EPA/450/2-81/017h
     U.S. Environmental Protection Agency

        Air Pollution Training Institute
          COURSE 81:422
            3rd Edition
  AIR POLLUTION CONTROL
    ORIENTATION COURSE
               Unit 8
           Enforcement Systems
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 United States           Air Pollution Training Institute       EPA 450/2-81-017h
 Environmental Protection     MD 20                   June 1981
 Agency              Environmental Research Center
 	Research Triangle Park NC 27711	
 Air	


 APTI

 Course S 1:422    3rd Edition

 Air Pollution Control

 Orientation Course


 UnitS

 Enforcement Systems

 Prepared By.                  Under Contract No.
 Northrop Services, Inc.             68-02-2374
 P. 0. Box 12313                EPA Project Officer
 Research Triangle Park, NC 27709       R. E. Townsend

                United States Environmental Protection Agency
                Office of Air, Noise, and Radiation
                Office of Air Quality Planning and Standards
                Research Triangle Park, NC 27711
This is one of nine self-instructional units in the

Air Pollution Control Orientation Course  SI:422.


This unit consists of a cassette tape and this flip-

book,  which you will use simultaneously.


Turn the page  and read the tips on effective use

of this material.

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                       Tips for Effective Use of This Material
   1. Listen to the recorded script while you go through this flipbook. The recorded
     portion is coordinated with the flipbook. Wait for the tape to finish the details
     of one point before studying the next point on the page.
   2. When you hear a "beep" on the tape, direct  your attention to the next page in
     the flipbook.
   3. Pay attention to both words and pictures — they both convey important informa-
     tion. The flipbook will usually summarize main points or give examples.
   4. Stop the tape at any point if you wish to spend more time reading a page in the
     flipbook. Rewind the tape if you wish to review a portion of the script.
   5. Review the lesson objectives before answering the questions at the end of each
     lesson. Ask yourself whether you have mastered the information indicated in the
     objectives.
   6. Answer the questions. They will help you assess your progress in mastering the
     course materials.
   7. Check your answers. The correct responses can be found on the page(s) fol-
     lowing the questions.
     If you answer a question incorrectly, review the flipbook material covering the
     subject matter. Now Turn On the Tape Recorder and Begin Lesson I.
8
                                        11
                           In  this unit
   Federal
requirements
 concerning
enforcement
                  Permit
               systems and
               registration
                 systems
 Inspections
    and
right-of-entry
Confidentiality
  of certain
    records
  Cost of
enforcement
  systems

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  Lesson I: Federal Requirements Concerning

                     Enforcement

                        Objectives


 1.  Identify the legislation that requires states to submit implementation plans,
   requires permit systems for nonattainment areas, and requires fee systems to
   defray costs.
 2.  Identify the federal document in which one can find current requirements for
   preparation, adoption, and submittal of implementation plans for attainment
   and maintenance of National Ambient Air Quality Standards.
 3.  Describe how the state's approval of any construction or modification of a
   source affects the source owner or operator's responsibility to comply with
   existing  emissions regulations.
 4.  Identify 5 authorities states must have in order to ensure that sources obey all
   applicable rules and regulations.
Clean Air Act

•  Every state required to  submit implementation
   plan by January  31, 1972

Clean Air Act  Amendments

•  Every state required to  have permit system for
   nonattainment areas,  and
•  Fee system to  defray operating costs

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                                  Title  40
                             of  the   Code
                of   Federal  Regulations
                              pertains  to
Environmental  Protection
                                 PART 51
       REQUIREMENTS FOR PREPARATION, ADOPTION, AND SUBMITTAL
                       OF IMPLEMENTATION PLANS.
   $51.11 Legal authority.
    (a) Each plan shall show that the State has
       legal authority to carry out the plan.
       including authority to:

    (1) Adopt emission standards and limitations
       and any other measures necessary for
       attainment and maintenance of national
       standards.

    (2) Enforce applicable lam. regulations, and
       standards, and seek injunctive relief.

    (3) Abate pollutant emissions on an emer-
       gency basis to prevent substantial
       endangerment to the health of penons.
       i.e.. authority comparable to that
       available to the Administrator under sec-
       tion 303 of the Act.
    (4) Prevent construction, modification, or
       operation of a facility, building, structure.
       or installation, or combination thereof,
       which directly or indirectly results or may
       result in emissions of any air pollutant at
       any location which will prevent the attain-
       ment or maintenance of a national
       standard.
(5) Obtain information necessary to deter-
  mine whether air pollution sources are in
  compliance with applicable laws, regula-
  tions, and standards, including authority
  to require recordkeeping and to make
  inspections and conduct tests of air pollu-
  tion sources.
(6) Require owners or operators of stationary
  sources to install, maintain, and use emis-
  sion monitoring devices and to make
  periodic reports to the State on the nature
  and amounts of emissions from such sta-
  tionary sources: also authority for the
  State to make such data available to the
  public as reported and as correlated with
  any applicable emission standards or
  limitations.
(b) Where a plan sets forth a control strategy
  that provides for application of (I) inspec-
  tion and testing of motor vehicles and/or
  other transportation control measures or
  (2) land use measures other than those
  referred to in §51.11(aX4). such plan shall
  set forth the State's timetable for obtain-
  ing such legal authority as may be
  necessary to carry out such measures.

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 (c) The pro:  ons of law or regulation which
    the Stair determines provide the
    authorities required under this section
    shall be specifically identified, and copies
    of such laws or regulations shall be sub-
    mitted with the plan
 (d)(l) Except as otherwise provided by para-
    graph (b) of (his section, the plan shall
    show that the  legal  authorities specified in
    this section are available to the State at
    the time  of submission of the plan.
(2) Legal authority adequate to fulfill the
    requirements of paragraph (aKM and (6)
    of this section  may be delegated the  State
    pursuant to section  114 of the Act.
(e) A State governmental agency other than
    the State air pollution control agency may
    be assigned responsibility for carrying out
    a portion of a  plan. Provided. That  such
    plan demonstrates,  to the Administrator's
    satisfactions, that such State governmental
    agency has the legal authority necessary to
    carry out such portion of the plan or. pur-
    suant  to paragraph  (b) of this section, has
    a timetable for obtaining such authority.
(0  The State may authorize a local agency to
    carry out a plan,  or portion thereof,
    within such local  agency's jurisdiction
    Provided. That such plan demonstrates.
    to thr administrator's satisfaction, that
      such local agency has the legal authority
      necessary to implement such plan, or por-
      tion thereof, and further Provided, That
      such authorization shall not relieve the
      State of responsibility under the  Act  for
      carrying out such plan, or portion thereof

(51.18 Review of new sources and
    modifications.'
  (a)  Each plan shall set forth  legally enforce
      able procedures which shall be adequate
      to enable the Stale or a local agency to
      determine whether the construction or
      modification of a facility, building, struc-
      ture, or installation, or combination
      thereof, will result in violations of
      applicable portions of the control strategy
      or will interfere with attainment or
      maintenance of a national standard either
      directly  because of emissions from it. or
      indirectly, because of emissions resulting
      from mobile source activities associated
      with it.
  (b)  Such procedures shall  include means by
      which the State or local agency responsi-
      ble for final decisionmaking on an
      application for approval to  construct or
      modify will prevent such construction or
      modification if it will result in a  violation
      of applicable portions of the control
    strategy or will interfere with the attain-
    ment or maintenance of a national
    standard
(c)  Such procedures shall provide for the sub-
    mission, by the owner or operator of the
    building, facility, structure, or installation
    to be constructed or modified,  of such
    information on:
(I)  The nature and amounts of emissions 10
    be emitted by it or emitted by associated
    mobile sources,
(2)  The location, design, construction, and
    operation of such facility, building,  struc-
    ture, or installation as may be  necessary to
    permit the State or local agency to make
    the  determination referred to in
    paragraph (a) of this section
(d)  Such procedures shall provide that
    approval of any construction or modifica-
    tion shall  not  affect the responsibility of
    the  owner or operator to comply with
    applicable portions of the control strategy.

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(i)  Availab   v for public inspection in at
    Irast one location in thr region affected of
    thr information submutrd by thr owner
    or operator and of the State or local
    agency s analysis of the effect on air
    quality
(ii) A 30-day period for submittal of public
    comment, and
(in) A notice by prominent advertisement in
    the region affected of the location of the
    source information and analysis specified
    in paragraph (hX2X>) of this section.
(3) Where the 30-day comment period
    required in paragraph (h) of this section
    would conflict with existing requirements
    for acting on requests for permission to
    construct or modify, the Stale may submit
    for approval a comment period which is
    consistent  with such existing requirements
(4)  A copy of the notice required by
    paragraph (hX2) of this section shall also
    be sent to  the administrator through the
    appropriate regional of rice, and to all
    other  State and local air pollution control
    agencies having jurisdiction in  the region
    in which such new or modified installation
    will be located. The notice also shall be
    sent to any other agency in the region
    having responsibility for implementing the
    procedures required under this section
                                                  8
   (<\ Suggestions for developing procedures to
      meet the requirements of this section are
      set forth in appendix O

 $51.19  Source furveillance.
   Each plan shall provide for monitoring the
 status of compliance with any rules and regula
 dons which set forth any portion of the control
 strategy  Specifically, each plan shall, as a
 minimum, provide for
   (a) Legally enforceable procedures for requir-
 ing owners or operators of stationary sources to
 maintain records of. and periodically report to
 the State information on. the nature and
 amount of emissions from such stationary
 sources and/or such other information  as may
 be necessary to enable the State to determine
 whether such sources are in compliance with
 applicable portions of the control strategy.
  (b) Periodic testing and inspection of sta-
 tionary sources.
  (c) Establishment of a system for detecting
violations of any rules and regulations through
the enforcement of appropriate visible emission
 limitations and for investigating complaints.
  (d) Procedures for obtaining and maintaining
data on actual emissions reductions achieved as
a result of implementing transportation control
measures. In the case of measures involving
inspection, maintenance, or retrofit, these data
 shall include the results of an emission
 surveillance program designed to determine
 actual average per vehicle emissions reductions
 attributable to inspection, maintenance, and or
 retrofit  In the case of measures based on traffic
 flow changes or reductions in vehicle use. the
 data shall include observed changes in vehicle
 miles traveled (VMT) and average speeds. The
 data shall be maintained m such a way as to
 facilitate comparison of the planned and actual
 efficacy of the transportation control measures.
   (e) Legally enforceable procedures to require
 stationan sources subject to emission standards
 as part of an applicable plan to install.
 calibrate  maintain and operate equipment for
 continuously monitoring and  recording emis-
 sions,  and to provide other information as
 specified in Apprndix P of this part
   (1) Such procedures shall identify the types of
 sources  by source  category and capacity, that
 must install such instruments, and shall identify
 for each source category the pollutants which
 must be monitored
     (2) Such procedures shall, as a minimum.
   require ihe types of sources set  forth in Appen
   dix P of this part (as such appendix may be
   amended from time to lime) to meet the
   applicable requirements set  forth therein
     (3) Such procedures shall  contain provisions
   which require the owner or operator of each
   source subject to continuous emission monitoring
   and recording requirements to  maintain a file of
   all  pertinent information. Such information
   shall include emission measurements, continuous
   monitoring system performance testing
   measurements, performance evaluations.
   calibration checks, and adjustments and
   maintenance performed  on  such monitoring
   systems and other reports and records required
   by  Appendix P of this part  for at least two years
   following the date of such measurements or
   maintenance.
     (4) Such procedures shall require the source
   owner or operator to submit information
   relating to emissions and operation of the emis
   sion monitors to the State to the exteni drs

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        cribed in Appendix P as frequently or more fre-
        quently as described therein.
         (5) Such procedures shall provide that sources
        subject to the requirements of §51.19(eX2) shall
        have installed all necessary equipment and shall
        have begun monitoring and recording within 18
        months of (i) the approval of a State plan
        requiring monitoring for that source or (ii) pro-
        mulgation by the Agency of monitoring
        requirements for that source. However, sources
        that have made good faith efforts to purchase.
install, and begin the monitoring and recording
of emission data but who have been unable to
complete such installation within the time
period provided may be given reasonable exten-
sions of time as deemed appropriate by the
State.
 (6) States shall submit revisions to the
applicable plan which implement the provisions
of this section by October 6. 1976
        Please turn on tape recorder.
                          10
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        States must be able to prevent the
        construction or modification of a
        source if
                    operation would violate
                    emissions standards
                    or emissions would prevent
                    attainment or maintenance of
                    National Ambient Air Quality
                    Standards
                          11

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                     States must also
                     be able to prevent
                     the source from
                     causing significant
                     deterioration of
                     air quality.
                    12
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               States must
   have authority
   to obtain infor-
   mation needed
   to determine if
   a source may be
   constructed or
   modified
have a program
to enforce emis-
sion limitations
and regulate the
modification,
construction, and
operation of any
stationary source
     13
review the
location of new
sources to which
standards of
performance
apply

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The state's approval of any construc-
tion or modification must not affect
the source owner or operator's
responsibility to comply  with existing
emissions regulations.
                    14
    States must have authority to
    make source owners or operators
install, maintain,
and use continuous
emission monitoring
equipment on speci-
fied classes of sources
maintain records
of their emissions
report emissions
information to the
state

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  States must also  have  the authority to
make this information
available to the public
                      16
  periodically inspect
  sources and conduct
  source emission tests
            States must  have
a system for detecting
violations
                      17
a system for investigating
public complaints about
air pollution

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                          Lesson I
                         Questions
   1. Which of the following legislation requires states to submit implementation
    plans, requires permit systems for non-attainment areas, and requires fee
    systems to get back costs?
      a. Federal Regulations Act         d. Camara & See Act
      b. Clean Air Act                e. Air Quality Act
      c. Sierra Club Act               f.  None of the above
  2. In which federal document can one find current requirements for preparation,
    adoption, and submittal of implementation plans?
      a. EPA Directory                d. Air Quality Code
      b. SIP Documentation            e. Code of Federal
      c. Federal Requirements              Regulations
        Directory                   f.  None of the above
                            18
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    3. In order to make sure that sources obey all applicable rules and regulations,
      states must have the authority to:
      a. make source operators
        install, maintain, and use
        continuous emission
        monitoring equipment
        on specified classes
        of sources.
      b. make source operators
        maintain records of their
        emissions.
c. make source operators
  report emissions infor-
  mation to the state.
d. make emission information
  available to the public.
e. periodically inspect sources
  and conduct source tests.
f. all of the above
                             19

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   4. Describe how the state's approval of any construction or modification of a
     source affects the source owner or operator's responsibility to comply with emis-
     sion regulations.
   Answers are on the next page.
                         20
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                        Lesson I
                        Answers


     1. b. Clean Air Act
     2. e. Code of Federal Regulations
     S. f. All of the above.
     4. The state's approval of any construction or modification of a source does not
      affect the source owner or operator's responsibility to comply with existing
      regulations. The source owner or operator is always responsible for compliance.
     When you have checked your responses, please turn on the tape recorder.
                          21

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  Lesson  II: Permit  Systems and Registration


                              Systems


                             Objectives




 1. Identify the two major things a state must have in order to effectively perform
   enforcement functions.

 2. Name the type of system that requires source owners or operators to apply for
   a permit to construct.

 3. Identify 3 types of information usually obtained through both permit and
   registration systems.

4. Identify 3 ways that information usually obtained through permit and registra-
   tion systems can help a control agency.

5. Identify the two options discussed that are available to an applicant if he is
  refused a permit to construct.
                                 22
   6. Identify the condition under which a permit to operate would not be issued.

   7. Describe the major difference between permit systems and registration systems.

   8. Name the two services for which an enforcement system must provide.

   9. Define the term "variance" as it applies to air pollution control enforcement

      systems.

  10. Identify five activities performed by control agencies for the evaluation of con-

      trol regulations and programs.
                                     23

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    In order to be able to perform
    enforcement functions, a state must
    have both
     • the authority to perform them
     • procedures and resources to
       carry them out
                  24
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           Enforcement Systems
    Permit to construct?
    Permit to operate?
    Submission of data
     about source?
                    Permit
                    System
   Yes
 Sometimes
All necessary
 data usually
 included in
application for
 permit to
 construct
 25
           Registration
            System
  No
Sometimes
  Yes

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  From information obtained through
 both systems, the control agency knows
  location of
   sources
 types of
 sources
                26
 types and
quantities of
 emissions
mmnmmmvvmttuwuuwwu
    This information helps the agency
   Suggestions
            keep track of emissions
determine the success of its
control plans


make recommendations for
new regulations

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       How a Permit System Works
          application filed—usually one for each major
          unit of equipment
          plans for the facility submitted with application
          application reviewed by agency officials

          construction permit issued if
           — facility will be able to comply with emission
            control regulations
           — emissions will not interfere with NAAQS or PSD
                    28

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   If a permit to construct is refused, the
   applicant may
    • resubmit the application with all
      necessary changes
    • appeal the decision to a hearing
      board
                    29

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 In many states, the owner or operator must
 apply for a Permit to Operate.

 This is issued if an inspection or an emission test
 satisfies the control agency that
   • the construction has met the approved
    specifications
   • the facility is operating in compliance with
    existing regulations
                  30
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  Even if a facility is
  built according to
  approved specifications
. . . the permit to operate
is not issued if the
facility is not able to
comply with regulations

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There is disagreement about
denying an operating permit
to a facility that had obtained
a permit to construct.

Industry argues that agency
officials should be responsible
because their approval of
constuction plans implies
that the facility will be able
to operate in compliance with
all regulations.
32
  Agency officials maintain
  that approval of con-
  struction plans represents
  professional opinion only,
  not a guarantee that the
  facility will function in
  compliance with
  regulations.

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   ". . . approval of any construction or modifica-
  tion shall not affect the responsibility of the
  owner or operator to comply with applicable
  portions of the control strategy," namely emis-
  sion control regulations and air quality
  standards.
                34
nunmmmtfmttnmuummin
                   The permit to
                   operate is usually
                   valid for a stated
                   period

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  Permits may be
  displayed near
  the equipment to
  which they apply
kept in an office
where they can
be checked by
inspectors
Permit usually not
transferable; if a plant
changes ownership or
management or if the
plant moves, a new per-
mit must be obtained
                     36
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   Three Reasons for Studying Registration Systems
     • Many enforcement systems now in use have
       grown out of registration systems, and some
       knowledge of registration systems will help
       you understand them.
     • It is important to emphasize that regardless
       of the type of system used, certain informa-
       tion must be obtained.
     • Registration procedures may be used for
       regulation of smaller sources that are not
       large enough to be included in a permit
       system.
                      37

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                 The major difference
                 between permit
                 systems and registra-
                 tion systems is that
                 registration systems
                 do not directly pre-
                 vent construction of
                 a source
                38
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         Registration systems
      provide information about
 where the source  who owns it   the process and
 is located                its emissions
                39

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Regardless of whether the enforcement system
     is a permit or registration system
  it must provide for inspection and testing
                  40
 Some agencies do not have the
 authority to make sources obtain per-
 mits before construction or operation.
 If necessary they may take action
 through
   •  administrative orders
   •  negotiated compliance schedules
   •  court action
                   41

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Experience has shown that the
most efficient enforcement
systems are permit systems.
                 42
 0
0
Sept Oct Nov Dec
   cm nn cu
             Often a problem can be
             corrected by changing a process
             or repairing a malfunctioning
             device
But sometimes the solution is
more complicated, and some
method of establishing a
schedule  of actions to solve the
problem is devised
                 43

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                     Variance
                  A temporary permit to
                  operate out of com-
                  pliance, usually issued
                  for the period of time
                  needed to make changes
                  to comply with emission
                  regulations. It can be
                  taken away if the source
                  doesn't meet the sched-
                  uled milestones.
                  44
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   Other uses of data gained through
   enforcement systems include
     • evaluation of effectiveness of
      existing regulations and programs
     • emission inventories
                  45

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  Evaluation includes such activities as
    • air quality monitoring
    • emission inventory compilation
    • statistical analysis
    • mathematical modeling
    • prediction of future trends
                  46
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           Emission Inventory
   A study of a given area
    • to locate air pollution sources
    • to define type and size of sources
    • to define type and amount of emissions
    • to determine pollutant emission:
         — frequency
         — duration
         — relative contribution
                   47

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       Emission Inventory/Permit and
     Registration Subsystem (EIS/P&R)
                        Can record data about
                        sources in terms that
                        can be used to
                        schedule enforcement
                        actions
                         48
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                         Lesson II
                         Questions

     1. In order to effectively perform enforcement functions, a state must have both
       (pick two):
        a. at least 150 administrative       d. an air pollution permit from
          and technical employees.          the federal government.
        b. authority to perform enforce-      e. procedures to carry out
          ment functions.               enforcement functions.
        c. a state representative in
          Washington.
     2. Name the type of system that requires source owners or operators to apply for
       a permit to construct.
                          49

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   3. The data obtained through permit and registration systems give control agen-
     cies information about:
       a. where pollution sources are        c. what the types and quan-
         located in its area.               tities of emissions are.
       b. what types of sources they         d. all of the above
         are.
   4. The information obtained through permit and registration systems helps a
     control agency:
       a. keep track of emissions.          c. make recommendations for
       b. determine the success of its          new regulations.
         control plans.                 d. all of the above
                           50
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     5. If a permit to construct is refused, the applicant has which two options?
        a. resubmit the application         d. submit the application
         with all necessary changes
       b. appeal the decision to the
         EPA council
       c. go ahead with construction
         and apply for a permit to
         operate later
  again —as is
e. appeal the decision to a
  hearing board
f. appeal the decision to the
  Governor's council
                            51

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6.  Even if a facility is built according to approved specifications, a permit to
   operate is not issued if the facility:
     a. is not able to comply with             d. has less than 5 air pollution
        regulations.                              scientists employed there.
     b. is more than 7  years old.              e. operates more than 56 hours
     c. is not in an official air con-              per week.
        trol area.                            f.  none of the above
7.  What is the major difference between permit systems and registration systems?
8.  Name the two services for which an enforcement system must provide.
9.  Define the term "variance" as it applies to air pollution control enforcement
   systems.
                                    52
  10.  Which of the following activities are used to evaluate control regulations and
      programs?
        a.  air quality monitoring                d. mathematical modeling
        b.  emission inventory                    e. prediction of future trends
           compilation                          f. all of the above
        c.  statistical  analysis
 Answers are on the next page.
                                        53

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                         Lesson II
                         Answers


   1. b & e. authority to perform enforcement functions, and procedures to carry
     out enforcement functions
   2. permit system
   3. d. all of the above
   4. d. all of the above
   5. a & e. resubmit the application with all necessary changes; appeal the decision
     to a hearing board
   6. a. is not able to comply with regulations
   7. registration systems do not directly prevent construction of a source
   8. inspection and testing
   9. a temporary permit to operate out of compliance, usually issued for the period
     of time needed to make the changes necessary to bring a source into com-
     pliance
  10. f. all of the above

 When you have checked your responses, please turn on the tape recorder.
                           54


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     Lesson III: Inspections and Right-of-Entry

                         Objectives
    1. Name at least three kinds of things at a source that control agency inspectors
      examine.
    2. Identify the options available to a control agency if an operating source is
      found to be violating rules or regulations.
    3. Identify the options available to a source owner or operator when faced with
      suspension or revocation of an operating permit.
    4. Identify the rights protected by the Fourth Amendment to the Constitution of
      the United States.
                             55

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  Any source. . . may be inspected

  at any reasonable time.
              56
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   Inspectors review the plant's records
   and inspect the plant and equipment.
              57

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  If a violation is suspected, a source test
  may be required
   • in some states by the control agency
   • in other states by the company at its own
    expense (methods used must be approved
    by the control agency)
                58
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 If a violation is found
          then the control agency has the
         option of suspending or revoking the
       permit to operate

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ispr
If the permit is suspended or revoked and
the company continues
        r   . J       .^AStol
to operate in
noncompliance
                  r
                   then the control
              agency may take the
              matter to court to seek an injunction
              and/or penalties
                           60
   In some cases, when a
   violation is found, the
   control agency may set
   up a schedule for the
   source to come into
   compliance. . .
       and the source is allowed
       to continue operation
       as long as owners and
       operators are diligently
       trying to meet that
       schedule.
                          61

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   When faced with
   suspension or revocation
   of a permit
                      the plant owner or operator may
                      appeal the decision before a board
                      (where there is one).
                      If the board sustains the revo-
                      cation, the plant owner may
                      contest the order in court.
                       62
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   Most states have laws that specifically allow an
   authorized officer of the control agency to
    "enter and inspect any property, premises or place
    on or at which an air contamination source is
    located.. .at any reasonable time"

   and further require that
    "No person shall refuse entry or access.. .nor
    shall any person obstruct, hamper or interfere
    with such inspection."
                       63

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   A few states are more cautious, stating
   that agency personnel may enter the
   premises at any reasonable time with
   the consent of the owner.
                   64
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            Fourth Amendment
   The right of the people to be secure in their
   persons, houses, papers, and effects, against
   unreasonable searches and seizures, shall not be
   violated, and no Warrants shall issue, but upon
   probable cause, supported by Oath or affirma-
   tion, and particularly describing the place to be
   searched, and the persons or things to be seized.
                    65

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  Camara vs. City

  of San Francisco

  U.S. Supreme Court overruled a
  lower court conviction because
  evidence had been obtained by
  a local health inspector's
  search of an individual's
  private dwelling without the
  occupant's permission and
  without a warrant.
See vs.  City

of Seattle

The Court overruled a lower
court conviction because
evidence was obtained by a
local health inspector's search
of a commercial warehouse
without the owner's permission
and without a warrant.
                      66
wimuwwitvvvvvvvuuuuuumi
  Because of the special circumstances
  and the wording of the  opinions,
  however, these cases have not been
  interpreted as requiring a warrant for
  every administrative search or
  inspection.
                     67

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    If a violation is suspected and a control agency
    offical is refused entry, he might. . .
                 obtain a search warrant
                 to inspect the facility

                       68
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                     Lesson III
                     Questions


    1. Name three kinds of things at a source that control agency inspectors examine.
    2. Which of the following options are available to a control agency if it finds that
     an operating source is violating rules or regulations?
       a. suspension of permit to         d. suspension of permit to
        operate                  construct
       b. revocation of permit to         e. none of the above
        construct
       c. revocation of permit to
        operate
                       69

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   3, Which of the following option(s) may be available to a source owner or
     operator when faced with suspension or revocation of an operating permit?
      a. continue current operations      c. contest the order in court
       without risk of penalty         d. none of the above
      b. appeal the decision before
       a board
   4. The Fourth Amendment to the U.S. Constitution protects people against
  Answers are on the next page.

                        70
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                      Lesson III
                       Answers

   1. a source's records, facilities, and equipment
   2. a & c. suspension of permit to operate or revocation of permit to operate
   3. b & c. appeal the decision before a board (if there is one) or contest the order
     in court (after administrative remedies are exhausted)
   4. unreasonable searches and seizures
   When you have checked your responses, please turn on the tape recorder.
                         71

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    Lesson IV: Confidentiality of Certain Records

                        Objectives

    1. Recognize the name of the Act that grants the "right to access" to certain
      information contained in air pollution agency records.
    2. Discuss EPA's policy—as set forth in Title 40, Part 2, of the Code of Federal
      Regulations —concerning disclosure of records to the public.
    5. Identify the types of information that EPA does not disclose to the public and
      the kinds that EPA will disclose under all circumstances.
    4. Discuss EPA guidelines regarding company requests for confidential treatment
      of submitted data.
                          72
mmumnuuuuumuuuumui
     The competitive nature of the
     free enterprise system in
     this country requires com-
     panies to keep details about
     their processes, expenditures,
     etc., out of the hands of
     their competitors
,   ^
II  cP* D
                              Most agencies have scrupulously
                              respected the confidentiality
                              of information pertaining
                              to the processes of companies
                              that have obtained permits

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    What kind of equipment
        can I use?
Electrostatic precipitators
have been used success-
 fully for your type of
 operation.
               74
mwwwwimmuuuuuuww
  Much controversy exists concerning
  confidentiality vs. right to access
  of air pollution agency records
  required by the Freedom of Informa
  tion Act.

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     Code of Federal Regulations
     Title 40, Part 2, Sect. 2.101(a)

     "EPA will make the fullest possible disclosure of records to the
     public, consistent with the rights of individuals to privacy, the
     rights of persons in trade secrets and other information entitled
     to confidential treatment, and the need for EPA to promote
     frank internal policy deliberations and to pursue its official
     activities without undue disruption."
                          76
iummuuuunumuuuuuuuui
     The types of information that are not disclosed
     include
        defense secrets
        internal personnel data
        items exempted by law
        trade secrets
        interagency and intraagency memos
        personnel and medical files
        certain investigatory records relating to law enforcement
        some documents relating to financial information
        certain geological information concerning wells
                          77

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EPA guidelines  require  companies
to make  a  formal request if they
want  submitted data to  be  treated
as confidential.
The company must submit con-
vincing justification for  holding
data confidential or  it will  be
released to  the public upon request.
Emissions  data  cannot be held
confidential.
                        78
        OHIO REVISED CODE (O. R. C.)
        CHAPTER 3704. (AIR POLLUTION CONTROL)

          Sec. 3704.08 (A) Any records, reports, or information obtained
        under Chapter 3704. of the Revised Code shall be available for public
        inspection, except that upon a showing satisfactory to the DIRECTOR
        OF ENVIRONMENTAL PROTECTION by any person that such records,
        reports, or information, or any particular part thereof, other than emis-
        sion data, to which the DIRECTOR has access under such chapter, if
        made public, would divulge methods or processes entitled to protec-
        tion as trade secrets of such person, the DIRECTOR shall consider
        such record, report, or information or particular portion thereof, con-
        fidential, except  that such record, report, or information may be
        disclosed when necessary to sustain an action brought pursuant to
        section 3704.06 of the Revised Code or during an adjudication hearing
        conducted by the DIRECTOR on the denial, modification, or revoca-
        tion of a variance or permit.

          (B) Nothing in division (a) of this section shall be construed to pre-
        vent the DIRECTOR from compiling or publishing analyses or sum-
        maries relating to the general condition of the atmosphere, provided
        that such reports do not reveal any information otherwise confidential
        under this section.

        Please turn on the tape recorder.

                           79

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                        Lesson IV
                        Questions

    1. There is much controversy concerning confidentiality versus right of access to
      air pollution agency records required by the:
        a. Truth in Government           d. Keogh Act.
         Act-                      e. Freedom of Information
        b. Ethics Act.                   Act.
        c. Clean Air Act.               f. none of the above.
    2. Discuss EPA's policy regarding disclosure of records to the public. Your
      reference should be Title 40, Part 2, of the Code of Federal Regulations.
                          80
mttmwmuwuuuuuuuuuw
     3. Which of the following types of information does EPA not disclose to the
       public?
         a. defense secrets                e.  personnel and medical
         b. internal personnel data             files
         c. trade secrets                 f.  all of the above
         d. interagency and intraagency
           memos
     4. According to EPA guidelines, what must companies do in order to insure con-
       fidential handling of submitted data?
    Answers are on the next page.


                            81

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                                Lesson IV
                                 Answers


  1.  e. Freedom of Information Act
  2.  Your reply should be consistent with the following excerpt from the Code of
     Federal Regulations: "EPA will make the fullest possible disclosure of records
     to the public, consistent with the rights of individuals to privacy, the rights of
     persons in trade secrets and other information entitled to confidential treat-
     ment, and the need for EPA to promote frank internal policy deliberations and
     to pursue its official activities without undue disruption."
  3.  f. All of the above.
  4.  EPA guidelines require companies to formally request confidential treatment of
     submitted data. The company must submit justification for holding data con-
     fidential or it will be released to the public upon request.
When you have checked your responses, please turn on the tape recorder.

                                   82
         Lesson  V: Cost of Enforcement Systems

                                   Objectives

     1. Identify five reasons why effective enforcement systems require adequate staff
       and funding.
     2. Name four ways that money may be collected for defraying costs of enforce-
       ment systems.
     3. Name six expenses that source owners or operators often incur as a result of
       enforcement systems.

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   Effective enforcement systems require
   availability of adequate personnel and
   funds.
    • engineers must be employed to review
      construction plans
    • variance reviews consume engineers' time
    • many inspectors are needed
                 84
Aiiimmmnmnntmuunmrnn
    Source testing is expensive
      • some agencies have their own
       source test teams
      • others hire independent con-
       tractors to conduct source tests
                  85

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   Personnel may be required for both

   technical and administrative support

     technical support functions
      • laboratory services
      • computer services
      • shop services

     administrative support functions
      • personnel
      • procurement
      • budget, including finance and accounting
      • general services, such as secretarial, clerical, reproduc-
       tion, phone, building maintenance, and mail
                    86


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   Types of Revenue Systems Used to

   Defray Costs of Enforcement Systems

     • fees for processing permits to construct
      and permits to operate
     • inspection fees
     • permit renewal fees
     • fines for violations of regulations
                    87

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 The implementation of enforcement systems
 is also an expense for the source owners and
 operators
Recordkeeping
Source testing
 Permit system fees  Related administrative
                    expense
Continuous emission  Technical personnel to
 monitoring systems  oversee these functions
      88
 Permit and  registration systems
 have proven to be effective
 enforcement tools.
                     89

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  Permit system
   • gives the control agency needed control over
     the location, design, and construction of
     pollution sources in its area

  Both permit and registration systems
   • allow the agency to control operation of
     these sources
                   90
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    From information obtained through
  both systems, the control agency knows
   location of
     sources
types of
sources
 types and
quantities of
 emissions
                    91

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      This information helps the agency
                keep track of emissions
     Suggestions
determine the success of its
control plans


make recommendations for
new regulations
    92
.mwmmnnniunuuuumuttti
   A balance must be struck among conflicting
   interests through
     • coordination of control agency efforts at all
       levels of government
     • citizen participation
     • industry cooperation

   in order to achieve compliance with emission
   regulations designed to achieve, maintain, and
   protect air quality in the interest of public
   health and welfare.
                     93

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                       Lesson V
                       Questions


    1. Which of the following are necessary for an effective enforcement system?
       a. engineers to review          d. source testing
         construction plans           e. personnel for technical
       b. engineers to conduct           and administrative functions
         reviews of variance          f.  all of the above
         requests
       c. an adequate number of
         inspectors
                        94
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    2. List four ways that money may be collected for defraying costs of enforcement
     systems.
    3. List six expenses often incurred by source owners or operators as a result of
     enforcement systems.
   Answers are on the next page.
                         95

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                             Lesson V
                             Answers


      1.  f. all of the above
      2.  fees for processing permits, inspection fees, permit renewal fees, and fines for
        violations of regulations
      3.  recordkeeping expenses, permit system fees, related administrative expenses,
        source testing costs, continuous emission monitoring system costs, and cost of
        technical personnel
     When you have checked your responses, review any material that you are not sure
     of, and then take the unit test which begins on page 97.
                               96
nunununummfflumuumnn
                             Unit Test

     1. Which Federal act requires states to submit implementation plans, requires
       permit systems for non-attainment areas, and requires fee systems to defray air
       pollution control costs?
     2. In which Federal document can one find current requirements for preparation,
       adoption, and submittal of implementation plans?
     S. In order to make sure that sources obey all applicable rules and regulations,
       states must have the authority to:
         a.  make source operators install,       d. make emission information
           maintain, and use continuous          available to the public.
           emission monitoring equipment     e. periodically inspect sources and
           on specified classes of sources.          conduct source tests.
         b.  make source operators main-       f. all of the above.
           tain records of their emissions.
         c.  make source operators report
           emissions information to the
           state.
                                97

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   4. True or False: The state's approval of any construction or modification of a
     source does not affect the source owner or operator's responsibility to comply
     with existing regulations. The source owner or operator is always responsible
     for compliance.
   5. In order to effectively perform enforcement functions, a state must have
     both	and	
   6. Name the type of system that requires source owners or operators to get
     approval from a governmental control agency before a new source of air pollu-
     tion is built.
                                98
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    7. The data obtained through permit and registration systems give control agen-
      cies information about:
        a. where pollution sources are       c. what types and quantities of
          located in its area.               emissions there are.
        b. what types of sources they are.     d. all of the above.

    8. List three control agency uses of the information obtained through permit and
      registration systems.
    9. Supply the missing word or phrase:
            Even if a facility is built according to approved
            specifications, a permit to operate is not issued if
            the facility	
  10. Define the term "variance" as it applies to air pollution control enforcement
      systems.
                                 99

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    11. A  ' registration system / permit system)   dnf>s not directly prevent construction
       of a source that is expected to violate emission regulations when placed in
       operation.
    12. Which of the following are air resource evaluation activities performed by con-
       trol agencies?
        a. air quality monitoring           d. mathematical modeling
        b. emission inventory compilation      e- prediction of future trends
        c. statistical analysis               f- all of the above
    13. List three kinds of things at a source that control agency inspectors examine.
                               100
umumnnuwuuuuuuuuuw
     14. Which of the following options are available to a control agency if it finds that
        an operating source is violating rules or regulations?
          a. suspension of permit to operate     d. suspension of permit to
          b. revocation of permit to            construct
           construct                    e. all of the above
          c. revocation of permit to operate
     15. The Fourth Amendment to the U.S. Constitution protects people
        against	
     16. There is much controversy concerning confidentiality of information provided
        by pollution sources versus right of access to the air pollution agency records
        required by the	Act.
                                101

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17. Discuss EPA's policy regarding disclosure of records to the public. Your
    reference should be Title 40, Part 2, of the Code of Federal Regulations.
18. According to EPA guidelines, what must companies do in order to insure con-
    fidential handling of submitted data?
19. List four ways that money may be collected for defraying costs of enforcement
    systems.
20. List six expenses often incurred by source owners or operators as a result of
    enforcement systems.
                                     102
                                  Unit Test
                                   Answers
   1.  the Clean Air Act
   2.  the Code of Federal Regulations
   3.  f. all of the above
   4.  true
   5.  authority to perform enforcement functions and procedures to carry out
      enforcement functions
   6.  construction permit system
   7.  d. all of the above
   8.  keeping track of emissions
      determining the success of its control plan
     making recommendations for new regulations
   9. is not able to comply with emission regulations and/or causes ambient air
     quality standards to be exceeded
                                      103

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    10. a variance is a temporary permit to operate, out of compliance, usually issued
       for the period of time needed to make the changes necessary to bring a source
       into compliance
    11. registration system
    12. f. all of the above (as appropriate to the actual case).
    13. a source's records, facilities, and equipment
    14. a & c
    15. unreasonable searches and seizures
    16. Freedom of Information
    17. your reply should be consistent with the following  excerpt from the Code of
       Federal Regulations: "EPA will make the fullest possible disclosure of records
       to the public, consistent with the rights of individuals to privacy, the rights of
       persons in trade secrets and other information entitled to confidential treat-
       ment, and the need for EPA to promote frank internal policy deliberations and
       to pursue its official activities without undue disruption."
                                104
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    18. EPA guidelines require companies to formally request confidential treatment of
       submitted data. The company must submit justification for holding data con-
       fidential and EPA must make a formal finding that it is information entitled
       to protection, or it will be released to the public upon request. EPA will not
       hold emissions data to be confidential.
    19. fees for processing permits
       inspection fees
       permit renewal fees
       fines for violations of regulations
    20. recordkeeping expenses
       permit system fees
       related administrative expenses
       source testing costs
       continuous monitoring system costs
       cost of technical personnel
                                 105

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