
Aeademv of Sciences, one physician, and one person rep-
resenting State nir pollution control agencies.
(B) Xot later than .Tannarr 1. 1!>RO. and at five-year
interval's thereafter, the committee referred to in sub-
parngraph (A) shall complete a review of the criteria
17
published under section 108 and the national primary
and secondary ambient air quality standards promul-
gated under this section and shall recommend to the Ad-
ministrator any new national ambient air quality
standards and revisions of existing criteria and standards
as mar be appropriate under section 10S and subsection
(b) of this section.
' (C) Such committee shall also (i) advise the Adminis-
trator of areas in which additional knowledge is required
to appraise the adequacy and basis of existing, new, or
revised national ambient air quality standards, (ii) de-
scribe the research efforts necessary to provide the re-
quired information, (iii) advise the Administrator on the
relative contribution to air pollution concentrations of
natural as well as anthropogenic activity, and (iv) advise
the Administrator of any adverse public health, welfare,
social, economic, or energy effects which may result from
various strategies for attainment and maintenance of
such national ambient air quality standards.
t
IMPLEMENTATION' PLANS
SEC. 110. (a) (1) Each State shall, after reasonable no-
tice and public hearings, adopt and >ubmit to the Ad-
ministrator, within nine months after the promulgation
of a national primary ambient air quality standard (or
any revision thereof) under section 109 for any air pol-
lutant, a plan which provides for implementation, main-
tenance, and enforcement of such primary standard in
each air quality control region (or portion thereof)
within such State. In addition, such State shall adopt
and submit to the Administrator (either as a part of a
plan submitted under the preceding sentence or sep-
arately) within nine months after the promulgation of
a national ambient air quality secondary standard (or
revision thereof), a plan which provides for implemen-
tation, maintenance, and enforcement of such secondary
standard in each air quality control region (or portion
thereof) within such State. Unless a separate public
hearing is provided, each State shall consider its plan
implementing such secondary standard at the hearing
required by the first Sentence of this paragraph.
(2) The Administrator shall, within four months
after the date required for submission of a plan under
paragraph (1), approve or disapprove such plan for
each portion thereof. The Administrator shall approve,
such plan, or any portion thereof, if he determines that it
was adopted after reasonable notice and hearing and
that—
(A) except as may be provided in subp.iragraph
(ii (i) in the case of a plan implementing a na-
tional primary ambient air quality standard, it pro-
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vides for the attainment of such primary standard
as expeditiously as practicable but (subject to sub-
section (e)) in no case later than three years from
the date of approval of such plan (or any revision
thereof to take account of a revised primary stand-
ard) ; and (ii) in the case of a plan implementing
a national secondary ambient air quality standard,
it specifies a reasonable time at which such second-
ary standard will be attained;
(B) it includes emission limitations, schedules,
and timetables for compliance with such limitations,
and such other measures as may be necessary to in-
sure attainment and maintenance of such primary
or secondary standard, including, but not limited to
transportation controls, air quality maintenance
plans, and preconstruction review of direct sources
of air pollution as provided in subparagraph (D) ;
(C) it includes provision for establishment and
operation of appropriate devices, methods, systems,
and procedures necessary to (i) monitor, compile,
and analyze data on amoient air quality and, (ii)
upon request, make such data available to the Ad-
ministrator;
(D) it includes a program to provide for the en-
forcement of emission limitations and regulation of
the modification, construction, and operation of any
stationary source, including a permit program as
required in parts C and D and a permit or equivalent
program for any major emitting facility, within
such region as necessary to assure (i) that national
ambient air quality standards are achieved and main-
tained, and (ii) a procedure, meeting the require-
ments of paragraph (4), for review (prior to con-
struction or modification) of the location of new
sources to which a standard of performance will
apply;
(E) it contains adequate provisions (i) prohibit-
ing any stationary source within the State from
emitting any air pollutant in amounts which will
(I) prevent attainment or maintenance by any other
State of any such national primary or secondary
ambient, air quality standard, or (II) interfere with
measures required to be included in the applicable
implementation plan for any other State under part
C to prevent significant deterioration of air quality
or to protect visibility, and (ii) insuring compliance
with the requirements of section 126, relating to in-
terstate pollution abatement;
(F) it provides (i) necessary assurances that the
State will have adequate personnel, funding, and
authority to carry out such implementation plan,
(ii) requirements for installation of equipment by
owners or operators of stationary sources to monitor
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emissions from such sources, (iii) for periodic re-
ports on the nature and amounts of such emissions;
(iv) that such repotts shall be correlated by the
State agency with any emission limitations or stand-
ards established pursuant to this Act, which reports
shall be available at reasonable times for public in-
spection; (v) for authority comparable to that
in section 303, and adequate contingency plans to
implement such authority; and (vi) requirements
that the State comply with the requirements respect-
ing State boards under section 128;
(G) it provides, to the extent necessary and prac-
ticable, for periodic inspection and testing of motor
vehicles to enforce compliance with applicable emis-
sion standards;
(H) it provides for revision, after public hearing,
of such plan (i) from time to time as may be nec-
essary to take account of revisions of such national
primary or secondary ambient air quality standard
or the availability of improved or more expeditious
methods of achieving such primary or secondary
standard; or (ii) except as provided in paragraph
(3)(C), whenever the Administrator finds on the
basis of information available to him that the plan
is substantially inadequate to achieve the national
ambient air quality- primary or secondary standard
which it implements or to otherwise comply with any
additional requirements established under the Clean
Air Act Amendments of 1977;
(I) it provides that after June 30, 1979, no major
stationary source shall be constructed or modified in
any nonattaimnent area (as defined in section 171
(2)) to which such plan applies, if the emissions
from such facility will cause or contribute to con-
centrations of any pollutant for which a national
ambient air quality standard is exceeded in such area,
unless, as of the time of application for a permit for
such construction or modification, such plan meets
the requirements of part D (relating to nonattain-
ment areas);
(J) it meets the requirements of section 121 (re-
lating to consultation), section 127 (relating to pub-
lic notification), part C (relating to prevention of
significant deterioration of air quality and visability
protection) ; and
(K) it requires the owner or operator of each ma-
jor stationary source to pay to the permitting au-
thority as a condition of any permit required under
this Act a fee sufficient to cover—
(i) the reasonable costs of reviewing and act-
ing upon any application for such a permit, and
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(ii) if the owner or operator receives n per-
mit for such .source, whether before or after the
date of enactment of this subparagraph, the
reasonable costs (incurred after such date of
enactment) of implementing and enforcing the
terms and conditions of any such permit (not
including any court costs or other costs asso-
ciated wjth any enforcement action).
(8) (A) The Administrator shall approve revision of
any implementation plan applicable to an air quality con-
t rol region if he determines that it meets the requiremcnts
of paragraph (2) and has been adopted by the State after
reasonable notice and public hearings.
(B) As soon as practicable, the Administrator shall,
consistent with the purposes of this Act and the Energy
Supply and Environmental Coordination Act of 1974,
review each State's applicable implementation plans and
report to the State on whether such plans can be revised
in relation to fuel burning stationary sources (or persons
supplying fuel to such sources) without interfering with
the attainment and maintenance of any national ambient
air quality standard within the period permitted in this
section. It the Administrator determines that any such
plan can be revised, he shall notify the State that'a plan
revision may be submitted by the State. Any plan revision
which is submitted by the State shall, after public notice
and opportunity for public hearing, be approved by the
Administrator if the revision relates only to fuel burning
stationary sources (or persons supplying fuel to such
sources), and the plan as revised complies with para-
graph (2) of this subsection. The Administrator shall ap-
prove or disapprove any revision no Inter than three
months after its submission.
(C) Xeirher the State, in the case of-a plan (or portion
thereof) approved under this subsection, nor the Ad-
ministrator in the case of a plan (or portion thereof)
promulgated under subsection (c), shall be required to
revise an applicable implementation plan because one or
more exemptions under section 118 (relating to Federal
facilities), enforcement orders under section 113(d), sus-
pensions under section 110(f) or (g) (relating: to tempo-
rary energy or economic authority) or orders under sec-
tion 119 (relating to primary nonferrous smelters) have
l)oen granted, if such plan would have met the require-
ments of this scclion if no Mich exemptions, orders, ex-
tension, or variances had been "ranted.
(D) Any applicable implementation plan for which
an attainment date later than December 31. 1PS2, is pro-
vided pursuant to section 172(a)(2) shall !*• revised by
July 1. 1979. to include the comprehensive nu-a-Mires and
requirements referred to in subsection (c)(o)(B).
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(4) The procedure referred to in paragraph (2)(D)
for review, prior to construction or modification, of the
location of new sources shall (A) provide for adequate
authority to prevent the construction or modification of
any new source to which a standard of performance un-
der section 111 will apply at any location winch the
State determines will prevent the attainment or main-
tenance within any air quality control region (or portion
thereof) within such State of a national ambient air
quality primary or secondary standard, and (H) require
that prior to commencing construction or modification
of any such source, the owner or operator thereof shall
submit to such State such information as may be neces-
sary to permit the State to make a determination under
clause (A).
(5) (A) (i) Any State may include in a State imple-
mentation plan, but the Administrator may not require as
a condition of approval of such plan under this section,
any indirect source review program. The Administrator
may approve and enforce, as part of an applicable imple-
mentation plan, an indirect source review program which
the State chooses to adopt and submit as part of its
plan.
(ii) Except as provided in subparagraph (B). no plan
promulgated by the Administrator shall include any in-
direct source review program for any air quality con-
trol region, or portion thereof.
(iii) Any State may revise, an applicable implementa-
tion plan approved under section 110(a) to suspend or
revoke any such program included in such plan, provided
that such plan meets the requirements of this section.
(B) The Administrator shall have the authority to
promulgate, implement and enforce regulations under
section 110 (c) respecting indirect source review pro-
grams which apply only to federally assisted highways,
airports, and other major federally assisted indirect
sources and federally owned or operated indirect sources.
(C) For purposes of this paragraph, the term "in-
direct source" means a facility, building, structure, instal-
lation, real property, road, "or highway which attracts,
or may attract, mobile sources of pollution. Such term
includes parking lots, parking garages, and other facil-
ities subject to any measure for management of parking
supply (within the meaning of section 110(c) (2) (D)
(ii)), including regulation of existing off-street parking
but such term doe= not include new or existing on-street
parking. Direct emissions sources or facilities at, within,
or associated with, any indirect source shall not be deemed
indirect sources for the purpose of this paragraph.
(D) For purposes of this paragraph the term "in-
direct source review program'' means the faoility-by-
facility review of indirect sources of air pollution,
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including such measures as are necessary to assure, or
assist in assuring, that a new or modified indirect source
will not attract mobile sources of air pollution, the emis-
sions from which would cause or contribute to air pollu-
tion concentrations—
(i) exceeding any national primary ambient air
quality standard for a mobile source-related air pol-
lutant after the primary standard attainment date,
or
(ii) preventing maintenance of any such standard
after such date.
(E) For purposes of this paragraph and paragraph
(2) (B), the term "transportation control measure" does
not include any measure which is an "indirect source re-
view program."
(6) No State plan shall be treated as meeting the re-
quirements of this section unless such plan provides that
in the case of any source which uses a supplemental, or
intermittent control system for purposes of meeting the
requirements of an order under section 113(d) or section
119 (relating to primary nonferrous smelter orders), the
owner or operator of such source may not temporarily
reduce the pay of any employee by reason of the use of
such supplemental or intermittent or other dispersion
dependent control system.
(b) The Administrator may, wherever he determines
necessary, extend the period for submission of any plan
or portion thereof -which implements a national second-
ary ambient air-quality standard for a period not to ex-
ceed eighteen months from the date otherwise required
for submission of such plan.
(c)(l) The Administrator shall, after consideration
of any State hearing record, promptly prepare and pub-
lish proposed regulations setting forth an implementation
plan, or portion thereof, for a State if—
(A) the State fails to submit an implementation
plan which meets the requirements of this section,
(B) the plan, or any portion thereof, submitted
for such State is determined by the Administrator
not to be in accordance with the requirements of this
section, or
(C) the State fails, within 60 days after notifica-
tion by the Administrator or such longer period as
he may prescribe, to revise an implementation plan
as required pursuant to a provision of its plan re-
ferred to in .subsection (a) (2) (H).
If such State held no public hearing associated with re-
spect to such plan (or revision thereof), the Administra-
tor shall provide opportunity for such hearing within
such State on any proposed regulation. The Adminis-
trator shall, within six months after the date required
for submission of such plan (or revision thereof), pro-
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mulgate any such regulations unless, prior to such pro-
mulgation, such State lias adopted and submitted a plan
(or revision) which the Administrator determines to be
in accordance with the requirements of this section. Not-
withstanding the preceding sentence, any portion of a
plan relating to any measure described in the first sen-
tence of section 121 (relating to consultation) or the
consultation process required under such section 121
shall not be required to be promulgated before the date
eight months after such date required for submission.
(2) (A) The Administrator shall conduct a study and
shall submit a report to the Committee on Interstate and
Foreign Commerce of the United States House of Repre-
sentatives and the Committee on Public Works of the
United States Senate not later than three months after
date of enactment of this paragraph on the necessity of
parking surcharge, management of parking supply, and
preferential bus/carpool Tane regulations as part of the
applicable implementation plans required under this sec-
tion to achieve and maintain national primary ambient
air quality standards. The study shall include an assess-
ment of the economic impact of such regulations, consid-
eration of alternative means of reducing total vehicle
miles traveled, and an assessment of the impact of such
regulations on other Federal and State programs dealing
with energy or transportation. In the course of such
study, the Administrator shall consult with other Federal
officials including, but not limited to, the Secretary of
Transportation, the Federal Energy Administrator, and
the Chairman of the Council on Environmental Quality.
(B) Xo parking surcharge regulation may be required
by the Administrator under paragraph (1) of this sub-
section as a part of an applicable implementation plan.
All parkins surcharge regulations previously required by
the Administrator shall be void upon the date of enact-
ment of this subparagraph. This subparagraph shall not
prevent the Administrator from approving parking sur-
charges if they are adopted and submitted by a State as
part of an applicable implementation plan. The Admin-
istrator may not condition approval of any implementa-
tion plan submitted by a State on such plan's including
a parking surcharge, regulation.
(C) The Administrator is authorized to suspend until
January 1. 1075, the effective date or applicability of
any regulations for the management of parking supply
or any requirement that such regulations be a part of an
applicable implementation plan approved or promul-
gated under this section. The exercise of the authority
under this subparagraph shall not prevent the Admin-
istrator from approving such regulations if they are
adopted and submitted by a State as part of an appli-
cable implementation plan. If the Administrator exer-
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ciscs the authority under this subparagraph, regulations
requiring a review or analysis of the impact of proposed
parking facilities before construction which take effect
on or after January 1, 1975. shall not apply to parking
facilities on which construction has been initiated before
January 1, 1975.
(D) For purposes of this pargaraph—
(i) The term "parking surcharge, regulation"
means a regulation imposing or requiring the im-
position of any tax, surcharge, fe*. or other charge
on parking spaces, or any other area used for the
temporary storage of motor vehicles.
(ii) The term "management of parking supply'1
shall include any requirement providing that any
new facility containing a given nnmlier of parking
spaces shall receive a permit or other prior approval,
issuance of which is to be conditioned on air quality
considerations.
(Hi) The term "preferential bus/carpool lane"
shall include any requirement, for the setting aside
of one or more lanes of a street or highway on a
permanent or temporary basis for the exclusive use
of buses or carpools, or both.
(E) No standard, plan, or requirement, relating to
management of parking supply or preferential bus/car-
pool lanes shall be promulgated after the date of enact-
ment of this paragraph by the Administrator pursuant
to this section, unless such promulgation has been sub-
jected to at least one public hearing which has been held
in the area affected and for which reasonable notice has
been given in such area. If substantial changes are made
following public hearings, one or more additional hear-
ings shall be held in such area after such notice.
(3) Upon application of the chief executive officer of
any general purpose unit of local government, if the Ad-
ministrator determines that such unit has adequate au-
thority under State or local law. the Administrator may
delegate to such unit the authority to implement and en-
force within the jurisdiction of such unit any part of a
plan promulgated under this subsection. Xothing in this
paragraph shall prevent the Administrator from imple-
menting or enforcing any applicable provision of a plan
promulgated under this' subsection.
(4) In the case of any applicable implementation plan
containing measures requiring—
(A) retrofits on other than commercially owned
in-use vehicles,
(B) gas rationing which the Administrator finds
would have seriously disruptive and widespread eco-
nomic or social effects, or
(C) the reduction of the supply of on-strect park-
nig spaces,
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the Governor of the State may. after notice and oppor-
tunity for public hearing, temporarily suspend such
measures notwithstanding the requirements of this section
until January 1.1070. or the date on which a plan revii-ion
under section 110(a) (2) (I) is submitted, whichever is
earlier. So such suspension shall 1)C granted unless the
State agrees to prepare, adopt, and submit such plan re-
vision as determined by the Administrator.
(5) (A) Any measure in an applicable implementation
plan which requires a toll or other charge for the use of
a bridge located entirely within one city shall be elimi-
nated from such plan by the Administrator upon appli-
cation by the Governor of the State, which application
shall include a certification by the Governor that he will
revise such plan in accordance with subparagraph (B).
(B) In the case of any applicable implementation plan
with respect to which a measure has been eliminated un-
der subparagraph (A), such plan shall, not later than
one year after the date of the enactment of this subpara-
graph, be revised to include comprehensive measures
(including the written evidence required by part D), to:
-. - (i) establish, expand, or improve public transpor-
, . tation measures to meet basic transportation needs,
as expeditiously as is practicable: and
- ,- (ii) implement transportation control measures
• necessary to attain and maintain national ambient
i air quality standards,
and such revised plan shall, for the purpose of implement-
ing such comprehensive public transportation measures,
include requirements to use (insofar as is necessary)
Federal grants, State or local funds, or any combination
of such grants and funds as may be consistent with the
terms of the legislation providing such grants and funds.
Such measures shall, as a substitute for the tolls or
charges eliminated under subparagraph (A), provide
for emissions reductions equivalent to the reductions
which may reasonably be expected to be achieved through
the use of the tolls or charges eliminated.
(C) Any revision of any implementation plan for
purposes o'f meeting the requirements of subparagraph
(B) shall be submitted in coordination with any plan
revision required under part D.
(d) For purposes of this Act, an applicable imple-
mentation plan is the implementation plan, or most recent
revision thereof, which has been approved under subsec-
tion (a) or promulgated under subsection (c) and which
implements the requirements of this section.
(e)(1) Upon application of a Governor of a State at
the time of submission of any plan implementing a
national ambient air quality primary standard, the Ad-
ministrator may (subject to paragraph (2)) extend the
three-year period referred to in subsection (a) (2) (A)
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(i) for not more than two years for an air quality control
region if after review of such plan the Administrator
determines that—
(A) one or more emission sources (or classes of
moving sources) are unable to comply with the re-
quirements of such plan which implement such pri-
mary standard because the necessary technology or
other alternatives are not available or will not be
available soon enough to permit compliance within
such three-year period, and
(B) the State has considered and applied as a
part of its plan reasonably available alternative
means of attaining such primary standard and has
justifiably concluded that attainment of such pri-
mary standard within the three years cannot be
achieved.
(2) The Administrator may grant an extension under
paragraph (1) only if he determines that the State plan
provides for—
(A) application of the requirements of the plan
which implement such primary standard to all emis-
sion sources in such region other than the sources
(or classes) described in paragraph (1) (A) within
the three-year period, and
(B) such interim measures of control of the
sources (or classes) described in paragraph (1) (A)
as the Administrator determines to be reasonable
under the circumstances.
(f) (1) Upon application by the owner or operator of
a fuel burning stationary source, and after notice and
opportunity for public hearing, the Governor of the
State in which such source is located may petition the
President to determine that a national or regional energy
emergency exists of such severity that—
(A) a temporary suspension of any part of the
applicable implementation plan may be necessary,
and
(B) other means of responding to the energy
emergency may be inadequate.
Such determination shall not be delegable by the Presi-
dent to any other person. If the President determines
that a national or regional energy emergency of such
severity exists, a temporary emergency suspension of
any part of an applicable implementation plan adopted
by the State mav be issued by the Governor of nnv State
covered by the President's determination under the con-
dition specified in paragraph (2) and may talte effect
immediately.
(2) A temporary emergency suspension under this
subsection shall be issued to a source only if the Governor
of such State finds that—
27
(A) there exists in the vicinity of such source a
temporary energy emergency involving high levels
of unemployment or loss of necessary energy sup-
plies for residential dwellings; and
(B) such unemployment or loss can be totally or
partially alleviated by such emergency suspension.
Not more than one such suspension may be issued for any
source on the basis of the same set of circumstances or on
the basis of the same emergency.
(3) A temporary emergency suspension issued by a
Governor under this subsection shall remain in effect for
a maximum of four months or such lesser period as may
be specified in a disapproval order of the Administrator,
if any. The Administrator may disapprove such suspen-
sion if he determines that it does not meet the require-
ments of paragraph (2).
(4) This subsection shall not apply in the case of a plan
provision or requirement promulgated by the Adminis-
trator under subsection (c) of this section, but in any
such case the President may grant a temporary emer-
gency suspension for a four month period of any such
provision or requirement if he makes the determinations
and findings specified in paragraphs (1) and (2).
. (5) The Governor may include in any temporary
emergency suspension issued under this subsection a pro-
vision delaying for a period identical to the period of
such suspension any compliance schedule (or increment
of progress) to which such source is subject under section
119, as in effect before the date of the enactment of this
paragraph or section 113(d) of this Act, upon a find-
ing that such source is unable to comply with such
schedule (or increment) solely because of the conditions
on the basis of which a suspension was issued under this
subsection.
(g) (1) In the case of any State which has adopted a.nd
submitted to the Administrator a proposed plan revision
which the State determines—
(A) meets the requirements of this section, and
(B) is necessary (i) to prevent the closing for
one year or more of any source of air pollution, and
(ii)"to prevent substantial increases m unemploy-
ment which would result from such closing, and
which the Administrator has not approved or disap-
proved under this section within the required four month
period, the Governor may issue n temporary emergency
suspension of the part of the applicable implementation
plan for such State which is proposed to be revised with
respect to such source. The determination under subpara-
graph (B) may not be made with respect to a source
which would close without re
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(2) A temporary emergency suspension issued by a
Governor under this subsection shall remain in effect for
a maximum of four months or such lesser period as may
be specified in a disapproval order of the Administrator.
The Administrator may disapprove such suspension if
he determines that it does not meet the requirements of
this subsection.
(3) The Governor may include in any temporary
emergency suspension issued under this subsection a pro-
vision delaying for a period identical to the period of
such suspension any compliance schedule (or increment
of progress) to which such source is subject under section
119 as in effect before the date of the enactment of this
paragraph, or under section 113(d) upon a finding that
such source is unable to comply with such schedule (or
increment) solely because of the conditions on the basis
of which a suspension was issued under this subsection.
(h) (1) Xot later than one year after the date of en-
actment of the Clean Air Act Amendments of 1977 and
annually thereafter, the Administrator shall assemble
and publish a comprehensive document for each State
petting forth all requirements of the applicable imple-
mentation plan for such State and shall publish notice
in the Federal Register of the availability of such docu-
ments. Each such document shall be revised as frequently
as practicable but not less often than annually.
(2) The Administrator may promulgate such regula-
tions as may be reasonably necessary to carry out the
purpose of this subsection.
(i) Except for a primary nonferrous smelter order
under section 119, a suspension under section 110 (f) or
(g) (relating to emergency suspensions), an exemption
under section 118 (relating to certain Federal facilities),
an order under section 113(d) (relating to compliance
orders), a plan promulgation under section 110(c), or a
plan revision under section 110(a) (3), no order, suspen-
sion, plan revision, or other action modifying any re-
quirement of an applicable implementation plan may be
taken with respect to any stationary source by the State
or by the Administrator.
(]) As a condition for issuance of any permit required
under this title, the owner or operator of each new or
modified stationary source which is required to obtain
such a permit must show to the satisfaction of the per-
mitting authority that the technological system of con-
tinuous emission reduction which is to be used will en-
able such source to comply with the standards of per-
formance which arc to apply to such source and that the
construction or modification and operation of such source
will bo in compliance with all other requirements of this
Act.
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STANDARDS OF I-ERFORMAXCE FOR XEW STATIONARV SOURCES
SEC. 111. (a) For purpose* of this section:
(1) The term "standard of performance" means—
(A) with respect to any air pollutant emitted
from a category of fossil fuel fired stationary
sources to which subsection (b) applies, a
standard—
(i) establishing allowable emission limi-
tations for such category of sources, and
(ii) requiring the achievement of a per-
centage reduction in the emissions from
such category of sources from the emissions
which would have resulted from the use of
' fuels which are not subject to treatment
prior to combustion,
(B) with respect to any air pollutant emitted
from a category of stationary sources (other
than fossil fuel fired sources) to which subsec-
tion (b) applies, a standard such as that referred
to in subparagraph (A) (i); and
(C) with respect to any air pollutant emitted
from a particular source to which subsection (d)
applies, a standard which the State (or the Ad-
ministrator under the conditions specified in
subsection (d) (-2)) determines is applicable to
that source and which reflects the degree of
emission reduction achievable through the ap-
plication of the best system of continuous emis-
sion reduction which (taking into consideration
the cost of achieving such emission reduction,
and any nonair quality health and environmen-
tal impact and energy requirements) the Ad-
ministrator determines has been adequately
demonstrated for that category of sources.
For the purpose of subparagraphs (-*•) (>) an(* («) »n
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if earlier, proposed regulations) prescribing n
standard of performance under this section which
will be applicable to such source.
(3) The term "stationary source" means any build-
ing, structure, facility, or installation which emits
or may emit any air pollutant.
(4)"The term "modification" means any physical
change in, or change in the method of operation of.
a stationary source which increases the amount of
any air pollutant emitted by such source or which
results in the emission of any air pollutant not pre-
viously emitted.
(5) The term "owner or operator" means any per-
son who owns, leases, operates, controls, or supervises
a stationary source.
(6) The term "existing source" means any station-
ary source other than a new source.
(7) The term "technological system of continuous
emission reduction" mtans—
(A) a technological process for production or
operation by any source which is inherently low-
polluting or nonpolluting. or
(B) a technological system for continuous re-
duction of the pollution generated by a source
before such pollution is emitted into the ambient
air, including precombustion cleaning or treat-
ment of fuels.
(8) A conversion to coal (A) by reason of an order
under section 2 (a) of the Energy Supply and En-
vironmental Coordination Act of 1974 or any amend-
ment thereto, or any subsequent enactment which
supersedes such Act, or (B) which qualifies under
section 113(d) (5) (A) (ii) of this Act, shall not be
deemed to be a modification for purposes of para-
graphs (2) and (4) of this subsection.
(b)(l)(A) The Administrator shall, within 90 days
after the date of enactment of the Clean Air Amend-
ments of 1070, publish (and from time to time thereafter
shall revise) a list of categories of stationary sources. He
shall include a category of sources in such list if in his
judcmont it causes, or contributes significantly to. air
pollution which may reasonably be anticipated to en-
dan
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32
State in applying a standard of performance to any
particular source under a plan submitted under this
paragraph to take into consideration, among other fac-
tors, the remaining useful life of the existing source to
which such standard applies.
(2) The Administrator shall have the same authority—
(A) to prescribe a plan for a State in cases where
the State fails to submit a satisfactory plan as he
would have under section 110(c) in the case of fail-
ure to submit an implementation plan, and
(B) to enforce the provisions of such plan in cases
where the State fails to enforce them as he would
have under sections 113 and 114 with respect to an
implementation plan. In promulgating a standard of
performance under a plan prescribed under this
paragraph, the Administrator shall take into con-
sideration, among other factors, remaining useful
lives of the sources in th« category of sources to
which such standard applies.
(e) After the effective date of standards of perform-
ance promulgated under this section, it shall be unlawful
for any owner or operator of any new source to operate
such source in violation of any standard of performance
applicable to such source.
(f) (1) Xot later than one year after the date of enact-
ment of this subsection, the Administrator shall promul-
gate regulations listing under subsection (b) (1) (A) the
categories of major stationary sources which are not on
the date of the enactment of this subsection included on
the list required under subsection (b)(l)(A). The Ad-
ministrator shall promulgate regulations establishing
standards of performance for the percentage of such
categories of sources set forth in the following table
before the expiration of the corresponding period set
forth in such table:
Period hv wbich «t«nd-
Percentage of source categories re- ^"'."fV^dJtTn.'t
quired to be listed (or which stand- "required tobe pro*
ards must be established: mounted:
25 2 years.
76 3 years.
100 4 years.
(2) In determining priorities for promulgating stand-
ards for categories of major stationary sources for the
pin-pose of paragraph (1). the Administrator shall con-
sider—
(A) the quantity of air pollutant emissions which
each such category will omit, or will IK- designed to
emit;
(B) the extent to which each such pollutant may
reasonably be anticipated to endanger public health
or welfare; and
33
(C) the mobility and competitive nature of each
such category of sources and the consequent need
for nationally applicable new source standards of
performance.
(3) Before promulgating any regulations under this
subsection or listing any category of major stationary
sources as required under this subsection, the Adminis-
trator shall consult with appropriate representatives of
the Governors and of State air pollution control agcn-
(g) (1) Upon application by the Governor of a State
showing that the Administrator has failed to specify in
regulations under subsection (f)(l) any category of
major stationary sources required to be specified under
such regulations, the Administrator shall revise such
regulations, to specify any such category.
(2) Upon application of the Governor of a State,
showing that any category of stationary sources which
is not included in the list under subsection (b) (1) (A)
contributes significantly to air pollution which may
reasonably be anticipated to endanger public health or
welfare (notwithstanding that such category is not a
category of major stationary sources), the Administrator
shall revise such regulations to specify such category of
stationary sources.
(3) Upon application of the Governor of a State
showing that the Administrator has failed to apply
properly the criteria required to be considered under sub-
section (f)(2), the Administrator shall revise the list
under subsection (b)(l)(A) to apply properly such
criteria.
(4) Upon application of the Governor of a State
showing that—
(A) a new. innovative, or improved technology or
process which achieves greater continuous emission
reduction has been adequately demonstrated for any
category of stationary sources, and
(B) as a result of such technology or process, the
new source standard of performance in effect under
subsection (b) for such category no longer reflects
the greatest degree of emission limitation achiev-
able through application of the best technological
system of continuous omission reduction which (tak-
ing into consideration the cost of achieving such
cmii-sion reduction, and any non-air quality health
and environmental impact and energy requirements)
has been adequately demonstrated, -
the Administrator shall revise such standard of perform-
ance for such category accordingly.
(5) ITpon application by the Governor of n State show-
ing that the Administrator has failed to list any air pol-
lutant which causes, or contributes to. air pollution which
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34
may reasonably be anticipated to result in an increase
in mortality or an increase in serious irreversible, or in-
capacitating reversible, illness as a hazardous air pollu-
tant under section 112, the Administrator shall revise the
list of hazardous air pollutants under such section to in-
clude such pollutant.
(6) Upon application by the Governor of a State show-
ing tnat any category of stationary sources of a hazard-
ous air pollutant listed under section 112 is not subject
to emission standards under such section, the Admin-
istrator shall propose and promulgate such emission
standards applicable to such category of sources.
(7) Unless later deadlines for action of the Adminis-
trator are otherwise prescribed under this section or sec-
tion 112, the Administrator shall, not later than three
months following the date of receipt of any application
by a Governor of a State, either—
(A) find that such application does not contain
the requisite showing and deny such application, or
(B) grant such application and take the action
required under this subsection.
(8) Before taking any action required by subsection
(f) or by this subsection, the Administrator shall pro-
vide notice and opportunity for public hearing.
(h) (1) For purposes of this section, if in the judgment
of the Administrator, it is not feasible to prescribe or en-
force a standard of performance, he may instead promul-
gate a design, equipment, work practice, or operational
standard, or combination thereof, which reflects the best
technological system of continuous emission reduction
which (taking into consideration the cost of achieving
such emission reduction, and any non-air quality health
and environmental impact and energy requirements) the
Administrator determines has been adequately demon-
strated. In the event the Administrator promulgates a
design or equipment standard under this subsection, he
shall include as part of such standard such requirements
as will assure the proper operation and maintenance of
any such element of design or equipment
(2) For the purpose of this subsection, the phrase "not
feasible to prescribe or enforce a standard of perform-
ance" means any situation in which the Administrator
determines that (A) a pollutant or pollutants cannot be
emitted through a conveyance designed and constructed
to emit or capture such pollutant, or that any require-
ment for. or use of. such n conveyance would be incon-
sistent with any Federal. State, or local law, or (B) the
application of measurement methodology to a particular
cla?s of sources is not practicable due to'technological or
economic limitations.
(3) If after notice and opportunity for public hearing
any person establishes to the satisfaction of the Adminis-
35
trator that an alternative means of emission limitation
will achieve a reduction in emissions of any air pollutant
at least equivalent to the reduction in emissions of
such air pollutant achieved under the requirements of
paragraph (1), the Administrator shall permit the use
of such alternative by the source for purposes of com-
pliance with this section with respect to such pollutant.
(4) Any standard promulgated under paragraph (1)
shall be promulgated in terms of standard of perform-
ance whenever it becomes feasible to promulgate and en-
force such standard in such terms.
(i) Any regulations promulgated by the Administrator
under this section applicable to grain elevators shall not
apply to country elevators (as defined by the Adminis-
trator) which have a storage capacity of less than two
million five hundred thousand bushels.
(j) (1) (A) Any person proposing to own or operate a
new source may request the Administrator for one or
more waivers from the requirements of this section for
such source or any portion thereof with respect to any air
pollutant to encourage the use of an innovative techno-
logical system or systems of continuous emission reduc-
tion. The Administrator may, with the consent of the
Governor of the State in which the source is to be located,
grant a waiver under this paragraph, if the Administra-
tor determines after notice and opportunity for public
hearing, that—
(i) the proposed system or systems have not been
adequately demonstrated.
(ii) the proposed system or systems will operate
effectively and there is a substantial likelihood that
such system or systems will achieve greater con-
tinuous emission reduction than that required to
be achieved under the standards of performance
which would otherwise apply, or achieve at least an
equivalent reduction at lower cost in terms of energy,
economic, or nonair quality environmental impact,
(iii) the owner or opciator of the proposed source
has demonstrated to the satisfaction of the Admin-
istrator that tlie proposed system will not cause or
contribute to an unreasonable risk to public health,
welfare, or safety in its operation, function, or mal-
function, and
(iv) the granting of such waiver is consistent with
the requirements of subparagraph (C).
In making any determination nuclei' clause (ii). the Ad-
ministrator shall take into account any previous failure
of such system or systems to operate effectively or to moot
any requirement of the new source performance stand-
ards. In determining whether an unreasonable risk exists
under clause (iii), the Administrator shall consider,
among other factors, whether and to what extent the
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use of the proposed technological system will cause, in-
crease, reduce, or eliminate emissions of any unregulated
pollutants; available methods for reducing or eliminat-
ing any risk to public health, welfare, or safety which
may be associated with the use of such system; and the
availability of other technological systems which may be
used to conform to standards under subsection (b) of this
section without causing or contributing to such unreason-
able risk. The Administrator may conduct such tests and
may require the owner or operator of the proposed source
to conduct such tests and provide such information as is
necessary to carry out clause (iii) of this subparagraph.
Such requirements shall include a requirement for
prompt reporting of the emission of any unregulated
pollutant from a system if such pollutant was not
emitted, or was emitted in significantly lesser amounts
without use of such system.
(B) A waiver under this paragraph shall be granted
on such terms and conditions as the Administrator deter-
mines to be necessary to assure—
(i) emissions from the source will not prevent
attainment and maintenance of any national
ambient air quality standards, and
(ii) proper functioning of the technological sys-
tem or systems authorized.
Any such term or condition shall be treated as a standard
of performance for the purposes of subsection (e) of this
section and section 113.
(C) The number of waivers granted under this para-
graph with respect to a proposed technological system
of continuous emission reduction shall not exceed such
number as the Administrator finds necessary to ascertain
whether or not such system will achieve the conditions
specified in clauses (ii) and (iii) of subparagraph (A).
(D) A waiver under this paragraph shall extend to
the sooner of—
(i) the date determined by the Administrator,
after consultation with the owner or operator of the
source, taking into consideration the design, instal-
lation, and capital cost of the technological system
or systems being used, or
("ii) the date on which the Administrator deter-
mines that such system has failed to—
(I) achieve at least an equivalent continuous
emission reduction to that required to be
achieved under the standards of performance
which would otherwise appty, or
(II) comply with the condition specified in
paragraph (lj (A) (iii).
ami that such failure cannot be corrected.
(E) In carrying out siibpavagraph (D)(i), the Ad-
ministrator shall not permit any waiver for a source or
portion thereof to extend beyond the date—
37
(i) seven years after the date on which nny waiver
is granted to such source or portion thereof, or
(ii) four years after the date on which such source
or portion thereof commences operation,
whichever is earlier.
(F) No waiver under this subsection shall apply to any
portion of a source other than the portion on which the
innovative technological sj-stem or systems of continuous
emission reduction is used.
(2) (A) If a waiver under paragraph (1) is terminated
under clause (ii) of paragraph (1)(D). the Adminis-
trator shall grant an extension of the requirements of this
section for such source for such minimum period as may
be necessary to comply with the applicable standard of
performance under subsection (b) of this section. Such
period shall not extend beyond the date three years from
the time such waiver is terminated.
(B) An extension granted under this paragraph shall
set forth emission limits and a compliance schedule con-
taining increments of progress which require compliance
with the applicable standards of performance as espedi-
tiously as practicable and include such measures as are
necessary and practicable in the interim to minimize
emissions. Such schedule shall be treated as a standard of
performance for purposes of subsection (c) of this sec-
tion and section 113.
NATIONAL EMISSION STANDARDS FOR HAZARDOUS AIR
rOIXTJTAXTS
SEC. 112. (a) For purposes of this section—
(1) The term "hazardous air pollutant" means
an air pollutant to which no ambient air quality
standard is applicable and which in the judgment of
the Administrator causes, or contributes to. air pol-
lution which may reasonably be anticipated to result
in an increase in mortality or an increase in serious
irreversible, or incapacitating reversible, illness.
(2) The term "new source" means a stationary
source the construction or modification of which is
commenced after the Administrator proposes regula-
tions under this section establishing an emission
standard which will be applicable to such source.
(3) The terms "stationary source,'' "modification,"'
"owner or operator" and "existing source'1 shall have
the same meaning as such terms have under section
111(a).
(b) (1) (A) The Administrator shall, within 90 days
after the date of enactment of the Clean Air Amend-
ments of 1970, publish (and shall from time to time
thereafter revise) n list which includes each hazardous air
pollutant for which he intends to establish an emission
standard under this section.
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(B) Within 180 days after the inclusion of any air pol-
lutant in such list, the Administrator shall publish pro-
posed regulations establishing emission standards for
such pollutant together with a notice of a public hearing
within thirty days. Not later than 180 days after such
publication, the Administrator shall prescribe an emis-
sion standard for such pollutant, unless he finds, on the
basis of information presented at such hearings, that such
pollutant clearly is not a hazardous air pollutant. The
Administrator shall establish any such standard at the
level which in his judgment provides an ample margin of
safety to protect the public health from such hazardous
air pollutant.
(C) Any emission standard established pursuant to
this section shall become effective upon promulgation.
(2) The Administrator shall, from time to time, issue
information on pollution control techniques for air pol-
lutants subject to the provisions of this section.
(c) (1) After the effective date of any emission stand-
ard under this section—
(A) no person may construct any new source or
modify any existing source which, in the Adminis-
trator's judgment, will emit an air pollutant to -which
such standard applies unless the Administrator finds
that such source if properly operated will not cause
emissions in violation of such standard, and
(B) no air pollutant to •which such standard ap-
plies may be emitted from any stationary source in
violation of such standard, except that in the case of
an existing source—
(i) such standard shall not apply until 90
days after its effective date, and
(ii) the Administrator may grant a waiver
permitting such source a period of up to two
years after the effective date of a standard to
comply with the standard, if he finds that such
period is necessary for the installation of con-
trols and that steps will be taken during the
period of the waiver to assure that the health
of persons will be protected from imminent
endangerment.
(2) The President may exempt any stationary source
from compliance with paragraph (1) for a period of not
more than two years if he finds that the technology to
implement such standards is not available and the oper-
ation of such source IK required for reasons of national
security. An exemption under this paragraph may be ex-
tended for one or more additional periods, each period
not to exceed two years. The President shall make a re-
port to Congress with respect to each exemption (or ex-
tension thereof) made under this paragraph.
39
(d)(l) Each State may develop and submit to the
Vdministrator a procedure for implementing and enforc-
in<* emission standards for hazardous air pollutants for
stationary sources located in such State. If the Adminis-
trator finds the State procedure is adequate, he shall dele-
gate to such State any authority he has under this Act to
implement and enforce such standards.
(2) Nothing in this subsection shall prohibit the Ad-
ministrator from enforcing any applicable emission
standard under this section.
(e) (1) For purposes of this section, if in the judgment
of the Administrator, it is not feasible to prescribe or en-
force an emission standard for control of a hazardous air
pollutant or pollutants, he may instead promulgate a de-
sign, equipment, work practice, or operational standard,
or'combination thereof, which in his judgment is ade-
quate to protect the public health from such pollutant or
pollutants with an ample margin of safety. In the event
the Administrator promulgates a design or equipment
standard under this subsection, he shall include as part of
such standard such requirements as will assure the proper
operation and maintenance of any such element of design
or equipment.
(2) For the purpose of this subsection, the phrase "not
feasible to prescribe or enforce an emission standard"
means any situation in which the Administrator deter-
mines that (A) a hazardous pollutant or pollutants can-
not be emitted through a conveyance designed and
constructed to emit or capture such pollutant, or that
any requirement for, or use of, such a conveyance would
be inconsistent with any Federal, State, or local law, or
(B) the application of measurement methodology to a
particular class of sources is not practicable due to tech-
nological or economic limitations.
(3) If after notice and opportunity for public hearing,
any person establishes to the satisfaction of the Adminis-
trator that an alternative means of emission limitation
will achieve a reduction in emissions of any air pollutant
at least equivalent to the reduction in emissions of such
air pollutant achieved under the requirements of para-
graph (1), the Administrator shall permit the use of such
alternative by the source for purposes of compliance with
this section with respect to such pollutant.
(4) Any standard promulgated under paragraph (1)
shall be promulgated in terms of an emission standard
whenever it liecomes feasible to promulgate, and enforce
such standard in such terms.
FEDERAL EX1XMICEMEXT
SEC. 113. (a) (1) Whenever, on the basis of any infor-
mation available to him. the Administrator finds that any
pei-son is in violation of any m|uircment of an applicable
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implementation plan, the Administrator sha]l notify the
pel-son in violation of the plan and the State in which the
plan applies of such finding. If such violation extends
beyond the 30th day sifter the date of the Administrator's
notification, the Administrator may issue an order requir-
ing such person to comply with the requirements of such
plan or he may bring a civil action in accordance with
subsection (b).
(2) Whenever, on the basis of information available to
him, the Administrator finds that violations of an appli-
cable implementation plan are so widespread that such
violations appear to result from a failure of the State in
which the plan applies to enforce the plan effectively, he
shall so notify the State. If the Administrator finds such
failure extends beyond the thirtieth day after such notice,
he shall give public notice of such finding. During the
period beginning with such public notice and ending
when such State satisfies the Administrator that it win
enforce, such plan (hereafter referred to in this section as
"period of federally assumed enforcement"), the Ad-
ministrator may enforce any requirement of such plan
with respect to "any person—
(A) by issuing an order to comply with such re-
quirement, or
(B) by bringing a civil action under subsection
(b).
(3) Whenever, on the basis of any information avail-
able to him. the Administrator finds that any person is in
violation of section lll(e) (relating to new source per-
formance standards), 112(c) (relating to standards for
hazardous emissions), or 119(g) (relating to energy-
related authorities), or is in violation of any require-
ment of section 114 (relating to inspections, etc.), he mar
issue an order requiring such person to comply with such
section or requirement, or he may bring a civil action in
accordance with subsection (b).
(4) An order issued under this subsection (other than
an order relating to a violation of section 112) shall not
take effect until the person to whom it is issued has had
an opportunity to confer with the Administrator con-
cerning the alleged violation. A copy of any order issued
under this subsection shall 1* sent to the State air pollu-
tion control agency of any State in which the violation
occurs. Any order issued under this subsection shall state
with reasonable specificity the nature of the violation.
specify a time for compliance which the Administrator
determines is reasonable, taking into account the serious-
ness of the violation and any good faith efforts to com-
ply with applicable requirement;:. Jn any case in which an
order under this subsection (or notice to a violator under
paragraph (1)) is issued to a corporation, a copy of such
order (or notice) shall be issued to appropriate corporate
officers.
41
(5) Whenever, on the basis of information available
to him, the Administrator finds that a State is not acting
in compliance with any requirement of the regulation
referred to in section 129(a) (1) of the Clean Air Act
Amendments of 1977 (relating to certain interpretative
regulations) or any plan provisions required under sec-
tion 110(a) (2) (I) and part D, he may issue an order
prohibiting the construction or modification of nny major
stationary source in any area to which such provisions
apply or he may bring a civil action under subsection
.
(b) The Administrator shall in the case of any person
which is the owner or operator of a major stationary
source, and may, in the case of any other person, com-
mence a civil action for a permanent or temporary in-
junction, or to assess and recover a civil penalty of not
more than $25,000 per day of violation, or both, whenever
such person —
(1) violates or fails or refuses to comply with any
order issued under subsection (a) ; or
(2) violates any requirement of an applicable im-
plementation plan (A) during any period of Fed-
erally assumed enforcement, or (B) more than 30
days after having been notified by the Administra-
tion under subsection (a) (1) that such person is vio-
lating such requirement ; or
. • (3) violatessectionlll(e),s112(c).sectionll9(g)
(as in effect before the date of the enactment of the
Clean Air Act Amendments of 1977). subsection
(d)(5) (relating to coal conversion), section 320
(relating to cost of certain vapor recovery), section
119 (relating to smelter orders), or any regulation
under part B (relating to ozone) ; or
(4) fails or refuses to comply with any require-
ment of section 114 or subsection (d) of this sec-
tion ; or
(5) attempts to construct or modify a major sta-
tionary source in any area with respect to which a
finding under subsection (a) (5) has Ixwn made.
The Administrator may commence a civil action for
recovery of any noncompliance penalty under section 120
or for recovery of any nonpayment penalty for which
any person is liable under section 120 or for both. Any
action under this subsection may be brought in the dis-
trict court of the United States for the district in which
the violation occurred or in which the defendant resides
or has his principal place of business, and such court shall
have jurisdiction to restrain such violation, to require
compliance, to assess such civil penalty and to collect any
noncomplinnce penalty (and nonpayment penalty) owed
under section 120. In determining the amount of any civil
penalty to be assessed under this subsection, the court
* The word "section" wan apparently omitted following the comma.
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shall take into consideration (in addition to other factors)
the size of the business, the economic impact of the penal-
ty on the business, and the seriousness of the violation.
Notice of the commencement of such action shall be given
to the appropriate State air pollution control agency. In
the case of any action brought by the Administrator
under this subsection, the court may award costs of litiga-
tion (including reasonable attorney and expert witness
fees) to the party or parties against whom such action
was brought in any case where the court finds that such
action was unreasonable.
(c) (1) Any person who knowingly—
(A) vfolates any requirement of an applicable im-
plementation plan (i) during any period of Fed-
erally assumed enforcement, or (ii) more than 30
days after having been notified by the Administra-
tion under subsection (a) (1) that such person is vio-
lating such requirement, or
(B) violates or fails or refuses to comply with
any order under section 119 or under subsection (a)
or (d) of this section, or
(C) violates section lll(e), section 112(c). or
(D) violates any requirement of section 119(g)
(as in effect before the date of the enactment of this
Act, subsection (b)(7) or (d) (5) of section 120 (re-
lating to noncompliance penalties), or any require-
ment of part B (relating to ozone), shall be punished
by a fine of not more than £25.000 per day of viola-
tion, or by imprisonment for not more than one year,
or by both. If the conviction is for a violation com-
mitted after the first conviction of such person under
tliis paragraph, punishment shall be by a fine of not
more than $50,000 per day of violation, or by im-
prisonment for not more than two years, or by both.
(2) Any person who knowingly makes any false state-
ment, representation, or certification in any application,
record, report, plan, or other document filed or required
to be maintained under this Act or who falsifies, tampers
with, or knowingly renders inaccurate any monitoring
device or method required to be maintained under this
Act, shall upon conviction, be punished by a fine of not
more tlian $10.000, or b}~ imprisonment for not more than
six months, or by both.
(3) For the purpose of this subsection, the term "per-
son" includes, in addition to the entities referred to in sec-
tion 302(e). any responsible corporate officer.
(d)(l) A State (or, after thirty- days notice to the
State, the Administrator) may ishiie to any stationary
source which is unable to comply with any requirement
43
I -U such order is issued after notice to the public
(.id, M appropriate, to the Administrator) contain-
ing tlie content of the proposed order and opportu-
of an applicable implementation plan an order which
specifies a date for final compliance with such require-
ment later than the date for attainment of any national
ambient air quality .standard specified in .such plan if—
rd«n, a schedule and timetable
for compliance; .. ,,
(C) the order requires compliance with applicable
interim requirements as provided in paragraph (j)
(B) (relating to sources converting to coal), and
paragraphs (6) and (7) (relating to all sources re-
ceiving such orders) and requires the emission moni-
toring and reporting by the source authorized to be
required under sections 110(a)(2)(F) and IH(a)
(D) the order provides for final compliance with
the requirement of the applicable implementation
plan as expeditiously as practicable, but (except as
provided in paragraph (4) or (5)) in no event later
than July 1, 19T9, or three years after the date tor
final compliance with such requirement specified in
- such plan, whichever is later; and
(E) in the case of a major stationary source, the
order notifies the source that, unless exempted under
section 120(a)(2) (B) or (C), it will be required
to pay a noncompliance penalty effective July 1,
1979, as provided under section 120 or by such later
date as is set forth in the order in accordance with
section 120 (b) (3) or (g), in the event such_EOurce
fails to achieve final compliance by July 1. 1976.
(2) In the case of any major stationary source, no
such order issued by the State shall take effect until the
Administrator determines that such order_hasbeen issued
in accordance with the requirements of this Act. The Ad-
ministrator shall determine, not later than 90 days after
receipt of notice of the issuance of an order under this
subsection with respect to any major stationary source,
whether or not any State order under this subsection is
in accordance with the requirements of this Act. In the
case of any source other than a major stationary source,
such order issued by the State shall cease to be effective
upon a determination by the Administrator that it was
not issued in accordance with the requirements of this
Act. If the Administrator so objects, he shall simultane-
ously proceed to issue an enforcement order in accord-
ance with subsection (a) or an order under this subsec-
tion. Nothing in this section shall be construed as limiting
the authority of a Stnte or political subdivision to adopt
and enforce a more stringent cmis'-ioii limitation or more
expeditious schedule or timetable for compliance than
that contained in an order by the Administrator.
(3) If any source not in compliance with any require-
ment of an applicable implementation plan gives written
notification to the State (or the Administrator) that such
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source intends to comply by means of replacement of the
facility, a complete change in production process or a
termination of operation, the State (or the Administra-
tor) may issue an order under paragraph (1) of this
subsection permitting the source to operate until July 1,
1979, without any interim schedule of compliance: Pro-
vided, That as a condition of the issuance of any such
order, the owner or operator of such source shall post
a bond or other surety in an amount equal to the cost
of actual compliance by such facility and any economic
value which may accrue to the owner or operator of such
source by reason of the failure to comply. If a source for
which the bond or other surety required bv this para-
graph has been posted fails to replace the facility, change
the production process, or terminate the operations as
specified in the order by the required date, the owner or
operator shall immediately forefit on the bond or other
surety and the State (or the Administrator) shall have
no discretion to modify the order under this paragraph
or to compromise the bond or other surety.
(4) An order under paragraph (1) of this subsection
may be issued to an existing stationary source if—
(A) the source will expeditiously use new means of
emission limitation which the Administrator deter-
mines is likely to be adequately demonstrated (within
the meaning of section 111 (a) (1)) upon expiration
of the order,
(B) such new means of emission limitation is not
likely to be used by such source unless an order is
granted under this subsection,
(C) such new means of emission limitation is
determined by the Administrator to have a sub-
stantial likelihood of—
(i) achieving greater continuous emission re-
duction than the means of emission limitation
which, but for such order, would be required;
or
(ii) achieving an equivalent continuous reduc-
tion at lower cost in terms of energy, economic,
or nonair quality environmental impact; and
(D) compliance by the source with the require-
ment of the applicable implementation plan would
be impracticable prior to, or during, the installation
of such new means.
Such an order shall provide for final compliance with
the requirement in the applicable implementation plan
as cxpoilitiously as practicable, but in no event later
than five years after the date on which the source would
otherwise be required to be in full compliance with the
requirement.
(5) (A) In the case of a major stationary source which
is burning petroleum products or natural gas, or both
and which—
45
(i) is prohibited from doing so under an order
pursuant to the. provisions of section 2(a) of the
Energy Supply and Environmental Coordination
Act of 1974 or any amendment thereto, or any sub-
sequent enactment which supersedes such provisions,
or
(ii) within one year after enactment of the Clean
Air Act Amendments of 1977 gives notice of intent
to convert to coal as its primary energy source be-
cause of actual or anticipated curtailment of natural
gas supplies under any curtailment plan or sched-
ule approved by the Federal Power Commission (or,
in the case of intrastate natural gas supplies, ap-
proved by the appropriate State regulatory com-
mission),
and which thereby -would no longer be in compliance with
any requirement under an applicable implementation
plan, an order may be issued by the Administrator under
paragraph (1) of this subsection for such source which
specifies a date for final compliance with such require-
ment as expeditiously as practicable, but not later than
December 31,1980. The Administrator may issue an ad-
ditional order under paragraph (1) of this subsection for
such source providing an additional period for such
source to come into compliance with the requirement in
the applicable implementation plan, which shall be as
expeditiously as practicable, but in no event later than
five years after the date required for compliance under
the preceding sentence.
(B) In issuing an order pursuant to subparagraph
(A), the Administrator shall prescribe (and may from
time to time modify) emission limitations, requirements
respecting pollution characteristics of coal, or other en-
forceable measures for control of emissions for each
source to which such an order applies. Such limitations,
requirements, and measures shall be those which the
Administrator determines must be complied with by the
source in order to assure (throughout the period before
the date for final compliance established in the order)
that the burning, of coal by such source will not result
in emissions which cause or contribute to concentrations
of any air pollutant in excess of any national primary
ambient air quality standard for such pollutant.
(C) The Administrator may, by regulation, establish
priorities under which manufacturers of continuous
emission reduction systems necessary to carry out this
paragraph shall provide such systems to users thereof,
if he finds, after consultation with the States, that pri-
orities must be imposed in order to assure that such sys-
tems are first provided to sources subject to orders under
this paragraph in air quality control regions in which
national primary ambient air quality standards have not
been achieved. No regulation under this subparagraph
may impair the obligation of any contract entered into
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before the date of enactment of the Clean Air Act Amend-
ments of 1977.
(D) Xo order issued to a source under this paragraph
with respect to an air pollutant shall be effective if the
national primary ambient air quality standard with re-
spect to such pollutant is being exceeded at any time in the
air quality control region in which such source is located.
The preceding sentence shall not apply to a source if, upon
submission by any person of evidence satisfactory to the
Administrator, the Administrator determines (after
notice and public hearing)—
(i) that emissions of such air pollutant from such
source will affect only infrequently the air quality
concentrations of such pollutant in each portion
of the region where such standard is being exceeded
at any time;
(ii) that emissions of such air pollutant from
such source will have only insignificant effect on
the air quality concentration of such pollutant
in each portion of the region where such standard
is being exceeded at any time; and
(iii) with reasonable statistical assurance that
emissions of such air pollutant from such source will
not cause or contribute to air quality concentrations
of such pollutant in excess of the national primary
ambient air quality standard for such pollutant.
(6) An order issued to a source under this subsection
shall set forth compliance schedules containing incre-
ments of progress which require compliance with the re-
quirement postponed as expeditiously as practicable.
(7) A source to which an order is issued under para-
graph (1), (3), (4), or (5) of this subsection shall use
the best practicable system or systems of emission reduc-
tion (as determined by the Administrator taking into
account the requirement with which the source must ulti-
mately comply) for the period during which such order
is in effect and shall comply with such interim require-
ments as the Administrator determines are reasonable
and practicable. Such interim requirements shall
include—
(A) such measures as the Administrator deter-
mines nre necessary to avoid an imminent and sub-
stantial endangerment to health of persons, and
(B) a requirement that the source comply with
the requirements of the applicable implementation
plan during any such period insofar as such source
is able to do so (as determined by the Adminis-
trator).
(S) Any order under paragraph (1) of this subection
shall be terminated if the Administrator determines on
the record, after notice and hearing, that the inability of
the source to comply no longer exists. If the owner or
operator of the source to which the order is issued demon-
47
strates that prompt termination of such order would
result in undue hardship, the termination shall become
effective at the earliest practicable date on which such
undue hardship would not result, but in no event later
than the date required under this subsection.
(9) If the Administrator determines that a source to
which an order is issued under this subsection is in viola-
tion of any requirement of this subsection, he shall—
(A) enforce such requirement under subsections
(a), (b),or (c) of this section,
(B) (after notice and opportunity for public
hearing) revoke such order and enforce compliance
with the requirement with respect to which such
order was granted,
^C) give notice of noncompliance and commence
action under section 120, or
(D) take any appropriate combination of such
actions.
(10) During the period of the order in effect under
this subsection and where the owner or operator is in
compliance with the terms of such order, no Federal en-
forcement action pursuant to this section and no action
under section 304 of this Act shall be pursued against
such owner or operator based upon noncompliance dur-
ing the period the order is in effect with the requirement
for the source covered by such order.
(11) For the purposes of sections 110, 304, and 307 of
this Act, any order issued by the State and in effect pur-
suant to this subsection shall become part of the appli-
cable implementation plan.
(12) Any enforcement order issued under subsection
(a) of this section or any consent decree in an enforce-
ment action which is in effect on the day of enactment of
the Clean Air Act Amendments of 1977 shall remain in
effect to the extent that such order or consent decree is
(A) not inconsistent with the requirements of this sub-
jection and section 119 or (B) the administrative orders
on consent issued by the Administrator on November 5,
1975 and February 26, 1976 and requiring compliance
fith sulfur dioxide emission limitations or standards
at least as stringent as those promulgated under section
111. Any such enforcement order issued under subsection
'a) of this section or consent decree which provides for
ixn extension beyond July 1, 1979, except such adminis-
trative orders on consent, is void unless modified under
this subsection within one year after the enactment of the
Clean Air Act Amendments of 1977 to comply with the
requirements of this subsection.
IXSPECTIOXS, MON-ITORIKO, AXD ENTRT
SEC. 114. (a) For the purpose (i) of developing or as-
sisting in the development of any implementation plan
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under section 110 or lll(d), any standard of perform-
ance under section 111, or any emission standard under
section 112 * (ii) of determining whether any person is in
violation of any such standard or any requirement of such
a plan, or (iii) carrying out any provision of this Act
(except a provision of title II with respect to a manu-
facturer of new motor vehicles or new motor vehicle
engines) —
(1) the Administrator may require any person
who owns or operates any emission source or who is
subject to any requirement of this Act (other than a
manufacturer subject to the provisions of section
206 (c) or 208) with respect to a provision of title II
to (A) establish and maintain such records, (B)
make such reports, (C) install, use. and maintain
fiich monitoring equipment or methods, (D) sample
such emissions (in accordance with such methods, at
such locations, at such intervals, and in such manner
as the Administrator shall prescribe), and (E) pro-
vide such other information, as he may reasonably
require: and
(2)_the Administrator or his authorized repre-
sentative, upon presentation of his credentials—
(A) shall have a right of entry to. upon, or
through any premises of such person or in
which any records required to be maintained
under paragraph (1) of this section are located,
and
(B) may at reasonable times have access to
and copy any records, inspect any monitoring
equipment and method required under para-
graph (1), and sample any emissions which such
person is required to sample under paragraph
(b) (1) Each State may develop and submit to the Ad-
ministrator a procedure for carrying out this section in
such State. If the Administrator finds the State pro-
cedure is adequate, he may delegate to such State any
authority he has to carry out this section.
(2) Nothing in this subsection shall prohibit the Ad-
ministrator from carrying out this section in a State.
(c) Any records, reports, or information obtained
under subsection (a) shall be available to the public, ex-
cept that upon a showing satisfactory to the Administra-
tor by any person that records, reports, or information,
or particular part thereof, (other than emission data) to
which the Administrator has access under this section if
made public, would divulge methods or processes en-
titled to protection ns trade secrets of such person, the
Administrator shall consider such record, report, or in-
•A comnu m apparently omitted folloirlnc "««:tlon 112."
49
formation or particular portion thereof confidential in
accordance with the purposes of section 1905 of title 18
of the United States Code, except that such record, re-
port, or information may be disclosed to other officers,
employees, or authorized representatives of the United
States concerned with carrying out this Act or when
relevant in any proceeding under this Act.
(d) (1) In the case of nny emission standard or limita-
tion or other requirement which is adopted by a State, as
part of an applicable implementation plan or as part of
an order under section 113(d), before carrying out an
entry, inspection, or monitoring under paragraph (2)
of subsection (a) with respect to such standard, limita-
tion, or other requirement, the Administrator (or his rep-
resentatives) shall provide the State air pollution con-
trol agency with reasonable prior notice of such action.
indicating the purpose of such action. Xo State agency
which receives notice under this paragraph o.f an action
proposed to be taken mav use the information contained
in the notice to inform the person whose property is pro-
posed to be affected of the proposed action. If the Ad-
ministrator has reasonable basis for believing that a State
agency is so using or will so use such information, notice
to the agency under this paragraph is not required until
such time as the Administrator determines the agency
will no longer so use information contained in a notice
under this paragraph. Xothing in this section shall be
construed to require notification to any State agency of
any action taken bv the Administrator with respect to
any standard, limitation, or other requirement which is
not part of an applicable implementation plan or which
was promulgated by the Administrator under section
llO(c).
(2) Nothing in paragraph (1) shall be construed to
provide that any failure of the Administrator to comply
with the requirements of such paragraph shall be a de-
fense in any enforcement action brought by the Adminis-
trator or shall mnke inadmissible as evidence in anv such
action any information or material obtained notwith-
standing such failure to comply with such requirements.
IXTF.RJCATIOXAL AIR POLLUTION
SEC. 115. (a) "Whenever the Administrator, upon re-
ceipt of reports, surveys or studies from any duly con-
stituted international agency has reason to believe that
any nir pollutnnt or pollutants emitted in the United
States cause or contribute to air pollution which may
reasonably be anticipated to endanger public health or
welfare in a foreign country or whenever the Secretary
of State renuests him to do ?o with respect to such pol-
lution which the Secretary of State alleges is of such a
nature, the Administrator slinll give formal notification
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thereof to the Governor of the State in which such emis-
sions originate.
(b) The notice of the Administrator shall be deemed
to be a finding under section 110(a) (2) (H) (ii) which
requires a plan revision with respect to so much of the
applicable implementation plan as is inadequate to pre-
vent or eliminate the cndangerment referred to in subsec-
tion (a). Any foreign country so affected by such emis-
sion of pollutant or pollutants shall be invited to appear
at any public hearing associated with any revision of the
appropriate portion of the applicable implementation
plan.
(c) This section shall apply only to a foreign coun-
try which the Administrator determines has given the
United States essentially the same rights with respect to
the prevention or control of air pollution occurring in
that country as is given that country by this section.
(d) Recommendations issued following any abate-
ment conference conducted prior to the enactment of the
Clean Air Act Amendments of 1977 shall remain in effect
with respect to any pollutant for which no national ambi-
ent air quality standard has been established under sec-
tion 109 of this Act unless the Administrator, after
consultation with all agencies which were party to the
conference, rescinds any such recommendation on grounds
of obsolescence,
RETENTION- OF STATE AUTHOHITT
SEC. 116. Except as otherwise provided in sections 119
(c), (e),and(f) (as in effect be fore the date of the enact-
ment of the Clean Air Act Amendments of 1977), 209,
211 (c) (4), and 233 (preempting certain State regulation
of moving sources) nothing in this Act shall preclude or
deny the right of any State or political subdivision there-
of to adopt or enforce (1) any standard or limitation
respecting emissions of air pollutants or (2) any require-
ment respecting control or abatement of air pollution;
except that if an emission standard or limitation is in
effect under an applicable implementation plan or under
section 111 or 112. such State or political subdivision may
not adopt or enforce any emission standard or limitation
which is less stringent than the standard or limitation
under such plan or section.
PRESIDENT'S AIR Qru.iTv ADVISORY BOARD AND
ADVISORY COMMITTEES
SEC. 117. (a) In order to obtain assistance in the de-
velopment and implementation of the purposes of this
Act including air quality criteria, recommended control
technique*, standards, i-esenrch and development, and to
encourage the continued efforts on the part of industry
51
to improve air quality and to develop economically feas-
ible methods for the control and abatement of air pollu-
tion, the Administrator shall from time to time establish
advisory committees. Committee members shall include,
but not be limited to, persons who are knowledgeable
concerning air quality from the standpoint of health,
welfare, economics, or technology.
(b) The members of any other advisory committees
appointed pursuant to this Act who are not officers or
employees of the United States while attending confer-
ences or meetings or while otherwise sen-ing at the re-
quest of the Administrator, shall be entitled to receive
compensation at a rate to be fixed by the Administrator,
but not exceeding £100 per diem, including traveltime,
and while away from their homes or regular places of
business they may be allowed travel expenses, including
per diem in lieu of subsistence, as authorized by section
5703 of title 5 of the United States Code for persons in
the Government service employed intermittently.
(c) Prior to^-
(1) issuing criteria for an air pollutant under
- '. section 108 (a) (2),
•; (2) publishing any list under section lll(b)(l)
:' ' (3) publishing anv standard under section 111
r '. (b) (1) (B) or section 112(b) (1) (B), or
"• (4) publishing any regulation under section 202
(a),
the Administrator shall, to the maximum extent prac-
ticable within the time provided, consult with appropri-
ate advisory committees, independent experts, and Fed-
eral departments and agencies.
CONTROL OF rOLUCTIOX FROM FF.DERAL FACILITIES
SEC. 118. (a) Each department, agency, and instru-
mentality of executive, legislative, and judicial
branches of the Federal Government (1) having jurisdic-
tion over any property or facility, or (2) engaged in any
activity resulting, or which may result, in the discharge
of air pollutants, and each officer, agent, or employee
thereof, shall be subject to, and comply with, all Federal,
State, intorstsitc, and local loqiiiiements. administrative
authority, and process nnd sanctions respecting the con-
trol and abatement of nir pollution in the same manner,
and to the same extent as any nongovernmental entity.
The preceding sentence shall apply (A) to any require-
ment whether substantive or procedural (including any
recordkeepinjr or reporting requirement, any requirement
respecting permits and any other requirement whatso-
ever), (B) to the exercise of any Federal, State, or local
administrative authority, and (C) to any process and
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sanction, whether enforced in Federal, State, or local
courts or in any other manner. This subsection shall ap-
ply notwithstanding any immunity of such agencies,
officers, agents, or employees under any law or rule of
law. No officer, agent, or employee of the United States
shall be personally liable for any civil penalty for which
he is not otherwise liable.
(b) The President, may exempt any emission source
of any department, agency, or instrumentality in the
executive branch from compliance witli such a require-
ment if he determines it to be in the paramount
interest of the United States to do so, except that no
exemption may be granted from section 111, and an
exemption from section 112 may be granted only in ac-
cordance with section 112(c). No such exemption shall
be granted due to lack of appropriation unless the Pres-
ident shall have specifically requested such appropriation
as a part of the budgetary process and the Congress shall
have failed to make available such requested appropria-
tion. Any exemption shall be for a period not in excess of
one year, but additional exemptions may be granted for
periods of not to exceed one year upon the President's
making a new determination. In addition to any such ex-
emption of a particular emission source, the President
may, if he determines it to be in the paramount interest
of the United States to do so, issue regulations exempting
from compliance with the requirements of this section
any weaponry, equipment, aircraft, vehicles, or other
classes or categories of property which are owned or oper-
ated by the Armed Forces of the United States (includ-
ing the Coast Guard) or by the National Guard of any
State and which are uniquely military in nature. The
President shall reconsider the need for such regulations
at three-year intervals. The President shall report each
January to the Congress all exemptions from the require-
ments of this section granted during the preceding calen-
dar year, together with his reason for granting each such
exemption.
PRIMARY XOXFERROCS SMELTER ORDERS
SEC. 119. (a)(l) Upon application by the owner or
operator of a primary nonferrou? smelter, a primary non-
ferrous smelter order under subsection (b) may be
issued—
(A) by the Adminstrntor, after thirty days' notice
to the State, or
(B) by the State in which such source is located,
but no such order issued by the State shall take effect
until the Administrator determines that such order
has been issued in accordance with the requirements
of this Act
53
Not later than ninety days after submission by the State
to the Administrator of notice of the issuance of a pri-
mary nonferrous smelter order under this section, the
Administrator shall determine whether or not such order
has been issued by the State in accordance with the re-
quirements of this Act. If the Administrator determines
that such order has not been issued in accordance with
such requirements, he shall conduct a hearing respecting
the reasonably available control technology for primary
nonferrous smelters.
(2) (A) An order issued under this section to a pri-
mary nonferrous smelter shall l>e referred to as a "pri-
mary nonferrous smelter order". No primary nonferrous
smelter may receive both an enforcement order under
section 113(d) and a primary nonferrous smelter order
under this section.
(B) Before any hearing conducted under this section,
in the case of an application made by the owner or op-
erator of a primary nonferrous smelter for a second order
under this section, the applicant shall furnish the Ad-
ministrator (or the State as the case may be) with a
statement of the grounds on which such application is
based (including all supporting documents and informa-
tion). The statement of the grounds for the proposed
order shall be provided bv the Administrator or the State
in any case in which such State or Administrator is act-
ing on its own initiative. Such statement (including such
documents and information) shall be made available to
the public for a thirty-day period before such hearing
and shall be considered as "part of such hearing. No pri-
mary nonferrous smelter order may be granted unless the
applicant establishes that he meets the conditions re-
quired for the issuance of such order (or the Administra-
tor or State establishes the meeting of such conditions
.when acting on their own initiative).
(C) Any decision witli respect to the issuance of a pri-
mary nonferrous smelter order shall be accompanied by
a concise statement of the findings and of the basis of
such findings.
(3) For the purposes of section5 110, 304. and 307 of
this Act. any order issued by the State and in effect pursu-
ant to this subsection shallbecome part of the applicable
implementation plan.
(b) A primary nonferrous smelter order under this
section may be issued to a primary nonferrous smelter
(1) such smelter is in existence on the date of the
enactment of this section;
(2) the requirement of the applicable implementa-
tion plan witli respect to which the order is issued
is an emission limitation or standard for sulfur
' The word "section" Is apparently Intended to mean "section*".
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oxides which is necessary and intended to be itself
• sufficient to enable attainment and maintenance of
national primary and secondary ambient air quality
standards for sulfur oxides; and
(3) such smelter is unable to comply with such
requirement by the applicable date for compliance
because no means of emission limitation applicable
to such smelter which will enable it to achieve com-
Sliance with such requirement has been adequately
emonstrated to be reasonably available (as deter-
mined by the Administrator, taking into account the
cost of compliance, nonair quality health and envi-
ronmental impact, and energy consideration).
(c)(l) A second order issued to a smelter under this
section shall set forth compliance schedules containing
increments of progress which require compliance with
the requirement postponed as expeditiously as practica-
ble. The increments of progress shall be limited to re-
quiring compliance with subsection (d) and, in the case
of a second order, to procuring, installing, and operating
the necessary means of emission limitation as expedi-
tiously as practicable after the Administrator determines
such means have been adequately demonstrated to be
reasonably available within the meaning of subsection
(2) Not in excess of two primary nonferrous smelter
orders may be issued under this section to any primary
nonferrous smelter. The first such order issued to a
smelter shall not result in the postponement of the re-
quirement with respect to which such order is issued
beyond January 1, 1983. The second such order shall not
result in the postponement of such requirement beyond
January 1, 1988.
(d) (1) (A) Each primary nonferrous smelter to which
an order is issued under this section shall be required to
use such interim measures for the period during which
such order is in effect as may be necessary in the judg-
ment of the Administrator to assure attainment and
maintenance of the national primary and secondary
ambient air quality standards during such period, taking
into account the aggregate effect on air quality of such
order together witli all variances, extensions, waivers, en-
forcement orders, delayed compliance orders and primary
nonferrous smelter orders previously issued under this
Act.
(B) Such interim requirements shall include —
(i) a requirement that the source to which the
order applies comply with such reporting require-
ments and conduct such monitoring as the Adminis-
trator determines may be necessary, and
(ii) such measures as the Administrator deter-
mines are necessary to avoid an imminent and sub-
stantial endangerment to health of persons.
55
(C) Such interim measures shall also, except as pro-
vided in paragraph (2), include continuous emission
reduction technology. The Administrator shall condition
the use of any such interim measures upon the agreement
of the owner or operator of the smelter—
(i) to comply with such conditions as the Admin-
istrator determines are necessary to maximize the
reliability and enforceability of such interim
measures, as applied to the smelter, in attaining and
maintaining the national ambient air quality stand-
t ards to which the order relates, and
(ii) to commit reasonable resources to research
and development ->f appropriate emission control
technology.
(2) The requirement of paragraph (1) for the use of
continuous emission reduction technology may be waived
with respect to a particular smelter by the State or the
Administrator, after notice and a hearing on the record,
and upon a showing by the owner or operator of the
smelter that such requirement would be so costly as to
necessitate permanent or prolonged temporary cessation
of operations of the smelter. Upon application for such
waiver, the Administrator shall be notified and shall,
within ninety days, hold a hearing on the record in ac-
cordance with section 554 of title 5 of the United States
Code. At such hearing the Administrator shall require
the smelter involved to present information relating to
any alleged cessation of operations and the detailed rea-
sons or justifications therefor. On the basis of such hear-
ing the Administrator shall make findings of fact as to
the effect of such requirement and on the alleged cessa-
tion of operations and shall make such recommendations
as he deems appropriate. Such report, findings, and rec-
ommendations shall be available to the public, and shall
be taken into account by the State or the Administrator
in making the decision whether or not to grant such
waiver.
(3) In order to obtain information for purposes of a
waiver under paragraph (2). the Administrator may, on
his own motion, conduct an investigation and use the
authority of section 321.
(4) In the case of any smelter which on the date of
enactment of this section uses continuous emission reduc-
tion technology and supplemental controls and which
receives an initial primary nonferrous smelter order
under this section, no additional continuous emission
reduction technology shall Ite required as a condition of
such order unless the Administrator determines, at any
time, after notice and public hearing, that such addi-
tional continuous emission reduction technology is ade-
quately demonstrated to be reasonably available for the
primarv nonferrous smelter industry.
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(e) At any time during which an order under this
section applies, the Administration may enter upon a
public hearing respecting the availability of technology.
Any order under this section shall be terminated if the
Administrator determines on the record, after notice and
public hearing, that the conditions upon which the order
was based no longer exist. If the owner or operator of the
smelter to which the order is issued demonstrates that
prompt termination of such order would result in undue
hardship, the termination shall become effective at the
earliest practicable date on which such undue hardship
would not result, but in no event later than the date
required under subsection (c).
(f) If the Administrator determines that a smelter to
which an order is issued under this section is in violation
of any requirement of subsection (c) or (d), he shall—
(1) enforce such requirement under section 113,
(2) (after notice and opportunity for public hear-
ing) revoke such order and enforce compliance with
the requirement with respect to which such order was
granted.
(3) give notice of noncompliance and commence
action under section 120, or
(4) take any appropriate combination of such
actions.
NONCOMPLIANCE PEXALTT
SEC. 120. (a)(l)(A) Not later than 6 months after
the date of enactment of this section, and after notice
and opportunity for a public hearing, the Administrator
shall promulgate regulations requiring the assessment
and collection of a noncompliance penalty against per-
sons referred to in paragraph (2) (A).
(B) (i) Each State may develop and submit to the
Administrator a plan for carrying out this section in such
State. If the Administrator finds that the State plan
meets the requirements of this section, he may delegate
to such State any authority he has to carry out this
action.
(ii) Notwithstanding a delegation to a State under
clause (i), the Administrator may carry out this section
in such State under the circumstances described in sub-
section (b) (2) (B).
(2) (A) Except as provided in ?ul>para
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58
(iv) an inability to comply with any such require-
ment, for which inability the source has received an
order under section 113(d) (or an order under sec-
tion 113 issued before the date of enactment of this
section) which has the effect of permitting a delay
or violation of any requirement of this Act (includ-
ing a requirement of an applicable implementation
plan) -which inability results from reasons entirely
beyond the control of the owner or operator of such
source or of any entity controlling, controlled by, or
under common control with the owner or operator of
such source; or
(v) the conditions by reason of which a temporary
emergency suspension is authorized under section
110(f)or(g).
An exemption under this subparagraph shall cease to be
effective if the source fails to comply with the interim
emission control requirements or schedules of compliance
(including increments of progress) under any such ex-
tension, order, or suspension.
(C) The Administrator may, after notice and oppor-
tunity for public hearing, exempt any source from the
requirements of this section with respect to a particular
instance of noncompliance if he finds that such instance
of noncompliance is de minimis in nature and in duration.
(b) Regulations under subsection (a) shall—
(1) permit the assessment and collection of such
penalty by the State if the State has a delegation of
authority in effect under subsection (a) (1) (B) (i);
(2) provide for the assessment and collection of
such penalty by the Administrator, if—
(A) the State does not have a delegation of
authority in effect under subsection (a) (1) (B)
(i), or
(B) the State has such a delegation in effect
but fails with respect to any particular person
or source to assess or collect the penalty in ac-
cordance with the requirements of this section;
(3) require the States, or in the event the States
fail to do so, the Administrator, to give a brief but
reasonably specific notice of noncompliance under
this section to each person referred to in subsection
(a) (2) (A) with respect to each source owned or
operated by such person which is not in compliance
as provided in such subsection, not later than July 1,
1979, or thirty days after the discovery of such non-
compliance, whichever is later;
(4) require each person to whom notice is given
under paragraph (3) to—
(A) calculate the amount of the i>enalty owed
(determined in accordance with subsection (d)
(2) and the schedule of payments (determined
in accordance with subsection (tl) (3)) for each
59
such source and, within forty-five days after the
issuance of such notice or after the denial of a
petition under subparagraph (13), to submit that
calculation and proposed schedule, together with
the information necessary for an independent
verification thereof, to the State and to the Ad-
ministrator, or
(B) submit a petition, within forty-five days
after the issuance of such notice, challenging
such notice of noncompliance or alleging entitle-
ment to an exemption under subsection (a) (2)
(B) with respect to a particular source;
(5) require the Administrator to provide a hear-
ing on the record (within the meaning of subchapter
II of chapter 5 of title 5, United States Code) and to
make a decision on such petition (including findings
of fact and conclusions of law) not later than ninety
days after the receipt of any petition under para-
graph (4)(B), unless the State agrees to provide
a hearing which is sustantially similar to such a hear-
ing on the record and to make a decision on such
petition (including such findings and conclusions)
within such ninety day period;
(6) (A) authorize the Administrator on his own
initiative to review the decision of the State under
paragraph (5) and disapprove it if it is not in ac-
cordance with the requirements of this section, and
(B) require the Administrator to do so not later than
sixty days after receipt of a petition under this sub-
paragraph, notice, and public hearing and a showing
by such petitioner that the State decision under para-
graph (5) is not in accordance with the requirements
of this section;
(7) require payment, in accordance with subsec-
tion (d), of the penalty by each person to whom no-
tice of noncompliance is given under paragraph (3)
with respect to each nonoomplying source for which
such notice is given unless there has been a final de-
termination granting a petition under paragraph
(4) (B) with respect to such source;
(8) authorize the State or the Administrator to
adjust (and from time to time to readjust) the
amount of the penalty assessment calculated or the
payment schedule proposed l>y such owner or opera-
tor under paragraph (4), if the Administrator finds
after notice and opportunity for a hearing on the
record that the penalty or schedule does not meet the
requirements of this section; and
(9) require a final adjustment of the penalty with-
in 180 days after such source comes into compliance
in accordance with subsection (d) (4).
W-302 O - T; - i
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In tiny case in which the State establishes a noncompli-
ancc penalty under this section, the State shall provide
notice thereof to the Administrator. A noncoinpliance
penalty established by a State under this section shall
apply unless the Administrator, within ninety days after
the, date of receipt of notice of the State penalty assess-
ment under this section, objects in writing to the amount
of the penalty as less than would be required to comply
with guidelines established by the Administrator. If the
Administrator objects, he shall immediately establish a
substitute noncompliancc penalty applicable to such
source.
(c) If the owner or operator of any stationary source
to whom a notice is issued under subsection (b) (3)—
(1) does not submit a timelr petition under sub-
section (b) (4) (B), or
(2) submits a petition under subsection (b) (4)
(B) which is denied, and
fails to submit a calculation of the penalty assessment,
a schedule for payment, and the information necessary
for independent verification thereof, the State (or the
Administrator, as the case may be) may enter into a con-
tract with any person who lias no financial interest in the
owner or operator of the source (or in any person con-
trolling, controlled by or under common control with such
source) to assist in determining the amount of the pen-
alty assessment or payment schedule with respect to such
source. The cost of carrying out such contract may be
added to the penalty to be assessed against the owner or
operator of such source.
(d) (1) All penalties assessed by the Administrator
under this section shall be paid to the United States
Treasury. All penalties assessed by the State under this
section shall be paid to such State.'
(2) The amount of the penalty which shall be assessed
and collected with respect to any source under this section
shall be equal to—
(A) the amount determined in accordance with
regulations promulgated by the Administrator under
subsection (a), which is no le=s than the economic
value which a delay in compliance bevond July 1,
1979, mav have for the owner of such source, in-
cluding the quarterly equivalent of the capital costs
of compliance and debt service over a normal amorti-
zation period, not to exceed ten years, operation and
maintenance costs foregone as a result of noncom-
pliance, and any additional economic value which
such a delay may have for the owner or operator of
such source, minus
(B) the amount of any expenditure made by the
owner or operator of that source during any such
quarter for the purpose of bringing that source into,
61
and maintaining compliance with, such requirement,
to the extent that such expenditures have not been
taken into account in the calculation of the penalty
under subparagraph (A).
To the extent that any expenditure under subparagraph
(B) made during any quarter is not subtracted for such
quarter from the costs under subparagraph (A), such ex-
penditure may be subtracted for any subsequent quarter
from such costs. In no event shall the amount paid be. less
than the quarterly payment minus the amount attributed
to actual cost of construction.
(3) (A) The assessed penalty required under this sec-
tion shall be paid in quarterly installments for the period
of covered noncompliance. All quarterly payments (de-
termined without regard to any adjustment or any sub-
traction under paragraph (2) (B)) after the first pay-
ment shall be equal.
(B) The first payment shall be due on the date six
months after the date of issuance of the notice of noncom-
pliance under subsection (b) (3) with respect to any
source or on January 1, 1980. whichever is later. Such
first payment shall be in the amount of the quarterly in-
stallment for the upcoming quarter, plus the amount
owed for any preceding period within the period of cov-
ered noncompliance for such source.
(C) For the purpose of this section, the term "period
of covered noncompliance'' means the period which
begins—
(i) two years after the date of enactment of this
section, in the case of a source for which notice of
noncompliance under subsection (b) (3) is issued on
or before the date two years after such date of en-
actment, or
(ii) on the date of issuance of the notice of non-
compliance under subsection (b) (3). in the case of
a source for which such notice is issued after Julv 1,
1979,
and ending on the date on which such source comes into
(or for the purpose of establishing the schedule of pay-
ments, is estimated to come into) compliance with such
requirement.
(4) Upon making a determination that a source with
respect to which a penalty has been paid under this sec-
tion is in compliance and is maintaining compliance with
the applicable requirement, the State (or the Adminis-
trator as the case may lie) shall review the actual ex-
penditures made by the owner or operator of such source
for the purpose of attaining and maintaining compliance,
and shall within 180 days after such source comes into
compliance—
(A) provide reimbursement with interest (to be
paid by the State or Secretary of the Treasury, as the
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case may be) at appropriate prevailing rates (as
determined by the Secretary of the Treasury) for
any overpayment by such person, or
(B) assess and collect an additional payment with
interest at appropriate prevailing rates (as deter-
mined by the Secretary of the Treasury) for any
underpayment by such person.
(5) Any person who fails to pay the amount of any
penalty with respect to any source under this section on
a timely basis shall be required to pay in addition a
quarterly nonpayment penalty for each quarter during
which such failure to pay persists. Such nonpayment
penalty shall be in an amount equal to 20 percent of the
aggregate amount of such person's penalties and non-
payment penalties with respect to such source which are
unpaid as of the beginning of such quarter.
(e) Any action pursuant to this section, including any
objection of the Administrator under the last sentence
of subsection (b), shall be considered a final action for
purposes of judicial review of any penalty under section
307 of this Act.
(f) Any orders, payments, sanctions, or other require-
ments under this section shall be in addition to any other
permits, orders, payments, sanctions, or other require-
ments established tinder this Act, and shall in no way
affect any civil or criminal enforcement proceedings
broueht under any provisions of this Act or State or
local) w.
(g) In the case of any emission limitation or other
requirement approved or promulgated by the Adminis-
trator under this Act after the enactment of the Clean
Air Act Amendments of 1977 which is more stringent
than the emission limitation or requirement for the source
in effect prior to such approval or promulgation, if any,
or where there was no emission limitation or requirement
approved or promulgated before enactment of the Clean
Air Act Amendments of 1977. the date for imposition of
the non-compliance penalty under this section, shall be
either July 1, 1079. or the date on which the source is re-
quired to be in full compliance with such emission limita-
tion or requirement, whichever is later, but in no event
later than three years after the approval or promulgation
of such omission limitation or requirement.
CONSULTATION*
SEC. 121. In carrying out the requirements of this Act
requiring applicable implementation plans to contain—
(1) any transportation controls, air quality main-
tenance plan requirements or preconstruction re-
view of direct sources of air pollution, or
(2) any measure referred to—
63
(A) in part D (pertaining to nonattainment
requirements), or
(B) in part C (pertaining to prevention of
significant deterioration),
and in carrying out the requirements of section 113(d)
(relating to certain enforcement orders), the State shall
provide a satisfactory process of consultation with gen-
eral purpose local governments, designated organiza-
tions of elected officials of local governments and any
Federal land manager having authority over Federal
land to which the State plan applies, effective with re-
spect to any such requirement which is adopted more than
one year after the date of enactment of the Clean Air
Act Amendments of 1977 as part of such plan. Such
process shall be in accordance with regulations promul-
gated by the Administrator to assure adequate consulta-
tion. Such regulations shall be promulgated after notice
and opportunity for public hearing and not later than 6
months after the date of enactment of the Clean Air Act
Amendments of 1977. Only a general purpose unit of local
government, regional agency, or council of governments
adversely affected by action of the Administrator ap-
proving any portion of a plan referred to in this sub-
section may petition for judicial review of such action on
the basis of a violation of the requirements of this section.
LISTING OP CERTAIN fNIJEQCLATED rOIXUTAXTS
SEC. 122. (a) Xot later than one year after date of
enactment of this section (two years for radioactive
pollutants) and after notice and opportunity for public
hearing, the Administrator shall review all available
relevant information and determine whether or not emis-
sions of radioactive pollutants (including source ma-
terial, special nuclear material, and byproduct material),
cadmium, arsenic and polycyclic organic matter into the
ambient air will cause, or contribute to. air pollution
which may reasonably be anticipated to endanger public
health. If the Administrator makes an affirmative deter-
mination with respect to any such substance, he shall
simultaneously with such determination include such sub-
stance in the list published under section 10S(a)(l) or
112(1)) (1) (A) (in the case of a substance which, in the
judgment of the Administrator, causes, or contributes to.
air pollution which may reasonably be anticipated to
result in an increase in mortality or an increase in serious
irreversible, or incapacitating reversible, illness). or shall
include each category of stationary sources emitting such
substance in significant amounts in the list published
under section lll(b) (1) (A), or take any combination
of such actions.
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(b) Nothing in subsection (a) shall be construed to
affect the authority of the Administrator to revise any
list referred to in subsection (a) with respect to any sub-
stance (whether or not enumerated in subsection (a)).
(c) (1) Before lifting any source material, special nu-
clear, or byproduct material (or component or derivative
thereof) as provided in subsection (a), the Administrator
shall consult with the Nuclear Regulatory Commission.
(2) Not later than six months after listing any such
material (or component or derivative thereof) the Ad-
ministrator and the Nuclear Regulatory Commission
shall enter into an interageney agreement with respect
to those sources or facilities which are under the jurisdic-
tion of the Commission. This agreement shall, to the
maximum extent practicable consistent with this Act,
minimize duplication of effort and conserve administra-
tive resources in the establishment, implementation, and
enforcement of emission limitations, standards of per-
formance, and other requirements and authorities (sub-
stantive and procedural) under this Act respecting the
emission of such material (or component or derivative
thereof) from such sources or facilities.
(3) In case of any standard or emission limitation
promulgated by the Administrator, under this Act or by
any State (or the Administrator) under any applicable
implementation plan under this Act. if the Nuclear Reg-
ulatory Commission determines, after notice and oppor-
tunity for public hearing that the application of such
standard or limitation to a source or facility within the
jurisdiction of the Commission would endanger public
health or safety, such standard or limitation shall not
apply to such facilities or sources unless the President •
determines otherwise within ninety days from the date
of such finding.
STACK HEIGHTS
SEC. 123. (a) The degree of emission limitation re-
quired for control of any air pollutant under an appli-
cable implementation plan under this title shall not l>e
affected in any manner by—
(1) so much of the stack height of any source as
exceeds good engineering practice (as determined
under regulations promulgated liy the Administra-
tor), or
(2) any other dispersion tcclmuiiie.
The preceding sentence diall not apply with respect to
stack heights in existence before the date of enactment
of the Clean Air Amendments of 1970 or dispersion
techniques implemented before such (late. In establishing
an emission limitation for coal-fired .-team electric gener-
ating units which are subject to the provisions of .section
118 and which commenced operation Ix-forc July 1. 1057,
the effect of the entire stack height of slack's for which a
65
construction contract was awarded before February 8,
1074, may be taken into account.
(b) For the purpose of this section, the term
"dispersion technique" includes any intermittent or
supplemental control of air pollutants varying with
atmospheric conditions.
(c)^vot later than six months after the date of cnact-
• •• • -..:— »!,„ i,i,,,;,,;Stvntnr. shall after notice
tions to carry out mis sec-nun. * «i r...r—-.. —
tion. good engineering practice means, with respect to
stack heights, the height necessary to insure that emis-
sions from the stack do not result In excessive concentra-
tions of any air pollutant in the immediate vicinitv of
the source as a result of atmospheric downwash. eddies
and wakes which may be created by the source itself,
nearby structures or nearby terrain obstacles (as deter-
mined by the Administrator). For purposes of this sec-
tion such height shall not exceed two and a half times
the height of such source unless the owner or operator of
the source demonstrates, after notice and opportunity for
public hearing, to the satisfaction of the Administrator.
that a greater height is necessary as provided under the
preceding sentence. In no event may the Administrator
prohibit any increase in any stack height or restrict in
any manner the stack height of any source.
ASSTJRANCE OF ADEQUACY OP STATE PLANS
SEC. 124. (a) As expeditiously as practicable but not
later than one vear after date of enactment of this section,
each State shall review the provisions of its implementa-
tion plan which relate to major fuel burning sources and
shall determine—
(1) the extent to which compliance with require-
ments of such plan is dependent upon the use by
major fuel burning stationary sources of petroleum
products or natural gas,
(2) the extent to which such plan may reasonably
be anticipated to be inadequate to meet the require-
ments of this Act in such State on a reliable and
long-term basis by reason of its dependence upon
the- use of such fuels, and
(3) the extent to which compliance with the re-
quirements of such plan is dependent upon use of
coal or cpa! derivatives which is not locally or region-
ally available.
Each State shall submit the results of its review and its
determination under this paragraph to the Administra-
tor promptly upon completion thereof.
(b) (1) Xot later than eighteen months after the date
of enactment of this section, the Administrator shall rc-
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view the submissions of the States under subsection (a)
and shall require each State to revise its plan if, in the
judgment of the Administrator, such plan revision is
necessary to assure that such plan will be adequate to as-
sure compliance with the requirements of this Act in such
State on a reliable and long-term basis, taking into ac-
count the actual or potential prohibitions on use of
petroleum products or natural gas, or both, under any
other authority of law.
(2) Before requiring a plan revision under this Sub-
section, with respect to any State the Administrator shall
take into account the report of the review conducted by
such State under paragraph (1) and shall consult with
the Governor of the State respecting such required
revision.
MEASURES TO PREVENT ECONOMIC DISRUPTION OR
UNEMPLOYMENT
SEC. 125. (a) After notice and opportunity for a public
hearing—
(1) the Governor of any State in which a major
fuel burning stationary source referred to in this
subsection (or class or category thereof) is located,
(2) the Administrator, or
(3) the President (or his designee),
may determine that action under subsection (b) is neces-
sary to prevent or minimize significant local or regional
economic disruption or unemployment which would
otherwise result from use by such source (or class or
category) of—
(A) coal or coal derivatives other than locally or
regionally available coal,
(B) petroleum products,
(C) natural gas, or
(D) any combination of fuels referred to in sub-
paragraphs (A) through (C),
to comply with the requirements of a State implementa-
tion plan.
(b) Upon a determination under subsection (a)—
(1) such Governor, with the -written consent of
the President or his desijjnee,
(2) the President's designee with the written con-
sent of such Governor, or
(3) the President
may by rule or order prohibit any such major fuel burn-
ing stationary source (or class or'category thereof) from
using fuels other than locallv or regionally available coal
or coal derivatives to comply with implementation plan
requirements. In taking any action under this subsection,
the Governor, the President, or the President's designee
as the case may bo, shall take into account, the final cost
to the consumer of such an action.
67
(c) The Governor, in the case of action under subsec-
tion (b)(l), or the Administrator, in the case of an
action under subsection (b) (2) or (3) shall, by rule or
order, require each source to which such action applies
to—
(1) enter into long-term contracts of at least ten
years in duration (except as the President or his
designee may otherwise permit or require by rule or
order for good cause) for supplies of regionally
available coal or coal derivatives,
(2) enter into contracts to acquire any additional
means of emission limitation winch the Administra-
tor or the State determines may be necessary to com-
ply •with the requirements of this Act while using
such coal or coal derivatives as fuel, and
(3) comply with such schedules (including incre-
ments of progress), timetables and other require-
ments as may be necessary to assure compliance with
the requirements of this Act.
Requirements under this subsection shall be established
simultaneously with, and as a condition of, any action
under subsection (b).
(d) This section applies only to existing or new major
fuel burning stationary sources—
(1) which have the design capacity to produce
250,000,000 Btu's per hour (or its equivalent), as
determined by the Administrator, and
(2) which are not in compliance with the require-
ments of an applicable implementation plan or which
are prohibited from burning oil or natural gas, or
both, under any other authority of law.
(e) Except as may otherwise be provided by rule by
the State or the Administrator for good cause, any action
required to be taken by a major fuel burning stationary
source under this section shall not be deemed to constitute
a modification for purposes of section 111 (a) (2) and
(4) of this Act.
(f) For purposes of sections 113 and 120 a prohibition
under subsection (b), and a corresponding rule or order
under subsection (c), shall be treated as a requirement of
section 113. For purposes of any plan (or portion there-
of) promulgated under section 110(c), any rule or order
under subsection (c) corresponding to a prohibition
under subsection (b), shall be treated as a part of such
plan. For purposes of section 113, a prohibition under
subsection (b), applicable to any source, and a corre-
sponding rule or order under subsection (c), shall be
treated as part of the applicable implementation plan for
the State in which subject source is located.
(g) The President may delegate his authority under
this section to an officer or employee of the United States
designated by him on a casc-by-ense basis or in any other
manner he deems suitable.
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(h) For the purpose of this section the term "locally
or regionally available coal or coal derivatives1' means
coal or coal derivatives which is, or can in the judg-
ment of the State or the Administrator feasibly be,
mined or produced in the local or regional area (as
determined by the Administrator) in which the major
fuel burning stationary source is located.
INTERSTATE FOU.CTTOX ABATEMENT
SEC. 126. (a) Each applicable implementation plan
shall—
(1) require each major proposed new (or mod-
ified) source—
(A) subject to part C (relating to significant
deterioration of air quality) or
(B) which may significantly contribute to
levels of air pollution in excess of the national
ambient air quality standards in any air qual-
ity control region outside the State in which
such source intends to locate (or make such
modification),
to provide written notice to all nearby States the
air pollution levels of which may be affected by
such source at least sixty days prior to the date
on which commencement of construction is to be
permitted by the State providing notice, and
(2) identify all major existing stationary sources
which may have the impact described in paragraph
(1) with respect to new or modified sources and
provide notice to all nearby States of the identity of
such sources not later than three months after the
date of enactment of the Clean Air Act Amend-
ments of 1977.
(b) Any State or political subdivision may petition
the Administrator for a finding that any major source
emits or would emit any air pollutant in violation of the
prohibition of section 110(a) (2) (E) (i). Within 60 days
after receipt of any petition under this subsection and
after public hearing, the Administrator shall make such
a finding or deny the petition.
(c) Notwithstanding any permit which ma.v have been
granted by the State in which the source is located (or
intends to locate), it shall be a violation of the applicable
implementation plan in such Stiitc—
(1) for any major proposed new (or modified)
<-ource with respect to which a finding has l>een mnde
under subsection (b) to be constructed or to operate
in violation of the prohibition of section 110(a) (2)
(E)(i).or
(2) for any major existing source to operate more
than three months after such finding has been made
with respect to it.
69
The Administrator may permit the continued operation
of a source referred to in paragraph (2) beyond tlie ex-
piration of such three-month period if such source com-
plies with such emission limitations and compliance
schedules (containing increments of progress) as may be
provided by the Administrator to bring alxmt compli-
ance with the requirements contained in section 110(n)
(2) (E) (i) as expeditions)}" as practicable, but in no case
later than three years after the date of such finding.
Nothing in the preceding sentence shall be construed to
preclude any such source from being eligible for an en-
forcement order under section 113(d) nfter the expira-
tion of such period during which the Administrator has
permitted continuous operation.
SEC. 127. (a) Each State plan shall contain measures
which will be effective to notify the public during any
calendar year on a regular basis of instances or areas in
which any national primary ambient air quality standard
is exceeded or was exceeded during any portion of the
preceding calendar year to advise the public of the health
hazards associated with such pollution, and to enhance
public awareness of the measures which can be taken to
prevent such standards from being exceeded and the ways
in which the public can participate in regulator}' and
other efforts to improve air quality. Such measures may
include the posting of warning signs on interstate high-
wav access points to metropolitan areas or television,
radio, or press notices or information.
(b) The Administrator is authorized to make grants
to States to assist in carrying out the requirements of
subsection (a).
STATE BOAUDS
SEC. 128. (a) Not later than the date one year after the
date of the enactment of this section, each applicable im-
plementation plan shall contain requirements that—
(1) any board or body which approves permits or
enforcement orders under this Act shall have at least
n majority of members who represent the public in-
terest and do not derive any significant portion of
their income from persona subject to permits or en-
forcement orders under this Act, and
(2) any potential conflicts of interest by members
of such board or body or the head of an executive
agency with similar powers be adequately disclosed.
A State may adopt any requirements respecting conflicts
of interest for such boards or bodies or heads of execu-
tive agencies, or any other entities which are more strin-
gent than the requirements of paragraph (1) and (2).
and the Administrator j-luill approve any such more strin-
gent requirements submitted as part of an implementa-
tion plan.
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PART B—OZONE PROTECTION
PURPOSES
SEC. 150. The purposes of this part are (1) to provide
for a better understanding of the effects of human actions
on the stratosphere, especially the ozone in the strato-
sphere, (2) to provide for a better understanding of the
effects of changes in the stratosphere, especially the ozone
in the stratosphere on the public health and welfare, (3)
to provide information on the progress of regulation of
activities which may reasonably be anticipated to affect
the ozone in the stratosphere in such a way as to cause or
contribute to endangerment of the public health or wel-
fare, and (4) to provide information on the need for ad-
ditional legislation in this area, if any.
FINDINGS AND DEFINITIONS
SEC. 151. (a) The Congress finds, on the basis of pres-
ently available information, that—
(1) lialocarbon compounds introduced into the en-
vironment potentially threaten to reduce the concen-
tration of ozone in the stratosphere;
(2) ozone reduction will lead to increased inci-
dence of solar ultraviolet radiation at the surface of
the Earth;
(3) increased incidence of solar ultraviolet radia-
tion is likely to cause increased rates of disease in
humans (including increased rates of skin cancer),
threaten food crops, and otherwise damage the
natural environment;
(4) other substances, practices, processes, and ac-
tivities may affect the ozone in the stratosphere, and
should be investigated to give early warning of any
potential problem and to develop the basis for possi-
ble future regulatory action; and
(5) there is some authority under existing law, to
regulate certain substances, practices, processes, and
activities which may affect the ozone in the strato-
sphere.
DEFINITIONS
SEC. 152. For the pnr|>oses of this subtitle—
(1) the term "halooarlmn" means the chemical
compounds CFClj and CF^C1: and such other halo-
•.'cnated compounds as the Administrator determines
may reasonably l)e anticipated to contribute to re-
ductions in the concentration of ozone in the strato-
sphere ;
(2) the term "stratosphere" means that part of the
atmosphere above the tropopan«e.
71
STCDIES BY ENVIRONMENTAL PROTECTION AGENCY
SEC. 153. (a) The Administrator shall conduct a study
of the cumulative effect of all substances, practices, proc-
esses, and activities which may affect the stratosphere,
especially ozone in the stratosphere. The study shall in-
clude an'analysis of the independent effects on the strato-
sphere especially such ozone in the stratosphere of—
(1) the release into the ambient air of halocarbons,
(2) the release into the ambient air of other
sources of chlorine,
(3) the uses of bromine compounds, and
(4) emissions of aircraft and aircraft propulsion
systems employed by operational and experimental
aircraft.
The study shall also include such physical, chemical,
atmospheric, biomedical, or other research and monitor-
ing as may be necessary to ascertain (A) any direct or in-
direct effects upon the public health and welfare of
changes in the stratosphere, especial!}' ozone in the strato-
sphere, and (B) the probable causes of changes in the
stratosphere, especially the ozone in the stratosphere.
(b) The Administrator shall undertake research on—
(1) methods to recover and recycle substances
which directly or indirectly affect the stratosphere,
especially ozone in the stratosphere,
(2) methods of preventing the escape of such
substances,
(3) safe substitutes for such substances, and
(4) other methods to regulate substances, prac-
tices, processes, and activities which may reasonably
be anticipated to affect the stratosphere, especially
ozone in the stratosphere.
(c) (1) The studies and research conducted under this
section may be undertaken with such cooperation and
assistance from universities and private industry as may
be available. Each department, agency, and instrumental-
ity of the I'nited States having the capability to do so is
authorized and encouraged to provide assistance to the
Administrator in carrying out. the requirements of this
section, including (notwithstanding any other provision
of law) any services which such department, agency, or
instrumentality may have the capability to render ov ob-
tain by contract with third parties.
('2) The Adminisl rator >hall encourage the cooperation
and assistance of other nations in carrying out the studies
and research under this section. The Administrator is au-
thorized to cooperate with and support similar research
efforts of other nations.
(d) (1) The Administrator shall undertake to contract
with the National Academy of Sciences to study the state
of knowledge and the adequacy of research efforts to
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72
understand (A) the effects of all substances, practices,
processes, and activities which may affect the strato-
sphere, especially ozone in the stratosphere; (B) the
health and welfare effects of modifications of the strato-
sphere, especially ozone in the stratosphere; and (C)
methods of control of such substances, practices, proc-
esses, and activities including alternatives, costs, feasi-
bility, and timing. The Academy shall make a report of
its findings by January 1,1978.
(2) The Administrator shall make available to the
Academy such information in the Administrator's pos-
session as is needed for the purposes of the study pro-
vided for in this subsection.
(c) The Secretary of Labor shall study and transmit a
report to the Administrator and the Congress not later
than six months after date of enactment, with respect to
the losses and gains to industry and employment which
could result from the elimination of the use of halocar-
bons in aerosol containers and for other purposes. Such
report shall include recommended means of alleviating
unemployment or other undesirable economic impact, if
any. resulting therefrom.
(f)(l) The Administrator shall establish and act as
Chairman of a Coordinating Committee for the purpose
of insuring coordination of the efforts of other Federal
agencies carrying out research and studies related to or
supportive of the. research provided for in subsections
(a) and (b) and section 154.
(2) Members of the Coordinating Committee shall
include the appropriate official responsible for the rele-
vant research efforts of each of the following agencies:
(A) the National Oceanic and Atmospheric
Administration,
(B) the National Aeronautics and Space
Administration,
(C) the Federal Aviation Administration,
(D) the Department of Agriculture.
(E) the National Cancer Institute.
(F) the National Institute of Environmental
Health Sciences.
(G) the National Science Foundation, and the
appropriate official? responsible for the relevant re-
search efforts of such other agencies carrying out
Mated efforts a= the Chairman «hall designate. A
representative of the Department of State shall sit
on the Coordinating Committee to encourage and
facilitate international coordination.
(3) The Coordinating Committee shall review and
comment on plans for. and the execution and results of,
pertinent research and studies. For this purpose, the
agencies ii.iined in or designated under paragraph (2)
of this subsection shall make appropriate and timely
report:- to the Coordinating Committee on plans for and
the execution and results of such research and studies.
73
(4) The Chairman may request a report from ony Fed-
eral Agency for the purpose of determining if that
agency should sit on the Coordinating Committee.
(g) Not iater than January 1, 1078, and biennially
thereafter, the Administrator shall report to the appro-
priate committee* of tho House and the Senate, the re-
sults of the studies and research conducted under this
section and the results of related research and studies
conducted by other Federal agencies.
RF.SEAHCH AND MONITORING nv OTHER AGENCIES
SEC. 154. (a) The Administrator of the National
Oceanic and Atmospheric Administration shall establish
a continuing program of research and monitoring of the
stratosphere for uie purpose of early detection of changes
in the stratosphere and climatic effects of such change*.
Such Administrator shall on or before January 1, 1S>78.
and biennially thereafter, transmit such report to the Ad-
ministrator and the Congress on the findings of such re-
search and monitoring. Such report shall contain any
appropriate recommendations for legislation or regula-
tion (or both).
(b) The National Aeronautics and Space Administra-
tion shall, pursuant to its authority under title IV of the
National Aeronautics and Space Act of 19,'iS, continue
programs of research, technology, and monitoring of the
stratosphere for the purpose of understanding the physics
and chemistry of the stratosphere and for the early detec-
tion of potentially harmful changes in the ozone in the
stratosphere. Such Administration shall transmit reports
by January 1.1978, and biennially thereafter to the Ad-
ministrator and the Congress on'the results of the pro-
grams authorized in this subsection, together with any
appropriate recommendations for legislation or regula-
tion (or both),
(c) The Director of the National Science Foundation
shall encourage and support ongoing stratospheric re-
search programs and continuing research programs that
will increase scientific knowledge of the effects of changes
in the ozone layer in the stratosphere upon Ihing orga-
nisms and ecosystems. Such Director shall transmit re-
ports by January 1, 1£>78. and biennially thereafter to the
Administrator and the. Congress on the results of such
programs, together with any appropriate recommenda-
tions for legislation or regulation (or both).
(d) The Secretary of Agriculture shall entourage anil
support continuing research programs that will increase.
scientific knowledge of the effects of changes in the ozone
in the stratosphere upon animals, crops, and other plant
life. Such Secretary shall transmit reports by January 1.
li>78, and biennially thereafter to the Administrator and
the Congress on the results of such programs together
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74
with any appropriate recommendations for legislation or
regulation (or both).
(e) The Secretary of Health, Education, and Welfare
shall encourage and support continuing research pro-
grams.that wul increase scientific knowledge of the ef-
fects of changes in the ozone in the stratosphere upon
human health. Such Secretary shall transmit reports by
January 1,1978, and biennially thereafter, to the Admin-
istrator and the Congress on the results of such programs.
together with any appropriate recommendations for leg-
islation or regulation (orboth).
(f) In carrying out subsections (a) through (e) of this
section, the agencies involved (1) shall enlist and encour-
age cooperation and assistance from other Federal agen-
cies, universities, and private industry, and (2) shall
solicit the views of the Administrator with regard to
plans for the research involved so that any such research
will, if regulatory action by the Administrator is in-
dicated, provide the preliminary information base for
such action.
PROGRESS OF PECULATION
SEC. 155. The Administrator shall provide an interim
report to the Congress by January 1, 1978, shall provide
a final report within two years after date of enactment,
and shall provide follow-up reports anually thereafter on
the actions taken by the Environmental Protection
Agency and all other Federal agencies to regulate sources
of halocarbon emissions, the results of such regulations
in protecting the ozone layers, and the need for additional
regulatory action, if any. The reports under this section
shall also include recommendations for the control of sub-
stances, practices, processes, and activities other than
those involving halocarbons, which are found to affect
the ozone in the stratosphere and which may cause or con-
tribute to harmful effects on public health or welfare.
INTERNATIONAL COOPERATION
SEC. 156. The President shall undertake to enter into
international agreements to foster cooperative research
which complements studies and research authorized bv
this part, and to develop standards and regulations which
protect the stratosphere consistent with regulations ap-
plicable within the United States. For these purposes the
President through the Secretary of State and the Assist-
ant Secretary of State for Oceans and International En-
vironmental and Scientific Affairs, shall negotiate multi-
lateral treaties, conventions, resolutions, or other agree-
ments, and formulate, present, or support proposals at
the United Nations and other appropriate international
forums and shall report to the Congress periodically on
efforts to arrive at such agreements.
75
REGULATIONS
SEC. 157. (a) If at any time prior to the submission of
the final report referred to in section 155 in the Admin-
istrator's judgment, any substance, practice, process, or
activity may reasonably be anticipated to affect the strat-
osphere, especially ozone in the stratosphere, and such
effect may reasonably be anticipated to endanger public
health or welfare, the Administrator shall promptly
promulgate regulations respecting the control of such
substance, practice, process, or activity, and shall simul-
taneously submit notice of the promulgation of such reg-
ulation to the Congress.
(b) Upon submission of the final report referred to in
section 155, and after consideration of the research and
study under sections 153 and 154 and, consultation with
appropriate Federal agencies and scientific entities, the
Administrator shall propose regulations for the control
of any substance, practice, process, or activity (or any
combination thereof) which m his judgment may reason-
ably be anticipated to affect the stratosphere, especially
ozone in the stratosphere, if such effect in the stratosphere
may reasonably be anticipated to endanger public health
or welfare. Such regulations shall take into account the
feasibility and the costs cf achieving such control. Such
regulations may exempt medical use products for which
the Administrator determines there is no suitable sub-
stitute. Not later than three months after proposal of
such regulations the Administrator shall promulgate such
regulations in final form. From time to time, and under
the same procedures, the Administrator may revise any
of the regulations submitted under this subsection.
OTHER PROVISIONS ITXAWECTED
SEC. 158. Nothing in this part shall be construed to
alter or affect the authority of the Administrator under
section 303 (relating to emergency powers), under section
231 (relating to aircraft emission standards), or under
any other provision of this Act or to affect the authority
of any other department, agency, or instrumentality of
the United States under any other provision of law to
promulgate or enforce any requirement respecting the
control of uny substance, practice, process, or activity for
purposes of protecting the stratosphere or ozone in the
stratosphere. In the case of any proposed rule respecting
ozone in the stratosphere which has been published under
the Toxic Substances Control Act prior to the date of
enactment of this Act notwithstanding section 9(b) of
such Act. nothing in this part shall be construed to pro-
hibit or restrict the Administrator from taking any
action under the Toxic Substances Control Act respect-
ing the promulgation or enforcement of such rule.
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STATE AUTHORITY
SEC. 159. (a) Nothing in this part shall preclude or
deny any State or political subdivision thereof from
adopting or enforcing any requirement respecting the
control of any substance, practice, process, or activity for
purposes of protecting the stratosphere or ozone in the
stratosphere except as otherwise provided in subsection
(b).
(b) If a regulation of any substance, practice, process.
or activity is in effect under this part in order to prevent
or abate any risk to the stratosphere, or ozone in the
stratosphere, no State or political subdivision thereof
may adopt or attempt to enforce any requirement re-
specting the control of any such substance, practice, proc-
ess, or activity to prevent or abate such nsk, unless the
requirement of the State or political subdivision is iden-
tical to the requirement of such regulation. The preceding
sentence shall not apply with respect to any law or regu-
lation of any State of political subdivision controlling
the use of h'alorarbons as propellants in aerosol spray
containers.
PART C—PREVENTION OF SIGNIFICANT DETERIORATION OF
Am QUALITT
BtJBFART 1
PURPOSES
SEC. 160. The purposes of this part are as follows:
(1) to protect public health and welfare from any
actual or potential adverse effect which in the Ad-
ministrator's judgment may reasonably be antici-
pated to occur from air pollution or.from exposures
to pollutants in other media, which pollutants orig-
inate as emissions to the ambient air), notwithstand-
ing attainment and maintenance of all national am-
bient air quality standards;
(2) to preserve, protect, and enhance the air qual-
ity in national parks, national wilderness areas,
national monuments, notional seashores, and other
areas of special national or regional natural, recrea-
tional, scenic, or historic value;
(3) to insure that economic growth will occur in
a manner consistent with the preservation of exist-
ing clean air resources;
(4) to assure that emissions from any source in
nny State will not. interfere with any portion of the
applicable implementation plan to prevent signifi-
cant deterioration of air quality for any other
State: and
77
(5) to assure that any decision to permit increased
air pollution in any area to which this section applies
is made only after careful evaluation of all the con-
sequences of such a decision and after adequate pro-
cedural op]K>rtunitics for informed public participa-
tion in the decisionmaking process.
PLAX REQUIREMENTS
SEC, 161. In accordance with the policy of section 101
(b)(l), eacli applicable implementation plan shall con-
tain emission limitations and such other measures as may
be necessary, as determined under regulations promul-
gated under this part, to prevent significant deterioration
of air quality in each region (or portion thereof) identi-
fied pursuant to section 10~(d) (I) (D) or (E).
INITIAL CLASSIFICATIONS
SEC. 162. (a) Upon the enactment of this part, all—
(1) international parks,
(2) national wilderness areas which exceed 5,000
acres in size,
(8) national memorial parks which exceed 5,000
acres in size, and
(4) national parks which exceed six thousand acres
in size, and which are in existence on the date of
enactment of the Clean Air Act Amendments of
19T7 shall be class I areas and may not be redesig-
nated. All areas which were redesignated as class I
under regulations promulgated before such date of
enactment shall be class I areas which may be re-
designated a? provided in this part.
(b) All areas in such State identified pursuant, to sec-
tion 107(d) (1) (D) or (E) which are not established as
class I under subsection (a) shall be class II areas unless
redesignated under section 164.
INCREMENTS AND CEILINGS
SEC. 1G3. (a) In the case of sulfur oxide and particu-
late matter, eacli applicable implementation plan shall
contain measures assuring that maximum allowable in-
creases over baseline concentrations of, and maximum
allowable concent rat ions of. nidi pollutant Miall not be
exceeded. In the case of any maximum allowable increase
(except an allowable increase specified under section
165(d) (2) (C) (iv)) for a pollutant based on concentra-
tions permitted under national ambient air quality stand-
ards for nny period other than an annual period, such
regulations shall permit such maximum allowable in-
crease to IK exceeded during one such period per year.
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(b) (1) For any class I area, the maximum allowable
increase in concentrations of sulfur dioxide and particu-
late matter over the baseline concentration of such pol-
lutants shall not exceed the following amounts:
Pollutant vtxlm*m eUotMtle increase
Paniculate matter: (mimtnmi per mile meter)
Annual geometric mean 5
Twenty-four-hour maximum 10
Sulfur dioxide:
Annual arithmetic mean 2
Twenty-four-hour maximum 5
Three-hour maximum 25
(2) For any class II area, the maximum allowable in-
crease in concentrations of sulfur dioxide and particu-
late matter over the baseline concentration of such pol-
lutants shall not exceed the following amounts:
Pollutant irmtmum illotootle (HCTMM
Particulate matter: (microinmt per cubic meter)
Annual geometric mean 19
Twenty-four-hour maximum 37
Sulfur dioxide:
Annual arithmetic mean 20
Twenty-four-hour maximum 91
Three-hour maximum 512
(3) For any class III area, the maximum allowable
increase in concentrations of sulfur dioxide and particu-
late matter over the baseline concentration of such
pollutants shall not exceed the following amounts:
Pollutnt 3Iaxtm*m illoiclMe ineraue
Particulate matter: (mlcntnmt per mile meter}
Annual geometric mean 37
Twenty-four-hour maximum 75
Sulfur dioxide:
Annual arithmetic mean 40
Twenty-four-hour maximum 182
Three-hour maximum 700
(4) The maximum allowable concentration of any air
pollutant in any area to which this part applies shall not
exceed a concentration for such pollutant for each period
of exposure equal to—
(A) the concentration permitted under the na-
tional secondary ambient air quality standard, or
(B) the concentration permitted under the na-
tional primary ambient air quality standard,
whichever concentration is lowest for such pollutant for
such period of exposure.
(c) (1) In the ca=e of any State which lias a plan ap-
proved by the Administrator for pin poses of carrying
out this part, the Governor of such State may. after no-
tice and opportunity for public hearing, issue orders or
promulgate rules providing that for purposes of deter-
mining compliance with the maximum allowable in-
creases in ambient concentrations of an air pollutant, the
79
following concentrations of such pollutant shall not be
taken into account:
(A) concentrations of such pollutant attributable
to the increase in emissions from stationary sources
which have converted from the use of petroleum
products, or natural gas. or both, by reason of an
order which is in effect under the provisions of sec-
tions 2 (a) and (b) of the Energy Supply and En-
vironmental Coordination Act of 1974 (or any sub-
sequent legislation which supersedes such provisions)
over the emissions from such sources before the effec-
tive date of such order.
(B) the concentrations of such pollutant attribut-
able to the increase in emissions from stationary
sources which have converted from using natural gab
by reason of a natural gas curtailment pursuant to a
natural gas curtailment plan in effect pursuant to the
Federal Power Act over the emissions from such
sources before the effective date of such plan.
(C) concentrations of particulate matter attribut-
able to the increase in emissions from construction
or other temporary emission-related activities, and
(D) the increase in concentrations attributable to
new sources outside the United States over the con-
centrations attributable to existing sources which are
included in the baseline concentration determined in
accordance with section 169(4).
(•2) Xo action taken with respect to a source under par-
agraph (1)(A) or (1)(B) shall apply more than five
years after the effective date of the order referred to in
paragraph (1) (A) or the plan referred to in paragraph
(1) (B), whichever is applicable. If both such order and
plan are applicable, no such action shall apply more than
five years after the later of such effective dates.
(3) Xo action under this subsection shall take effect un-
less the Governor submits the order or rule providing for
such exclusion to the Administrator and the Administra-
tor determines that such order or rule is in compliance
with the provisions of this subsection.
AREA REDESIGXATION
SEC. 164. (a) Except as otherwise provided under sub-
section (c), a State may rcdesignnte such areas as it
deems appropriate n« class I areas. The following areas
may be redesignated only as class I or II:
(1) an area which exceeds ten thousand acres in
size and is a national monument, a national primi-
tive area, a national preserve, a national recreation
area, a national wild and scenic river, a national
wildlife refuge, a national lakeshorc or seashore, and
(2) n national park or national wilderness area cs-
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tablished after the date of enactment of this Act
which exceeds ten thousand acres in size.
Any area (other than an area referred to in paragraph
(1) or (2) or an area established as class I under the
first sentence of section lG2(a)) may be rcdesignated by
the State as class III if—
(A) such redesignation has been specifically ap-
proved by the Governor of the State, after consulta-
tion with the appropriate Committees of the legisla-
ture if it is in session or with the leadership of the
legislature if it is not in session (unless State law
provides that such redesignation must be specifically
approved by State legislation) and if general pur-
pose units of local government representing a ma-
jority of the residents of the aiea so redesignated
enact legislation (including for such units of local
government resolutions where appropriate) concur-
ringin the State's redesignation;
(B) such redesignation will not cause, or contri-
bute to, concentrations of any air pollutant which
exceed any maximum allowable increase or maxi-
mum allowable concentration permitted under the
classification of any other area; and
(C) such redesignation otherwise meets the re-
quirements of this part.
Subparagraph (A) of this paragraph shall not apply to
area redesignations by Indian tribes.
(b) (1) (A) Prior to redesignation of any area under
this part, notice shall be afforded and public hearings
shall be conducted in areas proposed to be redesignated
and in areas which may be affected by the proposed re-
dcsignation. Prior to any such public hearing a satisfac-
tory description and analysis of the health, environ-
mental, economic, social, and energy effects of the pro-
posed redesignation shall be prepared and made available
for public inspection and prior to anv such redesisnation,
the description and analysis of such effects shall be re-
viewed and examined by the redesignating authorities.
(B) Prior to the issuance of notice under subparagraph
(A) respecting the rcdesijrnation of any area under this
subsection, if snch area includes any Federal lands, the
Stnto shall provide written notice to the appropriate Fed-
eral lard manasrcr and afford adequate opportunity (but
not in excess of (50 days) to confer with the State respect-
ing the intended notice of rpdesignation and to submit
written comments and recommendations with respect to
such intended notice of rodcMpnation. In redcsiirnating
any area under this section with respect to which any
Federal land manager has submitted written comments
and recommendations, the State shall publish a list of any
inconsistency between Mich redcsiiniation and such rec-
ommendations and an explanation of snch inconsistency
81
(together with the reasons for making such redesignation
against the recommendation of the Federal land
manager).
(C) The Administrator shall promulgate regulations
not later than six months after date of enactment of this
part, to assure, insofar as practicable, that prior to any
public hearing on redengnntion of any area, there shall
be available for public inspection any specific plans for
any new or modified major omitting facility which may
be permitted to be constructed and operated only if the
area in question is designated or redesignated as class
III.
(2) The Administrator may disapprove the redesigna-
tion of any area only if he finds, after notice and op-
portunity tor public hearing, that snch redesignation does
not meet the procedural requirements of this section or is
inconsistent with the requirements of section 162(a) or of
subsection (a) of this section. If any such disapproval
occurs, the classification of the area shall be that which
was in effect prior to the redcsignation which was
disapproved.
(c) Lands within the exterior boundaries of reserva-
tions of federally recognized Indian tribes may be re-
designated only by the appropriate Indian governing
body. Such Indian governing body shall be subject in all
respect to the provisions of subsection (e).
(d) The Federal Land Manager fhall review all na-
tional monuments, primitive areas, and national pre-
serves, and shall recommend any appropriate areas for
redesignation as class I where air quality related values
arc important attributes of the area. The Federal Land
Manager shall report such recommendations, within sup-
porting analysis, to the Congress and the affected States
within one vear after enactment of this section. The Fed-
eral Land Manager shall consult with the appropriate
States before making such recommendations.
(e) If any State affected by the redesignation of an
area by an Indian tribe or any Indian tribe affected by
the redesignation of an area by a State disagrees with
such redesignation of any area, or if a permit is proposed
to Iw issued for any new major emitting facility proposed
for construction in any State which the Governor of an
affected State or go\crmng body of an affected Indian
tril>c determines will cause or contribute to a cumulative
change in air quality in excess of that allowed in this part
within the affected'State or tribal reservation, the Gov-
ernor or Indian ruling body inav request, the Adminis-
trator to enter into negotiations with the parties involved
to resolve such dispute. If requested by any State or
Indian tribe involved, the Administrator shall make a
recommendation to resolve the dispute and protect the
air quality related values of the lands involved. If the
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parties involved do not reach agreement, the Administra-
tor shall resolve the dispute and his determination, or the
results of agreements reached through other means, shall
become part of the applicable plan and shall be enforce-
able as part of such plan. In resolving such disputes relat-
ing to area redesignation, the Administrator shall
consider the extent to which the lands involved are of
sufficient size to allow effective air quality management or
have air quality related values of such an area.
rRECOXSTRfCnOX REQUIREMENTS
SEC. 165. (a) No major emitting facility on which con-
struction is commenced after the date of the enactment
of this part, may be constructed in any area to which this
part applies unless—
(1) a permit has been issued for such proposed
facility in accordance with this part setting forth
emission limitations for such facility which con-
form to the requirements of this part;
(2) the proposed permit has been subject to a re-
view in accordance with this section, the required
analysis has been conducted in accordance with reg-
ulations promulgated by the Administrator, and a
public hearing has been held with opportunity for
interested persons including representatives of the
Administrator to appear and submit written or oral
presentations on the air quality impact of such
source, alternatives thereto, control technology re-
quirements, and other appropriate considerations;
(3) the owner or operator of such facility dem-
onstrates, as required pursuant to section 110(]), that
emissions from construction or operation of such
facility will not cause, or contribute to, air pollution
in excess of any (A) maximum allowable increase or
maximum allowable concentration for any pollutant
in any area to which this part applies more than one
time per year, (B) national ambient air quality
standard in any air quality control region, or (C)
any other applicable emission standard or standard
of performance under this Act:
(4) the proposed facility is subject to the best
available control technology for each pollutant sub-
ject to regulation under this Act emitted from, or
which result? from.such facility;
(i>) the provisions of subsection (d) with respect
to protection of class I areas have been complied
with for such facility;
(6) there lias lieon an analysis of any air quality
impacts projected for the area as a result of growth
associated with such facility;
(7) the person who own" or operates, or proposes
to own or operate, a major emitting facility for
83
which a permit is required under this part agrees
to conduct such monitoring as may be necessary to
determine the effect which emissions from any such
facility may have, or is having, on air quality in any
area which" may be affected by emissions from such
source: and
(8) in the case of a source which proposes to con-
struct in a class III area, emissions from which
would cause or contribute to exceeding the maximum
allowable increments applicable in a class II area
and where no standard under section 111 of this Act
has been promulgated subsequent to enactment of
the Clean Air Act Amendments of 1977, for such
source category, the Administrator has approved the
determination of best available technology as set
forth in the permit.
(b) The demonstration pertaining to maximum allow-
able increases required under subsection (a) (3) shall not
apply to maximum allowable increases for class II areas
in the case of an expansion or modification of a major
emitting facilitT which is in existence on the date of en-
actment of the Clean Air Act Amendments of 1977, whose
allowable emissions of air pollutants, after compliance
with subsection (a) (4). will IK- less than fifty tons per
year and for which the owner or operator of such facility
demonstrates that emissions of participate matter and
sulfur oxides will not cause or contribute to ambient air
quality levels in excess of the national secondary ambient
air quality standard for either of such pollutants.
(c) Any completed peimit application under section
110 for a major emitting facility in any area to which
this part applies ?\\n\\ be granted or denied not later than
one year after the date of filing of such completed ap-
plication.
(d) (1) Each State shall transmit to the Administrator
a copy of each permit application relating to a major
emitting facility received by such State and provide no-
tice to the Administrator of every action related to the
consideration of such permit.
(•2) (A) The Administrator shall provide notice of the
permit application to the Federal Land Manager and the
Federal official charged with direct responsibility for
management of any lands within a class I area which
may be atfectcd by VmisMons from the proposed facility.
(B) The Federal Land Manager and the Federal of-
ficial charged with direct responsibility for management
of such lands shall have an nflirmative responsibility to
protect the air quality related values (including visibil-
ity) of any such lands within a class I area and to con-
sider, in consultation with the Administrator, whether
a proposed major emitting facility will have an adverse
impact on such values.
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(C) (i) In any case whore the Federal official charged
with direct responsibility for management of any lands
within a class I area or the Federal Land Manager of
such lands, or the Administrator, or the Governor of an
adjacent State containing such a class I area files a notice
alleging that emissions from a proposed major emitting
facility may cause or contribute to a change in the air
finality in such area and identifying the potential adverse
impact of such change, a permit shall not be issued unless
the owner or operator of such facility demonstrates that
emissions of participate matter and sulfur dioxide will
not cause or contribute to concentrations which exceed the
maximum allowable increases for a class I area,
(ii) In any case where the Federal Land Manager
demonstrates to the satisfaction of the State that the
emissions from such facility will have an adverse impact
on the air quality-related values (including visibility) of
such lands, notwithstanding the fact that the change in
air quality resulting from emissions from such facility
will not cause or contribute to concentrations which ex-
ceed the maximum allowable increases for a class I area,
a permit shall not lie issued.
(in) In any case where the owner or operator of such
facility demonstrates to the satisfaction of the Federal
Land Manager, and the Federal Land Manager so certi-
fies, that the emissions from such facility will have no
adverse impact on the air quality-related values of such
lands (including visibility) notwithstanding the fact
that the change in air quality resulting from emissions
from such facility will cause or contribute to concentra-
tions which exceed the maximum allowable increases for
class I areas, the State may issue a permit.
(iv) In the case of a permit issued pursuant to clause
/iii). siioh facility shall comply with such emission lim-
itations under such permit as may lie necessary to assure
that emissions of sulfur oxides and participates from such
facility, will not cause or contribute to concentrations of
such pollutant which exceed the following maximum al-
lowable increases over the baseline concentration for such
pollutants:
Pnrticnlate matter:
Annual geometric mean
Twenty-four-hour maximum
Sulfur dioxide:
Annual arithmetic mran 20
Twenty-four-hour maximum 01
Three-hour maximum 325
(D) (i) In any case where the owner or operator of a
proposed major emitting facility who has been denied a
certification under stibparagrnph (C) (iii) demonstrates
to the satisfaction of the Governor, after notice and pub-
lic hearing, and the Governor finds, that the facility can-
not be constructed by reason of any maximum allowable
Jforfmum allowable Increase
{inicrogratat per cubfe meter)
.„ 10
- 37
86
increase for sulfur dioxide for periods of twenty-four
hours or less applicable to any class I area and. in tfic case
of Federal mandatory class I areas, that a variance under
this clause will not adversely affect the air quality related
values of the area (including visibility), the G'ovcrnor,
after consideration of the Federal Land Manager's rec-
ommendation (if any) and subject to his concurrence,
may grant a variance from such maximum allowable in-
crease. If such variance is granted, a permit may be is-
sued to such source pursuant to the requirements of this
subparagraph.
(ii) In any case in which the Governor recommends a
variance under this subparagraph in which the Federal
Land Manager docs not concur, the recommendations of
the Governor and the Federal Land Manager shall be
transmitted to the President. The President may ap-
prove the Governor's recommendation if he finds that
such variance is in the national interest. No Presidential
finding shall be reviewable in any court. The variance
shall take effect if the President approves the Governor's
recommendations. The President shall approve or dis-
approve such recommendation within ninety days after
his receipt of the recommendations of the Governor and
the Federal Land Manager.
(iii) In the case of a permit issued pursuant to this
subparagraph. such facility shall comply with such emis-
sion limitations under such permit as may be necessary
to assure that emissions of sulfur oxides from such fa-
cility will not (during any day on which the otherwise
applicable maximum allowable increases are exceeded)
cause or contribute to concentrations which exceed the
following maximum allowable increases for such areas
over the baseline concentration for such pollutant and to
assure that such emissions will not cause or contribute
to concentrations which exceed the otherwise applicable
maximum allowable increases for periods of exposure
of 24 hours or less on more than 18 days during any an-
nual period:
itaiimvm alloiraWc incrcatc
Period of exposure: J/iero0rami» per
Low terrain areas: nMe meter
24-hr maximum 36
3-hr maximum 130
High terrain areas:
24-hr umximum 62
3-hr maximum 221
(iv) For purposes of clause (iii), the term "high ter-
rain area" means with respect to any facility, any area
having an elevation of JKH) feet or more above the base of
the stack of such facility, and the term ''low terrain
area" means any area other than a high terrain area.
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(e)(l) The review provided for in subsection (a)
shall be preceded by an analysis in accordance with regu-
lations of the Administrator, promulgated under this
subsection, which may be conducted by the State (or any
general purpose unit of local government) or by the ma-
jor emitting facility applying for such permit, of the
ambient air quality at the proposed site and in areas
which may be affected by emissions from such facility
for each pollutant subject to regulation under this Act
which will be emitted from such facility.
(2) Effective one year after date of enactment of this
part, the analysis required by this subsection shall in-
clude continuous air quality monitoring data gathered
for purposes of determining whether emissions from
such facility will exceed the maximum allowable in-
creases or the maximum allowable concentration per-
mitted under this part. Such data shall be gathered over
a period of one calendar year preceding the date of ap-
plication for a permit under this part unless the State,
in accordance with regulations promulgated by the Ad-
ministrator, determines that a complete and adequate
analysis for such purposes may be accomplished in a
shorter period. The results of such analysis shall be avail-
able at the time of the public hearing on the application
for such permit
(3) The Administrator shall within six months after
the date of enactment of this part promulgate regulations
respecting the analysis required under this subsection
which regulations—
(A) shall not require the use of any automatic or
uniform buffer zone or zones,
(B) shall require an analysis of the ambient air
quality, climate and meteorology, terrain, soils and
vegetation, and visibility at the site of the proposed
major emitting facility and in the area potentially
affected by the emissions from such facility for each
pollutant regulated under this Act which will be
emitted from, or which results from the construc-
tion or operation of, such facility, the size and na-
ture of the proposed facility, the degree of continu-
ous emission reduction which could be achieved by
such facility, and such other factors as may be rele-
vant in determining theNeffect of emissions from a
proposed facility on any air quality control region,
(C) shall require the results of such analysis shall
be available at the time of the public hearing on the
application for such permit, and
(D) shall specify with reasonable particularity
each air quality model or models to be used under
specified sets of conditions for purposes of this part.
Any model or models designated under such regulations
may be adjusted upon a determination, after notice and
87
opportunity for public hearing, by the Administrator
that such adjustment is necessary to take into account
unique terrain or meteorological characteristics of an
area potentially affected by emissions from a source ap-
plying for a permit required under this part.
OTHER POLLUTANTS
SEC. 166. (a) In the case of the pollutants hydrocar-
bons, carbon monoxide, photochemical oxidants, and ni-
trogen oxides, the Administrator shall conduct a study
and not later than two years after the date of enactment
of this part, promulgate regulations to prevent the sig-
nificant deterioration of air quality which would result
from the emissions of such pollutants. In the case of pol-
lutants for which national ambient air quality stand-
ards are promulgated after the date of the enactment of
this part, he shall promulgate such regulations not more
than 2 years after the date of promulgation of such
standards.
(b) Regulations referred to in subsection (a) shall be-
come effective one year after the date of promulgation.
Within 21 months after such date of promulgation such
plan revision shall be submitted to the Administrator
who shall approve or disapprove the plan within 25
months after such date or promulgation in the same
manner as required under section 110.
(c) Such regulations shall provide specific numerical
measures against which permit applications may be eval-
uated, a framework for stimulating improved control
technology, protection of air quality values, and fulfill
the goals and purposes set forth in section 101 and sec-
tion 160.
(d) The regulations of the Administrator under sub-
section (a) shall provide specific measures at least as
effective as the increments established in section 163 to
fulfill such goals and purposes, and may contain air qual-
ity increments, emission density requirements, or other
measures.
(e) With respect to any air pollutant for which a
national ambient air quality standard is established other
than sulfur oxides or participate matter, an area classi-
fication plan shall not be required under this section if the
implementation plan adopted by the State and submitted
for the Administrator's approval or promulgated by the
Administrator under section 110(c) contains other pro-
visions which when considered as a whole, the Admin-
istrator finds will carrj- out the purposes in section 160 at
least as effectively as an area classification plan for such
pollutant. Such other provisions referred to in the pre-
ceding sentence need not require the establishment of
maximum allowable increases with respect to such
pollutant for any area to which this section applies.
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ENFORCEMENT
SEC. 167. The Administrator shall, and a. State may,
take such measures, including issuance of an order, or
seeking injunctive relief, as necessary to prevent the con-
struction of a major emitting facility which does not
conform to the requirements of this part, or which is pro-
posed to lie constructed in any area included in the list
promulgated pursuant to paragraph (1) (D) or (E) of
subsection (d) of section 107 of this Act and which is not
subject to an implementation plan which meets the re-
quirements of this part.
PERIOD BEFORE PLAN .APPROVAL
SEC. 168. (a) Until such time as an applicable imple-
mentation plan is in effect for any area, which plan meets
the requirements of this part to prevent significant de-
terioration of air quality with respect to any air pollut-
ant, applicable regulations under this Act prior to
enactment of this part shall remain in effect to prevent
significant deterioration of air quality in any such area
for any such pollutant except as otherwise provided in
subsection (b).
(b) If an}- regulation in effect prior to enactment of
this part to prevent significant deterioration of air qual-
ity would be inconsistent with the requirements of section
162(a), section 163(b) or section 164(a), then such regu-
lations shall be deemed amended so as to conform with
such requirements. In the case of a facility on which con-
struction was commenced (in accordance with this defi-
nition of "commenced" in section 169(2)) after June 1,
1975. and prior to the enactment of the Clean Air Act
Amendments of 1977, the review and permitting of such
facility shall be in accordance with the regulations for
the prevention of sicnificant deterioration in effect prior
to the enactment of the Clean Air Act Amendments of
1377.
DEFINITION'S
SEC. 169. For purposes of this part—
(1) The term "major emitting facility" means any
of the following stationary sources of air pollutants
which emit, or have the potential to emit, one hund-
red tons per year or more of any air pollutant from
the following types of stationary sources: fossil-
fuel fired steam electric plants of more than two
hundred and fifty million British thermal units per
hour heat input, coal cleaning plants (thermal dry-
ers), kraft pulp mills, Portland Cement plants,
primary zinc smelters, iron and steel mill plants,
primary aluminum ore reduction plants, primary
copper smelters, municipal incinerators capable of
89
charging more than two hundred and fifty tons of
refuse per day, hydrofluoric, sulfuric, and nitric
acid plants, petroleum refineries, lime plants, phos-
phate rock processing plants, coke oven batteries,
sulfur recovery plants, carbon black plants (furnace
process) primary lead smelters, fuel conversion
plants, sintering plants, secondary metal produc-
tion facilities, chemical process plants, fossil-fuel
boilers of more than two hundred and fifty million
British thermal units per hour heat input, petroleum
storage and transfer facilities with a capacity ex-
ceeding three, hundred thousand barrels, taconite ore
processing facilities, glass fiber processing plants,
charcoal production facilities. Such term also in-
cludes any other source with the potential to emit
two hundred and fifty tons per year or more of any
air pollutant. This term shall not include new or
modified facilities which are nonprofit health or
education institutions which have been exempted by
the State,
(2) (A) The term "commenced" as applied to con-
struction of a major emitting facility means that
the owner or operator has obtained all necessary
preconstruction approvals or permits required by
Federal, State, or local air pollution emissions and
air quality laws or regulations and cither has (i)
begun, or'caused to begin, a continuous program of
physical on-site construction of the facility or (ii)
entered into binding agreements or contractual ob-
ligations, which cannot be canceled or modified with-
out substantial loss to the owner or operator, to
undertake a program of construction of the facility
to be completed within a reasonable time.
(B) Tne term "necessary preconstruction ap-
provals or permits" means those permits or approvals
required by the permitting authority as a precondi-
tion to undertaking any activity under clauses (i)
or (ii) of subparagraph (A) of this paragraph.
(C) The term "construction" when usedin con-
nection with any source or facility, includes the
modification (as defined in section 111 (a)) of any
source or facility.
(3) The term ''best available control technology"
means an emission limitation based on the maximum
degree of reduction of each pollutant subject to regu-
lation under this Act emitted from or which results
from any major emitting facility, which the permit-
ting authority, on a case-by-case basis, taking into
account energy, environmental, and economic im-
pacts and other costs, determines is achievable for
such facility thronph application of production
processes and available methods, systems, and tech-
niques, including fuel cleaning or treatment or
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innovative fuel combustion techniques for control of
each such pollutant. In no event shall application of
"best available control technology" result in emis-
sions of any pollutants which will exceed the emis-
sions allowed by any applicable standard established
pursuant to section 111 or 112 of this Act
(4) The term "baseline concentration" means, with
respect to a pollutant, the ambient concentration
levels which exist at the time of the first application
for a permit in an urea subject to this part, based on
air quality data available in the Environmental Pro-
tection Agency or a State air pollution control
agency and on such monitoring data, as the permit
applicant is required to submit Such ambient con-
centration levels shall take into account all pro-
jected emissions in, or which may affect, such area
from any major emitting facility on which construc-
tion commenced prior to January 6,1975. but which
has not begun operation by the date of the baseline
air quality concentration determination. Emissions
of sulfur "oxides and particulate matter from any
major emitting facility on which construction com-
menced after January 6.1975. shall not be included
in the baseline and shall be counted against the
maximum allowable increases in pollutant concentra-
tions established under this part
SUBPART I
VISIBILITY PROTECTION FOR FEDERAL CLASS I AREAS
SEC. 169A. (a) (1) Congress hereby declares as a na-
tional goal the prevention of any future, and the rem-
edi'ing of any existing, impairment of visibility in
mandatory class I Federal areas which impairment
results from manmade air pollution.
(2) Not later than six months after the date of the
enactment of this section, the Secretary of the Interior
in consultation with other Federal land managers shall
review all mandatory class I Federal areas and identify
those where visibility is an important value of the area.
From time to time the Secretary of the Interior may re-
vise such identifications. Not later than one year after
such date of enactment, the Administrator shall, after
consultation with the Secretary of the Interior, promul-
gate a list of mnndatory class I Federal areas in which lie
determines visibility is an important value.
(3) Xot later than eighteen months after the date of
enactment of this section, the Administrator shall com-
plete a studj- and report to Congress on available methods
for implementing the national goal set forth in paragraph
(1). Such report shall include recommendations for—
91
^A) methods for identifying, characterizing, de-
tei mining, quantifying, and measuring visibility
impairment in Federal areas referred to in para-
graph (l),and
(B) modeling techniques (or other methods) for
determining the extent to which manmade air pol-
lution may reasonably be anticipated to cause or
contribute to such impairment, and
(C) methods for preventing and remedying such
manmade air pollution and resulting visibility
impairment
Such report shall also identify the classes or categories of
sources and the types of air pollutants which, alone or in
conjunction with other sources or pollutants, may reason-
ably be anticipated to cause or contribute significantly to
impairment of visibility.
(4) Xot later than twenty-four months after the date of
enactment of this section" and after notice and public
hearing, the Administrator shall promulgate regulations
to assure (A) reasonable progress toward meeting the
national goal specified in paragraph (1), and (B) com-
pliance with the requirements of this section.
(b) Regulations under subsection (a) (4) shall—
(1) provide guidelines to the States, taking into
account the recommendations under subsection (a)
(3) on appropriate techniques and methods for im-
plementing this section (as provided in subpara-
graphs (A) through (C) of such subsection (a)
(3)), and
(2) require each applicable implementation plan
for a State in which any area listed by the Admin-
istrator under subsection (a) (2) is located (or for a
State the emissions from which may reasonably be
anticipated to cause or contribute to any impairment
of visibility in any such area) to conta'in such emis-
sion limits, schedules of compliance and other meas-
ures as may be necessary to make reasonable progress
toward meeting the national goal specified in sub-
section (a), including—
(A) except as otherwise provided pursuant to
subsection (c), a requirement that each major
stationary source which is in existence on the
date of enactment of this section, but which has
not been in operation for more than fifteen
years as of such date, and which, as determined
by the State (or the Administrator in the case
of a plan promulgated under section 110(c))
emits any air pollutant which may reasonably
be anticipated to cause or contribute to any im-
pairment of visibility in any such area, shall
procure, install, and operate, as expeditiously as
practicable (and maintain thereafter) the best
91-10! O - " - 1
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available retrofit technology, as determined by
the State (or the Administrator in the case of a
plan promulgated under section 110(c)) for
controlling emissions from such source for the
purpose of eliminating or reducing any such
impairment, and
(B) a long-term (ten to fifteen years) strat-
egy for making reasonable progress toward
meeting the national goal specified in subsection
(a).
In the case of a fossil-fuel fired generating powerplant
having a total generating capacity in excess of 750 mega-
watts, the emission limitations required under this para-
graph shall be determined pursuant to guidelines, pro-
mulgated by the Administrator under paragraph (1).
(c) (1) The Administrator may, by rule, after notice
and opportunity for public hearing, exempt any major
stationary source from the requirement of subsection
(bH2)(A), upon his determination that, such source
does not or will not, by itself or in combination with
other sources, emit any air pollutant which may reason-
ably be anticipated to cause or contribute to a sfgnificant
impairment of visibility in any mandatory class I Fed-
eral area.
(2) Paragraph (1) of this subsection shall not be
applicable to any fossil-ftiel fired powerplant with total
design capacity of 750 megawatts or more, unless the
owner or operator of any such plant demonstrates to the
satisfaction of the Administrator that such powerplant is
located at such distance from all areas listed by the Ad-
ministrator under subsection (a) (2) that such power-
plant does not or will not, by itself or in combination
with other sources, emit any air pollutant which may
reasonably be anticipated to cause or contribute to sig-
nificant impairment of visibility in any such area.
(3) An exemption under this'subsection shall be effec-
tive only upon concurrence by the appropriate Federal
land manager or managers with the Administrator's
determination under this subsection.
(d) Before holding the public hearing on the pro-
posed revision of an applicable implementation plan to
meet the requirements of this section, the State (or the
Administrator, in the case of a plan promulgated under
section 110(c)) shall consult in person with the appro-
priate Federal land manager or managers and shall in-
clude a summary of the conclusions and recommenda-
tions of the Federal land managers in the notice to the
public.
(e) In promulgating regulations under this section,
the Administrator shall not require (lip use of anv auto-
matic or uniform buffer zone or zones.
93
(f) For purposes of section 304 (a) (2), the meeting of
the national goal specified in subsection (a) (1) by any
specific date, or dates shall not be considered a "nondis-
eretionary duty" of the Administrator.
(g) For the purpose of this section—
(1) in determining reasonable progress there shall
be taken into consideration the costs of compliance,
the time necessary for compliance, and the energy
and nonair quality environmental impacts of com-
pliance, and the remaining useful life of any exist-
ing source subject to such requirements;
(2) in determining best available retrofit technol-
ogy the State (or the Administrator in determining
emission limitations which reflect such technology)
shall take into consideration the costs of compliance,
the energy and nonair quality environmental im-
pacts of compliance, any existing pollution control
technology in use at the source, the remaining useful
life of the source, and the degree of improvement in
visibility which may reasonably be anticipated to re-
sult from the vise of such technology;
(3) the term "manmade air pollution" means air
pollution which results directly or indirectly from
human activities;
(4) the term "as cxpeditiouslv as practicable''
means as cxpeditiously as practicable but in no event
later than five years after the date of approval of
a plan revision under this section (or the date of pro-
mulgation of such a plan revision in the case of
action by the Administrator under section 110 (c)
for purposes of this section):
(5) the term "mandatory class I Federal areas"
means Federal areas which may not be designated
as other than class I under this part;
(6) the terms ''visibility impairment'' and "im-
pairment of visibility"' shall include reduction in
visual range and atmospheric discoloration: and
(7) the term "major stationary source" means the
following types of stationary sources with the po-
tential to emit 250 tons or more of any pollutant;
fossil-fuel fired steam electric plants of more than
250 million British thermal units per hour heat in-
put, coal cleaning plants (thermal dryers), kraft
pulp mills. Portland Cement plants, primary zinc
smelters, iron and steel mill plants, primary alumi-
num ore reduction plants, primary copper smelters,
municipal incinerators capable of charging more
than 250 tons of refuse per day. hydrofluoric, sul-
furic, and nitric acid plants, petroleum refineries,
lime plants, phosphate rock processing plants, coko
oven batteries, sulfur recovery plants, carbon black
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plants (furnace process) . primary lead smelters, fuel
conversion plants, sintering plants, secondary metal
production facilities, chemical process plants, fossil-
fuel boilers of more than 250 million British thermal
units per hour heat input, petroleum storage and
transfer facilities with a capacity exceeding 300,000
barrels, taconite ore processing facilities, glass fiber
processing plants, charcoal production facilities.
PART D — PLAN REQUIREMENTS FOR NONATTAINMENT
AREAS
DEFINITIONS
SEC. 171. For the purpose of this part and section
(1) The term "reasonable further progress"
means annual incremental reductions in emissions of
the applicable air pollutant (including substantial
reductions in the early years following approval or
promulgation of plan provisions under this part and
section 110(a) (2) (I) and regular reductions there-
after) which arc sufficient in the judgment of the
Administrator, to provide for attainment of the
applicable national ambient air quality standard by
the date required in section 172 (a).
(2) The term "nonattainment area" means, for
any air pollutant an area which is shown by moni-
tored data or which is calculated by air quality
modeling (or other methods determined by the Ad-
ministrator to be reliable) to exceed any national
ambient air quality standard for such pollutant.
Such term includes any area identified under sub-
paragraphs (A) through (C) of section 107(d)(l).
(3) The term "lowest achievable emission rate"
means for any source, that rate of emissions which
reflects —
(A) the most stringent emission limitation
which is contained in the implementation plan
of any State for such class or category of source,
unless the owner or operator of the proposed
source demonstartes that such limitations are
not achievable, or
(B) the most stringent emission limitation
which is .achieved in practice by such class or
category of source, whichever is more stringent.
In no event shall the application of this term permit
n proposed new or modified source to emit any pollut-
ant in excess of the amount allowable under appli-
cable new source standards of performance.
(4) The terms "modifications" mud "modified"
mean the same as the term "modification'1 as used in
section lll(a)(4) of this Act.
95
NONATTAINJIKNT PLAN PROVISIONS
SEC. 172. (a) (1) The provisions of an applicable im-
plementation plan for a State relating to attainment
and maintenance of national ambient air quality stand-
ards in any nonattainment area which are required by
section 110(a)(2)(I) as precondition for the construc-
tion or modification of any major stationary source in
any such area on or after July 1, 1979, shall provide for
attainment of each such national ambient air quality
standard in each such area as expeditiously as practi-
cable, but, in the case of national primary ambient air
quality standards, not later than December 31, 1982.
(2) In the case of the national primary ambient air
quality standard for photochemical oxidants or carbon
monoxide (or both) if the State demonstrates to the
satisfaction of the Administrator (on or before the time
required for submission of such plan) that such at-
tainment is not possible in an area with respect to either
or both of such pollutants within the period prior to
December 31, 19S2, despite the implementation of all
reasonably available measures, such provisions shall pro-
vide for the attainment of the national primary stand-
ard for the pollutant (or pollutants) with respect to
which such demonstration is made, as expeditiously as
practicable but not later than December 31, 1987.
(b) The plan provisions required by subsection (a)
shall—
(1) be adopted by the State (or promulgated by
the Administrator under section 110(c)) after rea-
sonable notice and public hearing;
(•2) provide for the implementation of all reason-
ably available control measures as expeditiously as
practicable;
(3) require, in the interim, reasonable further
progress (as defined in section 171 (1)) including
such reduction in emissions from existing sources
in the area as may be obtained through the adop-
tion, at a minimum, of reasonably available control
technology;
(4) include a comprehensive, accurate, current in-
vcntorv of actual emissions from all sources (as pro-
vided "by rule of the Administrator) of each such
pollutant for each such area which is revised and
resubmitted as frequently as may IM? necessary to as-
sure that the requiiemcutsof paragraph (3) arc met
and to assess the need for additional reductions to
assure attainment of each standard by the date re-
quired under subsection (a) ;
(a) expressly identify and quantify the emissions,
if any. of any such pollutant which will be allowed
to result from the construction and operation of ma-
jor new or modified stationary sources for each such
area;
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(6) require permits for the construction and
operation of new or modified major stationary
sources in accordance with section 173 (relating to
permit requirements);
(7) identify and commit the financial and man-
power resources necessary to carry out the plan pro-
visions required bv this subsection;
(8) contain emission limitations, schedules of com-
pliance and such other measures us may be necessary
to meet the requirements of this section;
(9) evidence public, local government, and State
legislative involvement and consultation in accord-
ance with section 174 (relating to planning proce-
dures) and include (A) an identification and anal-
ysis of the air quality, health, welfare, economic,
energy, and social effects of the plan provisions
required by this subsection and of the alternatives
considered by the State, and (B) a summary of the
public comment on such analysis;
(10) include written evidence that the State, the
general purpose local government or governments,
or a regional agency designated by general purpose
local governments for such purpose, have adopted by
statute, regulation, ordinance, or other legally en-
forceable document, the necessary requirements and
schedules and timetables for compliance, and are
committed to implement and enforce the appropri-
ate elements of the plan;
(11) in the case of plans which make a demon-
stration pursuant to paragraph (2) of subsection
(a)—
(A) establish a program which requires,
prior to issuance of any permit for construc-
tion or modification of a major emitting fa-
cility, an analysis of alternative sites, sizes, pro-
duction processes, and environmental control
techniques for such proposed source which dem-
onstrates that benefits of the proposed source
significantly outweigh the environmental and
social costs imposed as a result of its location,
construction, or modification;
(B) establish a specific schedule for imple-
mentation of a vehicle emission control inspec-
tion and maintenance program; and
(C) identify other measures necessary to pro-
vide for attainment of the applicable national
ambient air quality standard not later than
December 31. 1987.
(cl In the case of a State plan revision required under
the Olwm Air Act Amendments of 1977 to be submitted
before July 1. 1082, bv reason of a demonstration under
subjection (a) (2), effective on such date such plan shall
contain enforceable measures to assure attainment of the
applicable standard not later than December 31, 1987.
97
PERMIT REQUIREMENTS
SEC. 173. The permit program required by section
172 (b) (6) shall provide that permits to construct and
operate may be issued if—
(1) the permitting agency determines that—
(A) by the time the source is to commence
operation, total allowable emissions from exist-
ing sources in the region, from new or modified
sources which are not major emitting facilities,
and from the proposed source will be sufficiently
less than total emissions from existing sources
allowed under the applicable implementation
plan prior to the application for such permit to
construct or modify so as to represent (when
considered together with the plan provisions
required under section 172) reasonable further
progress (as defined in section 171); or
(B) that emissions of such pollutant resulting
froni the proposed new or modified major sta-
tionary source will not cause or contribute to
emissions levels which exceed the allowance per-
mitted for such pollutant for such area from
new or modified major stationary sources under
section 172 (b);
(2) the proposed source is required to comply
with the lowest achievable emission rate;
(3) the owner or operator of the proposed new or
modified source has demonstrated that all major
stationary sources owned or operated by such person
(or by any entity controlling, controlled by. or under
common control with such person) in such State are
subject to emission limitations and are in compli-
ance, or on a schedule for compliance, with all
applicable emission limitations and standards under
this Act; and
(4) the applicable implementation plan is being
carried out for the nonnttainment area in which
the proposed source is to be constructed or modified
in accordance with the requirements of this part
Any emission reductions required as a precondition of
the. issuance of a permit under paragraph (1) (A) shall
be legally binding before such permit may be issued.
PLANKING PROCEDtJUES
SEC. 174. (a) Within six months after the enactment of
the Clean Air Act Amendments of 1977, for each region
in which the national primary ambient, air quality stand-
ard for carbon monoxide or photochemical oxidants will
not be attained by ,Tuly 1, 1979, the State and elected
officials of affected local governments shall jointly deter-
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mine which elements of a revised implementation plan
will be planned for and implemented or enforced by the
State and which such elements will be planned for and
implemented or enforced by local governments or re-
gional agencies, or any combination of local governments,
regional agencies, or the State. Where possible within
the time required under this subsection, the implementa-
tion plan required by this part shall be prepared by an
organization of elected officials of local governments des-
ignated by agreement of the local governments in an af-
fected area, and certified by the State for this purpose.
Where such an organization has not been designated by
agreement within six months after the enactment of the
Clean Air Act Amendments of 1977, the Governor (or,
in the case of an interstate area, Governors), after con-
sultation with elected officials of local governments, and
in accordance with the determination under the first
sentence of this subparagraph, shall designate an organi-
zation of elected officials of local governments in the af-
fected area or a State agency to prepare such plan.
Where feasible, such organization shall be the metropoli-
tan planning organization designated to conduct the con-
tinuing, cooperative and comprehensive transportation
planning process for the area under section 134 of title
23, United States Code, or the organization responsible
for the air quality maintenance planning process under
regulations implementing this section, or the organiza-
tion with both responsibilities.
(b) The preparation of implementation plan provi-
sions under this part shall be coordinated with the con-
tinuing, cooperative, and comprehensive transportation
planning process required under section 134 of title 23.
United States Code, and the air quality maintenance
planning process required under section 110, and such
planning processes shall take into account the require-
ments of this part.
ENVIRONMENTAL PROTECTION" AOEXCT GRANTS
SEC. 175. (a) The Administrator shall make grants
to any organization of local elected officials with trans-
portation or air quality mnintcnnncc planning respon-
sibilities recognized by the State under section 174(a)
for payment of the reasonable costs of developing a plan
revision under this part.
(b) The nmount granted '° nl1.v organization under
subsection (a) shall be 100 percent of any additional
costs of developing a plan revision under this part for
the first two fiscal years following receipt of the jrrant
under this paragraph, and shall supplement any funds
available under Federal law to such organization for
transportation or air quality maintenance planning.
99
Grants under this section shall not be used for construc-
tion.
LIMITATIONS ON CERTAIN FEDERAL ASSISTANCE
SEC. 176. (a) The Administrator shall not approve
any projects or award any grants authorized by this Act
and the Secretary of Transportation shall not approve
any projects or award any grants under title 23, United
States Code, other than for safety, mass transit, or trans-
portation improvement projects related to air quality
improvement or maintenance, in any air quality control
region—
(1) in which any national primary ambient air
quality standard has not been attained.
(2) where transportation control measures are nec-
essary for the attainment of such standard, and
(3) where the Administrator finds after July 1.
1979, that the Governor has not submitted an im-
plementation plan which considers each of the ele-
ments required by section 172 or that reasonable
efforts toward submitting such an implementation
plan are not being made (or. after July 1, 1982. in
the case of an implementation plan revision required
under section 172 to be submitted before July 1,
1932).
(b) In any area in which the State or. as the case may
be, the general purpose local government or govern-
ments or any regional agency designated by such general
purpose local governments for such purpose, is not im-
plementing any requirement of an approved or promul-
gated plan under section 110, including any requirement
for a revised implementation plan under this part, the
Administrator shall not make any grants under this Act.
(c) No department, agency, or instrumentality of the
Federal Government shall (1) engage in. (2) support in
any way or provide financial assistance for. (3) license or
permit, or (4) approve, any activity which does not con-
form to a plan after it has been approved or promulgated
under section 110. No metropolitan planning organiza-
tion designated under section 134 of title 23, United
States Code, shall give its approval to any project, pro-
gram, or plan which does not conform to a plan approved
or promulgated under section 110. The assurance of con-
formity to such a plan shall be an affirmative responsi-
bility of the head of Mich department, agency, or instru-
mentality.
(d) Each department, agency, or instrumentality of
the Federal Government having authority to conduct or
support any program with air-quality related transpor-
tation consequences shall jrive priority in the exercise of
such authority, consistent with statutory requirements
for allocation among States or other jurisdictions, to the
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implementation of those portions of plans prepared un-
der this section to achieve and maintain the national pri-
mary ambient air quality standard. This paragraph ex-
tends to, but is not limited to, authority exercised under
the Urban Mass Transportation Act, title 23 of the
United States Code, and the Housing and Urban De-
velopment Act.
NEW MOTOR VEHICLE EMISSION STANDARDS IN
NONATTAINMENT AREAS
SEC. 177. Notwithstanding section 209(a), any State
which has plan provisions approved under this part may
adopt and enforce for any model year standards relating
to control of emissions from new motor vehicles or new
motor vehicle engines and take such other actions as are
referred to in section 209(a) respecting such vehicles
if—
(1) such standards are identical to the California
standards for which a waiver has been granted for
such model year, and
(2) California and such State adopt such stand-
ards at least two years before commencement of such
model year (as determined by regulations of the
Administrator).
GUIDANCE DOCUMENTS
SEC. 178. The Administrator shall issue guidance docu-
ments under section 108 for purposes of assisting States
in implementing requirements of this part respecting the
lowest achievable emission rate. Such a document shall be
published not later than nine months after the date of
enactment of this part and shall be revised at least every
two years thereafter.
TITLE II—EMISSION STANDAKDS FOE
MOVING SOURCES
SHORT TITLE
SEC. 201. This title may be cited as the "National Emis-
sion Standards Act."
PART A—MOTOR 'VEHICLE EMISSION AND FUEL
STANDARDS
ESTABLISHMENT OP STANDARDS
SEC. 202. (a) Except as otherwise provided in subsec-
tion (b) —
(1) The Administrator shall by regulation pre-
scribe (and from time to time revise) in accordance
with the provisions of this section, standards appli-
cable to the emission of any air pollutant from any
101
class or classes of new motor vehicles or new motor
vehicle engines, which in his judgment cause, or
contribute to, air pollution which may reasonably
be anticipated to endanger public health or welfare.
Such standards shall be applicable to such vehicles
and engines for their useful life (as determined
under subsection (d), relating to useful life of ve-
hicles for purposes of certification), whether such
vehicles and engines are designed as complete sys-
tems or incorporate devices to prevent or control
such pollution.
(2) Any regulation prescribed under paragraph
(1) of this subsection (and any revision thereof)
shall take effect after such period as the Adminis-
trator finds necessary to permit the development and
application of the requisite technology, giving ap-
propriate consideration to the cost of compliance
within such period.
(8) (A) (i) The Administrator shall prescribe reg-
ulations under paragraph (1) of this subsection
applicable to emissions of carbon monoxide, hydro-
carbons, and oxides of nitrogen from classes or cate-
gories of heavy-duty vehicles or engines manufac-
tured during and after model year 1979. Such regu-
lations applicable to such pollutants from such
classes or categories of vehicles or engines manu-
factured during model years 1979 through 1982 shall
contain standards which reflect the greatest degree
of emission reduction achievable through the appli-
cation of technology which the Administrator deter-
mines will be available for the model year to which
such standards apply, giving appropriate considera-
tion to the cost of applying such technology within
the period of time available to manufacturers and
to noise, energy, and safety factors associated with
the application of such technology.
(ii) Unless a different standard is temporarily
promulgated as provided in subparagraph (B) or
unless the standard is changed as provided in sub-
paragraph (E), regulations under paragraph (1)
of this subsection applicable to emissions from
vehicles or engines manufactured during and after
model year—
(I) 1983, in the case of hydrocarbons and car-
bon monoxide, shall contain standards which
require a reduction of at least 90 per cent, and
(II) 1985, in the case of oxides of nitrogen.
shall contain standards which require a reduc-
tion of at least 75 per cent.
from the average of the actually measured emissions
from heavy-duty gasoline-fueled vehicles or en-
gines, or any class or category thereof, manufactured
during the baseline model year.
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(iii) The Administrator shall prescribe regula-
tions under paragraph (1) of this subsection appli-
cable to emissions of particulate matter from classes
or categories of vehicles manufactured during and
after model year 1981 (or during any earlier model
year, if practicable). Such regulations shall contain
standards which reflect the greatest degree of emis-
sion reduction achievable through the application of
technology which the Administrator determines will
be available for the model year to which such stand-
ards apply, giving appropriate consideration to the
cost of applying such technology within the period
of time available to manufacturers and to noise,
energy, and safety factors associated with the ap-
plication of such technology. Such standards shall
be promulgated and shall take effect as expeditiously
as practicable taking into account the period neces-
sary for compliance.
(iv) In establishing classes or categories of ve-
hicles or engines for purposes of regulations under
this paragraph, the Administrator may base such
classes or categories on gross vehicle weight, horse-
power, or such other factors as may be appropriate.
(v) For the purpose of this paragraph, the term
"baseline model year'1 means, with respect to any pol-
lutant emitted from any vehicle or engine, or class
or category thereof, the model year immediately
preceding the model year in which Federal standards
applicable to such vehicle or engine, or class or cate-
gory thereof, first applied with respect to such
pollutant
(B) During the period of June 1 through Decem-
ber 31.1978, in the case of hj-drocarbons and carbon
monoxide, or during the period of June 1 through
December 31,19SO. in the case of oxides of nitrogen,
and during each period of June 1 through Decem-
ber 31 of each third year thereafter, the Administra-
tor may, after notice and opportunity for a public
hearing promulgate reflations revising any stand-
ard prescribed as provided in subparagraph (A) (ii)
for any class or category of heavy-duty vehicles or
engines. Such standard shall apply only for the pe-
riod of three model years beginning four model years
after the model year in which such revised standard
is promulgated. In revising any standard under this
subparagraph for any such three model year period,
the Administrator shall determine the maximum de-
gree of emission reduction which can l>e achieved by
means reasonably expected to be available for pro-
duction of such period and shall prescribe a revised
emission standard in accordance with such deter-
mination. Such revised standard shall require a re-
103
duction of emissions from any standard which ap-
plies in the previous model year.
(C) Action revising any standard for any period
may be taken by the Administrator under subpara-
graph (B) only if he finds—
(i) that compliance with the emission stand-
ards otherwise applicable for such model year
cannot be achieved by technology, processes, op-
erating methods, or other alternatives reasonably
expected to be available for production for such
model year without increasing cost or decreasing
fuel economy to an excessive and unreasonable
degree; and
(ii) the National Academy of Sciences has not,
pursuant to its study and investigation under
subsection (c) issued a report substantially con-
trary to the findings of the Administrator under
clause (i).
(D) A report shall be made to the Congress with
respect to any standard revised under subparagraph
(B) which shall contain—
(i) a summary of the health effects found, or
believed to be associated with, the pollutant
covered by such standard,
(ii) an analysis of the cost-effectiveness of
other strategies for attaining and maintaining
national ambient air quality standards and
carrying out regulations under part C of title I
(relating to significant deterioration) in rela-
tion to the cost-effectiveness for such purposes
of standards which, but for such revision, would
apply.
(iii) a summary of the research and develop-
ment efforts and progress being made by each
manufacturer for purposes of meeting the
standards promulgated us provided in stibpara-
graph (A) (ii) or, if applicable, subparagraph
(E), and
(iv) specific findings as to the relative costs of
compliance, and relative fuel economy, which
may be expected to result from the application
for any model year of such revised standard and
the application for such model year of the
standard, which, but for such revisions, would
apply.
(E) (i) The Administrator fhall conduct a con-
tinuing pollutant specific study concerning the effects
of each air pollutant emitted from heavy-duty
vehicles or engines and from other sources of mobile
source related pollutants on the public health and
welfare. The results of such study shall be published
in the Federal Register and reported to the Congress
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not later than June 1, 1978, in the case of hydrocar-
bons and carbon monoxide, and June 1, 1980, in the
case of oxides of nitrogen, and before June 1 of each
third year thereafter.
(ii) On the basis of such study and such other in-
formation as available to him (including the studies
under section 214), the Administrator may, after
notice and opportunity for a public hearing, pro-
mulgate regulations under paragraph (1) of this
subsection changing any standard prescribed in sub-
paragraph (A) (ii) (or revised under subparagraph
(B) or previously changed under this subpara-
graph). No such changed standard shall apply for
any model year before the model year four years
after the model year during which regulations con-
taining such changed standard are promulgated.
(F) For purposes of this paragraph, motorcycles
and motorcycle engines shall be treated in the same
manner as heavy-duty vehicles and engines (ex-
—>t as otherwise permitted under section 206(f)
)) unless the the Administrator promulgates a
le reclassifying motorcycles as light-duty vehicles
within the meaning of this section or unless the Ad-
ministrator promulgates regulations under subsec-
tion (a) applying standards applicable to the emis-
sion of air pollutants from motorcycles as a separate
class or category. In any case in which such standards
are promulgated for such emissions from motorcycles
as a separate class or category, the Administrator, in
promulgating such standards, shall consider the need
to achieve equivalencv of emission reductions be-
tween motorcycles and other motor vehicles to the
maximum extent practicable.
(4) (A) Effective with respect to vehicles and
engines manufactured after model year 1978, no
emission control device, system, or element of design
shall be used in a new motor vehicle or new motor
vehicle engine for purposes of complying with stand-
ards prescribed under this subsection if such device.
system, or element of design will cause or contribute
to an unreasonable risk to public health, welfare.
or safety in its operation or function.
(B) In determining whether an unreasonable risk
exists under snbpara
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106
vapor recovery systems (taking into consideration
such factors as fviel economy, economic costs of such
technology, administrative burdens, and equitable
distribution of costs). If the Administrator finds that
it is feasible and desirable to employ such technology,
he shall, after consultation \vith the Secretary of
Transportation with respect to motor vehicle safety,
prescribe, by regulation, standards requiring the use
of onboard hydrocarbon technology which shall not
become effective until the introduction to the model
year for which it would be feasible to implement such
standards, taking into consideration compliance costs
and the restraints of an adequate lead time for de-
sign and production.
(b) (1) (A) The regulations under subsection (a) ap-
plicable to emissions of carbon monoxide and hydrocar-
bons from light-duty vehicles and engines manufactured
during model years 1977 through 1979 shall contain
standards which provide that such emissions from such
vehicles and engines may not exceed 1.5 grams per vehicle
mile of hydrocarbons and 15.0 grams per vehicle mile of
carbon monoxide. The regulations under subsection (a)
applicable to emissions of carbon monoxide from light-
duty vehicles and engines manufactured during the model
year 1980 shall contain standards which provide that such
emissions may not exceed 7.0 grams per vehicle mile. The
regulations under subsection (a) applicable to emissions
of hydrocarbons from light-duty vehicles and engines
manufactured during or after model year 1980 shall con-
tain standards which require a reduction of at least 90
percent from emissions of such pollutant allowable under
the standards under this section applicable to light-duty
vehicles and engines manufactured in model year 1970.
Unless waived as provided in paragraph (5), regulations
under subsection (a) applicable to emissions of carbon
monoxide from light-duty vehicles and engines manu-
factured during or after the model year 1981 shall con-
tain standards which require a reduction of at least 90
percent from emissions of such pollutant allowable under
the standards under this section applicable to light-duty
vehicles and engines manufactured in model year 1970.
(B) The regulations under subsection (a) applicable
to omissions of oxides of nitrogen from light-duty ve-
hicles and engines manufactured during model years
1977 through 1980 shall contain standards which provide
that such emissions from such vehicles and engines may
not exceed 2.0 grams per vehicle mile. The regulations
under subsection (a) applicable to emissions of oxides of
nitrogen from light-duty vehicles and engines manufac-
tured during the model year 1981 and thereafter shall
contain standards which provide that such emissions
from such vehicles and engines may not exceed 1.0 gram
107
per vehicle mile. The Administrator shall prescribe
standards in lieu of those required by the preceding sen-
tence which provide that emissions of oxides of nitrogen
may not exceed 2.0 grams per vehicle mile for any light-
duty vehicle manufactured during model years, 1981 and
1982 b}" any manufacturer whosf production, by corpo-
rate identity, for calendar year 1976 was less than three
hundred thousand light-duty motor vehicles worldwide
if the Administrator determines that—
(i) the ability of such manufacturer to meet emis-
sion standards in the 1975 and subsequent model
years was, and is, primarily dependent upon tech-
nology developed by other manufacturers and pur-
chased from such manufacturers; and
(ii) such manufacturer lacks the financial re-
sources and technological ability to develop such
technology.
(C) Effective with respect to vehicles and engines
manufactured after model year 1978 (or in the case of
heavy-duty vehicles or engines, such later model year as
the Administrator determines is the earliest feasible
model year), the test procedure promulgated under para-
graph (2) for measurement of evaporative emissions of
hydrocarbons sha|l require that such emissions be meas-
ured from the vehicle or engine as a whole. Regulations to
carry out this subparagraph shall be promulgated not
later than two hundred and seventy days after date of
enactment of this subparagraph.
(2) Emission standards under paragraph (1), and
measurement techniques on which such standards are
based (if not promulgated prior to the date of enactment
of the Clear Air Amendments of 1970), shall be pre-
scribed by regulation within 180 days after such date.
(3) For purposes of this part—
(A) (i) The term ''model year" with reference to
any specific calendar year means the manufacturer's
annual production period (as determined by the
Administrator) which includes January 1 of such
calendar year. If the manufacturer has no annual
production period, the term "model year" shall mean
the calendar year.
(ii) For the purpose of assuring that vehicles and
engines manufactured before the beginning of a
model year were not manufactured for purposes of
circumventing the effective date of a standard re-
quired to be prescribed by subsection (b), the Ad-
ministrator mav prescribe regulations defining
"model year" otherwise than as provided in clause
(i).
(B) The term "light duty vehicles and engines"
means new light duty motor vehicles and new light
duty motor vehicle engines, as determined under
regulations of the Administrator.
in-anj O - I" - B
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(C) The term "heavy duty vehicle" means a truck,
bus, or other vehicle manufactured primarily for
use on the public streets, roads, and highways (not
including any vehicle operated exclusively on a rail
or rails) which has a gross vehicle weight (as deter-
mined under regulations promulgated by the Ad-
ministrator) in excess of six thousand pounds. Such
term includes any such vehicle which has special
features enabling off-street or off-highway operation
and use.
(4) On July 1 of 1971, and of each year thereafter, the
Administrator shall report to the Congress with respect
to the development of systems necessary to implement the
emission standards established pursuant to this section.
Such reports shall include information regarding the
continuing effects of such air pollutants subject to stand-
ards under this section on the public health and welfare,
the extent and progress of efforts being made to develop
the necessary systems, the costs associated with develop-
ment and application of such systems, and following
such hearings as he may deem advisable, any recommen-
dations for additional congressional action necessary to
achieve the purposes of this Act. In gathering informa-
tion for the purposes of this paragraph and in connection
with any hearing, the provisions of section 307 (a) (relat-
ing to subpenas) shall apply.
(5) (A) At any time after August 31.1978, any manu-
facturer may file an application requesting the waiver for
model years 1981 and 1982 of the effective date of the
emission standard required by paragraph (1) (A) for
carbon monoxide applicable to anv model (as determined
by the Administration) of light-duty motor vehicles and
engines manufactured in such model years. The Adminis-
trator shall make his determination'with respect to any
such application within sixty days after such application
is filed with respect to such" model. If he determines, in
accordance with the provisions of this paragraph, that
such waiver should be granted, he shall simultaneously
with such determination prescribe by regulation emission
standards which shall apply (in lieu of the standards
required to be prescribed by paragraph (1) (A) of this
subjection) to emissions of carbon monoxide from such
model of vehicles or engines manufactured during model
years 1981 and 1982.
(B) Any standards prescribed Under this paragraph
shall not permit emissions of carbon monoixde from ve-
hicle? and engines to which such waiver applies to exceed
7.0 cram? per vehicle per mile.
(C) IVithin sixty (lavs after receipt of the application
for any such waiver and after public hearing, the Admin-
istrator shall issue a decision granting or refusing such
waiver. The Administrator may grant such waiver if he
109
finds that protection of the public health does not require
attainment of such 90 percent reduction for carbon
monoxide for the model years to which such waiver ap-
plies in the case of such vehicles and engines and if he
determines that—
(i) such waiver is essential to the public interest or
the public health and welfare of the United States;
(il) all good faith efforts have been made to meet
the standards established by this subsection;
(iii) the applicant has established that effective
control technology, processes, operating methods, or
other alternatives are not available or have not been
available with respect to the model in question for
a sufficient period of time to achieve compliance prior
to the effective date of such standards, taking into
consideration costs, driveability, and fuel economy;
and
(iv) studies and investigations of the National
Academy of Sciences conducted pursuant to sub-
section (c) and other information available to him
has not indicated that technology, processes, or other
alternatives are available (within the meaning of
clause (iii)) to meet such standards.
(6) (A) Upon the petition of any manufacturer, the
Administrator, after notice and opportunity for public
hearing, may waive the standard required under sub-
paragraph (B) of paragraph (1) to not exceed 1.5 grams
of oxides of nitrogen per vehicle mile for any class or
category of light-duty vehicles or engines manufactured
by such manufacturer during any period of up to four
model years beginning after the model year 1980 if the
manufacturer demonstrates that such waiver is necessary
to permit the use of an innovative power train technology.
or innovative emission control device or system, in such
class or category of vehicles or engines and that such
technology or system was not utilized by more than 1
percent of the "light-duty vehicles sold "in the United
States in the 1975 model year. Such waiver may be
granted only if the Administrator determines—
(i) that such waiver would not endanger public
health,
(ii) that there is a substantial likelihood that the
vehicles or engines will be able to comply with the
applicable standard under this section at the ex-
piration of the waiver, and
(iii) that the technology or system lias a potential
for long-term air quality benefit and lias the potential
to meet or exceed the average fuel economy standard
applicable under the Energy Policy and Conserva-
tion Act upon the expiration of the waiver.
Jfo waiver under this subparagrnph granted to any
manufacturer shall apply to more than 5 percent of such
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manufacturer's production or more than fifty thousand
vehicles or engines, whichever is greater.
(B) Upon the petition of any manufacturer, the Ad-
ministrator, after notice and opportunity for public hear-
ing, may waive the standard required under subpara-
graph (B) of paragraph (1) to not to exceed 1.5 grams
of oxides of nitrogen per vehicle mile for any class or
category of light-duty vehicles and engines manufactured
by such"manufacturer during the four model year period
beginning with the model year 1981 if the manufacturer
can show that such waiver is necessary to permit the use
of diesel engine technology in such class or category of
vehicles or engines. Such waiver may be granted if the
Administrator determines—
(i) that such waiver will not endanger public
health,
(ii) that such waiver will result in significant fuel
savings at least equal to the fuel economy standard
applicable in each year under the Energy Policy and
Conservation Act, and
(iii) that the technology has a potential for long-
term air quality benefit and has the potential to
meet or exceed the average fuel economy standard
applicable under the Energy Policy and Conserva-
tion Act at the expiration of the waiver.
(7) The Congress hereby declares and establishes as a
research objective, the development of propulsion systems
and emission control technology to achieve standards
which represent a reduction of at least 90 per centum
from the average emissions of oxides of nitrogen actually
measured from lieht-duty motor vehicles manufactured
in model year 1971 not subject to any Federal or State
emission standard for oxides of nitrogen. The Adminis-
trator shall, by regulations promulgated within one hun-
dred and eighty days after enactment of the Clean Air
Act Amendments of 1977. require each manufacturer
whose sales represent at least 0.5 per centum of light-
duty motor vehicle sales in the United States, to build
and. on a regular basis, demonstrate the operation of
light-duty motor vehicles that meet this research objec-
tive, in addition to any other applicable standards or re-
quirement? foi other pollutants under this Act. Such dem-
onstration vehicles shall bo submitted to the Administra-
tor no later than model year 1070 and in each model year
thereafter. Such demonstration shall, in accordance with
applicable regulations, to the greatest extent possible.
(A) be designed to encourage the development of new
powerplnnt and emission control technologies that are
fuel efficient. (B) assure that the demonstration vehicles
are or could reasonably be expected to Ix? within the
productive capability of the manufacturers, and (C)
assure the utilization of optimum engine, fuel, mid emis-
sion control systems.
Ill
(c) (1) The Administrator shall undertake to enter
into appropriate arrangements with the National Acad-
emy of Sciences to conduct a comprehensive study and
investigation of the technological feasibility of meeting
the emissions standards required to be prescribed by the
Administrator by subsection (b) of this section.
(2) Of the funds authorized to be appropriated to the
Administrator by this Act. such amounts as are required
shall be available to cam" out the study and investigation
authorized by paragraph (1) of this subsection.
(3) In entering into any arrangement with the Na-
tional Academy of Sciences for conducting the study
and investigation authorized by paragraph (1) of this
subsection, the Administrator shall request the National
Academy of Sciences to submit semiannual reports on
the progress of its study and investigation to the Admin-
istrator and the Congress, beginning not later than July 1.
1971, and continuing until such study and investigation
is completed.
(4) The Administrator shall furnish to such Academy
at its request any information which the Academy deems
necessary for the purpose of conducting the investigation
and study authorized by paragraph (1) of this subsec-
tion. For the purpose of furnishing such information, the
Administrator may use any authority he has under this
Act (A) to obtain information from any person, and
(B) to require such person to conduct such tests, keep
such records, and make such reports respecting research
or other activities conducted by such person as may be
reasonably necessary to carry out this subsection.
(d) The Administrator shall prescribe regulations un-
der which the useful life of vehicles and engines shall be
determined for purposes of subsection (a) (1) of this sec-
tion and section 207. Such regulations shall provide that
useful life shall—
(1) in the case of light duty vehicles and light
duty vehicle engines, be a period of use of five years
or of fifty thousand miles (or the equivalent), which-
ever first occurs:
(2) in the case of any other motor vehicle or motor
vehicle engine (othei than motorcvclos or motorcycle
engines) be a period of use set forth in paragraph
(1) unless the Administrator determines that a pe-
riod of use of greater duration or mileage is appro-
priate: and
(3) in the cafe of any motorcycle or motorcvcle
engine, be a period of u«c the Administrate! shall
determine.
(e) In the event a new power source or propulsion sys-
tem for now motor vehicles or now motor vehicle ensrines
is submitted for certification pursuant to section 200(a).
the Administrator may postpone certification until he
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has prescribed standards for any air pollutants emitted
by such vehicle or engine which in lus judgment cause
or contribute to, air pollution which may reasonably be
anticipated to endanger the public health or welfare but
for which standards have not been prescribed under sub-
section^). .
(f) (1) The high altitude regulation in effect with re-
spect to model year 1977 motor vehicles shall not apply
to the manufacture, distribution, or sale of 1978 and later
model year motor vehicles. Any future regulation affect-
ing the sale or distribution of motor vehicles or engines
manufactured before the model year 1984 in high altitude
areas of the country shall take effect no earlier than
model year 1981.
(2) Any such future regulation applicable to high al-
titude vehicles or engines shall not require a percentage
of reduction in the emissions of such vehicles which is
greater than the required percentage of reduction in emis-
sions from motor vehicles as set forth in section 202 (b).
This percentage reduction shall be determined by com-
paring any proposed high altitude emission standards
to high altitude emissions from vehicles manufactured
during model year 1970. In no event shall regulations
applicable to high altitude vehicles manufactured before
the model year 1984 established a numerical standard
which is more stringent than that applicable to vehicles
certified under non-high altitude conditions.
(3) Section 307(d) shall apply to any high altitude
regulation referred to in paragraph (2) and before pro-
mulgating any such regulation, the Administrator shall
consider and make a finding with respect to—
(A) the economic impact upon consumers, indi-
vidual high altitude dealers, and the automobile in-
dustry of any such regulation, including the eco-
nomic impact which was experienced as a result of
the regulation imposed during model year 1977 with
respect to high altitude certification requirements:
(B) the present and future availability of emis-
sion control technology capable of meeting'the appli-
cable vehicle and ensine emission requirements
without reducins model availability; and
(C) the likelihood that the adoption of such a high
altitude regulation will result in any significant im-
provement in air quality in any area'to which it shall
"ppiy-
PROHIBITED ACTS
SEC. 203. (a) The following acts and the causing there-
of are prohibited—
(1) in tlie case of a manufacturer of new motor
^chicles or new motor vehicle engines for distribu-
tion in commerce, the sale, or the offering for sale, or
the introduction, or delivery for introduction, into
113
commerce, or (in the case of any person, except as
provided by regulation of the Administrator), the
importation into the United States, of any new
motor vehicle or new motor vehicle engine, manu-
factured after the effective date of regulations under
this part which are applicable to such vehicle or en-
gine unless such vehicle or engine is covered by a
certificate of conformity issued (and in effect) under
regulations prescribed under this part (except as
provided in subsection (b));
(2) for any person to fail or refuse to permit
access to or copying of records or to fail to make re-
ports or provide information, required under section
208 or for any person to fail or refuse to permit
entry, testing, or inspection authorized under section
206(c);
(3) (A) for any person to remove or render inop-
erative an}- device or element of design installed
on or in a motor vehicle or motor vehicle engine in
compliance witli regulations under this title prior to
its sale and delivery to the ultimate purchaser, or for
any manufacturer or dealer knowingly to remove
or render inoperative any such device or element of
design after such sale and delivery to the ultimate
purchaser; or
(B) for any person engaged in the business of
repairing, servicing, selling, leasing, or trading
motor vehicles or motor vehicle engines, or who
operates a fleet of motor vehicles, knowingly to
remove or render inoperative any device or element
of design installed on or in a motor vehicle or motor
vehicle engine in compliance with regulations under
this title following its sale and delivery to the ulti-
mate- purchaser; or
(4) for any manufacturer of a new motor vehicle
or new motor vehicle engine subject to standards
prescribed under section 302—
(A) to sell or lense any such vehicle or engine
unless such manufacturer lias complied with the
requirements of section 207 (a) and (b) with
respect to such vehicle or engine, and unless a
label or tug is affixed to such vehicle or engine
in accordance with section 207(c) (3),
(B) to fail or refuse to romply with the re-
quirements of section 2(17 (c) or (e),
(C) except as provided in stibi-eotion (c)(3) of
section 207. to provide diieetly or indirectly in any
communication to the ultimate purchaser or any
subsequent ]>mvhafk>r that the coM'rage of any war-
ranty under tliis Act i.- conditioned upon use of any
part, component, or system manufactured by such
manufacturer or any person acting for such inami-
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facturcr or under his control, or conditioned upon
service performed by any such person, or
(D) to fail or refuse to comply with the terms and
conditions of the warranty under section 207 (a) or
(b) with respect to any vehicle.
Xo action with respect to any element of design re-
ferred to in paragraph (3) (including any adjustment or
alteration of such element) shall be treated as a prohib-
ited Act under such paragraph (3) if such action is in
accordance with section 215. Nothing in paragraph (3)
shall be construed to require the use of manufacturer
parts in maintaining or repairing any motor vehicle or
motor vehicle engine. For the purposes of the preceding
sentence, the term "manufacturer parts" means, with re-
spect to a motor vehicle engine, parts produced or sold
by the manufacturer of the motor vehicle or motor
vehicle engine.
(b) (1) The Administrator may exempt any new motor
vehicle or new motor vehicle engine from subsection (a),
upon such terms and conditions as he may find necessary
for the purpose of research, investigations, studies, dem-
onstrations, or training, or for reasons of national
security.
(2) A new motor vehicle or new motor vehicle engine
offered for importation or imported by any person in
violation of subsection (a) shall be refused admission into
the United States, but the Secretary of the Treasury and
the Administrator may, by joint regulation, provide for
deferring final determination as to admission and au-
thorizing the delivery of such a motor vehicle or engine
offered for import to the owner or consignee thereof upon
such terms and conditions (including the furnishing of
a bond) as may appear to them appropriate to insure that
any such motor vehicle or engine will be brought into con-
formity with the standards, requirements, and limitations
applicable to it under this part. The Secretary of the
Treasury shall, if a motor vehicle or engine is finally re-
fused admission under this paragraph, cause disposition
thereof in accordance with the customs laws unless it is
exported, under regulations prescribed by such Secre-
tary, within ninety days of the date of notice of such
refusal or such additional time as may be permitted pur-
suant to such regulations, except that disposition in ac-
cordance with the customs laws may not be made in such
manner as may result, directly or indirectly, in the snle,
to the ultimate consumer, of a new motor vehicle or new
motor vehicle engine that fails to comply with applicable
standards of the Administrator under this part.
(3) A now motor vehicle or new motor vehicle engine
intended solely for export, and so labeled or tagged on the
outside of the container and on the vehicle or engine it-
self, shall be subject to the provisions of subsection (a),
115
except that if the country which is to receive such vehicle
or engine has emission standards which differ from the
standards prescribed under section 202, then such vehicle
or engine shall comply with the standards of such coun-
try which is to receive such vehicle or engine.
(c) Upon application therefor, the Administrator may
exempt from section 203(a)(3) any vehicles (or class
thereof) manufactured before the 1974 model year from
section 203(a) (3)' for the purpose of permitting modi-
fications to the emission control device or system of such
vehicle in order to use fuels other than those specified in
certification testing under section 206(a) (1), if the Ad-
ministrator, on the basis of information submitted by the
applicant, finds that such modification will not result in
such vehicle or engine not complying with standards un-
der section 202 applicable to such vehicle or engine. Any
such exemption shall identify (1) the vehicle or vehicles
so exempted, (2) the specific nature of the modification,
and (3) the person or class of persons to whom the exemp-
tion shall apply.
INJUNCTION PROCEEDINGS
SEC. 204. (a) The district courts of the United States
shall have jurisdiction to restrain violations of section
203(a).
(b) Actions to restrain such violations shall be brought
by and in the name of the United States. In any such
action, subpenas for witnesses who are required to attend
a district court in any district may run into any other
district.
PENALTIES
SEC. 205. Any person who violates paragraph (1), (2),
or (4) of section 203(a) or any manufacturer, dealer, or
other person who violates paragraph (3) (A) of section
203(a) shall be subject to a civil penalty of not more than
$10,000. Any person who violates paragraph (3) (B) of
such section 203(a) shall be subject to a civil penalty of
not more than $-2.500. Any such violation with respect to
paragraph (1), (3), or (4) of section 203(a) shall con-
stitute a separate offense with respect to each motor
vehicle or motor vehicle engine.
MOTOR VEIIICLK AND MOTOR VK1IICI.E KXGIXE GOMPMAXCE
TESTING AND CEKTIFICATIOX
SEC. 206. (a) (1) The Administrator shall test, or re-
quire to be tested in such manner as he deems appro-
priate, any new motor vehicle or new motor vehicle
engine submitted by a manufacturer to determine
whether such vehicle or engine conforms with the rcgula-
• The words "from i
Beotenct.
action 203(A) (3)" arc Apparently redundAnt In tbls
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tions proscribed under section 202 of this Act. If such
vehicle or engine conforms to such regulations, the Ad-
ministrator shall issue a certificate of conformity upon
such terms, and for such period (not in excess of one
year) as he may prescribe. In the case of any manufac-
turer of vehicles or vehicle engines whose projected sales
in the United States for any model year (as determined
by the Administrator) will not exceed three hundred, the
regulations prescribed by the Administrator concerning
testing by the manufacturer for purposes of determining
compliance with regulations under section 202 for the
useful life of the vehicle or engine shall not require opera-
tion of any vehicle or engine manufactured during such
model year for more than five thousand miles or one
hundred and sixty hours, respectively, but the Adminis-
trator shall apply such adjustment factors as he deems
appropriate to assure that each such vehicle or engine
will comply during its useful life (as determined under
section 202 (d)) with the regulations prescribed under
section 202 of this Act.
(2) The Administrator shall test any emission control
system incorporated in a motor vehicle or motor vehicle
engine submitted to him by any person, in order to deter-
mine whether such system enables such vehicle or engine
to conform to the standards required to be prescribed
under section 202 (b) of this Act. If the Administrator
finds on the basis of such tests that such vehicle or engine
conforms to such standards, the Administrator shall
issue a verification of compliance with emission stand-
ards for such system when incorporated in vehicles of a
class of which the tested vehicle is representative. He
shall inform manufacturers and the National Academy of
Sciences, and make available to the public, the results of
such tests. Tests under this paragraph shall be conducted
under such terms and conditions (including require-
ments for preliminary testing by qualified independent
laboratories) as the Administrator may prescribe by
regulations.
(3) (A) A certificate of conformity may be issued
under this section only if the Administrator determines
that the manufacturer (or in the case of a vehicle or
engine for import, any person) has established to the
satisfaction of the Administrator that any emission con-
trol device, system, or element of design installed on, or
incorporated in. such vehicle or engine conforms to
applicable requii-oments of section 202(a)(4).
(B) The Administrator may conduct such tests and
may require the manufacturer (or any such person) to
conduct such tests and provide such information as is
necessniT to cnrrv out subparairrnph (A) of this para-
graph. Such requirements shall include a requirement for
prompt reporting of the emission of any unregulated pol-
lutant from a system, device, or element of design if such
117
pollutant was not emitted, or was emitted in significantly
lesser amounts, from the vehicle or engine without use of
the system, device, or element of design.
(b) (1) In order to determine whether new motor ve-
hicles or new motor vehicle engines being manufactured
by a manufacturer do in fact conform with the regula-
tions with respect to which the certificate of conformity
was issued, the Administrator is authorized to test such
vehicles or engines. Such tests may be conducted by the
Administrator directly or, in accordance with conditions
specified by the Administrator, by the manufacturer.
(2) (A) (i) If, based on tests conducted under para-
graph (1) on a sample of new vehicles or engines covered
by a certificate of conformity, the Administrator deter-
mines that all or part of the vehicles or engines so covered
do not conform with the regulations with respect to which
the certificate of conformity was issued and with the re-
quirements of section 202 (a) (4), he may suspend or re-
voke such certificate in whole or in part, and shall so
notify the manufacturer. Such suspension or revocation
shall apply- in the case of any new motor vehicles or new
motor vehicle engines manufactured after the date of
such notification (or manufactured before such date if
still in the hands of the manufacturer), and shall apply
until such time as the Administrator finds that vehicles
and engines manufactured by the manufacturer do con-
form to such regulations and requirements. If, during
any period of suspension or revocation, the Adminis-
trator finds that a vehicle or engine actually conforms to
such regulations and requirements, he shall issue a certifi-
cate of conformity applicable to such vehicle or engine.
(ii) If, based on tests conducted under paragraph (1)
on any new vehicle or engine, the Administrator deter-
mines that such vehicle or engine does not conform with
such regulations, he may suspend or revoke such certifi-
cate insofar as it applies to such vehicle or engine until
such time as he finds such vehicle or engine actually so
conforms with such regulations, and he shall so notify
the manufacturer.
(B) (i) At the request of any manufacturer the Ad-
ministrator shall grant such manufacturer a hearing as
to whether the tests have been properly conducted or any
sampling methods have been properly'applied, and make
a determination on the record with respect to any sus-
pension or revocation under subparagraph (A); but sus-
pension or revocation under subparagraph (A) shall not
be stayed by reason of such hearing.
(ii) In any case of actual controversy as to the validity
of any determination under clause (i), the, manufac-
turer may at any time prior to the 60th day after such
determination is made file n petition with the United
States court of appeals for the circuit wherein such man-
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ufacturer resides or has his principal place of business for
a judicial review of such determination. A copy of the
petition shall be forthwith transmitted by the clerk of
the court to the Administrator or other officer designated
by him for that purpose. The Administrator thereupon
shall file in the court the record of the proceedings on
which the Administrator based his determination, as pro-
vided in section 2112 of title 28 of the United States
Code.
(iii) If the petitioner applies to the court for leave to
adduce additional evidence, and shows to the satisfac-
tion of the court that such additional evidence is mate-
rial and that there were reasonable grounds for the fail-
ure to adduce such evidence in the proceeding before
the Administrator, the court may order such additional
evidence (and evidence in rebuttal thereof) to be taken
before the Administrator, in such manner and upon such
terms and conditions as the court may deem proper. The
Administrator mar modify his findings as to the facts,
or make new findings, by reason of the additional evi-
dence so taken and he shall file such modified or new find-
ings, and his recommendation, if any, for the modifi-
cation or setting aside of his original determination, with
the return of such additional evidence.
(iv) Upon the filing of the petition referred to in
clause (ii). the court shall have jurisdiction to review the
order in accordance with chapter 7 of title 5, United
States Code, and to grant appropriate relief as provided
in such chapter.
(c) For purposes of enforcement of this section, of-
ficers or employees duly designated by the Administrator.
upon presenting appropriate credentials to the manu-
facturer or person in charge, are authorized (1) to enter,
at reasonable times, any plant or other establishment of
such manufacturers, for the purpose of conducting tests
of vehicles of engines in the hands of the manufacturer,
or (2) to inspect at reasonable times, records, files, papers,
processes, controls, and facilities used by such manufac-
turer in conducting tests under regulations of the Ad-
ministrator. Each such inspection shall be commenced
and completed with reasonable promptness.
(d) The Administrator shall by regulation establish
methods and procedures for making tests under this
section.
(e) The Administrator shall announce in the Federal
Register and make available to the public the results of
his tests of any motor vehicle or motor vehicle engine
submitted by a manufacturer under subsection (a) as
promptly as possible after the enactment of the Clean
Air Amendments of 1970 and at the beginning of each
model year which begins thereafter. Such results shall
be described in such nontechnical manner as will reason-
119
ably disclose to prospective ultimate purchasers of new
motor vehicles and new motor vehicle engines the com-
parative performance of the vehicles and engines tested
in meeting the standards prescribed under section 202
of this Act.
(f)(l) All light duty vehicles and engines manufac-
tured during or after model year 1984 shall comply with
the requirements of section 202 of this Act regardless of
the altitude at which they are sold.
(2) By October 1.1978, the Administrator shall report
to the Congress on the economic impact and technological
feasibility of the requirements found in subparagraph
(1) of this subsection. The report is also to evaluate the
technological feasibility and the health consequences of
separate proportional emission standards for light duty
vehicles and engines in high altitude areas that would
reflect a comparable percentage of reduction in emissions
to that achieved by light duty vehicles and engines in low
altitude areas.
(g) (1) In the case of any class or category of heavy-
duty vehicles or engines to which a standard promulgated
under section 202(a) of this Act applies, except as pro-
vided in paragraph (2), a certificate of conformity shall
be issued under subsection (a) and shall not be suspended
or revoked under subsection (b) for such vehicles or en-
gines manufactured by a manufacturer notwithstanding
the failure of such vehicles or engines to meet such stand-
ard if such manufacturer pays a nonconformance penalty
as provided under regulations promulgated by the Ad-
ministrator after notice and opportunity for public hoar-
ing. In the case of motorcycles to which such a standard
applies, such a certificate may be issued notwithstanding
such failure if the manufacturer pays such a penalty.
(2) No certificate of conformity may be issued under
paragraph (1) with respect to any class or category of
vehicle or engine if the degree by which the manufacturer
fails to meet any standard promulgated under section
202(a) with respect to such class or category exceeds the
percentage determined under regulations promulgated by
the Administrator to be practicable. Such regulations
shall require such testing of vehicle or engines being pro-
duced as may be necessary to determine the percentage of
the classes or categories of \ohicles or engines which are
not in compliance with the regulations with respect to
which a certificate of conformity was issued and shall be
promulgated not later than one year after the date of
enactment of the Clean Air Act Amendments of 1977.
(3) The regulations piomulgated under paragraph (1}
shall, not later than one year after the date of enactment
of the Clean Air Act Amendments of 1977, provide for
nonconformance penalties in amounts determined under
a formula established by the Administrator. Such pen-
alties under such formula—
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(A) may vary from pollutant-to-polliitant;
(B) may vary by class or category or vehicle or
engine;
(C) shall take into account the extent to which
actual emissions of any air pollutant exceed allow-
able emissions under the standards promulgated un-
der section 202;
(D) shall be increased periodically in order to
create incentives for the development of production
vehicles or engines which achieve the required degree
of emission reduction; and
(B) shall remove any competitive disadvantage to
manufacturers whose engines or vehicles achieve the
required degree of emission reduction (including any
such disadvantage arising from the application of
paragraph (4)).
(4) In any case in which a certificate of conformity has
been issued under this subsection, any warranty required
under section 207(b) (2) and any action under section
207(c) shall be required to be effective only for the emis-
sion levels which the Administrator determines that such
certificate was issued and not for the emission levels re-
quired under the applicable standard.
(5) The authorities of section 208 fa} shall apply, sub-
ject to the conditions of section 208 (b), for purposes of
this subsection.
COMPLIANCE BT VEHICLES AND ENGINES IN ACTUAL USE
SEC. 207. (a) (1) Effective with respect to vehicles and
engines manufactured in model years beginning more
than CO days after the date of the enactment of the Clean
Air Amendments of 1970, the manufacturer of each new
motor vehicle and new motor vehicle engine shall war-
rant to the ultimate purchaser and each subsequent pur-
chaser that such vehicle or engine is (A) designed, built,
and equipped so as to conform at the time of sale with
applicable regulations under section 202, and (B) free
from defects in materials and workmanship which cause
such vehicle or engine to fail to conform with applicable
regulations for its useful life (as determined under sec.
202(d)).
(2) In the case of a motor vehicle part or motor vehicle
engine part, the manufacturer or rrbuilder of such part
may certify that use of such part will not result in a
failure of the vehicle or cns>ine to comply with emission
standards promulgated under section 202* Such certifica-
tion shall be made only under such regulations as may
be promulgated by the Administrator to carry out the
purposes of subsection (b). The Administrator shall
promulgate such regulations no Inter than two years fol-
lowing rlie date of the enactment of this paragraph.
121
(3) The cost of any part, device, or component of any
light-duty vehicle that is designed for emission control
and which in the instructions issued pursuant to subsec-
tion (c) (3) of this section is scheduled for replacement
during the useful life of the vehicle in order to maintain
compliance with reflations under section 202 of this Act,
the failure of which shall not interfere with the normal
performance of the vehicle, and the expected retail price
of which, including installation costs, is greater than 2
percent of the suggested retail price of such vehicle, shall
bo borne or reimbursed at the time of replacement by the
vehicle manufacturer and such replacement shall be pro-
vided without cost to the ultimate purchaser, subsequent
purchaser, or dealer. The term "designed for emission con-
trol" as used in the preceding sentence means a catalytic
converter, thermal reactor, or other component installed
on or in a vehicle for the sole or primary purpose of re-
ducing vehicle emissions (not including those vehicle
components which were in general use prior to model
year 1968 and the primary function of which is not
related to emission control).
(b) If the Administrator determines that (i) there ore
available testing methods and procedures to ascertain
•whether, when in actual use throughout its useful life (as
determined under section 202(d)), each vehicle and
engine to which regulations under section 202 apply com-
plies with the emission standards of such regulations, (ii)
such methods and procedures are in accordance with good
engineering practices, and (iii) such methods and proce-
dures are reasonably capable of being correlated with
tests conducted under section 206(a) (1), then—
(1) he shall establish such methods and procedures
by regulation, and
(2) at such time as he determines that inspection
facilities or equipment are available for purposes
of carrying out testing methods and procedures es-
tablished under paragraph (1), he shall prescribe
regulations which shall require manufacturers to
warrant the emission control device or system of
each new motor vehicle or new motor vehicle engine
to which a regulation under section 202 applies and
which is manufactured in a model year Beginning
after the Administrator first prescribes warranty
regulations under this paragraph. The warranty
under such regulations shall run fo the ultimate pur-
chaser and each subsequent purchaser and shall pro-
vide that if—
(A) the vehicle or engine is maintained and
operated in accordance with instructions under
subsection (c) (3),
(B) it fails to conform at any time during
its useful life (as determined under section
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202(d)) to the regulations prescribed under sec-
tion 202, and
(C) such nonconformity results in the ulti-
mate purchaser (or any subsequent purchaser)
of such vehicle or engine having to bear any
penalty or other sanction (including the denial
of the right to use such vehicle or engine) under
State or Federal law,
then such manufacturer shall remedy such noncon-
formity under such warranty with the cost thereof
to be borne by the manufacturer. No such warranty
shall be invalid on the basis of any part used in the
maintenance or repair of a vehicle or engine if such
part was certified as provided under subsection
(a) (2). For purposes of the warranty under this
subsection, for the period after twenty-four months
or twenty-four thousand miles (whichever first oc-
curs) the term "emission control device or system"
means a catalytic converter, thermal reactor, or other
component installed on or in a vehicle for the sole or
primary purpose of reducing vehicle emissions. Such
terms shall not include those vehicle components
which were in general use prior to model year 1968.
(c) Effective with respect to vehicles and engines man-
ufactured during model years beginning more than 60
days after the date of enactment of the Clean Air Amend-
ments of 1970—
(1) If the Administrator determines that a sub-
stantial number of any class or category of vehicles
or engines, although properly maintained and used,
do not conform to the regulations prescribed under
section 202, when in actual use throughout their use-
ful life (as determined under section 202(d)1, he
shall immediately notify the manufacturer thereof
of such nonconformity, and he shall require the
manufacturer to submit a plan for remedving the
nonconformity of the vehicles or engines with respect
to which such notification is given. The plan snail
provide that the nonconformity of any such vehicles
or engines which are properly used and maintained
will be remedied at the expense of the manufacturer.
If the manufacturer disagrees with such determina-
tion of nonconformity and so advises the Adminis-
trator, the Administrator shall afford the manufac-
turer and other interested persons nn opportunity
to present their views and evidence in support, there-
of at a public hearing. Unless, as a resu't of such
hearing the Administrator withdraws such deter-
mination of nonconformity, he shall, within 00 days
after the completion of such hearing, order the man-
ufacturer to provide prompt notification of such
nonconformity in accordance with paragraph (2).
123
(2) Any notification required by paragraph (1)
with respect to any class or category of vehicles or
engines shall be given to dealers, ultimate purchasers,
and subsequent purchasers (if known) in such man-
ner and containing such information as the Admin-
istrator may be regulations require.
(3) (A) The manufacturer shall furnish with each new
motor vehicle or motor vehicle engine written instruc-
tions for the proper maintenance and use of the vehicle or
engine by the ultimate purchaser and such instructions
shall correspond to regulations which the Administrator
shall promulgate. The manufacturer shall provide in
boldface type on the first page of the written maintenance
instructions notice that maintenance, replacement, or re-
pair of the emission control devices and systems may be
performed by any automotive repair establishment or
individual using any automotive part which has been
certified as provided in subsection (a) (2).
(B) The instruction under subparagraph (A) of this
paragraph shall not include any condition on the ultimate
purchaser's using, in connection with such vehicle or
engine, any component or service (other than a compo-
nent or service provided without charge under the terms
of the purchase agreement) which is identified by brand.
trade, or corporate name; or directly or indirectly dis-
tinguishing between sen-ice performed by the franchised
dealers of such manufacturer or any other service estab-
lishments with which such manufacturer has a commer-
cial relationship, and service performed by independent
automotive repair facilities with which such manufac-
turer has no commercial relationship; except that the pro-
hibition of this subsection may be waived by the Ad-
ministrator if—
(i) the manufacturer satisfies the Administrator
that the vehicle or engine will function properly only
if the component or service so identified is used, in
connection with such vehicle or engine, and
(ii) the Administrator finds that such a waiver is
in the public interest.
(C) In addition, the manufacturer shall indicate by
means of a label or tag permanently affixed to such vehicle
or engine that such vehicle or engine is covered by a
certificate of conformity if?ued for the. purpose, of assur-
ing achievement of emi"ions standards prescribed under
section 202 of this Act. Such lal>el or tap shall contain
such other information relating to control of motor ve-
hicle emissions as the Administrator shall proscribe by
regulation.
(d) Any cost obligation of any dealer incurred as a
result of any renuiremont imposed by subsection ('a),
(b), or (e) shall be borne by the manufacturer. The
transfer of any such cost obligation from a manufacturer
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fuel or fuel additive for use in » motor vehicle or motor
vehicle engine (A) if in the judgment of the Adimmstra-
tor «ny emission product of such fuel or fuel additive
causes, or contributes, to air pollution which may reason-
ably be anticipated to endanger the public netlth or wel-
fare, or (B) if emission products of such fuel or fuel ad-
ditive will impair to a significant degree the perform-
ance of any emission control device or system which is
in general use, or which the Administrator finds has been
developed to a point where in a reasonable time it would
be in general use wen such regulation to be promulgated.
(2) (A) No fuel, class of fuels, or fuel additive may
be controlled or prohibited by the Administrator pur-
suant to clause (A) of paragraph (1) except after con-
|>nrnfrra)>li
(A), section 307 (a) (relating to siilmcnas) shall be
applicable.
129
(4) (A) Except as otherwise provided in subpara-
graph (B) or (C), no State (or political subdivision
thereof) may prescribe or attempt to enforce, for the pur-
poses of motor vehicle emission control, any control or
prohibition respecting use of a fuel or fuel additive in a
motor vehicle or motor vehicle engine—
(i) if the Administrator has found that no control
or prohibition under paragraph (!•) is necessary and
has published his finding in the Federal Register, or
(ii) if the Administrator has prescribed under
paragraph (1) a control or prohibition applicable, to
such fuel or fuel additive, unless State prohibition or
control is identical to the prohibition or control
prescribed by the Administrator.
(B) Any State for which application of section 209(a)
has at any time been waived under section 209(b) may
at any time prescribe and enforce, for the purpose of mo-
tor vehicle emission control, a control or prohibition re-
specting any fuel or fuel additive.
(C) A State may prescribe and enforce, for purposes
of motor vehicle emission control, a control or prohibition
respecting the use of a fuel or fuel additive in a motor
vehicle or motor vehicle engine if an applicable imple-
mentation plan for such State under section 110 so pro-
vides. The Administrator may approve such provision in
an implementation plan, or promulgate an implementa-
tion plan containing such a provision, only if he finds
that the State control or prohibition is necessary to
achieve the national primary or secondary ambient air
quality standard which the plan implements.
(d) Any person who violates subsection (a) or (f) or
the regulations prescribed under subsection (c) or who
fails to furnish any information required by the Admin-
istrator under subsection (b) shall forfeit and pay to the
United States a civil penalty of $10.000 for each and
every day of the continuance of such violation, which
. shall accrue to the United States and be recovered in a
civil suit in the name of the United States, brought in the
district where such person has his principal once or in
any district in which he does business. The Administra-
tor may. upon application therefor, remit or mitigate
any forfeiture provided for in this subsection and he
shall have authority to determine the facts upon all such
applications.
(e) (1) Xot later than one year after the date of enact-
ment of this subsection and after notice and opportunity
for a public hearing, the Administrator shall promulgate
regulation* which implement the authority under *ub-
Rcction (b) (2) (A) and (B) with respect to each fuel or
fuel additive which is registered on the elate of promul-
gation of such reputations and with respect to each fuel
or furl additive for which nn application for registration
is filed thereafter.
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130
(2) Regulations under subsection (b) to carry out this
subsection shall require that the requisite information
be provided to the Administrator by each such
manufacturer—
(A) prior to registration, in the case of any fuel
or fuel additive which is not registered on the date
of promulgation of such regulations; or
(B) not later than three years after the date of
promulgation of such regulations, in the case of any
fuel or fuel additive which is registered on such
date.
(3) In promulgating such regulations, the Adminis-
trator may—
(A) exempt any small business (as defined in such
regulations) from or defer or modify the require-
ments of, such regulations with respect to any such
small business;
(B) provide for cost-sharinjr with respect to the
testing of any fuel or fuel additive which is manu-
factured or processed by two or more persons or
otherwise provide for shared responsibility to meet
the requirements of this section without duplication:
or
(C) exempt any person from such regulations
with respect to a particular fuel or fuel additive
upon a finding that any additional testing of such
fuel or fuel additive would be duplicative of ade-
quate existing testing.
(f)(l) Effective upon March 31. 1977. it shall be un-
lawful for any manufacturer of any fuel or fuel additive
to first introduce into commerce, or to increase the con-
centration in use of, any fuel or fuel additive for general
use in light duty motor vehicles manufactured after
model year 1974 which is not substantially similar to any
fuel or fuel additive utilized in the certification of any
model year 1975, or subsequent model year, vehicle or en-
gine under section 206.
(2) Effective November 30.1977, it shall be unlawful
for any manufacturer of any fuel to introduce into com-
merce any gasoline which contains a concentration of
manganese in excess of .0625 grams per gallon of fuel.
except as otherwise provided pursuant to a waiver under
paragraph (4).
(3) Any manufacturer of any fuel or fuel additive
which prior to March 31. 1977. and after January 1.1974.
first introduced into commerce or increased the concen-
tration in u=e of a fuel or fuel additive that would other-
wise have been prohibited under Tirasraph (1) if in-
troduced on or after March 31.19'i. shall, not Inter than
September 15. 1978. cense to distribute such fuel or fuel
additive in commerce. During the period beginning 180
days after the date of the enactment of this sub=pc-tion
131
and before September 15. 1978, the Administrator shall
prohibit, or restrict the concentration of any fuel addi-
tive which he determines will cause or contribute to the
failure of an emission control device or system (over the
useful life of any vehicle in which such device or system
is used) to achieve compliance by the vehicle with the
emission standards with respect to tvhich it has been
certified under section 206.
(4) The Administrator, upon application of any manu-
facturer of any fuel or fuel additive, may waive the pro-
hibitions established under paragraph (1) or (3) of this
subjection or the limitation specified in paragraph (2)
of this subsection, if he determines that the applicant has
established that such fuel or fuel additive or a specified
concentration thereof, and the emission products of such
fuel or additive or specified concentration thereof, will
not cause or contribute to a failure of any emission con-
trol device or system (over the useful life of any vehicle
in which such device or system is used) to achieve com-
pliance by the vehicle with the emission standards with
respect to which it has been certified pursuant to section
206. If the Administrator has not acted to grant or deny
an application under this paragraph within one hundred
and eighty days of receipt of such application, the waiver
authorized by this paragraph shall be treated as granted.
(5) No action of the Administrator under this section
mav be stayed by any court pending judicial review of
such action.
(g) (1) For the purposes of this subsection:
(A) The terms "gasoline" and "refinery" have
the meaning provided under regulations of the Ad-
ministrator promulgated under this section.
(B) The term "small refinery" means a refinery or
a portion of refinery producing gasoline—
(i) the gasoline producing capacity of which
was in operation or under construction at any
time during the one-year period immediately
preceding October 1,1976. and
(ii) which has a crude oil or bona fide feed
stock capacity (as determined by the Admin-
istrator) of 50.000 barrels per day or less, and
(iii) which is owned or controlled by a re-
finer with a total combined crude oil or bona
fide feed stock capacity (as determined by the
Administrator) of 137.500 barrels per clay or
le?s.
(2) No regulations of the Administrator under this
section (or any amendment or revision thereof) respect-
ing the control or prohibition of lend additives in gaso-
line shall inquire a sninll refinery prior to October 1.
1982. to reduce the average lead content per gallon of
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to any dealer through franchise or other agreement is
prohibited.
(e) If a manufacturer includes in any advertisement
a statement respecting the cost or value of emission con-
trol devices or systems, such manufacturer shall set forth
in such statement the cost or value attributed to such de-
vices or systems by the Secretary of Labor (through the
Bm-eau of Labor Statistics). The Secretary of Labor, and
his representatives, shall have the same access for this
purpose to the books, documents, papers, and records of
a manufacturer as the Comptroller General has 10 those
of a recipient of assistance for purposes of section 311.
(f) Any inspection of a motor vehicle or a motor ve-
hicle engine for purposes of subsection (c) (1), after its
sale to the ultimate purchaser, shall be made only if the
owner of such vehicle or engine voluntarily permits such
inspection to be made, except as may be provided by any
State or local inspection program.
(g) For the purposes of this section, the owner of any
motor vehicle or motor vehicle engine warranted under
this section is responsible in the proper maintenance of
such vehicle or engine to replace and to maintain, at his
expense at any service establishment or facility of his
choosing, such items as spark plugs, points, condensers,
and any other part, item, or device related to emission
control (but not designed for emission control under the
terms of the last three sentences of section 207(a) (1), un-
less such part, item, or device is covered by any warranty
not mandated by this Act.
(h)(1) Upon the sale of each new light-duty motor
vehicle by a dealer, the dealer shall furnish to the pur-
chaser a certificate that such motor vehicle conforms to
the applicable regulations under section 202, including
notice of the purchaser's rights tinder paragraph (2).
(2) If at any time during the period for which the
warranty applies under subsection (b), a motor vehicle
fails to conform to the applicable regulations under sec-
tion 202 as determined under subsection (b) of this sec-
tion such nonconformitv shall lie remedied by the manu-
facturer at the cost of the manufacturer pursuant to such
warranty as provided in section 207(b) (2) (without rc-
pard to subparagraph (C) thereof).
(3) Nothing in section 209(a) shall be construed to
prohibit a State from testing, or requiring testing of. a
mofor vehicle after the date of sale of such vehicle to the
ultimate purchaser (except that no new motor vehicle
manufacturer or dealer may be required to conduct test-
ins: under this paragraph).
RECORDS AND REPORTS
SEC. 20R. (a) Even* manufacturer shall establish and
maintain fnch records, make such reports, and provide
125
such information as the Administrator may reasonably
require to enable him to determine whether such manu-
facturer has acted or is acting in compliance with this
part and regulations thereunder and shall, upon request
of an officer or employee duly designated by the Admin-
istrator, permit such officer or employee at reasonable
times to have access to and copy such records.
(b) Any records, reports or information obtained un-
der subsection (a) shall be available to the public, except
that upon a showing satisfactory to the Administrator
by any person that records, reports, or information, or
particular part thereof (other than emission data), to
which the Administrator has access under this section if
made public, would divulge methods or processes entitled
to protection as trade secrets of such person, the Admin-
istrator shall consider such record, report, or information
or particular portion thereof confidential in accordance
with the purposes of section 1905 of title 18 of the United
States Code, except that such record, report, or informa-
tion may be disclosed to other officers, employees, or
authorized representatives of the United States con-
cerned with carrying out this Act or when relevant in
any proceeding i-nder this Act. Nothing in this section
shall authorize the withholding of information by the
Administrator or any officer or employee under his con-
trol from the duly authorized committees of the Congress.
STATE STANDARDS
SEC. 209. (a) No State or any political subdivision
thereof shall adopt or attempt to enforce any standard
relating to the control of emissions from new motor ve-
hicles or new motor vehicle engines subject to this part.
Xo State shall require certification, inspection, or any
other approval relating to the control of emissions from
any new motor vehicle or new motor vehicle engine as
condition precedent to the initial retail sale, titling (if
any), or registration of such molor vehicle, motor ve-
hicle engine, or equipment.
(b) (1) The Administrator shall, after notice and op-
portunity for public hearing, waive application of this
section to any State which lias adopted standards (other
than crnnkca.se emission standards) for the control of
emissions from new motor vehicles or new motor vehicle
engines prior to March 30. 19(10. if the State determines
that the .Slate standard:- \\\\\ lie. in the aggregate, at
lea.-t as protective of public health and welfare a.- applic-
able Keileral standards. Xo .such waiver shall be grained
if tl-.c Administrator finds that—
(A) the lU'ti'rmin.ituin of the State ir- aibitrav.v
and capricious.
(B) Midi Stall1 doc.- not iiivd .-noli Stntc.standards
to meet compelling and extraordinary conditions,
or
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(C) such State standards and accompanying en-
forcement procedures are not consistent with sec-
tion 202 (a) of this part.
(2) If each State standard is at least as stringent as
the comparable applicable Federal standard, Mich State
standard shall be deemed to be at least as protective of
health and welfare a? such Federal standards for pur-
poses of paragraph (1).
(3) in the case of any new motor vehicle or new motor
vehicle engine to which State standards apply pursuant
to a waiver granted under paragraph (1), compliance
with such State standards shall be treated as compliance
with applicable Federal standards for purposes of this
title.
(c) Whenever a regulation with respect to any motor
vehicle part or motor vehicle engine part is in effect un-
der section 207(a)(2), no State or political subdivision
thereof shall adopt or attempt to enforce any standard
or any requirement of certification, inspection, or ap-
proval which relates to motor vehicle emissions and is
applicable to the same aspect of such part. The preceding
sentence shall not apply in the case of a State with re-
spect to which a waiver is in effect under subsection (b).
(d) Xothinjr in this part shall preclude or deny to any
State or political subdivision thereof the right other-
wise to control, regulate, or restrict the use. operation, or
movement of registered or licensed motor vehicles.
STATE GRANTS
SEC. 210. The Administrator is authorized to make
grants to appropriate State agencies in an amount up
to two-thirds of the cost of developing and maintaining
effective vehicle emission devices and systems inspection
and emission testing and control programs, except that—
(1) no such grant shall be made for any part of
any State vehicle inspection program which does
not directly relate to the cost of the air pollution
control aspects of such a program;
(2) no such grant shall be made unless the Secre-
tary of Transportation has certified to the Adminis-
trator that such program is consistent with any
highway safety program developed pursuant to sec-
tion 402 of title 23 of the United States Code; and
(3) no such grant shall be innde unless the pro-
gram includes provisions designed to insure that
emission control devices and systems on vehicles in
actual us? have not been discontinued or rendered
inoperative. Grants may be made under this section
by way of reimbursement in any case in which
amounts have been expended by the Shite before the
date on which any such grant was made.
127
REGULATION OF FCELS
SEC. 211. (a) The Administrator may by regulation
designate any fuel or fuel additive and, after such date
or dates as may Ije pi-escribed by him, no manufacturer
or processor of any such fuel or additive may sell, offer
for sale, or introduce into commerce such fuel or addi-
tive unless the Administrator has registered such fuel
or additive in accordance with subsection (b) of this
section.
(b)(l) For the purpose of registration of fuels and
fuel additives, the Administrator shall require—
(A) the manufacturer of any fuel to notify him
as to the commercial identifying name and manu-
facturer of any additive contained in such fuel; the
range of concentration of any additive in the fuel;
and the purpose-in-nse of any such additive; and
(B) the manufacturer of any additive to notify
him as to the chemical composition of such addi-
tive.
(2) For the purpose of registration of fuels and fuel
additives, the Administrator may also require the manu-
facturer of any fuel or fuel additive—
(A) to conduct tests to determine potential pub-
lic health effects of such fuel or additive (including,
but not limited to. carcinogenic, teratogenic, or
mutagenic effects), and
(BJ to furnish the description of any analytical
technique that can be used to detect and measure
any additive in such fuel, the recommended range
of concentration of such additive, and the recom-
mended purpose-in-use of such additive, and such
other information as is reasonable and necessary to
determine the emissions resulting from the use of
the fuel or additive contained in such fuel, the effect
of such fuel or additive on the emission control
performance of any vehicle or vehicle engine, or the
extent to which such emissions affect the public
health or welfare.
Tests under subpnragraph (A) shall be conducted in
conformity with test procedures and protocols estab-
lished by the Administrator. The results of such tests
shall not be considered confidential.
(3) Upon compliance with the provisions of this sub-
section, including a-suranees that the Administrator will
receive changes in the information required, the Admin-
istrator shall register such fuel or fuel additive.
(c) (1) The Administrator may. from time to time on
the basis of information obtained under subsection (b)
of this section or other information available to him. by
regulation, control or prohibit the manufacture, intro-
duction into commerce, offering for sale, or sale of any
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gasoline refined at such refinery below the applicable
amount specified in the table below :
If the average gasoline production of the small refinery for the
immediately preceding calendar year (or, in the case of refiner-
ies under construction, half the designed crude oil capacity)
was(inbarrelsperday): ».
amount <»» ffnmt
per 0al/on)
5,000 or under ------------------------------ -• 85.
3,001 to 10,000 ------------------------------ 2. 15-
10,001 to 15,000 ----------------------------- !•«.
13.001 to 20,000 ---------------------------- 1.30.
20,001 to 25,000 ----------------------------- • 80.
25,001 or over ______________________________ As prescribed
by the Ad-
ministra-
tor, but not
greater
than 0.80.
The Administrator may promulgate such regulations as
he deems appropriate with respect to the reduction of
the average lead content of gasoline refined by small
refineries on and after October 1, 1982, taking into ac-
count the experience under the preceding provisions of
this paragraph.
(3) Effective on the date of the enactment of this sub-
section, the regulations of the Administrator under this
section respecting fuel additives (40 CFR part 80) shall
be deemed amended to comply with the requirement con-
tained in paragraph (2).
(4) Xothing in this section shall be construed to pre-
empt the right of any State to take action as permitted by
section 211 (c) (4) of this Act.
DEVELOPMENT OP LOW-EMISSION VEHICLES
SEC. 212. (a) For the purpose of this section —
(1) The term "Board" means the Low-Emission
Vehicle Certification Board.
(2) The term "Federal Government'' includes the
legislative, executive, and judicial branches of the
Government of the United States, and the govern-
ment of the District of Columbia.
(3) The term "motor vehicle'1 means any self-
eropelled vehicle designed for use in the United
tates on the highways. other than a vehicle designed
or used for military field training, combat, or tactical
purposes.
(4) The term "low-emission vehicle" means any
motor vehicle which —
(A) emits any air pollutant in amounts sig-
nificantly below new motor vehicle standards
applicable under section 202 at the time of pro-
curement to that type of vehicle ; and
133
(B) with respect to all other air pollutants
meets the new motor vehicle standards appli-
cable under section 202 at the time of procure-
ment to that type of vehicle.
(5) The term "retail price" means (A) the maxi-
mum statutory price applicable to any class or model
of motor vehicle; or (B) in any case where there is no
applicable maximum statutory price, the most recent
procurement price paid for any class or model of
motor vehicle.
(b) (1) There is established a Low-Emission Vehicle
Certification Board to be composed of the Administrator
or his designee, the Secretary of Transportation or his
designee, the Chairman of the Council on Enivornmental
Quality or his designee, the Director of the National
Highway Safety Bureau in the Department of Trans-
portation, the Administrator of General Sen-ices, and
two members appointed by the President. The President
shall designate one member of the Board as Chairman.
(2) Any member of the Board not employed by the
United States may receive compensation at the rate of
$125 for each day such member is engaged upon work of
the Board. Each member of the Board shall be reimbursed
for travel expenses, including per diem in lieu of subsist-
ence as authorized by section 5703 of title 5, United
States Code, for persons in the Government service em-
ployed intermittently.
(y\ (A) The Chairman, with the concurrence of the
members of the Board, may employ and fix the compen-
sation of such additional personnel as may be necessary
to cany out the functions of the Board, but no individual
so appointed shall receive compensation in excess of the
rate authorized for GS-18 by section 5332 of title 5.
United States Code.
(B) The Chairman may fix the time and place of such
meetings as may be required, but a meeting of the Board
shall be called whenever a majority of its members so
requests.
(C) The Board is granted all other powers necessary
for meeting its responsibilities under this section.
(c) The Administrator shall determine which models
or classes of mo
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134
The Board shall specify with particularity the class or
model of vehicles for which the class or model of vehicles
described in the application is a suitable substitute. In
making the determination under this subsection the Board
shall consider the following criteria:
(i) the safety of the vehicle;
(ii) its performance characteristics;
(iii) its reliability potential;
(iv) its serviceability;
(v) its fuel availability;
(vi) its noise level; and
(vii) its maintenance costs as compared with the
class or model of motor vehicle for which it may be
a suitable substitute.
(2) Certification under this section shall be effective
for a period of one year from the date of issuance.
(3) (A) Any party seeking to have a class or model of
vehicle certified under this section shall file a certifica-
tion application in accordance with regulations pre-
scribed by the Board.
(B) The Board shall publish a notice of each applica-
tion received in the Federal Register.
(C) The Administrator ancfthe Board shall make de-
terminations for the purpose of this section in accord-
ance with procedures prescribed by regulation by the
Administrator and the Board, respectively.
(D) The Administrator and the Board shall conduct
whatever investigation is necessary, including actual in-
spection of the vehicle at a place designated in regula-
tions prescribed under subparagraph (A).
(E) The Board shall receive and evaluate written
comments and documents from interested parties in sup-
port of, or in opposition to, certification of the class or
model of vehicle under consideration.
(F) Within ninety days after the receipt of a properly
filed certification application, the Administrator shall de-
termine whether such class or model of vehicles is a low-
emission vehicle, and within 180 days of such determina-
tion, the Board shall reach a decision bv majority vote as
to whether such class or model of vehicle, having been
determined to be a low-omission vehicle, is a suitable sub-
stitute for any class or classes of vehicles presently being
purchased by the Federal Government for use by its
agencies.
(G) Immediately upon making any determination or
decision under subparagraph (F).the Administrator and
the Board shall each publish in the Federal Register no-
tice of such determination or det-iMon. including lonsons
therefor and in the case of the Board any dissenting
views.
(e) (1) Certified low-emission vehicles shall be ac-
quired by purchase or lease by the Federal Government
135
for use by the Federal Government in lieu of other vehi-
cles if the Administrator of General Services determines
that such certified vehicles have procurement costs which
are no more than 150 per centum of the retail price of the
least expensive class or model of motor vehicle for which
they are certified substitutes.
(2) In order to encourage development of inherently
low-polluting propulsion technology, the Board may, at
its discretion, raise the premium set forth in paragraph
(1) of this subsection to 200 per cenium of the retail
price of any class or model of motor vehicle for which a
certified low-emission vehicle is a certified substitute, if
the Board determines that the certified low-emission
vehicle is powered by an inherently low-polluting pro-
pulsion system.
(3) Data relied upon by the Board and the Adminis-
trator in determining that a vehicle is a certified low-
emission vehicle shall be incorporated in any contract for
the procurement of such vehicle.
(f) The procuring agency shall be required to pur-
chase available certified low-emission vehicles which are
eligible for purchase to the extent they are available be-
fore purchasing any other vehicles for which any low-
emission vehicle is a certified substitute. In making pur-
chasing selections between competing eligible certified
low-emission vehicles, the procuring agency shall give
priority to (1) any class or model which does not require,
extensive periodic maintenance to retain its low-pollut-
ing qualities or which does not require the use of fuels
which are more expensive than those of the classes or
models of vehicles for which it is a certified substitute;
and (2) passenger vehicles other than buses.
(g) For the purpose of procuring certified low-emis-
sion vehicles any statutory price limitations shall be
waived.
(h) The Administrator shall, from time to time as the
Board deems appropriate, test the emissions from certi-
fied low-emission vehicles purchased by the Federal Gov-
ernment. If at any time he find? that the emission rates
exceed the rates on which certification under this section
was based, the Administrator shall notify the Board.
Thereupon the Board shall give the supplier of such
vehicles written notice of this finding, issue public notice
of it, and give the supplier an opportunity to make nec-
ceesary repairs, adjustment, or i ('placements. If no such
repairs, adjustments, or replacements are made within a
period to IK- set by the Bonid. the Board may older the
supplier to show cause whv the vehicle invoked should
lie eligible for recertification.
(i) There are authorized to be appropriated for pay-
ing additional amounts for motor vehicles pursuant to,
and for carrying out the provisions of, this section. $5,-
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000,000 for the fiscal year ending June 30, 1971, and
$25,000,000 for each of the two succeeding, fiscal years.
(j) The Board shall promulgate the procedures re-
quired to implement this section within one hundred and
eight}- days after the date of enactment of the Clean Air
Amendments of 1970.
FUEL ECONOMY IMPROVEMENT1 FROM NEW MOTOR VEHICLES
SEC. 213. (a) (1) The Administrator and the Secretary
of Transportation shall conduct a joint study, and shall
report to the Committee on Interstate and Foreign Com-
merce of the United States House of Representatives and
the Committees on Public Works and Commerce of the
United States Senate within one hundred and twenty
days following the date of enactment of this section, con-
cerning the practicability of establishing a fuel economy
improvement standard of 20 per centum for new motor
vehicles manufactured during and after model year 1980.
Such study and report shall include, but not be limited to,
the technological problems of meeting any such standard,
including the leadtime involved; the 'test procedures
required to determine compliance; the economic costs
associated with such standard, including any beneficial
economic impact; the various means of enforcing such
standard; the effect on consumption of natural resources,
including energy consumed; and the impact of applicable
safety and emission standards. In the course of per-
forming such study, the Administrator and the Secretary
of Transportation shall utilize the research previously
performed in the Department of Transportation, and the
Administrator and the Secretary shall consult with the
Federal Energy Administrator, the Chairman of the
Council on Environmental Quality, and the Secretary of
the Treasury. The Office of Management and Budget may
review such report before its submission to such com-
mittees of the Congress, but such Office may not revise
the report or delay its submission beyond the date pre-
scribed for its submission, and may submit to Congress
its comments respecting such report. In connection with
such study, the Administrator may utilize the authority
provided in Section 307(a) of this Act to obtain necessary
information.
(2) For the purpose of this section, the term "fuel
economy improvement standard" means a requirement of
a percentage increase in the number of miles of transpor-
tation provided by a manufacturer's entire annual pro-
duction of new motor vehicles per unit of fuel consumed,
as determined for each manufacturer in accordance with
test procedures established by the Administrator pur-
suant to this Act. Such term shall not include any
requirement for any design standard or any other
requirement specifying or otherwise limiting the manu-
137
facturer's discretion in deciding how to comply with the
fuel economy improvement standard by any lawful
STUDY OF rARTICCLATE EMISSIONS FROM MOTOR VEHICLES
SEC. 214. (a)(l) The Administrator shall conduct a
study concerning the effects on health and welfare of par-
ticulate emissions from motor vehicles or motor vehicle
engines to which section 202 applies. Such study shall
characterize and quantify such emissions and analyze the
relationship of such emissions to various fuels and fuel
additives.
(2) The study shall also include an analysis of par-
ticulate emissions from mobile sources which are not re-
lated to engine emissions (including, but not limited to
tire debris, and asbestos from brake lining).
(b) The Administrator shall report to the Congress
the findings and results of the study conducted under sub-
section (a) not later than two years after the date of the
enactment of the Clean Air Act Amendments of 1977.
Such report shall also include recommendations for
standards or methods to regulate participate emissions
described in paragraph (2) of subsection (a).
HIGH ALTITUDE PERFORMANCE ADJUSTMENTS
SEC. 215. (a) (1) Any action taken with respect to any
element of design installed on or in a motor vehicle or
motor vehicle engine in compliance with regulations
under this title (including any alteration or adjustment
of such element), shall be treated as not in violation of
section 203(a) if such action is performed in accordance
with high altitude adjustment instructions provided by
the manufacturer under subsection (b) and approved by
the Administrator.
(2) If the Administrator finds that adjustments or
modifications made pursuant to instructions of the manu-
facturer under paragraph (1) will not insure emission
control performance with respect to eacli standard under
section 202 at least equivalent to that which would result
if no such adjustments or modifications were made, he
shall disapprove such instructions. Such findings shall be
based upon minimum engineering evaluations consistent
with good engineering practice.
(b)(l) Instructions respect ing each class or category of
vehicles or engine's to which this title applies providing
for such vehicle and engine adjustments and modifications
as may be necessary to injure cmi.sMon control perform-
ance at different alt it udes shall be submitted by the manu-
facturer to the Administrator pursuant to regulations
promulgated by the Administrator.
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(2) Any knowing violation by a manufacturer of re-
quirements of the Administrator under paragraph (1)
shull be treated as a violation by such manufacturer of
section 203(a) (3) for purposes oif the penalties contained
in section 205.
(3) Such instruction shall provide, in addition to other
adjustments, for adjustments for vehicles moving from
high altitude areas to low altitude areas after the initial
registration of such vehicles.
(c) Xo instructions under this section respecting ad-
justments or modifications may require the use of any
manufacturer parts (as defined in section 203(a)) unless
the manufacturer demonstrates to the satisfaction of the
Administrator that the use of such manufacturer parts is
necessary to insure emission control performance.
(d) Before January 1.1981 the authority provided by
this section shall be available in any high altitude State
(as determined under regulations of the Administrator
under regulations promulgated before the date of the en-
actment of this Act) but after December 31.1980, such au-
thority shall be available only in any such State in which
an inspection and maintenance program for the testing
of motor vehicle emissions has been instituted for the
portions of the State where any national ambient air
quality standard for auto-related pollutants has not been
attained.
DEHXmOXS FOR PART A
SEC. 216. As used in this part—
(1) The term "manufacturer" as used in sections
202. 203,206,207. and 208 means any person engaged
in the manufacturing or assembling of new motor
vehicles or new motor vehicle engines, or importing
such vehicles or engines for resale, or who acts for
and is under the control of any such person in con-
nection with the distribution of new motor vehicles
or new motor vehicle engines, but shall not include
any dealer with respect to new motor vehicles or new
motor vehicle engines received by him in commerce.
(2) The term "motor vehicle" means any self-pro-
pelled vehicle designed for transporting persons or
property on a street or highway.
(3) Except with respect to vehicles or engines im-
ported or offered for importation, the term "now
motor vehicle'' means a motor vehicle the equitable or
leiral title to which has never been transferred to an
ultimate purchaser; and the term "now motor vehicle
engine" means an engine in a new motor vehicle or a
motor vehicle engine the equitable or legal title to
which has never been transferred to the ultimate pur-
chaser: and with respect to imported vehicles or
engines, such terms moan a motor ^ ohiclo and engine,
respectively, manufactured after the effective date of
139
a regulation issued under section 202 which is appli-
cable to such vehicle or engine (or « hich would be
applicable to such vehicle or engine had it been man-
ufactured for importation into the United States).
(4) The term "dealer" means any person who is
engaged in the sale or the distribution of new motor
vehicles or new motor vehicle engines to the ultimate
purchaser.
(5) The term "ultimate purchaser" means, with
respect to any new motor vehicle or new motor ve-
hicle engine, the first person who in good faith pur-
chases such new motor vehicle or new engine for
purposes other than resale.
(6) The term "commerce" means (A) commence
between any place in any State and any place out-
side thereof; and (B) commerce wholly within the
District of Columbia.
PART B—AIRCRAFT EMISSION STANDARDS
ESTABLISHMENT OF STANDARDS
SEC. 231. (a) (1) Within 90 days after the date of en-
actment of the Clean Air Amendments of 1970, the Ad-
ministrator shall commence a study and investigation of
emissions of air pollutants from aircraft in order to
determine—
(A) the extent to which such emissions affect air
quality in air quality control regions throughout the
United States, and
(B) the technological feasibility of controlling
such emissions.
(2) The Administrator shall, from time to time, issue
proposed emission standards applicable to the emission of
nny air pollutant from any class or classes of aircraft
engines which in his judgment causes, or contributes to,
air pollution which may reasonably be anticipated to
endanger public health or welfare.
(3) The administrator shall hold public hearings with
respect to such proposed standards. Such hearings shall.
to the extent practicable, be held in air quality control
regions which are most seriously affected by aircraft
omissions. Within 90 days after the issuance of such pro-
posed regulations, he shall issue such regulation with such
modifications as ho deems appropriate. Such regulations
may be revised from time to time.
(b) Any regulation prescribed under this section (and
any revision thereof) shall take effect after such period
as the Administrator finds necessary (after consultation
with the Secretary of Transportation) to permit the de-
velopment and application of the requisite technology.
giving appropriate consideration to the cost of compli-
ance within such period.
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(c) Any regulations in effect under this section on date
of enactment of the Clean Air Act Amendments of 1977
or proposed or promulgated thereafter, or amendments
thereto, with respect to aircraft shall not apply if disap-
proved by the President, after notice and opportunity for
public hearing, on the basis of a finding by the Secretary
of Transportation that any such regulation would create
a hazard to aircraft safety. Any such finding shall in-
clude a reasonably specific statement of the basis upon
which the finding was made.
ENFORCEMENT OF STANDARDS
SEC. 232. (a) The Secretary of Transportation, after
consultation with the Administrator, shall prescribe reg-
ulations to insure compliance with all standards pre-
scribed under section 231 by the Administrator. The
regulations of the Secretary of Transportation shall in-
clude provisions making such standards applicable in
the issuance, amendment, modification, suspension, or
revocation of any certificate authorized by the Federal
Aviation Act or the Department of Transportation Act.
Such Secretary shall insure that all necessary inspections
are accomplished, and. may execute any power or duty
vested in him by any other provision of law in the execu-
tion of all powers and duties vested in him under this
section.
(b) In any action to amend, modify, suspend, or re-
voke a certificate in which violation of an emission stand-
ard prescribed under section 231 or of a regulation pre-
scribed under subsection (a) is at issue, the certificate
holder shall have the same notice and appeal rights as
are prescribed for such holders in the Federal Aviation
Act of 1958 or the Department of Transportation Act.
except that in any appeal to the National Transportation
Safety Board, the Board may amend, modify, or revoke
the order of the Secretary of Transportation only if it
finds no violation of such standard or regulation and
that such amendment, modification, or revocation is con-
sistent with safety in air transportation.
STATE STANDARDS AXD CONTROLS
SEC. 233. Xo State or political subdivision thereof may
adopt or attempt to enforce any standard respecting
emissions of any air pollutant from any aircraft or en-
pine thereof unless such standard is identical to a stand-
ard applicable to sucli aircraft under this part.
DEFINITIONS
SEC. 234. Terms used in this part (other than Adminis-
trator) shall have the same meaning as such terms have
under section 101 of the Federal Aviation Act of 1958.
141
TITLE III—GENERAL
ADMINISTRATION
SEC. 301. (a)(l) The Administrator is authorized to
prescribe such regulations as are necessary to carry out
his functions under this Act. The Administrator may
delegate to any officer or employee of the Environmental
Protection Agency such of his powers and duties under
this Act, except the making of regulations, as he may
deem necessary or expedient.
(2) Not later than one year after the date of enactment
of this paragraph, the Administrator shall promulgate
regulations establishing general applicable procedures
and policies for regional officers and employees (includ-
ing the Regional Administrator) to follow in carrying
out a delegation under paragraph (1), if any. Such
regulations shall be designed—
(A) to assure fairness and uniformity in the
criteria, procedures, and policies applied by the
various regions in implementing and enforcing the
Act:
(B) to assure at least an adequate quality audit of
each State's performance and adherence to the re-
quirements or this Act in implementing and enforc-
ing the Act, particularly in the review of new
sources and in enforcement of the Act; and
(C) to provide a mechanism for identifying and
standardizing inconsistent or varying criteria, pro-
cedures, and policies being employed by such officers
and employees in implementing and enforcing the
Act.
(b) Upon the request of an air pollution control
agency, personnel of the Environmental Protection
Agency may be detailed to such agency for the purpose
of carrying out the provisions of this Act.
(c) Payments under grants made under this- Act may
lie made in installments, and in advance or by way of
reimbursement, as may be determined by the Adminis-
trator.
DEFINITIONS
SEC. 302. When used in this Act-
fa) The term "Administrator"' means the Adminis-
trator of the Environmental Protection Agency.
(1>) The term "air pollution control agency" moans any
of the following:
(1) A single State agency designated by the Gov-
ernor of that State as the official State air pollution
control agency for purposes of this Act;
(2) An agency established by two or more States
and having substantial powi-rs or duties pertaining
to the prevention and control of air pollution;
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(3) A city, county, or other local government
health authority, or, in the case of any city, county,
or other local"government in which there is an
agency other than the health authority charged with
responsibility for enforcing ordinances or laws re-
lating to the prevention and control of air pollution.
such other agency; or
(4) An agency of two or more municipalities
located in the same State or in different States and
having substantial powers or duties pertaining to the
prevention and control of air pollution.
(c) The term "interstate air pollution control agency"
means—
(1) an nir pollution control agency established by
two or more States, or
(2) an air pollution control agency of two or more
municipalities located in different States.
(d) The term "State" means a State, the District of
Columbia, the Commonwealth of Puerto Rico, the Virgin
Islands, Guam, and American Samoa and includes the
Commonwealth of the Northern Mariana Islands.
(e) The term "person" includes an individual, corpora-
tion, partnership, association, State, municipality, politi-
cal subdivision of a State, and any agency, department,
or instrumentality of the United States and any officer,
agent, or employee thereof.
(f) The term "municipality" means a city, town, bor-
ough, county, parish, district, or other public body cre-
ated by or pursuant to State law.
(g) The term "air pollutant" means any air pollution
agent or combination of such agents, including any phy-
sical, chemical, biological, radioactive (including source
material, special nuclear material, and byproduct mate-
rial) substance or matter which is emitted into or other-
wise enters the ambient air.
(h) All language referring to effects on welfare in-
cludes, but is not limited to, effects on soils, water, crops,
vegetation, man-made materials, animals, wildlife,
weather, visibility, and climate, damage to and deteriora-
tion of property, and hazards to transportation, as well
as effects on economic values and on personal comfort
and well-being.
(i) The term "Federal land manager" means, with re-
spect to any lands in the United States, the Secretary of
the department with authority over such lands.
(j) Except as otherwise expressly provided, the terms
"major stationary source" and "major emitting facility"
moan any stationary facility or source of air pollutants
which directly emits, or ha's the potential to emit, one
hundred tons per year or more of any nir pollutant (in-
cluding any major emitting facility or source of fugitive
emissions of any such pollutant, as determined by rule by
the Administrator).
143
(k) The terms "emission limitation" and "emission
standard" mean a requirement established by the State
or the Administrator which limits the quantity, rate, or
concentration of emissions of air pollutants on a con-
tinuous basis, including any requirement relating to the
operation or maintenance of a source to assure continu-
ous emission reduction.
(1) The term "standard of performance" means a re-
quirement of continuous emission reduction, including
any requirement relating to the operation or mainte-
nance of a source to assure continuous emission reduction.
(m) The term "means of emission limitation" means
a system of continuous emission reduction (including the
use of specific technology or fuels with specified pollution
characteristics).
(n) The term "primary standard attainment date"
means the date specified in the applicable implementa-
tion plan for the attainment of a national primary am-
bient air quality standard for any air pollutant.
(o) The term "delayed compliance order" means an
order issued by the State or by the Administrator to an
existing stationary source, postponing the date required
under an applicable implementation plan for compliance
by such source with any requirement of such plan.
(p) The term "schedule and timetable of compliance"
means a schedule of required measures including an en-
forceable sequence of actions or operations leading to
compliance with an emission limitation, other limitation,
prohibition, or standard.
EMERGENCY TOWERS
SEC. 303. (a) Notwithstanding any other provisions
of this Act. the Administrator upon receipt of evidence
that a pollution source or combination of sources (in-
cluding moving sources) is presenting an imminent and
substantial endangerment to the health of persons, and
that appropriate State or local authorities have not acted
to abate such sources, may bring suit on behalf of the
United States in the appropriate United States district
court to immediately restrain any person causing or con-
tributing to the alleged pollution to stop the emission of
nir pollutants causing or contributing to such pollution
or to take such other notion as may be necessary. If it is
not practicable to assure prompt protection of the health
of persons solely by commencement of such a civil ac-
tion, the Administrator may issue such orders ns may
lx> necessary to protect the health of persons who are. or
may l>e, affected by such pollution source (or sources).
Prior to taking any action tinder this section, the Ad-
ministrator shall consult with the State and local au-
thorities in order to confirm the correctness of the in-
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formation on which the action proposed to be taken is
based and to ascertain the action which such authorities
are, or will be, taking. Such order shall be effective for
a period of not more than twenty-four hours unless the
Administrator brings an action under the first sentence
of this subsection before the expiration of such period.
Whenever the Administrator brings such an action
within such period, such order shall be effective for a
period of forty-eight hours or such longer period as may
be authorized by the court pending litigation or there-
after.
(b) Any person who willfully violates, or fails or re-
fuses to comply with, any order issued by the Admin-
istrator under subsection (a) may, in an action brought
in the appropriate United States district court to enforce
such order, be fined not more than $5,000 for each day
during which such violation occurs or failure to comply
continues.
CITIZEN SUITS
SEC. 304. (a) Except as provided in subsection (b),
any person may commence a civil action on his own
behalf—
(1) against any person (including (i) the United
States, and (ii) any other governmental instrumen-
tality or agency to the extent permitted by the Elev-
enth Amendment to the Constitution) who is alleged
to be in violation of (A) an emission standard or
limitation under this Act or (B) an order issued by
the Administrator or a State with respect to such a
standard or limitation,
(2) against the Administrator where there is al-
leged a failure of the Administrator to perform any
act or duty under this Act which is not discretionary
with the Administrator, or
(^3) against any person who proposes to construct
or constructs any new or modified major emitting fa-
cility without a permit required xmder part C of title
I (relating to significant deterioration of air qual-
ity) or part D of title I (relating to nonattainment)
or who is alleged to be in violation of any condition
of such permit.
The district courts shall have jurisdiction, without re-
gard to the amount in controversy or the citizenship of
the parties, to enforce such an emission standard or limi-
tation, or such an order, or to order the Administrator
to perform such act or duty, as the case may be.
(b) Xo action may be commenced—
(1) under subsection (a) (1)—
(A) prior to flO davs after the plaintiff has
given notice of the violation (i) to the Adminis-
trator, (ii) to the State in which the violation
occurs, and (iii) to any alleged violator of the
standard, limitation, or order, or
145
(B) if the Administrator or State has com-
menced and is diligently prosecuting a civil
action in a court of the United States or a State
to require compliance with the standard, limi-
tation, or order, but in any such action in a court
of the United States any person may intervene
as a matter of right.
(2) under subsection (a) (2) prior to 60 days after
the plaintiff lias given notice of such action to the
Administrator,
except that such action may be brought immediately
after such notification in the case of an action under (his
section respecting a violation of section 112(c)(l)(B)
or an order issued by the Administrator pursuant to
section 113(a). Notice under this subsection shall be
given in such manner as the Administrator shall pre-
scribe by regulation.
(c) (1) Any action respecting a violation by a station-
ary source of an emission standard or limitation or an
order respecting such standard or limitation may be
brought only in the judicial district in which such source
is located.
(2) In such action under this section, the Adminis-
trator, if not a party, may intervene as a matter of right.
(d) The court, in issuing any final order in any action
brought pursuant to subsection (a) of this section, may
award costs of litigation (including reasonable attorney
and expert witness fees) to any party, whenever the court
determines such award is appropriate. The court may. if
a temporary restraining order or preliminary injunction
is sought, require the filing of a bond or equivalent secu-
rity in accordance with the Federal Rules of Civil Proce-
dure.
(e) Xothing in this section shnll restrict any right
which any person (or class of persons) may have under
any statute or common law to seek enforcement of any
emission standard or limitation or to seek any other relief
(including relief against the Administrator or a State
agency). Xothing in this section or in any other law of
the United States shall be construed to prohibit, exclude,
or restrict any State, local, or interstate authority from—
(1) bringing any enforcement action or obtaining
any judicial remedy or sanction in any State or
or local court, or
(2) bringing any administrative enforcement
action or obtaining any administrative remedy or
sanction in any State or local administrative agency,
department or instrumentality,
against the United State?, any department, agency, or in-
strumentality thereof, or any officer, agent, or employee
thereof under State or local law respecting control and
abatement of air pollution. For provisions requiring com-
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pliance by the United States, departments, agencies, in-
strumentalities, officers, agents, and employees in the same
manner as nongovernmental entities, see section 118.
(f) For purposes of this section, the term ''emission
standard or limitation under this Act" means—
(1) a schedule or timetable of compliance, emis-
sion limitation, standard of performance or emission
standard,
(2) a control or prohibition respecting a motor
vehicle fuel or fuel additive, which'is in effect under
this Act (including a requirement applicable by rea-
son of section 118) or under an applicable implemen-
tation plan, or
(3) any condition or requirement of a permit
under p_art C of title I (relating to significant de-
terioration of air quality) or part D of title I (relat-
ing to nonattainment), any condition or requirement
of section 113 (d) (relating to certain enforcement
orders), section 119 (relating to primary nonferrous
smelter orders), any condition or requirement under
an applicable implementation plan relating to trans-
portation control measures, air quality maintenance
plans, vehicle inspection and maintenance programs
or vapor recovery requirements, section 211 (e) and
(f) (relating to fuels and fuel additives), section
169A (relating to visibility protection), any condi-
tion or requirement under part B of title I ("relating
to ozone protection), or any requirement under sec-
tion 111 or 112 (without regard to whether such re-
quirement is expressed as an emission standard or
otherwise).
<
REPRESENTATION' IX LITIGATION
SEC. 305. (a) The Administrator shall request the
Attorney General to appear and represent him in any
civil action instituted under this Act to which the Ad-
ministrator is a party. Unless the Attorney General
notifies the Administrator that he will appear in such
action, within a reasonable time, attorneys appointed
by the Administrator shall appear and represent him.
(b) In the event the Attorney General agrees to ap-
pear and represent the Administrator in any such ac-
tion, such representation shall lie conducted in accord-
ance with, and shall include participation by, attorneys
appointed by the Administrator to the extent author-
ized by, the memorandum of understanding between
the Department of Justice and the Knvironmental Pro-
tection Agency, dated .Tune 13. 1977, respecting repre-
sentation of the agency by the department in civil
litigation.
147
FEDERAL PROCUREMENT
SEC. 306. (a) Xo Federal agency may enter into any
contract with any person who is convicted of any of-
fense under section 113(c) (1) for the procurement of
goods, materials, and services to perform such contract
at any facility at which the violation which gave rise
to such conviction occurred if such facility is owned,
leased, or supervised by such person. The prohibition
in the preceding sentence shall continue until the Ad-
ministrator certifies that the condition giving rise to
such a conviction has been corrected.
(b) The Administrator shall establish procedures to
provide all Federal agencies with the notification neces-
sary for the purposes of subsection (a).
(c) In order to implement the purposes and policy
of this Act to protect and enhance the quality of the
Nation's air, the President shall, not more than 180
days after enactment of the Clean Air Amendments of
1970 cause to be issued an order (1) requiring each
Federal agency authorized to enter into contracts and
each Federal agency which is empowered to extend
Federal assistance by way of grant, loan, or contract to
effectuate the purpose and policy of this Act in such
contracting or assistance activities, and (2) setting
forth procedures, sanctions, penalties, and such other
provisions, as the President determines necessary to
earn" out such requirement.
(d)" The President may exempt any contract, loan, or
grant from all or part of the provisions of this section
where he determines such exemption is necessary in the
paramount interest of the United States and he shall
notify the Congress of snch exemption.
(e) The President shall annually report, to the Con-
gress on measures taken toward implementing the pur-
pose and intent of this section, including but not limited
to the progress and problems associated with implemen-
tation of this section.
GENERAL PROVISIONS RELATING TO ADMINISTRATIVE
PROCEEDINGS AND JUDICIAL REVIEW
SEC. 307. (a) (1) In connection with any determination
under section 110(f) or section 2f)2(b) (5), or for pur-
poses of obtaining information under section 202(b) (4)
or 211 (c) (3), the Administrator may issue snbpenas for
the attendance and testimony of witnesses and the pro-
duction of relevant papers, books, and documents, and
he may administer oaths. Except for emission data, upon
a showing satisfactory to the Administrator by such
owner or operator that such papers, books, documents, or
information or particular part thereof, if made public,
would divulge trade secrets or secret processes of such
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owner or operator, the Administrator shall consider such
record, report, or information or particular portion
thereof confidential in accordance with the purposes of
section 1905 of title 18 of the United States Code, except
that such paper, book, document, or information may be
discussed to other officers, employees, or authorized repre-
sentatives of the United States concerned with carrying
out this Act, to persons carrying out the National Acad-
emy of Sciences study and investigation provided for in
section 202(c), or when relevant in any proceeding under
this Act. Witnesses summoned shall be paid the same fees
and mileage that are paid witnesses in the courts of the
United States, In cases of contumacy or refusal to obey
a subpena served upon any person under this subpara-
graph, the district court of the United States for any dis-
trict in which such person is found or resides or trans-
acts business, upon application by the United States and
after notice to such person, shall have jurisdiction to issue
an order requiring such person to appear and give testi-
mony before the Administrator to appear ana produce
papers, books, and documents before the Administrator,
or Doth, and any failure to obey such order of the court
may be punished by such court as a contempt thereof.
(b) (1) A petition for review of action of the Adminis-
trator in promulgating any national primary or second-
ary ambient air quality standard, any emission standard
or requirement under section 112, any standard of per-
formance or requirement under section 111.* any stand-
ard under section 202 (other than a standard req'uired to
be prescribed under section 202(b) (1)), any determina-
tion under section 202 (b) (5), any control or prohibition
under section 211, any standard'under section 231, any
rule issued under section 113. 119. or under section 120,
or any other nationally applicable regulations promul-
gated, or final action taken, by the Administrator under
this Act may be filed only in the United States Court of
Appeals for the District of Columbia. A petition for
review of the Administrator's action in approving or
promulgating any implementation plan under section
110 or section lll(d), any order under section lll(j),
under section 112(c), under section 113(d), under section
119. or under section 120, or his action under section 119
(c) (2) (A). (B), or (C) (as in effect before the date of
enactment of the Clean Air Act Amendments of 1977)
or under regulations thereunder, or an}" other final action
of the Administrator under this Act (including any
denial or disapproval by the Administrator under title I)
which is local or regionally applicable may be filed only
in the United States Court of Appeals for tne appropriate
circuit. Notwithstanding the preceding sentence a peti-
• Public Lair 95-95 inserted the additional •
section 111".
' after the words "under
149
tion for review of any action referred to in such sentence
may be filed only in the United States Court of Appeals
for the District of Columbia if such action is based on a
determination of nationwide scope or effect and if in tak-
ing such action the Administrator finds and publishes
that such action is based on such a determination. Any
petition for review under this subsection shall be filed
within sixty days from the date notice of such promulga-
tion, approval, or action appears in the Federal Register,
except that if such petition is based solely on grounds
arising after such sixtieth day, then any petition for re-
view under this subsection shall be filed within sixty days
after such grounds arise.
(2) Action of the Administrator with respect to which
review could have been obtained under paragraph (1)
shall not be subject to judicial review in civil or criminal
proceedings for enforcement.
(c) In any judicial proceeding in which review is
sought of a determination under this Act required to be
made on the record after notice and opportunity for hear-
ing, if any party applies to the court for leave to adduce
additional evidence, and shows to the satisfaction of the
court that such additional evidence is material and that
there were reasonable grounds for the failure to adduce
such evidence in the proceeding before the Adminis-
trator, the court may order such additional evidence (and
evidence in rebuttal thereof) to be taken before the
Administrator, in such manner and upon such terms and
conditions as the court may deem proper. The Admin-
istrator may modify his findings as to the facts, or make
new findings, by reason of the additional evidence so_
taken and he shall file such modified or new findings, and
his recommendation, if any. for the modification or set-
ting aside of his original determination, with the return
of such additional evidence.
(d) (1) This subsection applies to-^-
(A) the promulgation or revision of any national
ambient air quality standard under section 109,
(B) the promulgation or revision of an implemen-
tation plan by the Administrator under section 110
(c).
(C) the promulgation or revision of any standard
of performance under section 111 or emission stand-
ard under section 112,
(D) the promulgation or revision of any regula-
tion pertaining to any fuel or fuel additive under
section 211,
(E) the promulgation or revision of any aircraft
emission standard under section 231,
(F) promulgation or revision of regulations per-
taining to orders for coal conversion under section
113(d) (5) (but not including orders granting or
denying any such orders).
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(G) promulgation or revision of regulations per-
taining to primary nonfcrrous .smelter orders under
section 119 (but not including the granting or deny-
ing of any such order),
(H) promulgation or revision of regulations under
subtitle B of title I (relating to stratosphere and
ozone protection),
(I) promulgation or revision of regulations under
subtitle C of title I (relating to prevention of sig-
nificant deterioration of air quality and protection of
visibility),
(J) promulgation or revision of regulations under
section 202 and test procedures for new motor ve-
hicles or engines under sectoin 206, and the revision
of a standard under section 202(a) (3),
(K) promulgation or revision of regulations for
noncompliancc penalties under section 120,
(L) promulgation or revision of any regulations
promulgated under section 207 (relating to warran-
ties and compliance by vehicles in actual use),
(M) action of the Administrator under section
126 (relating to interstate pollution abatement), and
" (X) such other actions as the Administrator may
determine. The provisions of section 553 through 557
and section 706 of title 5 of the United States Code
shall not. except as expressly provided in this sub-
section, apply to action to which this subsection ap-
plies. This subsection shall not apply in the case of
any rule or circumstance referred to in subpara-
graphs (A) or (B) of subsection 553 (b) of title 5 of
theJJnited States Code.
(2) Not later than the date of proposal of any action
to -which this subsection applies, the Administrator shall
establish a rulemaking docket for such action (herein-
after in this subsection referred to as a "rule''). "When-
ever a rule applies only within a particular State, a
second (identical) docket shall be established in the
appropriate regional office of the Environmental Protec-
tion Agency.
(3) In the case of nny rule to which this subsection ap-
plies, notice of proposed rulemaking shall be published
in the Federal Register, as provided under section 553 (b)
of title 5. United States Code, shall l>e accompanied by a
statement of its l>asis and purpose and shall specify the
period available .for public comment (hereinafter re-
ferred to as the "comment period''). The notice of pro-
posed mlemakinff shall also state the docket number, the
location or location"; of the docket, and the times it will
lie open to public inspection. The statement of basis and
purpose shall include a summary of—
(A) the factual data on'which the proposed rule
is based;
151
(B) the methodology used in obtaining the data
and in analyzing the data; and
(C) the major legal interpretations and policy
considerations underlying the proposed rule.
The statement shall also set forth or summarize and pro-
vide a reference to any pertinent findings, recommenda-
tions, and comments by the Scientific Review Committee
established under section 109(d) and the National Aca-
demy of Sciences, and, if the proposal differs in any im-
portant respect from any of these recommendations, an
explanation of the reasons for such differences. All data,
information, and documents referred to in this para-
graph on which the proposed rule relies shall be included
in the docket on the date of publication of the proposed
rule.
(4) (A) The rulemaking docket required under para-
graph (2) shall be open for inspection by the public at
reasonable times specified in the notice of proposed rule-
making. Any person may copy documents contained in
the docket. 'The Administrator shall provide copying
facilities which may be used at the expense of the person
seeking copies, but 'the Administrator may waive or re-
duce such expenses in such instances as the public interest
requires. Any person may request copies by mail if the
person pays the expenses, including personnel costs to do
the copying.
(B) (i) Promptly upon receipt by the agency, all writ-
ten comments and documentary information on the pro-
posed rule received from any person for inclusion in the
docket during the comment period shall be placed in the
docket. The transcript of public hearings, if any. on the
proposed rule shall also be included in the docket
promptly upon receipt from the person who transcribed
such hearings. All documents which become available
after the proposed rule has been published and which
the Administrator determines are of central relevance
to the rulemaking shall be placed in the docket as soon
as possible after their availability.
(ii) The drafts of proposed rules submitted by the
Administrator to the Office of Management and Budget
for any intcragcncv review process prior to proposal of
any such rule, all documents accompanying such drafts.
and all written comments thereon by other agencies nud
all written responses to mch wiittcn comment's by the
Administrator shall be placed in the docket no later than
the date of proposal of the rule. The drafts of the final
rule submitted for such review process piior to promul-
gation and all Mich written comments thereon, all docu-
ments accompanying such drafts, and written responses
thereto '-hall lie placed in the docket no later than the date
of promulgation.
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(5) In promulgating a rule to which this subsection
applies (i) the Administrator shall allow any person to
submit written comments, data, or documentary informa-
tion; (ii) the Administrator shall give interested persons
an opportunity for the oral presentation of data, views,
or arguments, in addition to an opportunity to make writ-
ten submissions; (iii) a transcript shall be kept of any
oral presentation; and (iv) the Administrator shall keep
the record of such proceeding open for thirty days after
completion of the proceeding to provide an opportunity
for submission of rubuttal and supplementary informa-
tion.
(6) (A) The promulgated rule shall be accompanied by
(i) a statement of basis and purpose like that referred to
in paragraph (3) with respect to a proposed rule and
(ii) an explanation of the reasons for any major changes
in the promulgated rule from the proposed rule.
(B) The promulgated rule shall also be accompanied
by a response to each of the significant comments, criti-
cisms, and new data submitted in written or oral presenta-
tions during the comment period.
(C) The promulgated rule may not be based (in part
or whole) on any information or data which has not been
placed in the docket as of the date of such promulgation.
(7) (A) The record for judicial review shall consist
exclusively of the material referred to in paragraph (3),
clause (i) of paragraph (4) (B),andsubparagraphs (A)
and (B) of paragraph (6).
(B) Only an objection to a rule or procedure which
was raised with reasonable specificity during the period
for public comment (including any public hearing) may
be raised during judicial review. If the person raising an
objection can demonstrate to the Administrator that it
was impracticable to raise such objection within such
time or if the grounds for such objection arose after the
period for public comment (but within the time specified
for judicial review) and if such objection is of central
relevance to the outcome of the rule, the Administrator
shall convene a proceeding for reconsideration of the rule
and provide the same procedural rights as would have
been afforded had the information been available at the
time the rule was proposed. If the Administrator refuses
to convene such a proceeding, such person may sock re-
view of such refusal in the United States court of appeals
for the appropriate circuit (as provided in subsection
(b)). Such reconsideration shall not postpone the effec-
tiveness of the rule. The effectiveness of the rule may be
stayed during such reconsideration, however, by the Ad-
ministrator or the court for a period not to exceed three
months.
(8) The sole forum for challenging procedural deter-
minations made by the Administrator under this sub-
section shnll be in the United States court of appeals for
153
the appropriate circuit (as provided in subsection (b))
at the time of the substantive review of the rule. Xo
interlocutory appeals shall be permitted with respect to
such procedural determinations. In reviewing alleged
procedural errors, the court may invalidate the rule only
if the errors were so serious and related to matters of such
central relevance to the rule that there is a substantial
likelihood that the rule would have been significantly
changed if such errors had not been made.
(9) In the case of review of any action of the Admin-
istrator to which this subsection applies, the court may
reverse any such action found to be—
(A) arbitrary, capricious, an abuse of discretion,
or otherwise not in accordance with law;
(B) contrary to constitutional right, power, privi-
lege, or immunity;
(C) in excess of statutory jurisdiction, authority,
or limitations, or short of statutory right; or
(D) without observance of procedure required by
law. if (i) such failure to observe such procedure is
arbitrary or capricious, (ii) the requirement of para-
graph (7) (B) has been met, and (iii) the condition
of tne last sentence of paragraph (8) is met.
(10) Each statutory deadline for promulgation of rules
to which this subsection applies which requires promul-
gation less than six months after date of proposal may be
extended to not more than six months after date of pro-
posal by the Administrator upon a determination that
such extension is necessary to afford the public, and the
agency, adequate opportunity to carry out the purposes
of this subsection.
(11) The requirements of this subsection shall take
effect with respect to any rule the proposal of which oc-
curs after ninety days after the date of enactment of the
Clean Air Act Amendments of 3977.
(o) Xothing in this Act shall be construed to authorize
judicial review of regulations or orders of the Adminis-
trator under this Act, except as provided in this section.
(f) In any judicial proceeding under this section, the
court may award costs of litigation (including reason-
able attorney and expert witness fees) whenever it deter-
mines that such award is appropriate.
(gr) In any action respecting the promulgation of reg-
ulations under section 120 or the administration or en-
forcement of section 120 no court shall grant any stay,
injunctive, or similar relief before final judgment by such
court in such action.
MANDATORY LICENSING
SEC. 308. Whenever the Attorney General determines
upon application of the Administrator—
(1) that-
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(A) in the implementation of the require-
ments of section 111, 112, or 202 of this Act, a
right under any United States letters patent,
which is being used or intended for public or
commercial use and not otherwise reasonably
available, is necessary to enable any person re-
quired to comply with such limitation to so
comply, and
(B) there are no reasonable alternative meth-
ods to accomplish such purpose, and
(2J that the unavailability of such right may re-
sult in a substantial lessening of competition or ten-
dency to create a monopoly in any line of commerce
in any section of the country,
the Attorney General may so certify to a district court
of the United States, which may issue an order requir-
ing the person who owns such patent to license it on such
reasonable terms and conditions as the court, after hear-
ing, may determine. Such certification may be made to
the district court for the district in which the person
owning the patent resides, does business, or is found.
POLICY REVIEW
SEC. 309. (a) The Administrator shall review and
comment in writing on the environmental impact of any
matter relating to duties and responsibilities granted
pursuant to this Act or other provisions of the authority
of the Administrator, contained in any (1) legislation
proposed by any Federal department or agency, (2)
newly authorized Federal projects for construction and
any major Federal agency action (other than a project
for construction) to which section 102(2) (C) of Public
Law 91-190 applies, and (3) proposed regulations pub-
lished by any department or agency of the. Federal Gov-
ernment. Such written comment shall be made public at
the conclusion of any such review.
(b) In the event the Administrator determines that
any such legislation, action, or regulation is unsatis-
factory from the standpoint of public health or welfare
or environmental quality, he shall publish his determina-
tion and the matter shall be referred to the Council on
Environmental Quality.
OTHER AtTHOnmr NOT AFFECTED
SEC. 310. (a) Except as provided in subsection (b) of
this section, this Act shall not be construed as sii]>erseding
or limiting the authorities and responsibilities, under
any other provision of law, of the Administrator or any
other Federal officer, department, or agency.
(b) Xo appropriation shall be authorized or mudc
under section 801. 311. or 314 of the Public Health Serv-
ice Act for any fiscal year after the fiscal year ending
155
June 30, 1964, for any purpose for which appropriations
may IK? made under authority of this Act.
11ECORDS AND AUDIT
SEC. 311. (a) Each recipient of assistance under this
Act shall keep such records as the Administrator shall
prescribe, including records which fully disclose the,
amount and disposition by such recipient of the proceeds
of such assistance, the total cost of the project or under-
taking in connection with which such assistance is given
or used, and the amount of that portion of the cost of the
project or undertaking supplied 'by other sources, and
such other records us will facilitate an effective audit.
(b) The Administrator and the Comptroller General
of the United States, or any of their duly authorized
representatives, shall have access for the purpose of audit
and examinations to any books, documents, papers, and
records of the recipients that are pertinent to the grants
received under this Act.
COMPREHENSIVE ECONOMIC COST STUDIES AND STUDIES OF
COST-EFFECTIVENESS ANALYSIS
SEC. 312. (a) In order to provide the basis for evalu-
ating programs authorized oy this act and the devel-
opment of new programs and to furnish the Congress
with the information necessary for authorization of
appropriations by fiscal years beginning after June 30,
1969, the Administrator, m cooperation with State, inter-
state, and local air pollution control agencies, shall make
a detailed estimate of the cost of carrying out the pro-
visions of this Act; a comprehensive study of the cost of
program implementation by affected units of govern-
ment; and a comprehensive study of the economic im-
pact o.f air quality standards on the Nation's industries,
communities, and other contributing sources of pollu-
tion, including an analysis of the national requirements
for and the cost of controlling emissions to attain such
standards of air quality as may be established pursuant
to this Act or applicable State law. The Administrator
shall submit such detailed estimate and the results of
such comprehensive study of cost for (lie five-year period
beginning July 1. 19G9," and the results of'such other
studies, to the Congress not Inter than January 10. 1009.
nnd shall submit a reevaluation of such estimate and
studies annually thereafter.
(b) The Administrator shall also make a complete
investigation and study to determine (1) the need for
additional trained State and local pei-sonnel to carry
out programs assisted pursuant to this Act and other
programs for the same purpose as this Act; (2) moans
of using existing Federal training programs to train such
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personnel; and (3) the need for additional trained per-
sonnel to develop, operate and maintain those pollution
control facilities designed and installed to implement air
quality standards. He shall report the results of such
investigation and study to the President and the Con-
gress not later than July 1,1969.
(c) Not later than January 1,1979, the Administrator
shall study the possibility of increased use of cost-effec-
tiveness analyses in devising strategies for the control of
air pollution and shall report its recommendations to the
Congress, including any recommendations for revisions
in any provision of this Act. Such study shall also include
an analysis and report to Congress concerning whether
or not existing air pollution control strategies are ade-
quate to achieve the purposes of this Act
ADDITIONAL REPORTS TO CONGRESS
SEC. 313. Not later than six months after the effective
date of this section and not later than January 10 of each
calendar year beginning after such date, the Administra-
tor shall report to the Congress on measures taken to-
ward implementing the purpose and intent of this Act
including, but not limited to, (1) the progress and prob-
lems associated with control of automotive exhaust emis-
sions and the research efforts related thereto; (2) the
development of air quality criteria and recommended
emission control requirements; (3) the status of enforce-
ment actions taken pursuant to this Act; (4) the status
of State ambient air standards setting, including such
plans for implementation and enforcement as have been
developed; (5) the extent of development and expansion
of air pollution monitoring systems: (6) progress and
problems related to development of new and improved
control techniques; (7) the development of quantitative
and qualitative instrumentation to monitor emissions
and air quality; (8) standards set or under consideration
pursuant to title H of this Act; (9) the status of State,
interstate, and local pollution control programs estab-
lished pursuant to and assisted by this Act; (10) the
reports and recommendations made by the President's
Air Quality Advisory Board; and (11) (A) the status
of plan provisions developed by States as required under
section 110(a) (2) (F) M, and an accounting of States
failing to develop suitable plans; (B) the number of
annual incidents of air pollution reaching or exceeding
levels determined to present an imminent and substantial
endangerment to health (within the meaning of section
303) by location, date, pollution source, and the duration
of the emergency: (C) measures taken pursuant to sec-
tion 110 (a) (2) (F) (v), and an evaluation of their effec-
tiveness in reducing pollution; and (D) an accounting
of those instances in which an air pollution alert, warn-
157
ing, or emergency is declared as required under regula-
tions of the Administrator and in which no action is
taken by either the Administrator. State, or local officials,
together with an explanation for the failure to take
action.
LABOR STANDARDS
SEC. 314. The Administrator shall take such action as
may be necessary to insure that all laborers and mechan-
ics employed by contractors or subcontractors on projects
assisted under this Act shall be paid wages at rates not
less than those prevailing for the same type of work on
similar construction in the locality as determined by the
Secretary of Labor, in accordance with the Act of March
3,1931, as amended, known as the Davis-Bacon Act (46
Stat. 1494; 40 U.S.C. 276a-276a-5). The Secretary of
Labor shall have, with respect to the labor standards
specified in this subsection, the authority and functions
set forth in Beorganization Plan Numbered 14 of 1950
(15 F.R. 3176; 64 Stat. 1267) and section 2 of the Act of
June 13,1934, as amended (48 Stat. 948; 40 U.S.C. 276c).
SEPARABILITY
SEC. 315. If any provision of this Act, or the appli-
cation of any provision of this Act to any person or
circumstance, is held invalid, the application of such pro-
vision to other persons or circumstances, and the re-
mainder of this Act, shall not be affected thereby.
SEWAGE TREATMENT GRANTS
SEC. 316. (a) No grant which the Administrator is au-
thorized to make to any applicant for construction of
sewage treatment works in any area in any State may be
withheld, conditioned, or restricted by the Administra-
tor on the basis of any requirement of this Act except as
provided in subsection (b).
(b) The Administrator may withhold, condition, or re-
strict the making of any grant for construction referred
to in subsection (a) only if he determines that—
(1) such treatment works will not comply with
applicable standards under section 111 or 112,
(2) the State does not have in effect, or is not car-
rying out, a State implementation plan approved
by the Administrator which expressly quantifies and
provides for the increase in emissions of each air
pollutant (from stationary and mobile sources in
any area to which either part C or part D of title I
applies for such pollutant) which increase may rea-
sonably be anticipated to result directly or indirectly
from the new- sewage treatment capacity which
would be created by such construction.
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(3) the construction of such treatment works
would create new sewage treatment capacity which—
(A) may reasonably be anticipated to cause
or contribute to, directly or indirectly, an in-
crease in emissions of any air pollutant in ex-
cess of the increase provided for under the pro-
visions referred to in paragraph (2) for any
such area, or
(B) would otherwise not be in conformity
with the applicable implementation plan, or
(4) such increase in emissions would interfere
with, or be inconsistent with, the applicable imple-
mentation plan for any other State.
In the case of construction of a treatment works which
would result, directly or indirectly, in an increase in emis-
sions of any air pollutant from stationary and mobile
sources in an area to which part D of title I applies, the
quantification of emissions referred to in paragraph (2)
snail include the emissions of any such pollutant result-
ing directly or indirectly from areawide and nonmajor
stationary source growth (mobile and stationary) for
each such area.
(c) Xothing in this section shall be construed to amend
or alter any provision of the National Environmental
Policy Act or to affect any determination as to whether
or not die requirements of such Act have been met in the
case of the construction of any sewage treatment works.
ECONOMIC IMPACT ASSESSMENT
SEC. 317. (a) This section applies to action of the
Administrator is promulgating or revising—
(1) any new source standard of performance
under section lll(b),
(2) any regulation under section lll(d),
(3) any regulation under part B of title I (relat-
ing to ozone and stratosphere protection),
(4) any regulation under part C of title I (relat-
ing to prevention of significant deterioration of air
quality),
(5) any regulation establishing emission stand-
ards under section 202 and any other regulation pro-
mulgated under that section,
(6) any regulation controlling or prohibiting any
fuel or fuel additive under section 211(c), and
(7) anj- aircraft emission standard under section
231.
Nothing in this section shrill apply to any standard or
regulation described in paragraphs (1) through (7) of
this suhsrciton unless the notice of proposed rulcmaking
in connection with such standard or regulation is pub-
lished in the Federal Register after the date ninety days
after the date of enactment of this section. In the case of
159
revisions of such standards or regulations, this section
shall apply only to revisions which the Administrator
determines to he substantial revisions.
(b) Before publication of notice of proposed mlcmak-
ing with respect to any standard or regulation to which
this section applies, the Administrator shall prepare an
economic impact assessment respecting such standard or
regulation. Such assessment shall be included in the (lock-
et required under section 307(d) (2) and shall be avail-
able to the public as provided in section 307(d)(4).
Xotice of proposed rulemakinf* shall include notice of
siu-h availability together with an explanation of the
extent and manner in which the Administrator has con-
sidered the analysis contained in such economic impact
assessment in proposing the action. The Administrator
shall also provide such an explanation in his notice of
promulgation of anv regulation or standard referred to
in subsection (a). Each such explanation shall be part
of the statements of basis and purpose required under
sections3()7(d) (3) and307(d) (6).
(c) Subject to subsection (d), the assessment required
under this section with respect to any standard or regu-
lation shall contain an analysis of—
(1) the costs of compliance with any such stand-
ard or regulation, including extent to which the
costs of compliance will vary depending on (A) the
effective date of the standard or regulation, and (B)
the development of less expensive, more efficient
means or methods of compliance with the standard
or regulation;
(2) the potential inflationary or recessionary ef-
fects of the standard or regulation;
(3) the effects on competition of the standard or
regulation with respect to small business;
(4) the effects of the standard or regulation on
consumer costs; and
(a) the effects of the standard or regulation on
energy use.
Xothing in this section shall be construed to provide that
the analysis of the factors specified in this subsection
affects or alters the factors which the Administrator is
required to consider in taking any action referred to in
subsection (a).
(d) The assessment, required under this section shall be
as extensive as practicable, in the judgment of the Admin-
istrator taking into account the time and resources avail-
able to the Environmental Protection Agency and other
duties and authorities which the Administrator is re-
quired to carry out under this Act.
(e) Xothing in this section shall be con.-tiued—
(1) to alter the basis on which a standard or regu-
lation is promulgated under this Act;
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(2) to preclude the Administrator from carrying
out his responsibility under this Act to protect pub-
lic health and welfare; or
(3) to authorize or require any judicial review of
any such standard or regulation, or any stay or in-
junction of the proposal, promulgation, or effective-
ness of such standard or regulation on the basis of
failure to comply with this section.
(f) The requirements imposed on the Administrator
under this section shall be treated as nondiscretionary
duties for purposes of section 3
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162
dor <-ection 109(d) who is subject to. ami knowingly vio-
late?, this section or any regulation Untied theicunder,
shall he fined not more than £2..)00 or imprisoned not
more than one year, or both.
(f) Xothing in this section shall be ronstiucd to affect
or impair any other Federal statutory requirements re-
specting disclosure or conflict of interest applicable to
the Environmental Protection Agency. Subsections (c)
and (d) of this section shall not apply after the effective
date of any such requirements re-pert ing conflicts of in-
terest which arc generally applicable to departments,
agencies, and instrumentalities of the United States.
AIH QUALITY MOXITOIil-NO
SEC. 319. Xot later than one year after the date of en-
actment of the Clean Air Act Amendments of 1977 and
after notice and opportunity for public hearing, the Ad-
ministrator shall promulgate regulations establishing an
air quality monitoring system throughout the United
States which—
(1) utilizes uniform air quality monitoring cri-
teria and methodology and measures sucli air quality
according to a uniform air quality index,
(2) provides for air quality monitoring stations
in major urban areas and other appropriate areas
throughout the United State- to provide monitoring
such as will supplement (but not duplicate) air
quality monitoring carried out by the States re-
quired"^ under any applicable implementation plan,
(3) provides for daily analysis and reporting of
air quality bated upon such uniform air quality in-
dex, and
(i) provides for recordkeeping with respect to
such monitoring data and for periodic analysis and
reporting to the general public by the Administrator
with respect to air qualitr based upon such data.
The operation of such air quality monitoring system may
be carried out by the Administrator or by such other de-
partments, agencies, or entities of the Federal Govern-
ment (including the Xational Weather Service) as the
President may deem appropriate. Any air quality moni-
toring system required under any applicable implementa-
tion plan under section 110 shall, as soon as practicable
following promulgation of regulations under this sec-
tion, utilize the standard criteria and methodology, and
measure air quality according to the standard index, es-
tablished under such regulations.
STANDARDIZED AIR QUALITY MODELING
SEC. 320. (a) Xot later than six months after the date
of the enactment of the Clean Air Act Amendments of
163
1977, and at least every three years thereafter, the Ad-
ministrator .shall conduct a conference on air quality
modeling. In conducting such conference, special atten-
tion shall be given to appropriate modeling necessary for
carrying out part C of title I (relating to prevention of
significant deterioration of air quality). '
(b) The conference conducted under this section shall
provide for participation by the Xational Academy of
Sciences, representatives of State and local air pollution
control agencieSj and appropriate Federal agencies, in-
cluding the National Science Foundation; the Xational
Oceanic and Atmospheric Administration, and the Xa-
tional Bureau of Standards.
(c) Interested persons shall be permitted to submit
wiitten comments and a verbatim transcript of the con-
ference proceedings shall be maintained.
(d) The comments submitted and the transcript main-
tained pursuant to subsection (c) shall be included in the
docket required to be established for purposes of pro-
mulgating or revising any regulation relating to air qual-
ity modeling under part C of title I.
EMPLOYMENT EFFECTS
SEC. 321. (a) The Administrator shall conduct con-
tinuing evaluations of potential loss or shifts of employ-
ment which may result from the administration or en-
forcement of the provision of this Act and applicable
implementation plans, including: where appropriate, in-
vestigating threatened plant clo-ures or reductions in
employment allegedly resulting from such administra-
tion or enforcement.
(b) Any employee, or any representative of such em-
ployee, who is discharged or laid off. threatened with dis-
charge or layoff, or whose employment is otherwise ad-
versely affected or threatened to be adversely affected
because of the alleged results of any requirement im-
posed or proposed to be imposed under this Act. includ-
ing any requirement applicable to Federal facilities and
any requirement imposed bv a State or political sub-
division thereof, mav request the Administratoi to con-
duct a full investigation of the matter. Any such request
shall be reduced to wi iting, shall set forth with reason-
able particularity the grounds fot the request, and shall
lie signed by Hie employee, or lepresentative of such
employee, making the request. The Adminictrator shall
thereupon in\c-ti«rate the matter and. :it the request of
anv part r, shall hold public he:ninff« on not le« than
five days' notice. At such heatings, the Administrator
shall require the parties, including the employer in-
volved, to ptcscnt infoi Miation relating to the actual or
potential effect of such miuircmcnt- on cmplovment and
the detailed lensons 01 justification theiefor. If the Ad-
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ministrator determines that there are no reasonable
grounds for conducting a public hearing he shall notify
(in writing) the party requesting such hearing of such a
determination and the reasons therefor. If the Admin-
istrator does convene such a hearing, the hearing shall
be on the record. Upon receiving the report of such inves-
tigation, the Administrator shall make findings of fact
as to the effect of such requirements o_n employment and
on the alleged actual or potential discharge, layoff, or
other adverse effect on employment, and shall make such
recommendations as he deems appropriate. Such report,
findings, and recommendations shall be available to the
public.
(c) In connection with any investigation or public
hearing conducted under subsection (b) of Hiis section
or as authorized in section 119 (relating to primary non-
ferrous smelter orders), the Administrator may issue sub-
penas for the attendance and testimony of witnesses and
Uie production of revelant papers, books and documents,
and he may administer oaths. Except for emission data,
upon a showing satisfactory to the Administrator by such
owner or operator that such papers, books, documents, or
information or particular part thereof, if made public,
would divulge trade secrets or secret processes of such
owner, or operator, the Administrator shall consider such
record, report, or information or particular portion
thereof confidential in accordance with the purposes of
section 1905 of title 18 of the United States Code, except
that such paper, book, document, or information may be
disclosed to other officers, employees, or authorized rep-
resentatives of the United States concerned with carry-
ing out this Act, or when relevant in any proceeding un-
der this Act. Witnesses summoned shall be paid the same
fees and mileage that are paid witnesses in the courts of
the United States. In cases of contumacy or refusal to
obey a subpena served upon any person under this sub-
paragraph, the district court of the United States for any
district in which such person is found or resides or trans-
acts business, upon application by the United States and
after notice to such person, shall have jurisdiction to issue
an order requiring such person to appear and give testi-
mony before the Administrator, to appear and produce
papers, books, and documents before the Administrator,
or both, and any failure to obey such order of the court
may be punished by such court as a contempt thereof.
(d) Xothing in this section shall be construed to re-
quire or authorize the Administrator, the States, or polit-
ical subdivisions thereof, to modify or withdraw any
requirement imposed or proposed to be imposed under
this Act.
EMPLOYEE PROTECTION
SEC. 322. (a) No employer may discharge any em-
ployee or otherwise discriminate against any employee
165
•with respect to his compensation, terms, conditions, or
privileges of employment because the employee (or any
person acting pursuant to a request of the employee)—
(1) commenced, caused to be commenced, or is
about to commence or cause to be commenced a pro-
ceeding under this Act or a proceeding for the ad-
ministration or enforcement of any requirement
imposed under this Act or under any applicable im-
plementation plan.
(2) testified or is about to testify in any such pro-
ceeding, or
(3) assisted or participated or is about to assist or
participate in any manner in such a proceeding or in
any other action to carry out the purposes of this Act.
(b) (1) Any employee who believes that he has been
discharged or otherwise discriminated against by any
person in violation of subsection (a) may, within thirty
days after such violation occurs, file (or have any person
file on his behalf) a complaint with the Secretary of
Labor (hereinafter in this subsection referred to as the
'Secretary") alleging such discharge or discrimination.
Upon receipt of such a complaint, the Secretary shall
notify the person named in the complaint of the filing of
the complaint
(2) (A) Upon receipt of a complaint filed under para-
graph (1), the Secretary shall conduct an investigation
of the violation alleged in the complaint. Within thirty
days of the receipt of such complaint, the Secretary shall
complete such investigation and shall notify in writing
the complainant (and any person acting in his behalf)
and the person alleged to have committed such violation
of the results of the investigation conducted pursuant to
this subparagraph. AVithin ninety days of the receipt of
such complaint the Secretary shall, unless the proceeding
on the complaint is terminated by the Secretary on the
basis of a settlement entered into by the Secretary and the
person alleged to have committed such violation, issue an
order either providing the relief prescribed by subpara-
graph (B) or denying the complaint. An order of the
Secretary shall be made on the record after notice and
opportunity for public hearing. The Secretary may not
enter into a settlement terminating a proceeding on a
complaint without the participation and consent of the
complainant.
(B) If. in response to a complaint filed under para-
graph (1), the Secretary determines that a violation of
subsection (a) has occurred, the Secretary shall order the
person who committed such violation to (i) take affirma-
tive action to abate the violation, and (ii) reinstate the
complainant to his former position together with the
compensation (including back pay), terms, conditions,
and privileges of his employment, and the Secretary may
Air Compliance Inspection Manual
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order such person to provide compensatory damages to
the complainant. If an order is issued under this para-
graph, tlie Secretary, at the request of the complainant,
snail assess against the person against whom the order is
issued a sum equal to tne aggregate amount of all costs
and expenses (including attorneys' and expert witness
fees) reasonably incurred, as determined by the Secre-
tary, by the complainant for, or in connection with, the
bringing of the complaint upon which the order was
issued.
(c) (1) Any person adversely affected or aggrieved by
an order issued under subsection (b) may obtain review
of the order in the United States court of appeals for
the circuit in which the violation, with respect to which
the order was issued, allegedly occurred. The petition for
review must be filed within sixty days from the issuance
of the Secretary's order. Review shall conform to chapter
7 of title 5 of the United States Code. The commence-
ment of proceedings under this subparagraph shall not,
unless ordered by the court, operate as a stay of the Sec-
retary's order.
(2) An order of the Secretary with respect to which
review could have been obtained under paragraph (1)
shall not be subject to judicial review in any criminal or
other civil proceeding.
(d) Whenever a person has failed to comply with an
order issued under subsection (b) (2), the Secretary may
file a civil action in the United States district court for
the district in which the violation was found to occur
to enforce such order. In actions brought under this sub-
section, the district courts shall have jurisdiction to grant
all appropriate relief including, but not limited to, in-
junctivc relief, compensatory, and exemplary damages.
(e) (1) Any person on whose behalf an order was issued
under paragraph (2) of subsection (b) may commence a
civil action against the person to whom such order was
issued to require compliance with such order. The appro-
priate United States district court shall have jurisdiction,
without regard to the amount in controversy or the citi-
zenship of the parties, to enforce such order.'
(2) The court, in issuing any final order under this sub-
section, may award costs of litigation (including reason-
able attorney and expert witness fees) to any party when-
ever the court determines such award is appropriate.
(f) Any nondiscrctionary duty imposed bv this section
shall be enforceable in a mandamus proceeding brought
under section 13G1 of title 28 of the United States Code.
(g) Subsection (a) shall not apply with respect to any
employee who, acting without direction from his em-
ployer (or the employer's agent), deliberately causes a
violation of any requirement of this Act.
167
NATIONAL COMMISSION ON AIH QUALITY
SEC. 323. (a) There is established a National Commis-
sion on Air Quality which shall study and report to the
Congress on—
(1) available alternatives, including enforcement
mechanisms to protect and enhance the quality of
the Nation's air resources so as to promote the public
health and welfare and to achieve the other purposes
of the Act, including achievement and maintenance
of national ambient air quality standards and in ac-
cordance with subsection (b) (2) of this section the
prevention of significant deterioration of air quality;
(2) the economic, technology, and environmental
consequences of achieving or not achieving the pur-
poses of this Act and programs authorized by it;
(3) the technological capability of achieving and
the economic, energy, and environmental and health
effects of achieving or not achieving required omis-
sion control levels for mobile sources of oxides of ni-
trogen -in relation to and independent of regulation
of emissions of oxides of nitrogen from stationary
sources;
(4) air pollutants not presently regulated, which
pose or may in the future pose 'a threat to public
health or public welfare and options available to reg-
ulate emissions of such pollutants;
(5) the adequacy of research, development, and
demonstrations being carried out by Federal, State,
local, and nongovernmental entities to protect and
enhance air quality;
(6) the ability "of (including financial resources,
manpower, and statutory authority) Federal, State,
and local institutions to implement the purposes of
the Act;
(7) the extent to which the reduction of hydro-
carbon emissions is an adequate or appropriate
method to achieve primary standards for photo-
chemical oxidants. Such study shall include—
(A) a description and analysis of the various
pollutants which are commonly referred to as
"photochemical oxidants'' or chemical precurs-
ors to photochemical oxidants;
(B) an analysis of any pollutants or combina-
tion of pollutants which need to be reduced to
achieve nny photochemical oxidnnt standard,
and the amount of such reduction;
(C) the relationship between the reductions
of hydrocarbons, oxides of nitrogen, and any
other pollutants and the achievement of appli-
cable standards for photochemical oxidants;
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(D) the degree to which background or
natural sources and long-range transportation
of pollutants contribute to measured ambient
levels of photochemical oxidants;
(E) any other oxidant-related issues which
the Commission determines to be appropriate;
and
(8) (A) the special problems of small businesses
and government agencies in obtaining reductions of
emissions from existing sources in order to offset in-
creases in emissions from new sources for the pur-
poses of this Act; and
(B) alternative strategies for permitting, without
impeding the achievement of national ambient air
quality standards as expeditiously as possible, the
construction of new facilities and the modification
of existing facilities in air quality control regions
exceeding the national ambient air quality standard
for any pollutant regulated under the Act
The Commission's study and report under paragraph
(4) shall include analysis of the health effects of pollut-
ants which are derivates of oxides of nitrogen.
(b) (1) Studies and investigations conducted pursuant
to subsection (a) shall include the effects of existing or
proposed national ambient air quality standards on em-
ployment, energy, and the economy (including State and
focal), their relationship to objective scientific and medi-
cal data collected to determine their validity at existing
levels, as well as their other social and environmental
effects.
(2) The Commission shall, in carrying out the study
authorized under this section, give priority to a study of
the implementation of the provisions of part C of this
Act (relating to prevention of significant deterioration
of air quality) and its effects on the States and the Fed-
eral Government. In carrying out such study, the Com-
mission shall study, among other questions, the following:
(A) whether the provisions relating to the desig-
nation of, and protection of air quality in class I areas
under part C are appropriate to protect the air qual-
ity over lands of special national significance, includ-
ing recommendations for, and methods to (i) add to
or delete lands from such designation, and (ii) pro-
vide appropriate protection of the air quality over
such lands;
(B) whether the provisions of part C, including
the three-hour and twenty-four-hour increments, (i)
affect the location and size of major emitting facili-
ties, and (ii) whether such effects are in conflict or
consonance with other national policies regarding the
development of such facilities;
169
(C) whether the technology is available to control
emissions from the major emitting facilities which
are subject to regulation under part C, including an
analysis of the costs associated with that technology;
(1)) whether the exclusion of nonmajor emitting
sources from the regulatory framework under this
Act will affect the protection of air quality in class I
and class II regions designated under this Act;
(E) whether the increments of change of air qual-
ity under this Act are appropriate to prevent signifi-
cant deterioration of air quality in class I and class
II regions designated under part C of title I;
(F) whether the choice of predictive air quality
models and the assumptions of those models are ap-
propriate to protect air quality in the class I and
class II regions designated under part C of title I
for the pollutants subject to regulation under part
C;and
(G) the effects of such provisions on employment,
energy, the economy (including State and local), the
relationship of such policy to the protection of the
public health and welfare as well as other national
priorities such as economic growth and national de-
fense, and its other social and environmental effects.
(c) The Commission shall, as a part of any study con-
ducted under subsection (b) (2) of this section, specifi-
cally identify any loss or irretrievable commitment of
resources (taking into account feasibility), including
mineral, agricultural and water resources, as well as land
surface-use resources.
(d) Such Commission shall be composed of thirteen
members, including the chairman and the ranking minor-
ity member of the Senate Committee on Public Works
and the House Committee on Interstate and Foreign
Commence (or delegates of such chairmen or member ap-
pointed by them from among representatives of such
committees) and nine members of the public appointed
by the President. The chairman of the Commission shall
be elected from among the members thereof. Xot more
than one-third of the members of the Commission may
have any interest in any business or activity regulated
under this Act.
(e) The heads of the departments, agencies, and in-
strumentalities of the executive branch of the Federal
Government shall cooperate with the Commission in
carrying out the requirements of this section, and shall
furnish to the Commission such information as the Com-
mission deems necessary to carry out this section.
(f) A report, together with any appropriate recom-
mendations, shall be submitted to the Congress on the
results of the investigation and study concerning subsec-
tion (a) (3) of this section no later than March 1, 1978,
and the results of the investigation and study concern-
ing subsection (b) (2) of this section no later than two
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years after the date of enactment of the Clean Air Act
Amendments of 1977. A report, together with any appro-
priate recommendations, shall be submitted to the Con-
gress on the results of the investigation and study con-
cerning paragraphs (3) and (8) of subsection (a) of
this section no later than March 1, 1978, in order that
Congress may have this information in a timely fashion
if it deems further changes arc needed in the require-
ments for control of emissions of oxides of nitrogen un-
der this Act, and for other purposes. The Administrator
shall undertake to enter into appropriate arrangements
with the National Academy of Sciences to conduct a
study of the same matters required to be studied by the
Commission under subsection (b) (2) and to submit such
study to the Congress at the same time as required for
the report of the Commission concerning such subsection.
Funds shall be available in the same manner, and the
Administrator shall have the same authorities and duties
respecting such stud}', as provided in the case of the study
authorized pursuant to section 202(c).
(g) A report shall be submitted with regard to all
Commission studies and investigations other than those
referred to in subsection (f), together with any appro-
priate recommendations, not later than three years after
the date of enactment of this section. Upon submission of
such report or upon expiration of such three-year period,
whichever is sooner, the Commission shall cease to exist.
The members of the Commission who are not officers or
employees of the United States, while attending confer-
ences or meetings of the Commission or while otherwise
serving at the request of the Chairman shall be entitled
to receive compensation at a rate not in excess of the
maximum rate of pay for grade GS-18, as provided in
the General Schedule under section 5332 of title V of the
United States Code, including traveltime and while
away from their homes or regular places of business they
may be allowed travel expenses, including per diem in
lieu of subsistence as authorized by law (5 U.S.C. 73b-2)
for persons in the Government service employed
intermittently.
(j) In the conduct of the study, the Commission is
authorized to contract with nongovernmental entities
that are competent to perform research or investigations
in areas within the Commission's mandate, and to hold
public hearings, forums, and workshops to enable full
public participation. The Commission may contract with
nonprofit technical and scientific organizations, includ-
ing the National Academy of Sciences, for the purpose
of developing necessary technical information for the
study authorized by subjection (a) (7) of this section."
•This subsection was apparently incorrectly designated n« (J) Instead
of (h) b; section HIS of Public La» 1I3-B3 Sec al»o footnote 10, p 170
•The sentence "The Commission may appoint and fix the pay of such
Rtftff as It deems necessary" should appear here Instead of at the end of
section :!J4 Sec p. 170.
171
COST OF EMISSION CONTROL FOR CERTAIN VAPOR RECOVERY TO
I»E BORNE BY OWNER OF RETAIL OUTLET
SEC. 324. (a) The regulations under this Act applicable
to vapor recovery with respect to mobile source fuels at
retail outlets of such fuels shall provide that the cost of
procurement and installation of such vapor recovery shall
be borne by the owner of such outlet (as determined
under such regulations). Except as provided in subsec-
tion (b), such regulations shall provide that no lease of
a retail outlet by the owner thereof which is entered into
or renewed after the date of enactment of the Clean Air
Act Amendments of 1977 may provide for a payment by
the lessee of the cost of procurement and installation of
vapor recovery equipment. Such regulations shall also
provide that the cost of procurement and installation of
vapor recovery equipment may be recovered by the owner
of such outlet by means of price increases in the cost of
any product sold by such owner, notwithstanding any
provision of law.
(b) The regulations of the Administrator referred to
in subsection (a) shall permit a lease of a retail outlet to
provide for payment by the lessee of the cost of procure-
ment and installation of vapor recovery requirement over
a reasonable period (as determined in accordance with
such regulations), if the owner of such outlet does not
sell, trade in, or otherwise dispense any product at whole-
sale or retail at such outlet.
The Commission may appoint and fix the pay of such
staff as it deems necessary.'0
VAPOR RECOVERY FOR SMALL BUSINESS MARKETERS OF
PETROLEUM PRODUCTS
SEC. 325. (a) The regulations under this Act applicable
to vapor recovery from fueling of motor vehicles at retail
outlets of gasoline shall not apply to any outlet owned
by an independent small business marketer of gasoline
having monthly sales of less than 50,000 gallons. In the
case of any other outlet owned by an independent small
business marketer, such regulations shall provide, with
respect to independent feinall business marketers of gaso-
line, for a three-year phase-in period foi the installation
of such vapor recovery equipment at such outlet.-* under
which such marketers shall have—
(1) .'1,1 percent of such outlets in compliance at the
end of the first year during which such ivgulations
apply to such marketer,
(2) (>G percent at the end of such second year, and
(3) 100 percent at the end of the third year.
11 I
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172
(b) Nothing in subsection (a) shall be construed to
prohibit any State from adopting or enforcing, with re-
spect to independent small business marketers of gasoline
having monthly sales of less than 50,000 gallons, any
vapor recovery requirements for mobile source fuels at
retail outlets. Any vapor recovery requirement which is
adopted by a State and submitted to the Administrator
as part of its implementation plan may be approved and
enforced by the Administrator as part of the applicable
implementation plan for that State.
(c) For purposes of this section, an independent small
business marketer of gasoline is a person engaged in the
marketing of gasoline who would be required to pay for
procurement and installation of vapor recovery equip-
ment under section 324 of this Act or under regulations
of the Administrator, unless such person—
(1)(A) is a refiner, or
(B) controls, is controlled by, or is under common
control with, a refiner.
(C) is otherwise directly or indirectly affiliated
(as determined under the regulations of the Admin-
istrator) with a refiner or with a person who controls,
is controlled by, or is under a common control with
a refiner (unless the sole affiliation referred to herein
is by means of a supply contract or an agreement or
contract to use a trademark, trade name, service
. mark, or other identifying symbol or name owned by
such refiner or any such person), or
(2) receives less than 50 percent of his annual in-
come from refining or marketing of gasoline.
For the purpose of this section, the term "refiner" shall
not include any refiner whose total refinery capacity (in-
cluding the refinery capacity of any person who controls,
is controlled by, or is under common control with, such
refiner) does not exceed 65.000 barrels per day. For pur-
poses of this section, "control" of a corporation means
ownership of more than 50 percent of its stock.
CONSTRUCTION OP CERTAIN CLAUSES
SEC. 326. The parenthetical cross references in any pro-
vision of this Act to other provisions of the Act, or other
provisions of law, where the words "relating to" or "per-
taining to" are used, are made only for convenience, and
shall be given no legal effect.
APPROPRIATIONS
SEC. 327. (a) There are authorized to be appropriated
to carry out this Act (other than provisions for which
amounts are authorized under subsection (b)), $200,000,-
000 for the fiscal year 1978 and for each of the three fiscal
years beginning thereafter.
173
(b) (1) There are authorized to be appropriated to
carry out section 175 beginning in fiscal year 1978, $75,-
000,000 to be available until expended.
(2) There are authorized to be appropriated for use in
carrying out section 323 (relating to National Commis-
sion on Air Quality), not to exceed $10,000,000 beginning
in fiscal year 19T8. For the study authorized under sec-
tion 323 there shall be made available by contract to the
National Commission on Air Quality from the appropri-
ation to the Environmental Protection Agency for fiscal
year 1977 the sum of $1,000,000.
(3) There are authorized to be appropriated to carry
out section 127 (relating to grants for public notification)
$4,000,000 for the fiscal year 1978 and each of the three
succeeding fiscal years.
(4) For purposes of section 103(a) (5), there are au-
thorized to be appropriated $7,500,000 for the fiscal year
1978 and each of the three fiscal years beginning after
the date of enactment of the Clean Air Act Amendments
of 1977.
(5) For the purpose of carrying out the provisions of
part B of title I relating to studies and reports, there are
authorized to be appropriated—
(A) to the National Aeronautics and Space Ad-
ministration, the National Science Foundation, and
the Department of State, such sums as may be neces-
sary for the fiscal year ending September 30, 1977,
and the fiscal year ending Septeniber 30,1978;
(B) to the Environmental Protection Agency,
$157.000,000 for fiscal year 1978; and
(C) to all other agencies such sums as may be
necessary.
(6) There are authorized to be appropriated for carry-
ing out research, development and demonstration under
sections 103 and 104 of this Act $120,000,000 for fiscal
year 1978.
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PROVISION'S OF PUBLIC LAW 95-95 WHICH
DO NOT AMKXD THE CLEAN AIR ACT
SEC. 101. (a) * * *
*****
(c) The Administrator of the Environmental Protec-
tion Agency shall consult with the House Committee on
Science and Technology on the environmental and atmos-
pheric research, development, and demonstration aspects
of this Act. In addition, the reports and studies required
by this Act that relate to research, development, and
demonstration isbues shall be transmitted to the Com-
mittee on Science and Technology at the same time they
are made available to other committees of the Congress.
*****
COMPLIANCE ORDERS (IXCLfDIXG COAL CONVERSION)
SEC. 112. (a) * * *
(b)(l) Section 119 of such Act is hereby repealed.
All references to such section 119 or subsections thereof
in section 2 of the Energy Supply and Environmental
'Coordination Act of 1974" (Public Law 93-319) or any
amendment thereto, or any subsequent enactment which
supersedes such Act. shall be construed to refer to sec-
tion 113(d) of the Clean Air Act and to paragraph (5)
thereof in particular. Any certification or notification
required to be given by the Administrator of the Envi-
ronmental Protection Agency \inder section 2 of the
Energy Supply and Environmental Coordination Act of
1974 or any amendment thereto, or any subsequent enact-
ment which supersedes such Act. shall be given only
when tho Governor of the State in which is located the
source to which the proposed order under section 113 (d)
(5) of the Clean Air Act is to be issued gives his prior
written concurrence.
(2) In the case of any maior stationary source to
which anv requirement is applicable under section 113
(d)(.">HB) of the Clean Air Act and for which certi-
fication is required under section 2 of the Enenrv Supply
and Environmental Coordination Act of 1974 or anv
amendment thereto, or any sul>=eqnent enactment which
(175)
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176
supersedes such Act, the Administrator of the Environ-
mental Protection Agency shall certify the date which
he determines is the earliest date that such source will
be able to comply with all such requirements. In the case
of any plant or installation which the Administrator of
the Environmental Protection Agency determines (after
consultation with the State) will not be subject to an
order under section 113(d) of the Clean Air Act and for
which certification is required under section 2 of the
Energy Supply and Environmental Coordination Act of
1974 or any amendment thereto, or any subsequent en-
actment which supersedes such Act, the Administrator
of the Environmental Protection Agency shall certify
the date which he determines is the earliest date that such
plant or installation will be able to burn coal in compli-
ance with all applicable emission limitations under the
implementation plan.
(3) Any certification required under section 2 of the
Energy Supply and Environmental Coordination Act of
1971 or any amendment thereto, or any subsequent enact-
ment which supersedes such Act, or under this subsection
may be provided in an order under section 113(d) of
the Clean Air Act
•UNREGULATED POLU7TAXTS
SEC. 120. (a) * • *
*****
(b) The Administrator of the Environmental Pro-
tection Agencv shall conduct a study, in conjunction with
other appropriate agencies, concerning the effect on the
public health and welfare of sulfates, radioactive pol-
lutants, cadmium, arsenic, and polycyclic organic mat-
ter which are present or may reasonably be anticipated
to occur in the ambient air. Such study shall include a
thorough investigation of how sulfates are formed and
how to protect public health and welfare from the in-
jurious effects, if any, of sulfates, cadmium, arsenic, and
polycyclic organic matter.
*****
PREVENTION OP SIGNIFICANT DETERIORATION
SEC. 127. (a) * • *
*****
(b) Within one year from the date of enactment of this
Act the Administrator shall report to the Congress on the
consequences of that portion of the definition of "major
emitting facility" under the amendment made by subsec-
tion (a) which applies to facilities with the potential to
emit two hundred and fifty tons per year or more. Such
study shall examine the type of facilities covered, the
air quality benefits of including such facilities, nnd the
administrative aspect of regulating such facilities.
177
(c) Not later than one year after the date of enactment
of this Act, the Administrator shall publish a guidance
document to assist the States in carrying out their func-
tions under part C of title I of the Clean Air Act (relat-
ing to prevention of significant deterioration of air qual-
ity) with respect to pollutants, other than sulfur oxides
and particulates, for which national ambient air quality
standards are promulgated. Such guidance document
shall include recommended strategies for controlling
photochemical oxidants on a regional or multistage basis
for the purpose of implementing part C and section 110
of such Act.
(d) Not later than two years after the date of enact-
ment of this Act, the Administrator shall complete a
study and report to the Congress on the progress made
in carrying out part C of title I of the -Clean Air Act
(relating to significant deterioration of air quality) and
the problems associated with carrying out such section,
including recommendations for legislative changes neces-
sary to implement strategies for controlling photochem-
ical oxidants on a regional or multistate basis.
NONATTAINMENT AREAS
SEC. 129. (a) (1) Before July 1, 1979, the interpreta-
tive regulation of the Administrator of the Environ-
mental Protection Agency published in 41 Federal Beg-
ister 55524-30, December 21, 1976, as may be modified
by rule of the Administrator, shall apply except that
the baseline to be used for determination of appropriate
emission offsets under such regulation shall be the ap-
plicable implementation plan of the State in effect at the
time of application for a permit by a proposed major
stationary source (within the meaning of section 302 of
the Clean Air Act).
(2) Before July 1, 1979, the requirements of the regu-
lation referred to in paragraph (1) shall be waived by
the Administrator with respect to any pollutant if he
determines that the State has—
(A) an inventory of emissions of the applicable
pollutant for each nonattainnient area (as defined
in section 171 of the Clean Air Act) that identifies
the type, quantity, nnd source of such pollutant so
as to provide information sufficient to demonstrate
that the requirements of subpnragraph (C) are being
met;
(B) an enforceable, permit program which—
(i) requires new or modified major stationary
sources to meet emission limitations at least as
stringent as required under the permit require-
ments referred to in paragraphs (2) and (3)
of section 173 of the Clean Air Act (relating
to lowest achievable emission rate and compli-
ance by other sources) nnd which assures coin-
Air Compliance Inspection Manual
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178
pliance with the annual reduction requirements
of subparagraph (C); and
(ii) requires existing sources to achieve such
reduction in emissions in the area as may be
obtained through the adoption, at a minimum
of reasonably available control technology, and
(C) a program wliich requires reductions in total
allowable emissions in the area prior to July 1,1079,
so as to provide for the same level of emission reduc-
tion as would result from the application of the
regulation referred to in paragraph (1).
The Administrator shall terminate such waiver if in
his judgment the reduction in emissions actually being
attained is less than the reduction on which the waiver
was conditioned pursuant to siibparagraph (C). or if the
Administrator determines that the State is no longer in
compliance with any requirement of this paragraph.
Upon application by the State, the Administrator may
reinstate a waiver terminated under the preceding sen-
tence if he is satisfied that such State is in compliance
with all requirements of this subsection.
(3) Operating permits may be issued to those appli-
cants who were properly granted construction permits,
in accordance with the law and applicable regulations
in effect at the time granted, for construction of a new
or modified source in areas exceeding national primary
air quality standards on or before the date of the enact-
ment of this Act if such construction permits were
granted prior to the date of the enactment of this Act
and the person issued any such permit is able to demon-
strate that the emissions from the source will be within
the limitations set forth in such construction permit.
*****
(c) Notwithstanding the requirements of section
406(d) (2) (relating to date required for submission of
certain implementation plan revisions), for purposes of
section 110(a){2) of the Clean Air Act each State in
which there is any nonattainmentarea (as defined in part
D of title I of the Clean Air Act) shall adopt and submit
an implementation plan revision which meets the require-
ments of section 110(a)(2) (I) and part Dof title I of the
Clean Air Act not later than January 1,1079. In the case
of any State for which a plan revision adopted and sub-
mitted before such date has made the demonstration re-
quired under section 172(a)(2) of the Clean Air Act
(respecting impossibility of attainment before 1983),
such State shall adopt and submit to the Administrator
a plan revision before Julv 1, 1082, which meets the re-
quirements of section 172 (b) and (c) of such Act.
179
STUDIES AND RESEARCH OBJECTIVES FOR OXIDES OF
NITROGEN*
SEC. 202. (a) The Administrator of the Environmental
Protection Agency shall conduct a study of the public
health implications of attaining an emission -tamlard
on oxides of nitrogen from light duty vehicles of 0.4 gram
per vehicle mile, the cost, and technological capability of
attaining such standard, and the need for such a -tamlard
to protect public health or welfare. The. Administrator
shall submit a report, of such study to the. Congress, to-
gether with recommendation!! not later than July 1,1S1SO.
*****
STUDY AND REPORT OF FUEL CONSUMPTION
SEC. 203. (a) Following each motor vehicle model
year, the Administrator of the Environmental Protection
Agency shall report to the Congress respecting the motor
vehicle fuel consumption associated with the standards
applicable for the immediately preceding model year.
(b) The Secretary of Transportation and the Secre-
tary of Energy shall each submit to Congress, as
promptly as practicable following submission by the Ad-
ministrator of the fuel consumption report referred to
in subsection («). separate reports respecting such fuel
consumption.
CARBON MONOXIDE INTRUSION INTO SUSTAINED USE
"VEHICLES
SEC. 220. (a) The Administrator, in conjunction with
the Secretary of Transportation, shall study the problem
of carbon monoxide intrusion into the passenger area of
sustained-use motor vehicles. Such study shall includij
an analysis of the sources and levels of carbon monoxide
in the passenger area of such vehicles and a determina-
tion of the effects of carbon monoxide upon the pas-
sengers. The study shall also review available methods of
monitoring and testing for the presence of carbon mon-
oxide and shall analyze the cost and effectiveness of
alternative method'- of monitoring and testincr. The study
shall analyze the cost and effectiveness of alternative
stratesries for attaining and maintaining acceptable levels
of carbon monoxide in the passenger area of Mich vehi-
cles. AVithin one year the Administrator shall report to
the Congress respecting the results of such study.
(b) For the pmpose of this section, the tenn ''MIS-
tnincd-use motor vehicle" means auy diesel or gasoline
fueled motor vehicle (whether liirht or heavy duty)
which, as determined by the Administrator (in i-onimic-
tion with the Secret an1), is normally used and occupied
for n sustained, continuous, or extensive period of time,
including bu->es. laxicsibs. and police vehicles.
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180
IXTEKAGEKCY COOPERATION ON PREVENTION OF ENVIRON-
MENTAL CANCER AND HEART AND LUNG DISEASE
SEC. 402. (a) Not later than three months after the
date of enactment of this section, there shall be estab-
lished a Task Force on Environmental Cancer and Heart
and Lung Disease (hereinafter referred to as the 'Task
Force'). The Task Force shall include representatives
of the Environmental Protection Agency, the National
Cancer Institute, the National Heart, Lung, and Blood
Institute, the National Institute of Occupational Safety
and Health, and the National Institute on Environmen-
tal Health Sciences, and shall be chaired by the Admin-
istrator (or his delegate).
(b) The Task Force shall—
(1) recommend a comprehensive research pro-
gram to determine and quantify the relationship be-
tween environmental pollution and human cancer
and heart and lung; disease:
(2) recommend comprehensive strategies to re-
duce or eliminate the risks of cancer or such other
diseases associated with environmental pollution;
(3) recommend research and such'other measures
as may be appropriate to prevent or reduce the in-
cidence of environmentally related cancer and heart
and lung diseases;
(4) coordinate research by, and stimulate coopera-
tion between, the Environmental Protection Agency,
the Department of Health, Education, and \Velfare,
and such other agencies as may be appropriate to
prevent environmentally related cancer and heart
and lung diseases: and
(5) report to Congress, not later than one rear
after the date of enactment of this section and an-
nually thereafter, on the problems and progress in
carrying out this section.
STUDIES
SEC. 403. (n.) Not later than eighteen months after
the date of the enactment of this Act, the Administrator
of the Environmental Protection Agency, in cooperation
with the National Academv of Sciences, snail stndr and
report to Congress on (1) the relntionsliip between the
size, weight, and chemical composition of suspended par-
ticulate matter and the nature nnd decree of the en-
dangerment to public health or welfare presented bv such
partieulate matter (especinlly with 7-espoct to fine par-
ticulate matter) and (2) the availability of technology
for controlling such partieulate matter.
(b) The Administrator of the Environmental Protec-
tion Agency shall conduct a study and report to the
Congress not later than January 1, 1079, on the effects
181
on public health and welfare of odors or odorous emis-
sions, the sources of such emissions, the technology or
other measures available for control of such emissions
and the costs of such technology or measures, and the
costs and benefits of alternative measures or strategies to
abate such emissions. Such report shall include an evalua-
tion of whether air quality criteria, or national ambient
air quality standards should be published under the Clean
Air Act for odors, and what other strategics or author-
ities under the Clean Air Act are available or appro-
priate for abating such emissions.
(c) (1) Not later than twelve months after the date of
enactment of this Act the Administrator of the Environ-
mental Protection Agency shall publish throughout the
United States a list of all known chemical contaminants
resulting from environmental pollution which have been
found in human tissue including blood, urine, breast
milk, and all other human tissue. Such list shall be pre-
pared for the United States and shall indicate the ap-
proximate number of cases, the range of levels found, and
the mean levels found.
(2) Not later than eighteen months after the date of
enactment of this Act the Administrator shall publish
in the same manner an explanation of what is known
about the manner in which the chemicals described in
paragraph (1) entered the environment and thereafter
human tissue.
(3) The Administrator, in consultation •with National
Institutes of Health, the National Center for Health
Statistics, and the National Center for Health Sen-ices
Research and Development, shall, if feasible, conduct an
epidemiological study to demonstrate the relationship
between levels of chemicals in the environment and in
human tissue. Such study shall be made in appropriate
regions or areas of the United States in order to deter-
mine any different results in such regions or areas. The
results of such study shall, as soon as practicable, be
reported to the appropriate committee of the Congress.
(d) The Administrator of the Environmental Protec-
tion Agency shall conduct a study of air quality in various
areas throughout the country including the gulf coast
region. Such study shall include analysis of liquid and
solid aerosols and other fine partioulate matter and the
contribution of such substances to visibility and public
health problems in such areas. For the purposes of this
study, the Administrator shall use. environmental health
experts from the National Institutes of Health and other
outside agencies and organizations.
(e)(l)' The Secretary of Labor, in consultation with
the Administrator, shall conduct a study of potential dis-
location of employees due, to implementation of laws ad-
ministered by the Administrator. Such study shall esti-
mate the number of employees so affected, identify cxist-
Air Compliance Inspection Manual
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182
ing sources of assistance available to such employees,
assess the adequacy of sucJh assistance, and recommend
additional adjustment measures, if justified.
(2) The Secretary shall submit to Congress the results
of the study conducted under paragraph (1) not more
than one year after the date of enactment of this section.
(f) The Administrator of the Environmental Protec-
tion Agency shall undertake to enter into appropriate
arrangements with the National Academy of Sciences to
conduct continuing comprehensive studies and investiga-
tions of the effects on public health and welfare of emis-
sions subject to section 202 (a) of the Clean Air Act
(including sulfur compounds) and Che technological
feasibility of meeting emission standards required to be
prescribed by the Administrator by section 202 (b) of
such Act. The Administrator shall report to the Congress
within six months of the date of enactment of this section
and each year thereafter regarding the status of the con-
tractual arrangements and conditions necessary to imple-
ment this paragraph.
(g) The Administrator of the Environmental Protec-
tion Agency shall conduct a study and report to Congress
by the date one year after the date of the enactment of
this section, on the emission of sulfur-bearing compounds
from motor vehicles and motor vehicle engines and air-
craft engines. Such study and report shall include but
not be limited to a renew of the effects of such emissions
on public health and welfare and an analysis of the costs
and benefits of alternatives to reduce or eliminate such
emissions (including desulfurization of fuel, short-term
allocation of low sulfur crude oil, technological devices
used in conjunction with current engine technologies,
alternative engine technologies, and other methods) as
may be required to achieve any proposed or promulgated
emission standards for sulfur compounds.
HAILHOAD EMISSION 6TUOT
SEC. 404. (a) The Administrator of the Environmental
Protection Agency shall conduct a study and investiga-
tion of emissions of air pollutants from railroad loco-
motives, locomotive engines, and secondary power sources
on railroad rolling stock, in order to determine—
(1) the extent to which such emissions affect air
quality in air quality control regions throughout the
Tnitod States,
(•2) the technological feasibility and the current
state of technology for controlling such emissions,
and
(3) the status and effect of current and proposed
State and local regulations affecting such emissions.
(b) Within one hundred and eighty days nfter com-
mencing such study and investigation, the Administrator
shall submit a report of such study and investigation,
183
together with recommendations for appropriate legisla-
tion, to the Senate Committee on Environment and Pub-
lic Works and the House Committee on Interstate and
Foreign Commerce.
STUDY AND KEFOKT COXCERXJXO ECONOMIC APPROACHES TO
CON'TKOLLING AIR POLLUTION
SEC. 405. (a) The Administrator, in conjunction with
the Council of Economic Advisors (hereinafter in this
section referred to as 'the Council'), shall undertake a
study and assessment of economic measures for the con-
trol of air pollution which could—
(1) strengthen the effectiveness of existing meth-
ods of controlling air pollution,
(2) provide incentives to abate air pollution to a
greater degree than is required by existing provi-
sions of the Clean Air Act (and regulations there-
under), and
(3) serve as the primary incentive for controlling
air pollution problems not addressed by any provi-
sion of the Clean Air Act (or any regulation there-
under).
(b) The study of measures referred to in paragraph
(1) of subsection (a) shall concentrate on (1) identifica-
tion of air pollution problems for which existing methods
of control are not effective because of economic incentives
to delay compliance and (2) formulation of economic
measures which could be taken with respect to each such
air pollution problem which would provide an incentive
to comply without interfering with such existing meth-
ods of control.
(c) The study of measures referred to in paragraph
(2) of subsection (a) shall concentrate on (1) identifica-
tion of air pollution problems for which existing methods
of control may not be sufficiently extensive to achieve all
desired environmental goals and (2) formulation of eco-
nomic measures for each such air pollution problem
which would provide additional incentives to reduce air
pollution without—
(A) interfering with the effectiveness of existing
methods of control, or
(B) creating problems similar to tlmse which pre-
vent alternative regulatory methods from being used
to reach such environmental goals.
(d) The study of the measures referred to in para-
graph (3) of subsection (n) shall concentrate on (1)
identification of air pollution problems for which no
existing methods of control exist. (•!) formulation of eco-
nomic measures to reduce Mich pollution, and (3) com-
parison of the environmental and economic impacts of
the economic measures with those of any alternative regu-
latory methods which can be identified.
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184
(e) In conducting the study under this section, a pre-
liminary screening should bo made of the problems re-
ferred to in subsections (b) (1), (c) (1), and (d) (1) and
economic measures should be formulated under subsec-
tions (b) (2), (c) (2), and (d) (2) in the most promising
cases, giving special attention to structural and admin-
istrative problems. In formulating any such measure
which provides for a charge, the appropriate level of the
charge should be determined, if possible, and the environ-
mental and economic impacts should be identified.
/ *\ Trr:ti.:« „„„ TOOr .f^,. the ,jate of enactment of
system of penalties ior sumumuj =>,
oxides of nitrogen and make recommendations regard-
ing the establishment of such a system. Such study shall
determine if such a system will effectively encourage the
development of more effective systems and technologies
for control of emissions of oxides of nitrogen for new
major emitting facilities, or existing major emitting facil-
ities, or both. In any case in which a proposed penalty
system is recommended by the Administrator, the report
should include—
(1) a recommendation respecting the appropriate
period during which such system of penalties should
apply, and the appropriate termination date or dates
for such system, if any, taking into account—
(A) the time at -which adequate technology
may reasonably be anticipated to be available to
control oxides of nitrogen for that category of
facilities,
(B) the degree to which such technology can
be expected to be used on such facilities, and
(C) .the Administrator's authorities to require
the use of such technology, and
(2) recommendations respecting the compilation
of records by facilities subject to such penalties for
purposes oi determining the applicability and
amount of such penalty.
(g) Not later than two years after the date of the
enactment of this section, the Administrator nnd the
Council shall conclude the study and assessment under
this section and submit a report containing the results
thereof to the President and to the Congress. Interim
reports on specific pollution problems and solutions rec-
ommended shall be made available to the President and
the Congress by the Administrator whenever available.
SAVING TROVISION; EFFECTIVE DATES
SEC. 406. (a) Xo suit, action, or other proceeding law-
fully commenced by or against the Administrator or any
185
other officer or employee of the United States in his offi-
cial capacity or in relation to the discharge of his official
duties under the Clean Air Act, as in effect immediately
prior to the date of enactment of this Act shall abate by
reason of the taking effect of the amendments made by
this Act The court may, on its own motion or that of
any party made at any time within twelve months after
such taking effect, allow the same to be maintained by
or against the Administrator or such officer or employee.
(b) All rules, regulations, orders, determinations, con-
tracts, certifications, authorizations, delegations, or other
actions duly issued, made, or taken by or pursuant to
the Clean Air Act as in effect immediately prior to the
dote of enactment of this Act, and pertaining to any
functions, powers, requirements, and duties under the
Clean Air Act, as in effect immediately prior to the date
of enactment of this Act, and not suspended by the
Administrator or the courts, shall continue in full force
and effect after the date of enactment of this Act until
modified or rescinded in accordance with the Clean Air
Act as amended by this Act.
(c) Nothing in this Act nor any action taken pursu-
ant to this Act shall in any way affect any requirement
of an approved implementation plan in effect under sec-
tion 110 of the Clean Air Act or any other provision
of the Act in effect under the Clean Air Act before the
date of enactment of this section until modified or re-
scinded in accordance with the Clean Air Act as amended
by this Act.
(d) (1) Except as otherwise expressly provided, the
amendments made by this Act shall be effective on date
of enactment.
(2) Except as otherwise expressly provided, each
State required to revise its applicable implementation
plan by reason of any amendment made by this Act shall
adopt and submit to the Administrator of the Environ-
mental Protection Administration such plan revision
before the later of the date—
(A) one year after the date of enactment of this
Act. or
(B) nine months after the date of promulgation
by the Administrator of the Environmental Protec-
tion Administration of any reflations under an
amendment made by this Act which are necessary
for the approval of such plan revision.
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Special Report
Stationary Source Compliance
Series Publications
(As of June 1, 1985)
U.S. ENVIRONMENTAL PROTECTION AGENCY
Office of Air Quality Planning and Standards
Stationary Source Compliance Division
Washington DC 20460
June 1985
Air Compliance Inspection ManualB - 19/30/85
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The Stationary Source Compliance Series Publications are issued by the Environ-
mental Protection Agency to report technical data and information of interest
to a limited number of readers. Copies may be available - in limited quantities
- from the Library Services Office (MD-35), U.S. Environmental Protection Agency,
Research Triangle Park, North Carolina 27711; or, for a fee, are available from
the National Technical Information Service, 5285 Port Royal, Springfield, Virginia
22161.
Air Compliance Inspection Manual B - 2 9/30/85
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CONTENTS
Page
NEW SOURCE PERFORMANCE STANDARDS 1-2
NATIONAL EMISSION STANDARDS FOR HAZARDOUS AIR POLLUTANTS 3
VOC SOURCE INSPECTION AND COMPLIANCE TECHNOLOGY 4-5
INDUSTRIAL PROCESS CONTROL EQUIPMENT INSPECTION AND EVALUATION 6-7
EMISSION TESTING AND CONTINUOUS EMISSION MONITORING " 8-9
VISIBLE EMISSION OBSERVER CERTIFICATION AND PLUME OBSERVATION 10
CONTINUOUS COMPLIANCE INVESTIGATIONS AND STUDIES 11
EMISSIONS CONTROL TECHNOLOGY EVALUATION 12
SOURCE COMPLIANCE DATA MANAGEMENT AND ANALYSIS 13
COMPLIANCE MONITORING AND SURVEILLANCE PROGRAM DEVELOPMENT 14
NEW TECHNICAL REPORTS AND MANUALS TO BE PUBLISHED IN FY 1986 15
Air Compliance Inspection ManualB - 3 9/30/85
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NEW SOURCE PERFORMANCE STANDARDS
EPA No.
Title
340/1-75-001 Inspection Manual for Enforcement of New Source
PS-246087 Performance Standards - Portlant Cement Plants
340/1-75-002 (ibid) Fossil-Fired Steam Generators
PB-246087
340/1-75-003 (ibid) Municipal Incinerators
PB-245848
340/1-75-004 (ibid) Sewage Sludge Incinerators
PB-246112
340/1-76-003 (ibid) Asphalt Concrete Plants
PB-252264/A05
340/1-77-001 (ibid) Secondary Lead Smelters
PB-269958
340/1-77-002 (ibid) Basic Oxygen Process Furnaces
PB-270062
340/1-77-003 (ibid) Secondary Brass and Bronze Ingot Production Plants
PB-270083
340/1-77-005 (ibid) Volatile Hydrocarbon Storage
PB-270082
340/1-77-006 (ibid) Catalytic Cracking Regenerators
PB-270093
340/1-77-007 (ibid) Electric Arc Furnaces in the Steel Industry
PB-270099
340/1-77-008 (ibid) Sulfuric Acid Production (H2S04)
PB-277015
340/1-77-C09 (ibid) Phosphate Fertilizer Plants
PB-271931
340/1-77-019 (ibid) Fuel Gas-Fired Combustion Units (Refineries)
PB-271931
340/1-77-022 (ibid) Coal Preparation Plants
PB-27426/5
Air Compliance Inspection Manual
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9/30/85
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EPA No.
340/l-82-005a
340/l-82-005b
340/l-82-005c
340/l-83-005a
340/l-83-005b
340/1-84-009
340/1-84-013
340/l-S5-005a
340/l-85-005b
340/l-85-005c
NEW SOURCE PERFORMANCE STANDARDS (Continued)
Title
Compilation of Standards of Performance for New
Stationary Sources (As of May 1, 1982) - Volume 1:
Introduction, Summary and Standards
Compilation of Standards of Performance for New
Stationary Sources (As of May 1, 1982) - Volume 2:
Proposed Standards
Compilation of Standards of Performance for New
Stationary Sources (As of May 1, 1982) - Volume 3:
Full Text of All New and Revised Standards
Compilation of Standards of Performance for New
Stationary Sources (As of January 1, 1983) - Volume 1:
Introduction, Summary and Standards [Supplement
to 340/l-82-005a]
Compilation of Standards of Performance for New
Stationary Sources (As of January 1, 1983) - Volumes 2
and 3: Proposed Standards and Full Text of New and
Revised Standards [Combined Supplement to 340/l-82-005b
and 340/l-82-005c]
Compilation Guide of Procedural Decisions on EPA.
NSPS Reference Methods
Nitric Acid Plant Inspection Guide
Compilation of Standards of Performance for New
Stationary Sources - Volume 1: Introduction,
Summary and Standards (As of December
31,
1984)
Compilation of Standards of Performance for New
Stationary Sources - Volume 2: Proposed Standards
(As of December 31, 1984) - [Supplement to
340/l-82-005b and 340/l-83-005b]
Compilation of Standards for New Stationary Sources -
Volume 3: Full Text of New and Revised Standards
(As of December 31, 1984) [Supplement to 340/l-82-005c
and 340/l-83-005b)
Air Compliance Inspection Manual
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9/30/85
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NATIONAL EMISSION STANDARDS FOR HAZARDOUS AIR POLLUTANTS
EPA No.
S.22
340/1-78-010
PB-289778
340/1-82-006
340/1-85-006
Title
Demolition and Renovation Inspection Procedures
National Emission Standards for Hazardous Air Pollutants:
Inspection Manual for Vinyl Chloride
•
Compilation of National Emission Standards for Hazardous
Air Pollutants (As of August 1, 1982)
Compilation of National Emission Standards for Hazardous
Air Pollutants (As of December 31, 1985) - [Supplement
to 340/1-82-006]
Air Compliance Inspection Manual
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9/30/85
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VOC SOURCE INSPECTION AND COMPLIANCE TECHNOLOGY
EPA No.
340/1-77-010
PB-274140
340/1-77-013
PB-269884
340/1-77-014
PB-272444
340/1-78-010
PB-289778/A06
340/1-79-008
PB-125743/A04
340/1-79-110
340/1-80-005
PB-203565/A05
340/1-80-007
PB-186105
340/1-80-008
PB84-188861
340/1-80-010
PB84-186857
Title
Stage I Vapor Recovery and Small Bulk Plants in Washington, B.C.,
Baltimore, Houston, and Calves ton, Texas
Economic Analysis of Vapor Recovery System on Small Bulk Plants
Evaluation of Top Loading Vapor Balance Systems for Small Bulk
Plants
Inspection Manual for Vinyl Chloride
Inspection Manual for Enforcement of Reasonably Available Con-
trol Technology - Degreasers
Executive Summary; Enforcement Implications of RACT for the
Cutback Asphalt Industry
Enforceability Aspects for Factory Surface Coating of Flat
Wood Paneling
RACT Compliance Guidelines for Carbon Adsorbers on Perchloro-
ethylene Dry Cleaners
Petroleum Refinery Enforcement Manual
Summary of Available Portable VOC Detection Instruments
340/1-80-011 Techniques to Detect Failure in Carbon Adsorption Systems
340/1-80-012
PB84-186840
340/1-80-013
PB-190016
340/1-80-015
PB-189612
340/1-80-016
PB-189380
Inspection Manual for Control of Volatile Organic Emissions
From Gasoline Marketing Operations
Development of VOC Compliance Monitoring and Enforcement
Strategies: The Wholesale Gasoline Marketing Chain, Volumes
I and II
RACT for the Use of Cutback Asphalts in Road Construction and
Maintenance: Enforcement Implications and Equipment
Enforceability Aspects of RACT for the Chemical Synthesis
Pharmaceutical Industry
Air Compliance Inspection Manual
B - 7
9/30/85
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VOC SOURCE INSPECTION AND COMPLIANCE TECHNOLOGY
EPA_ No.
J4U/1-80-017 RACT Enforceability Aspects for Pneumatic Tire Manufacturing
FB-193622
340/1-85-001 Guideline for Surface Coating Calculations
Air Compliance Inspection ManualB - 89/30/85
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INDUSTRIAL PROCESS CONTROL EQUIPMENT INSPECTION AND EVALUATION
EPA No.
340/1-76-013
PB-275164
340/1-79-007
PB-299959/7
340/1-80-020
340/l-81-020a
340/l-81-020b
340/1-81-005
PB-149419/A06
340/1-82-007
PB-153551/A07
340/1-83-017
PB84-193705
340/1-83-019
PB84-102300
340/1-83-021
PB84-128339
340/1-83-022
PB85-149375
340/1-83-023
PB84-210129
340/1-83-025
PB85-180867
340/1-84-017
Title
Municipal Incinerator Enforcement Manual
Inspection Procedures for Evaluation of Electrostatic
Precipitator Control System Performance
Summary of Factors Affecting Compliance by Ferrous Foundries;
Volume I
Summary of Factors Affecting Compliance by Ferrous Foundries:
Volume II - Appendices A-E
Summary of Factors Affecting Compliance by Ferrous Foundries:
Volume II - Appendices A-F
Ferrous Foundry Inspection Guide
Portland Cement Plant Inspection Guide
Kraft Pulp Mill Inspection Guide
Envirotech/Cemico Pushing Emissions Control Systems Analysis
Development of Pilot Inspection System for Virginia State
Air Pollution Control Board
Wet Scrubber Inspection and Evaluation
Optimization of Small Coal-Fired and Oil Fired Industrial
Boiler Operation to Reduce Emissions
Coal-Fired Industrial Boiler Inspection Guide
Guidelines on Preferred Locations and Design of Measure-
ment Ports for Air Pollution Control Systems
340/1-84-013 Nitric Acid Plant Inspection Guide
Air Compliance Inspection Manual
B - 9
9/30/85
-------
EPA No.
340/1-84-012
PB85-180875
340/1-85-003
[Pub. No. to
be assigned
by EPA/CERI]
[Pub. No. to
be assigned
by EPA/CERI]
[Pub. No. to
be assigned
by EPA/CERI]
INDUSTRIAL PROCESS CONTROL EQUIPMENT INSPECTION AND EVALUATION
(Continued)
Title
Performance Evaluation Guide for Large Flow Ventilation
Systems
Inspection and Operating and Maintenance Guideline for
Secondary Lead Smelter Air Pollution Control
Operation and Maintenance Manual for Electrostatic Pre-
cipitators (Completion date August 1985)
Operation and Maintenance Manual for Fabric Filters
(Completion date October 1985)
FGD Inspection and Performance Evaluation Manual
(Completion date August 1985)
9/30/85
Air Compliance Inspection Manual
B - 10
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EMISSION TESTING AND CONTINUOUS EMISSION MONITORING
EPA No.
340/1-76-005
PB-258853
340/1-77-016A
PB-279006
340/1-78-005A
PB-283433
340/1-78-005B
PB-283434
340/1-78-005C
PB-283435
340/1-78-005D
PB-283436
340/1-80-019
340/1-83-007
PB-127208/A04
340/1-83-009
PB-126671/A04
340/1-83-010
PB-126689/A08
340/1-83-011
PB84-128321
340/1-83-012
PB-127752/A03
Title
Application of Remote Techniques in Stationary Sources Emis-
sion Monitoring
Survey of Techniques for Monitoring Sewage Sludge Charged to
Municipal Sludge Incinerators
Manual 1 - Source Selection and Location of Continuous Monitor-
ing Systems - Resource Manual For Implementing the NSPS Con-
tinuous Monitoring Regulations
Manual 2 - Preliminary Activities for Continuous Monitoring
System Certification - Resource Manual For Implementing the
NSPS Continuous Monitoring Regulations
Manual 3 - Procedures for Agency Review of Excess Emission
Reports - Resource Manual for Implementing the NSPS Continuous
Monitor - Regulations
Manual 4 - Source Operating and Maintenance Procedures For
Continuous Monitoring Systems - Resource Manual For Imple-
menting the NSPS Continuous Monitoring Regulations
Correlation of Remote and Wet Chemical Sampling Techniques
For Hydrogen Fluoride from Gypsum Ponds
An Introduction to Continuous Emission Monitoring Programs
Guidelines for the Observation of Performance Specification
Tests of Continuous Emission Monitors
Performance Audit Procedures for Opacity Monitors
A Compilation of Opacity Monitor Performance Audit Results
A Compilation of S02 and N02 Continuous Emission Monitor Relia-
bility Information
Air Compliance Inspection Manual
B - 11
9/30/85
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EMISSION TESTING AND CONTINUOUS EMISSION MONITORING GUIDES (Continued)
EPA No.
340/1-83-013
PB-128354/A20
340/1-83-015
PB84-128362
340/1-83-016
PB-126978/A04
340/1-84-015
340/1-84-016
Title
Performance Specification Tests for Pollutant and Dilutent
Gas Emission Monitors: Reporting Requirements, Report Format,
and Review Procedures
Performance Audit Procedures for S02,
uous Emission Monitors
C02, and 02 Contin-
Transportable Continuous Emission Monitoring System Operational
Protocols: Instrument Monitoring of S02, NOX, and C02 Effluent
Concentrations
Technical Guideline on Review and Use of Excess Emission Reports
Summary of Opacity and Gas Audit Programs
Air Compliance Inspection Manual
B - 12
9/30/85
-------
VISIBLE EMISSION OBSERVATION GUIDES
EPA No.
340/1-75-007
PB 247675
Title
Guidelines for Evaluation of Visible Emissions: Certification
Field Procedures, Legal Aspects, and Background Materials
340/1-79-003 EPA Visible Emissions Inspection Guide (S.24)
600/4-83-011 Technical Assistance Document: Quality Assurance Guideline
PB83-193656 for Visible Emission Training Schools
600/4-77-027b Quality Assurance Handbook for Air Pollution Measurement
PB80-112303 System: Volume 3, Section- 3.12 - Method 9 Field Observation
Procedures
Air Compliance Inspection Manual
B - 13
9/30/85
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CONTINUOUS COMPLIANCE INVESTIGATIONS AND STUDIES
EPA No.
905/2-80-002
Title
Design Considerations for Minimizing Operation and Maintenance
Problems of Particulate Control Equipment
340/1-81-002 An Evaluation of Corrosion in Particulate Control Equipment
340/1-83-021
PB84-128339
340/l-83-024a
PB85-157576/AS
340/l-83-024b
PB85-157568/AS
Development of Pilot Inspection System for Virginia State
Air Pollution Control Board
Study of Ambient TSP Levels Near Major Steel Facilities
(1978-1980) - Volume 1
Study of Ambient TSB Levels Near Major Steel Facilities
(1978-1980) - Volume 2
Air Compliance Inspection Manual
B - 14
9/30/85
-------
EMISSIONS CONTROL TECHNOLOGY EVALUATION
EPA No.
905/2-76-001
PB-252650
905/4-76-002
PB-251910
340/1-76-002
PB-251985
340/1-76-007
PB-261454/3
340/1-77-017
PB-276138
340/1-77-026
PB-278483
340/1-78-001
PB-283470
PB-282412
340/1-79-002
PB80-131840
340/1-80-018
PB81-200420
Title
Technological Problems of Burning Low Sulfur Western Coal
Emissions from Hot-Dip Galvanizing Processes
Combustion of Wood Residue in Conical (Wigwam) Burners, Emis-
sion Control and Alternatives
Analysis of Control Strategies and Compliance Schedules for
Wood Particle and Fiber Dryers
Revised Technical Guide for Review and Evaluation of Compliance
Schedules for Air Pollution Sources
Control of Particulate Emissions from Wood-Fired Boilers
Jet Engine Test Cells - Emissions and Control- Measures:
Volumes 1 and 2
Control of Air Emissions from Process Operations in Rock
Crushing Plants
Annotated Bibliography of Literature on Flue Gas Conditioning
Air Compliance Inspection Manual
B - 15
9/30/85
-------
COMPLIANCE DATA MANAGEMENT AND ANALYSIS
EPA No. Title
340/1-83-020 Compliance Data System User's Guide
PB-270363
340/l-83-024a Study of Ambient TSB Levels Near Major Steel Facilities
(1978-1980): Volume 1
340/l-83-024b Study of Ambient TSB Levels Near Major Steel Facilities
PB85-157576/AS (1978-1980): Volume 2
340/1-84-011 Compliance Data System Quality Assurance Manual
PB85-157568/AS
Air Compliance Inspection Manual B - 16 9/30/85
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COMPLIANCE MONITORING AND SURVEILLANCE PROGRAM DEVELOPMENT
EPA No.
340/1-75-008
PB-247789
340/1-77-017
PB-276138
340/1-77-023
PB-275436
340/l-83-018a
PB4-127950
340/l-83-018b
340/1-83-021
PB-128339/A09
Title
Guidelines and Enforcement and Surveillance of Supplementary
Control Systems, Volumes I and II
Revised Technical Guide for Review and Evaluation of Compliance
Schedules for Air Pollution Sources
Major Financial Assistance Programs for Air Pollution Control
Equipment Installation (Federal and EPA Region III State
Programs)
Initial Design Considerations for a Model State and Local
Administrative Fines Program - Volumes I
Initial Design Considerations for a. Model State and Local
Administrative Fines Program - Volume 2
Development of Pilot Inspection System for Virginia Air Pollu-
tion Control Board
Air Compliance Inspection Manual
B - 17
9/30/85
-------
NEW TECHNICAL REPORTS AND MANUALS TO BE PUBLISHED IN FY 1986
Guidelines:
Inspection Guide for Capture Systems and Control Devices at Surface
Coating Operations
Guideline for Graphic Arts VOC Emissions Calculations
Manual for Development of Special Operating Conditions for Asphalt
Concrete Plants
Resource Manual on Continuous Emission Monitoring of Reduced Sulfur
Compounds from Kraft Pulp Mills: Volume 1 - Technical Reference Manual,
Volume 2 - Field Inspection Notebook
Fabric Filter Inspection and Evaluation
Use of Portable Instrumentation in VOC Compliance Inspections
Air Compliance Inspector Guide
Technical Reports:
Production Effects on EOF Secondary Emissions and Their Control
Coke Oven Control Status: Volume 2 - Stacks, Volume 3 - Coke Oven
Gas Desulfurization
Effects of Process Variables on Sinter Plant Controls
Operation and Maintenance Practices to Minimize Excess Emissions
from Cat Crackers
Operation and Maintenance Practices for Asphalt Concrete Plants
Compliance Workshop Training Manuals:
Ins truetor/Student Manual - Wet Scrubber Inspection Procedures
Workshop
Instructor/Student Manual - Air Inspector Safety Procedures
Workshop
Air Compliance Inspection Manual B - 18 9/30/85
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