B II r.
450R77101
                 GUIDELINE  SERIES
                           OAQPS NO. 1.2-098
                               December 1977
                             CLEAN AIR ACT




                          SECTION 174 GUIDELINES
                   US. ENVIRONMENTAL PROTECTION AGENCY
                     Office of Air Quality Planning and Standards





                       Research Triangle Park, North Carolina

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              CLEAN AIR  ACT
         SECTION 174 GUIDELINES
        Guidance orr designation of
        lead planning organizations
        for nonattainment areas and
        ort determination of inter-
        agency responsibilities
              December 1977
            Issued Jcrintly by

The- U.S., Environmental  Protection Agency

                   and

 The U.S. Department of Transportation

            Washington, D.C.

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                            TABLE OF CONTENTS
Section                                                Page Number
1.   Introduction
          1.1 Applicability	 1
          1.2 Purposes	,	1
          1.3 Background	..,..;	1
2.  Selection of a Lead Planning Organization
        i   
          Z.T Criteria, for Selecting an Organization _ ..    .1
          Z.2 The Selection Process . 	 4
3". Joint Determination" of Responsibilities ..........  .5
          3.1 Joint Determination- Process	.. . . . 6
          3.Z Notification of Affected Governmental
              Organizations ^. .,..,.*....	S
          3*.3 Establishment of a. Determination
              Process	 ..._. 7"
          J.4- Formal Identification of Responsibilities . . 7

Appendix A.  List of Key Dates
Appendix B.  Section
General questions on any of the material covered by this guideline
should be sent to the Office of Transportation and Land Use Policy (AW-
445), U.S. Environmental Protection Agency, 401 M Street, S.W., Washington,
D.C. 20460, Attention: Ms. Martha Burke.  Ms. Burke's telephone number
is (202) 755-0570.  Questions concerning specific state or local areas
should be directed to the appropriate EPA regional office.

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                            1.   INTRODUCTION
1.1 Applicability

These guidelines are applicable to all  metropolitan area regions  or
portions of regions where the national  ambient air quality stan-
dards for photochemical oxidants or carbon monoxide will not be
attained by July 1, 1979.

1.2 Purposes

The purposes of these guidelines include:

    1.  To recommend procedures and criteria for determining a
        lead agency to be responsible for coordinating the prep-
        aration of the implementation plan revisions called for by
        the 1977 amendments to the Clean Air Act (P.L. 95-95)
        in metropolitan area regions where carbon monoxide or
        photochemical oxidant standards w-ill not be attained
        by July 197*.

    2.  To assist state and local governments in identifying the
        initial planning, implementation,, and enforcement responsi-
        bilities for the plan revisions and in establishing a process
        for further definition of responsibilities as development of
        the revisions progresses.

    3.  To encourage further coordination and consolidation of
        federally sponsored planning programs.  This includes the
        integration of the new- transportation related air quality
        requirements under P.L. 95-95 into the transportation
        planning process required by federal transportation grant
        statutes.

 1.3 Background

On August. 7\ 1977, President Carter signed, into law- the first compre-
hensive amendments to the Clean Air Act since 1970.  Among
the more important changes in the Clean Air Act are provisions en-
couraging local governments and organizations of local elected
officials to assume additionaT responsibilities in the development,.
 implementation, and enforcement of plans to attain national ambient
 air quality standards..  Such plans were first required under the
 1970  amendments to the Clean Air Act~  The 1977 amendments require
 plan*  revisions for areas where standards have not been attained.

The assumption of additional responsibilities by local governments
 and local officials is specifically encouraged in those areas where
 photochemical oxidant  and carbon monoxide standards will not be
 attained by July 1, 1979 (section 174(a)).  The first identification
 of nonattainment areas for these and other pollutants under the
 requirements of  the 1977 amendments must have been made by states by
 December 5, 1977.  The Administrator of the Environmental Protection

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Agency (EPA) must publish a list of these areas, with any modifica-
tions he deems necessary, by February 3, 1978.

For areas where standards for photochemical  oxidants and carbon
monoxide will not be attained by July 1, 1979,  state and local
elected officials must jointly determine by February 7,  1978, their
respective responsibilities for the plan revisions necessary to
attain standards by the new deadlines in the 1977 amendments.  The
plan elements for which responsibilities are to be jointly determined
encompass control measures for all pollutants for which  standards
have not been attained, not just photochemical  oxidants  and carbon
monoxide.

The amendments require that, where possible, the implementation
plan revisions be prepared by an organization of local elected
officials designated by agreement of local governments.   The amendments
strongly encourage preparation by the organization now responsible
for transportation planning under section 134 of title 23, U.S.C.,
or for air quality maintenance planning (or for both).  The desig-
nated organization and its responsibilities must be certified
by the state (or states if an interstate- area is involved).  Where
Tocal governments have not reached agreement by February 7, 1978,
the governor must, in consultation with the elected officials
of local governments in the affected area, designate an  organization
of local elected officials or a state agency to prepare the plan
revisions.  The designation by the governor must be in accordance with
the joint determination of responsibilities made by state and local
elected officials.

The governor must,, under regulations which the EPA will  propose dur-
ing December 1977,. submit a notice to the EPA certifying the designated
agency for each nonattainment area or identifying the organization
that he or she has designated.  The notice must include a brief
summary of the process involved in selecting the designated agency.  A
more detailed documentation of the selection process shall be included
as part of the plan revisions to be submitted to the EPA by January 1,
1979.  Evidence of the involvement of state legislatures and local
governments  is required as part of the plan revision submittal (section
17Z(b)(9)).

Only organizations of local elected officials of general purpose
governments certified by the governor will be- eligible for the
grants authorized under section 175F of the amendments.  In each urban
area which is wholly or partially classified as a nonattainment area,
only one organization will be eligible to receive a grant.  The org-
anization receiving: the grant may use the grant,funds to support
plan revision- activities carried out by-cttJie**-gDvernmental organiza-
tions,, public interest, groups, or private-consultants..

 In  addition  to further defining the process for implementation of
the Clean Air Act amendments, the EPA and the Department of Trans-
portation also encourage  in these guidelines further coordination and
consolidation of  federally  sponsored planning programs.   Such encourage-
                                    -2-

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ment is consistent with President Carter's Environmental Message of May
1977 and with subsequent actions taken by the President to eliminate,
consolidate, or simplify federal planning requirements.  The Environ-
mental Message in part stressed the need for improved implementation of
environmental laws through more efficient delivery of federally funded
programs.  The encouragement for coordination and consolidation
does not imply the advocacy of any particular institutional mechanism.
A wide variety of mechanisms ranging from concentration of authority or
responsibility in a single organization to development of memoranda
of understanding among several organizations are available to achieve
the same objectives.
                                     -3-

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               2.  SELECTION OF A LEAD PLANNING ORGANIZATION

2.1 Criteria for Selecting an Organization

These guidelines are intended to assist state and local  officials
in reaching agreement on the lead planning organization  to be res-
ponsible for plan revisions called for by the 1977 Clean Air Act
amendments.  The role of the lead planning organization  may vary
from developing almost all elements of the plan revision to acting
as a forum for decisionmaking by elected officials on elements
developed almost entirely by other organizations.  In most instances
the lead organization will probably develop some elements,, coordi-
nate the development of other elements, and serve as a. forum for
deciding the ultimate nature of the plan revisions.

The amendments require that,, where feasible, the organization des-
ignated and certified to prepare the plan revisions shall be (1) the
metropolitan planning organization (MPO) responsible for the con-
tinuing, cooperative,, and comprehensive transportation planning
process for the affected: area; (2) the organization responsible for
the air quality maintenance planning process; or (3) an  organization
responsible for both- planning processes.  Coordination of the devel-
opment of- a plan revision with the MPO transportation planning process
is particularly important in those nonattainment areas where transpor-
tation control measures appear necessary to attain standards.  Only
through the MPO process can the federal funds available  under FederaT
Highway Administration and Urban Mass Transportation Administration
programs be used to. implement necessary transportation management
measures and cap.ital projects-

The Administrator of the EPA also strongly encourages that, in
addition to meeting the requirements described above, the designa-
tions made pursuant to section 174 contribute to a consolidation
wtfthirr * single organization of responsibilities for air quality
planning and for other environmental pTanning carried out under
federal laws administered by the- EPA.  These- laws include the
Federal Water Pollution Control. Act, the Safe Drinking Water Act,.
and the Resource Conservation and Recovery Act.  The EPA believes
that,, where properly applied,, consolidation- of environmental planning
efforts, ts arr essential step; in the* development of comprehensive
environmental strategies that are able to take into account the
interrelated, nature of environmental problems.  Comprehensive strategies
can also result- in a more efficient and effective use of resources in
achiev-ing; environmental benefits,.

The following criteria should be considered by local elected offi-
cials and by the governor when determining the lead planning organi-
zation for urban nonattainment regions:

     1.  The organization should be the forum for cooperative deci-
         sionmaking by principal elected officials of general purpose
                                   .4-

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           local  governments.   The principle  elected  officials  of gen-
           eral  purpose local  governments  should  have adequate  (prefer-
           ably  majority or  larger)   representation  in the  organization
           but membership need not be limited to  them or  their  designees.
           There' should be participation  by agencies  that may be respon-
           sible for implementation of portions of the plan.

      2.    The organization  should have a planning jurisdiction that  includes
           the current urbanized area and  the area likely to  be urbanized
           at least over the period to be covered by  the  revised plan.

      3~.    The organization  should have the ability  to produce  the necessary
           plan  revision for the planning jurisdiction described above.
           by the January 1, 1979> submittal  deadline. The organization
           should have the capability to  perform  the  necessary  analysis
           and planning tasks itself or be able to enter  into binding
           agreements with other organizations to perform such  tasks.

      4-.    The. organization should have the capability to coordinate
           the development of the p/lan revision with  other  relevant
           planning processes, if it does -not have responsibility for
           those processes,  and with- agencies that may have responsibil-
           ity for implementation or enforcement. Relevant planning
           processes include the continuing,  cooperative, and compre-
           hensive planning process; other environmental  planning pro-
           cesses. assisted through EPA-administered  programs-, and com-
           prehensive planning" processes  established  in accordance with
           Part IV of the Office of Management and Budget Circular A-95
           (4-1 FR 2052) .

     The Selection Process
 Local governments within a nonattainment area for photochemical
 oxidants or carbon monoxide may, by agreement, designate an organ-
 ization of elected officials, of local government to prepare the
 plan revision for the pollutants for which standards in that area have
 not beerr attained*.  A resolution* by the governing body of an organi-
 zation meeting the: criteria in section 2.1 of these guidelines is suffi-
 cient to demonstrate agreement -of local governments.  Such a. designation
 must be submitted to the governor by February 7, 1978.  Local govern-
 ments intending to designate an organization should consult with the
 state during, the designation process.

 If local governments agree on an organization by February 7,. 1978,. the
. governor shall certify that, organization by April 1, 1978^ unless he or
"she finds that the designated organization does not meet the criteria in
 section 2.1.  If local governments have initiated, but have not  com-
 pleted, designation of an organization by February 7,  1978, they should
 inform the governor that an on-going process exists.

 If local governments are unable to agree by February 7 on a single lead
 organization of local elected officials to be responsible for the
                                    -5-

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coordination of the plan revision,  the governor shall,  in consultation
with local elected officials of general purpose local  governments,  desig-
nate an organization or a state agency by April 1,  1978.   If more
than one organization meeting the criteria in section  2.1 is self-
designated in an area and proposed  to the governor  for  certification,
the governor shall certify the organization which,  in  his or her
opinion, is most capable of completing the required plan  revisions.

The governor may designate a state, local, or regional  agency,  but  that
designation shall be in accordance with the joint determination of
responsibilities required by section 174 of the Clean  Air Act amend-
ments and discussed in the following section of these guidelines.
In making a designation,, the governor shall take into  considera-
tion any on-going process of .local designation in existence on
February 7, 1978,. even though no formal agreement among local gov-
ernments has been reached.  '

The governor shall submit to the Adminstrator of the EPA  by April 1,
1978,. through the appropriate. EPA regional office,  a list of all
organizations or agencies certified or designated within  the state,
a description of the geographic jurisdictions of these organizations
and agencies,, and a general description of their responsibilities.
Regardless of the agency finally designated or certified, the deci-
sions should reflect an examination- of all reasonable alternatives
for consolidation of environmental and other planning functions.  The
submission- should include a- brief discussion of the alternatives
investigated and the basis for the ultimate choice.  If the organi-
zation- designated or certified by the governor is not o'ne of the
organizations encouraged by the amendments and by the Administrator
in these guidelines, the reasons that such an organization should
not have the lead responsibility for planning should be specifically
addressed.  More detailed descriptions, including documentation of
the consultation that occurred, shall be submitted by January 1, 1979,
w-itlr the: impJementation plan revision.
                                    -6-

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               3.  JOINT DETERMINATION OF RESPONSIBILITIES
3.1 Joint Determination Process

The determination of responsibilities made jointly by state and
local elected officials will necessarily have to be relatively
general for many areas.  The nature and extent of the air quality
problem may not be adequately defined by the February 7,  1978, deadline
specified in the amendments.  In addition, the planning process guide-
lines for photochemical oxidant and carbon monoxide nonattainment areas,
required to be prepared by the EPA also by February 7, will not be
available for consideration in the joint determinations.   The nature of
the process recommended in the EPA guidelines should influence the
ultimate'determination of responsibilities.

Because agency responsibilities* especially for plan implementation
and enforcement, will undoubtedly change or become more specific
by the time a plan revision is actually submitted to the EPA for
approval, the determination of responsibilities should be viewed as
a process, the first phase of which is to be comp-leted by February 7,
1978.  The final product of the joint determination process should
be included as part of the plan revision submitted by January 1, 1979.
Possible steps in this phased process are set forth below.   Because
institutional arrangements, differ from reg.ion to region and from
state to state,, specification of a generally applicable process for
joint state-local determination of agency responsibilities is not
possible.

Many state and local governments already have initiated such a
process.  As long as the approach taken provides for substantial
involvement of all parties - local governments, regional  agencies,
and states - and results in the identification of agencies and res-
ponsibilities as described in these guidelines, such an existing
process is sufficient to meet the requirements of section 174(a).
The activities described in the following section should be com-
pleted by February 7, 1978,. to comply with the requirements of sec-
tion 174.

3.2 Notification of Affected Governmental Organizations

The state shouldv by correspondence or other established  notifica-
tion procedures, ensure that all affected governmental organizations
withirr the nonattainment regiorr are informed of the purpose and
schedule of the: joint determination- process.  In many instances, an
entire state- may be designated as. a nonattainment area for photo-
chemical oxidants.  However, many control strategies will  still generally
focus on urban regions.  As a minimum, the following organizations
should be notified in each region:

     a.  General purpose local governments.
                                    -7-

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     b.  Organizations of local  elected officials  (including  all
         metropolitan planning organizations).

      c.   Air pollution control  agencies (including  the  agency  or
          agencies responsible for air quality  maintenance  planning

      d.   Areawide A-9S clearinghouses.
      e.  Areawfde angfetfcrtewfete water quality planning agencies
          designatMfy^er set?|*W ZU8 q4 the Federal  Water  Pollu-
          tion Contra! Act*  :

      f.  Af*awfde salt* waste management agencies.

      gv  Areawide comprehensive planning agencies.

      h.  Coastal  management agencies.

      t.  Interested citizen groups.

3.3 Establishment of a Determination  Process.

The state should ensure the establishment of a process for determination
of agency responsibilities that  will-  provide state and local  elected
officials of all major political subdivisions within a region with  an
opportunity for substantial involvement and that will  enable the  con-
cerns of these officials, ta be adequately addressed.   This may  be done
through a variety of mechanisms  including- the establishment  of  task
forces with state and local government representatives and the  use  of
public meetings or hearings with elected officials of  all  major general
purpose local governments within the  affected regions  invited.  Where
appropriate, existing forums such as  meetings of organizations  of local
elected officials or meetings of air  quality maintenance policy advisory
groups shou.ld be used in the determination process...

A-1T state and local officials participating in the determination  of
agency responsibilities should have the opportunity to propose  agencies
and their respective functions.   All  proposals should  be made available
ta affected agencies and the general  public for comment^

3.* Formal Identification of Responsibilities.

The initial joint determination  of responsibilities: shall^at^a.-mirtl--
mum; establish? which level of government (although not  necessarily the
specific agency) - the state, local governments, regional agencies  or
any combination of these - shall be responsible for:   (1)  the development
of an accurate, comprehensive,  and current emission inventory;  (2)  the
completion of an air quality analysis, using modeling  techniques, to
                                   -8-

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determine the level of control needed to attain standards;  and
(3) the evaluation and selection of control  strategies for
mobile sources, point sources, and area sources.  An initial
assignment of responsibilities for implementation and enforcement
must be considered.  However, it is expected that the final
determination of such responsibilities will  occur after the
measures to be included in the plan revision have been relatively
well defined.

When agreement is reached among the state and the participating
local elected officials, memoranda of understanding or other
comparable joint acknowledgements of responsibilities should be
signed.  Because duties and responsibilities for implementation
and enforcement of plan revisions may change as development of the
plan revisions proceeds> the determination of agency responsibilities;
need not be incorporated in the state implementation plan until
the revisions are submitted for federal approval.  The initial
determination of responsibilities made by February 7, 1978, to meet
the requirements of section 174,. should be submitted by April 1, 1978,
to the EPA with the certifications, of lead planning organizations.
discussed in section Z of these guidelines^
                                    -9-

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                               APPENDIX  A
                            LIST OF KEY  DATES
      Date

August 7, 1977


December 5, 1977


February 3, 1978


February 7r 1978
April T, 1973
           Action

Clean Air Act amendments are
signed into law.

States identify nonattainment
areas*

EPA- publishes list of nonattain-
ment areas~

Local governments designate org-
anizations of loca.1 officials..

State and. local elected: officials
complete joint determinations of
responsibilities.

Governors: transmit to. EPA certifi-
cation of lead planning- organizations
and; joint determinations of responsi-
bilities.
January T* 1979
Governors transmit to EPA plan revi-
sion for nonattainment areas-

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                                       APPENDIX  B
                                       SECTION  174
                                   "^.xu - I hl^L
.USC75Q4*      ttSxo. IJiL ().. "W^iitt^fflZ-montia after the qv^Tn*"* of die
                   A f Ad? A Tnor^ftMm**. tyf, 1977, fOC I'Hi TCgjOU ill Wnictt ~thfl'
             national primary amhi^nt ajy cpiality standard, for carbon monoxide
             oer phc*"^1*""?*! *^tm*l or enforced ty *^"> Stata ^4. whicli
             	. elements wH bV planned for- *T& irnpfawr*^ or -enforad by
            local gpTjenanents qr-regional agencies, or any combination of local
             rorenonents. rgyr^f>n) ^   * -'     '-"J->-   -'--
                                                    ,
                          ia part. sfaatH ha prepm^ fey aat/ngTM^i
             qffimT< of; lv^j goTennTtents- designated, by p^nxinopti of tiid'
             goreramanta- in. an afbetecc.areay.and certttedJry tne Stata foe this
             pp.poss  Where* sncn>.ao; nrian9it^iy*j. '\t**r nofe-oeeOi .designated by
             ^^> Am*n^fTna-f 19TT, tn GoTctnor (or, in;th case- of an inter-
             state area, GoTarnprs) , after ctMtsnltation with, ejected offidftLr of local
                         a
                                                           an orzaniz&tion of
                           o lo*?*!. tfiurnTn>n*3 in ^-b* affected area, or a- Stata
                                   .
            agency tat prepare- sock plWneta feasible^ roch organization shall
proceat
                 i* 7afempi^]^n pTonTifpg nfyvn\f9.t^rm joaigrmt^u tOt COH<231Ct thtf
                 jiuMTgy eoopeifttm and compnhensrre tranroortatibn planning;
                 eat for the araa.nnder8ection.lSi of title 23, united States Code,.
                                                              _
                                                          provisions ^pvyyfcVre
                                                           xmder section
                                                                     pl
      ^United State* Ccdev
      '       *    *      . 
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