GUIDELINES FOR IMPLEMENTATION
OF SECTION 507 OF THE
1990 CLEAN AIR ACT AMENDMENTS
FINAL GUIDELINES
U.S. EPA
Office of Air Quality Planning and Standards
Office of Air and Radiation
Research Triangle Park, NC 27711
January 1992
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TABLE OF CONTENTS
PREFACE v
1.0 INTRODUCTION 1
1.1 EPA Obligations Under Section 507 2
12 State Obligations Under Section 507 6
2.0 GENERAL REQUIREMENTS FOR SIP APPROVAL 12
3.0 COMPONENTS OF A STATE SMALL BUSINESS STATIONARY SOURCE TECHNICAL
AND ENVIRONMENTAL COMPLIANCE ASSISTANCE
PROGRAM (PROGRAM) 17
3.1 Designation of a State Office to Serve as Ombudsman For Small Business . 17
32 Establishment of a Small Business Assistance Program (SBAP) 20
3.2.1 Methods for Disseminating Technical and Compliance Information to
Small Businesses 21
322 Assistance to Small Businesses on Methods of Pollution Prevention
and Accidental Release Prevention and Detection 26
3.23 Establishment of Compliance Assistance for Determining Small
Business Stationary Source Applicability Requirements and
Permitting 30
3.2.4 Methods for Notifying Small Businesses of their Rights on a Timely
Basis 31
3.25 Establishment of an Audit Program 32
32.6 Procedures for Consideration of Requests from Small Business
Stationary Sources for Modifications of Work Practices or
Technological Methods of Compliance 33
33 Establishment of State Compliance Advisory Panels 34
33.1 Authority and Functions of the State Compliance Advisory Panel .. 34
332 Selection of Panel Members 35
333 Implementation of the Compliance Advisory Panel 35
APPENDIX A
APPENDIX B
APPENDIX C
APPENDIX D
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LIST OF TABLES AND FIGURES
Table 1 Major Stationary Sources as Defined in Titles I and HE of the Act ... 9
Table 2 Ways of Implementing the Proactive and Reactive Components of
Information Dissemination to Small Businesses 27
Figure 1 Information Transfer System on Compliance and
Technology Information 25
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PREFACE
Implementation of the provisions of the 1990 Gean Air Act Amendments
(Amendments) will more likely require regulation of small businesses in order to attain and
maintain the national ambient air quality standards (NAAQS) and control air toxic
emissions. These small businesses frequently lack the technical expertise and financial
resources necessary to evaluate State regulations and determine the appropriate mechanisms
for compliance. The Congress, in anticipation of this new burden on sm^n businesses,
added provisions designed to be implemented by the Environmental Protection Agency
(EPA) and the States to provide technical assistance and compliance information to small
businesses. This document is intended to delineate the Federal and State roles in meeting
these new statutory provisions and to provide guidance to the States on submitting an
acceptable State implementation plan (SIP).
The material included in this document is meant to provide guidance to States in the
adoption of a Small Business Stationary Source Technical and Environmental Compliance
Assistance Program. Hie EPA describes the statutory requirements set forth in section 507
of the amended Gean Air Act (Act) and presents recommended interpretations of those
requirements. The State must comply with all statutory requirements of the Act however,
to the extent that EPA is interpreting the Act requirements, these interpretations are not
binding on the States, and EPA will independently evaluate each State plan in light of the
Act's requirements.
Section 507 of the Amendments (42 U.S.C 5266If) requires each State to submit a
revision to the federally-approved SIP by November 15, 1992 to establish a Small Business
Stationary Source Technical and Environmental Compliance Assistance Program. Failure
of the States to adequately respond could result in the imposition of one or more penalties
(sanctions) included in the statute. The EPA recognizes that most States have active
technical support programs to assist regulated sources. The EPA encourages States to
continue any ongoing technical and compliance assistance programs and, wherever possible,
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to include all appropriate State agencies in the process of proactive and reactive support to
small businesses. The EPA interprets the statute as granting the States substantial flexibility
in designing and implementing programs to assist applicable sources. The EPA has
designed its guidance, as set forth in the following chapters, such that it does not overburden
the States with prescribed methods of meeting the statute. The EPA believes that States
and associated local agencies are the best sources of information to small businesses and can
provide the most efficient service to the regulated community. Although the Act does not
require local agencies to develop small business technical and compliance assistance
programs, the States may find it appropriate to cooperatively work with such local agencies
whenever such agencies can be supportive of the SIP required program.
The EPA desires that States be as innovative as possible in program design and
implementation To that end, the Agency is examining some of the existing technical
assistance programs at State and local levels designed to provide general and/or specific
technical support to small businesses. While these programs may not have been designed
to meet the provisions of section 507 or may address environmental pollutants other than
those encompassed by the Act, these programs can demonstrate the approaches envisioned
by section 507. The EPA will provide this information to States as soon as it is available.
In the interim, EPA encourages State-to-State communications to investigate methods for
providing proactive and reactive support to small businesses.
The following three terms used in this guideline are important to understand: State
office to serve as Ombudsman for small business (Small Business Ombudsman); the small
business assistance program (SBAP); and the Compliance Advisory Panel. The combination
of these three terms is referred to as the PROGRAM. The core of the PROGRAM is the
SBAP. This is where the actual assistance to small businesses occurs. The Small Business
Ombudsman is to serve as a representative for small businesses in the implementation of
the State's responsibility under section 507. The Compliance Advisory Panel is to render
advisory opinions, submit reports to EPA on the PROGRAM effectiveness, and review
information to assure that it is understandable by the layperson.
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1.0 INTRODUCTION
Congress adopted Title V, section 507, of the Amendments for the purpose of
ensuring that small businesses would have access to the technical and compliance
information necessary to comply with the Act Toward achieving this objective, section 507
includes requirements that apply to the EPA as well as other requirements that States must
meet In addition to these mandated requirements, section 507 also provides EPA and
States with the opportunity to exercise discretion in certain areas of program
implementation. Summaries of the EPA and State mandatory and discretionary provisions
contained in section 507 are presented in Subchapters 1.1 and 1.2, respectively. To assist
States in meeting both the mandatory and discretionary provisions contained in section 507,
EPA has developed this guidance document for States to use in developing and
implementing a small business technical and environmental compliance assistance program
(herein referred to as the "PROGRAM"). In general, the PROGRAM includes three key
components: (component #1) the designation of a State office to serve as Ombudsman for
small businesses in connection with the implementation of the Act; (component #2) the
establishment of a small business assistance program (SBAP) for providing technical and
compliance assistance to small businesses; and (component #3) the creation of a
Compliance Advisory Panel for determining the overall effectiveness of the SBAP.
Chapter 2.0 of this guidance document describes the general requirements for States
to follow in providing a demonstration to EPA of the adequacy of their PROGRAM in
order to receive approval of the PROGRAM as part of the SIP. Chapter 3.0 addresses the
three key components of a State's PROGRAM.
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1.1 EPA Obligations Under Section 507
Within nine months after enactment of the Amendments, section 507(b) requires
EPA to establish a Federal program. The functions of the program will include (1) assisting
States in developing a small business technical and environmental compliance assistance
program; (2) issuing technical guidance for the States to use during implementation of the
PROGRAM, including guidance on alternative control technologies, pollution prevention,
and accidental release prevention methods for small business stationary sources; and (3)
providing for the implementation of a portion of the PROGRAM under section 507(a)(4)
if a State fails to submit such a program. Toward meeting the first requirement, EPA is
issuing this guideline document. Furthermore, EPA will follow-up with individual assistance
to States that request such help. States are encouraged to work with the appropriate EPA
Regional Office to resolve issues or to discuss additional interpretations of these provisions.
In order for EPA to meet its second obligation of providing technical assistance to States,
EPA is utilizing its current technical support services such as the Control Technology Center
(CTC), the Emissions Measurement Technical Information Center (EM1TC), the Emergency
Planning and Community Right-to-Know Hotline, and the Pollution Prevention Information
Clearinghouse (PPIC). A brief description of these services is provided in the following
paragraph. These technical support centers and offices can provide the States with up-to-
date information on new methods, control techniques, and upcoming regulations. In
meeting the third requirement, EPA is designing and will operate a small business technical
and compliance assistance program by utilizing contractors under EPA supervision and the
aforementioned technical support services, which will be available if a State fails to
implement the provisions of section 507.
The EPA currently has various technical support services that the Agency anticipates
will be able to provide technical assistance to the States. The CTC is a no-cost, technical
assistance service for all State and local air pollution control agencies and Regional Offices.
It offers quick access to EPA experts via the CTC Hotline and in-depth technical support
through source-specific engineering assistance projects. The EMTIC is an information
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exchange network for the promotion of consistent, uniform application of stationary source
emission test methods in the development and enforcement of emission control programs
on a national basis. The Emergency Planning and Community Right-to-Know Hotline
provides ancillary technical services for EPA's Chemical Emergency Preparedness and
Prevention Office (CEPPO). The CEPPO is primarily responsible for programs involving
accidental releases of hazardous chemical substances. Under the authority of the
Emergency Planning and Community Right-to-Know Act of 1986 or SARA Title m, CEPPO
helps States and local entities plan what to do in the event of a chemical emergency. The
CEPPO's purview also extends to fostering the prevention and minimization of the
consequences of accidental releases, mainly under the accidental release provisions of the
Amendments. The prevention program, in particular, contains a strong outreach component
directed to smaller businesses that manufacture, store, distribute, or use hazardous chemicals
in other ways. Its aim is to increase the understanding and application of good prevention
practices and technologies, using an approach known as chemical process safety
management The Emergency Planning and Community Right-to-Know Hotline answers
questions concerning chemical accident prevention and the accidental release provisions of
the Amendments. It also deals with questions concerning chemical emergency preparedness
and other questions related to SARA Title m. The Hotline staff can be reached at 1-800-
535-0202. Finally, PPIC provides information on pollution prevention programs through
a variety of activities including a hard copy reference library, an electronic database, a toll-
free Hotline, and other outreach efforts such as distributing information packets and
conducting workshops.
Other services provided by the EPA will include (1) coordination with the Federal
regulatory development programs within EPA and other involved agencies to assure that
small business needs and permitting issues are addressed during standards setting and
control techniques guideline (CTG) development; (2) preparation of small business
instructional materials along with the development of any standards or CTG's that present
the information in easy-to-understand language (to include sample permits, simplified permit
application instructions, etc); (3) preparation of alternative control techniques (ACT)
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documents for sources that are affected by State programs but are not expected to be
regulated by Federal programs in the near future (efforts will be concentrated in those areas
that will benefit the most States); and (4) coordination with State SBAP's to develop, as
necessary and appropriate, materials for other small businesses.
In addition to these general requirements, section 507(c) contains a discretionary
provision that allows EPA to consider modifications to the eligibility criteria for determining
if certain small businesses may be excluded from the requirements of section 507, or if small
businesses have the technical and financial capability to meet the requirements of the Act
without the application of Section 507. The Agency will evaluate a State's request to
exclude sources from the SBAP based upon the statutory reasons for including such sources
for technical assistance, Len financial and technical capability to assess control alternatives.
In exercising this discretion, EPA must provide notice and an opportunity for public
comment and consultation with the Administrator of the Small Business Administration
(SBA).
Under section 507(d), EPA must establish a monitoring program through the EPA
Ombudsman's Office to monitor the effectiveness of each State PROGRAM under section
507. In so doing, Congress has charged EPA with a continuing oversight responsibility. To
this end, EPA has established an Ombudsman through the Office of Small and
Disadvantaged Business Utilization in the Office of the Administrator to monitor and report
to Congress on the effectiveness of this program. This Office can be reached at 763-552- . . _ .
1938r The EPA Ombudsman is required to (1) render advisoiy opinions on the overall
effectiveness of each State PROGRAM; (2) report periodically to Congress on the
compliance status of the EPA and State agencies with the requirements of the Paperwork
Reduction Act, the Regulatory Flexibility Act, and the Equal Access to Justice Act (see next
paragraph below); (3) review information (e.g^ enabling documents) issued by the
responsible Federal and State PROGRAM officials to ensure that it is understandable to
the layman; and (4) have the responsible Federal and State PROGRAM officials serve as
the secretariat for the development and dissemination of reports to Congress and advisory
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opinions. The EPA's Small Business Ombudsman Office would extend its program to small
businesses in that particular State, to the extent resources permit, if that State faifc to
designate a State office as Ombudsman to small businesses. In addition, the EPA Regional
Offices maintain a small business liaison for assisting States on matters relating to all
environmental media. A listing of these Regional contacts is contained in Appendix A.
The statute requires the EPA Ombudsman (and the State Compliance Advisory
Panel) to monitor each State PROGRAM for compliance with the Paperwork Reduction
Act, the Regulatory Flexibility Act, and the Equal Access to Justice Act. As such, the
Agency will monitor the State PROGRAM to determine whether it is following the broad
intent of these provisions.
In carrying out this oversight responsibility, there are a number of questions that may
help EPA evaluate the efficacy of each State PROGRAM. Examples of some potentially
relevant questions are contained in Appendix B.
Where the Agency has the responsibility for permitting and collecting fees, EPA may
reduce the fees required under the Act for small business stationary sources by considering
their available financial resources [section 507(f)]. While EPA has not established specific
criteria to be used in the process of determining whether fee reduction is appropriate, the
Agency will be guided by the statutory intent that such fees not detract from the
implementation of control objectives. Requests for fee reductions will be assessed on a
case-by-case basis. The Agency does not intend of its own volition to grant broad fee
reductions for small businesses. Further, EPA is obligated under the Act to (1) consider the
necessity and appropriateness of continuous emissions monitoring (CEM) requirements for
small business stationary sources when developing regulations and CTG's that require
OEM's pursuant to the Act [section 507(g)]; and (2) consider the size, type, and technical
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capabilities of small business stationary sources in the development of CTG's for small
business stationary sources [section 507(h)].
12 State Obligations Under Section 507
States are required to establish and implement a PROGRAM as part of the State's
responsibility to have a fully-approved and implemented SIP. The SIP revisions which
incorporate this PROGRAM must be submitted to EPA within 24 months after enactment
of the Amendments (by November 15, 1992). The Agency interprets the Act as requiring
the State to submit, as a SIP revision, plans for establishing its PROGRAM. These plans
should provide for timely phasing in of the program elements with implementation to fully
comply with the statutory provisions of the PROGRAM by the effective date of the State's
operating permit program - Le., not later than November 15,1994. This timing is necessary
so that small businesses that will be subject to the permit requirements will have available
the guidance the PROGRAM is required to provide. As discussed in Chapter 2.0, in order
to receive approval of the section 507 portion of the SIP, the State must submit schedules
and commitments to have in place and/or to have operational all elements of the
PROGRAM. These program elements are discussed below. Where the State chooses to
submit schedules and commitments as the plan, these schedules and commitments must
specify how and when each element will be placed into full operation (i.e., the Governor
may not have specific authority to initiate a particular element, and the plan must
demonstrate the efforts to gain legislative approval and subsequent implementation if the
Governor does not presently have specific authority to initiate an element of the
PROGRAM).
In reviewing and approving section 507 SIP revisions submitted by the State, EPA will
fully approve each program element that is either fully implemented in accordance with the
statute and this guideline, or for which the schedules and commitments will ensure
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implementation by November 1994. Elements of submitted PROGRAMS for which the
State submits a schedule and commitment will be evaluated against the principles
established by the statute and this guideline.
The following program elements must be addressed in the SIP revision in order to
satisfy the requirements of section 507(a) regarding implementation of the PROGRAM:
1. Development, collection, and coordination of information on
compliance methods and technologies for small business stationary
sources.
2. Assistance to small business stationary sources on methods of pollution
prevention and accidental release prevention and detection, including
providing information concerning alternative technologies, process
changes, products and methods of operation that help reduce air
pollution.
3. Designation of a State office to serve as an Ombudsman for small
businesses in implementing the requirements of the Act
4. Establishment of a small business stationary source compliance
assistance program for determining applicable requirements and permit
issuance.
5. Adequate mechanisms for notifying small business stationary sources
on a timely basis of their rights under the Act
6. Adequate mechanisms for informing small business stationary sources
of their obligations under the Act, including a program for referring
sources to qualified auditors or for the State to provide for audits of
the operations of such sources to determine compliance with this Act.
7. Expedited procedures to respond to requests from small business
stationary sources for modification of any work practice or technical
method of compliance, or schedule of milestones for implementing
such work practice or method of compliance preceding any applicable
compliance date, based on the technological and financial capability of
any such small business stationary source. No such modification may
be granted unless it is in compliance with the applicable requirements
of the Act including the requirements of the SIP.
8. Creation of a Compliance Advisory Panel.
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Unless otherwise approved by EPA, the plan must demonstrate that all small business
stationary sources will be eligible for assistance under the State program. Section 507(c)
defines a small business stationary source as a stationary source that:
1. is owned or operated by a person that employs 100 or fewer
individuals;
2. is a small business concern as defined in the Small Business Act (see
definition on page 10);
3. is not a major stationary source as defined in Titles I and m of the
Amendments (these definitions are listed in Table 1)\
4. does not emit SO tons or more per year of any regulated pollutant1;
and
5. emits less than 75 tons per year of all regulated pollutants.
This demonstration can take the form of enabling documents defining eligible sources or
State certification that eligible sources will not be excluded from the PROGRAM without
prior EPA approval.
Section 507(c) allows States, after notice and opportunity for public comment, to
extend the definition of eligible source to include small business stationary sources which
'Regulated air pollutant" means the following:
(1) Nitrogen oxides (NOx) or any volatile organic compound.
(2) Any pollutant for which a national ambient air quality standard has been promulgated.
(3) Any pollutant that is subject to any standard promulgated under section 111 of the Act.
(4) Any Class I or n substance listed pursuant to section 602 of the Act.
(5) Any pollutant subject to a standard promulgated under section 112 or other requirements
established under section 112 of the Act, including section 112(r).
(6) Any pollutant subject to requirements under section 112Q) of the Act. Such pollutant shall be
considered to be regulated at the time the Administrator does not promulgate a standard by
the date established pursuant to section 112(e) of the Act
(7) Any pollutant for which the requirements of section 112(g)(2) of the Act have been met, but
only with respect to the individual source subject to section 112(g)(2) requirement.
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Table 1. Major Stationary Sources as Defined is Titles 1 and III of the Amendments2
TITLE 1
Sources subject to the nonattainmenl area provisions of Title I, Part D, with the
potential to emit pollutants in the following or greater amounts:
TONS PER YEAK (tpy)
(i) Ozone (VOCs and NOx)3
Serious 50
Transport regions not
severe or extreme 50 (VOC only)
Severe 25
Extreme 10
(ii) Carbon monoxide
Serious (where stationaiy
sources contribute significantly) 50
(iii) Particulate Matter (PM-10)
Serious 70
TITLE III
Air toxics sources, as defined in section 112 of the Act, with the potential to emit
10 tpy or more of any hazardous air pollutant, 25 tpy or more of any combination
of hazardous air pollutants, or a lesser quantity of a given pollutant if the
Administrator so specifies.
The EPA recognizes that several definitions east for the term 'major stationary source.* The EPA is
including this definition in tins document to dearly define those sources for which the State is minimally
responsibQe to provide technical and compliance under Section 507.
Far this purpose, Title I treats volatile organic compounds (VOCs) and oxides of nitrogen (NOx)
sources differently. In areas qualifying for an exemption under section 182(f), NOx sources with the
potential to emit less than 100 tpy would not be considered major sources under Part D of Title I. In
areas not qualifying for this exemption, NOx sources are subject to the lower thresholds created by
section 182(0* ozone transport regions, a lower threshold of 50 tpy for VOC sources is created by
section 184(b). Because section 182(f) does not refer to section 184(b), the lower threshold in ozone
transport regions applies to VOC sources, but sot to NOx sources. Whatever its location, anv 100 tov
source would be considered a maim- «mra> nnder section 302.
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do not meet the criteria of subparagraphs (3), (4), or (5) above, but do not emit more than
100 tons per year of all regulated pollutants. As these provisions of this guideline intend
to establish minimum criteria, the Agency does not intend to disapprove such expansions
that fit within the 507(c) exception. Should States fail to implement the PROGRAM,
however, EPA intends to implement the PROGRAM based upon the statutory criteria.
The Small Business Act defines a small business as any business which is independently
owned and operated and not dominant in its field as defined by Small Business
Administration (SBA) regulations under section 3 of the Small Business Act. The
definitions for a small business under SBA regulations can be found in 13 CFR Part 121 and
are listed by Standard Industrial Code (SIC) categories. For further assistance in
determining the size cut-off for defining a small business, States should consult with the
SBA's Office of Policy Analysis. States may contact SBA's Office of Policy Analysis at 202-
205-6530.
Section 507(c)(3)(B) also allows States to exclude from the small business stationary
source definition under section 507 those categories of small business stationary sources
which the State determines to have sufficient financial and technical support to meet the
requirements of the Act without the application of section 507. In exercising this discretion,
States must provide notice and opportunity for public comment and consult with the
Administrator of the EPA and the SBA. Such exclusions may not be implemented unless
approved by EPA as part of the appropriate SIP. In making its determination, EPA will
consult with the Administrator of SBA, taking into consideration public comments received
by the State, and the State's demonstration that the class of sources to be excluded are
financially and technically capable of implementing the Act
Section 507(e) requires States to create a Compliance Advisory Panel to carry out the
same duties required by the EPA Small Business Ombudsman. Given the short response
time and the need to coordinate with the legislature EPA believes that it is in the best
interest of the State to establish this panel as early as possible in this process. However, as
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already discussed is this subchapter, a State may submit a schedule committing the State to
establish this panel no later than November 1994.
Finally, section 507(f), allows States the flexibility to reduce any fees required under the
Act for small business stationary sources by considering their available financial resources.
The basic intent of section 507 appears to suggest that Stales remove zt the
burdens imposed on small sources to assist in complying with the provisions of the Act
Where States reduce fees, however, the modification to the fee structure must demonstrate
that the effectiveness of the PROGRAM will not be affected as a result
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2.0 GENERAL REQUIREMENTS FOR SIP APPROVAL
Under the Act, the State is not required to have the PROGRAM in place at the time
it submits the SIP revision, but rather to have a plan for PROGRAM implementation. As
a result, the State's submittal should consist of a description of the activities the State will
undertake and the infrastructure established (or to be established) to ensure each
component of the PROGRAM is accomplished (see Chapter 1.0). In order to receive EPA
approval of this required aspect of the SIP, the State should demonstrate that the
requirements in section 507 can be met by the implementation of the State's existing and
anticipated PROGRAM. The submittal by the State must address each of the required
eight elements presented in Subchapter 12 and discuss how each of the elements as
implemented by the State will meet the requirements established by the Act
In addition to submitting the required plan revision to the appropriate Regional Office
no later than November 15, 1992, each State must demonstrate that the submitted plan,
including implemented and yet-to-be implemented elements, is capable of meeting the
requirements of the Act In contrast to other types of plan revisions with clearly definable
objectives (i.e., attainment of the NAAQS), the demonstration is more of an abstract
analysis of how each element of the State program will work in concert with the overall
program to ensure that eligible small businesses are provided with the technical assistance
and compliance information envisioned by section 507. As explained in Chapter 1.0, the
State, in addition to any elements which have been implemented, may submit schedules and
commitments as part of the submittal due on November 15, 1992. Schedules and
commitments submitted must provide for implementation of the full program, as defined in
Chapter 3.0, not later than November 15, 1994.
Although the Act requires the State to submit "plans for establishing a [PROGRAM]"
by November 15, 1992, the Act does not specify when the PROGRAM must be fully
implemented. However, since States may begin to implement a federally enforceable source
operating permit PROGRAM by November 15,1994, the Agency believes it is necessary for
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States to have their PROGRAMS operational by that time. Since many aspects of the
PROGRAM concern informing the States about and aiding them with the permit program
requirements, the States need to be prepared at that point to provide these services.
In some cases, the measure of program adequacy is clear and easily quantified (i.e., the
designation of the State office to serve as Ombudsman). In other cases, the demonstration
is more subjective (sources will have access to appropriate technical information/staff to
assist in complying with the statutory provisions). In addition, in preparing these guidelines,
EPA has attempted to allow States the maximum degree of flexibility in designing and
implementing the PROGRAM. The easier option, from an EPA review perspective, would
have been to design a highly prescriptive PROGRAM. While this would have simplified
EPA's review responsibility, such a PROGRAM would not have recognized the differences
in State infrastructures and could have imposed substantial burdens on the States to design
and implement this PROGRAM. Since this program is substantially different from many
other SIP programs, it is logical for each State to ask, in advance of the State's efforts to
meet these requirements and design a PROGRAM, what PROGRAM is acceptable to EPA
in ordeT to receive approval of their State PROGRAM for incorporation into the federally-
approved SIP.
The State must demonstrate that the State PROGRAM clearly addresses each of the
eight statutorily mandated elements of the PROGRAM. The PROGRAM described in
Chapter 3.0 requires the State to develop an information dissemination system accessible
to small businesses (PROGRAM component #2). The State must demonstrate that it has
in place and operational an accountability system that serves small businesses in a reactive
mode (i.e., that the system components, however assembled and integrated, respond to
requests from eligible sources and provide such sources with the information regarding
compliance with State and Federal rules as required under the Act). Section 507(a)(5) of
the Act requires the State to develop and implement "outreach" programs. The State must
therefore demonstrate a proactive aspect of the PROGRAM which actively seeks to inform
small businesses of these rights, as well as the source's obligations under the Act. A
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PROGRAM without one or the other of these modes of operation is not approvable. The
Act also requires the State to evaluate the effectiveness of the State PROGRAM in
achieving these objectives. The EPA will examine the State-established procedures for
internal PROGRAM review designed to ensure maximum PROGRAM effectiveness. This
internal review process includes the Compliance Advisory PaneL It is advisable that the
Panel be functional at a time sufficiently in advance of the time required for full
PROGRAM implementation to assist in the design and initial implementation of the
PROGRAM, such that the panel can effectively perform oversight of the PROGRAM at
a later date.
As noted in Chapter 1.0, two of the components of the PROGRAM are the State
Ombudsman and the SBAP. The EPA anticipates that the primary responsibility for these
activities will be placed within State offices. The EPA does not prescribe the placement of
the Ombudsman Office4 or the office to be charged with implementation of an SBAP.
An Ombudsman, as defined in Webster's dictionary, is a deputy or representative. It
would appear that Congress, in establishing the requirement for designation of a State office
to serve as Ombudsman for small businesses (PROGRAM component #1), desired to
ensure that small businesses have a representative in the infrastructure being established
that understands the needs of small businesses. As such, EPA believes that in designating
the office, States should carefully examine how this office can represent the interests of
small businesses, especially in relation to ensuring that small businesses receive the technical
and compliance assistance demanded by section 507. As discussed in Chapter 3.0, there are
many duties that can be ascribed to the Ombudsman. The critical test for EPA approval,
with respect to this element of the PROGRAM, will be whether (1) the designated office
is encumbered with activities that prevent it from performing effectively; (2) sufficient
The term office is used interchangeably is this document to mean either a specific, designated State
official, the title of a State official, or an organizational unit or department within the Slate's
Executive Branch.
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expertise exists to represent small businesses; and (3) no conflicts of interest exist within the
office that would prevent the Ombudsman from serving effectively.
The Act requires that the State create a Compliance Advisory Panel (PROGRAM
component #3) for the primary purpose of performing oversight of the State's section 507
responsibilities. In submitting this component, the State must demonstrate that the Panel
is legally adopted and duly constituted as described in section 507, The panel must be
empowered to perform the statutory function as explained in Chapter 3.0 and must be
sufficiently funded to carry out these responsibilities.
The EPA, in review of the State PROGRAM as prescribed in the submitted SIP
revision, will attempt to assess whether the PROGRAM as designed by the State is capable
of meeting the statutory requirements. The EPA will assess each aspect of the SIP revision
as it relates to the goal of providing technical and compliance assistance to the affected
community. State assurances of PROGRAM operational capability should clearly describe
each PROGRAM element and demonstrate coordinated action between organizations,
whether State or local agencies, wherever the responsibilities are separate. To the extent
that several different governmental units are involved in implementation of the PROGRAM,
the State should demonstrate each office's responsibility and accountability under the
PROGRAM. In addition, the State must demonstrate the technical capability and sufficient
resource allocations for each office charged with implementing any element of the
PROGRAM. This demonstration may take the form of a memorandum of understanding
between the various governmental units or directives issued by the appropriate governmental
authority.
In addition, the State must demonstrate that adequate legal authority exists to
implement the PROGRAM (Le., interdepartmental coordination, ability to establish and
maintain the Compliance Advisory Panel, etc.), that adequate commitment of resources
exists to implement the proposed PROGRAM (Le., available staff, established hotlines,
designated Ombudsman, etc.), and that the PROGRAM has been duly adopted and
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subjected to public review as defined in the Act and 40 CFR Part 51, Subpart F. Where
elements of the PROGRAM are not in place at the time of SIP submittal, the State must
demonstrate activity to implement the element This could include, but would not be
limited to, requests for legislative authority to develop and implement the program elements,
budgetary requests for program support, allocation of resources from fees collected, and
contract bids for elements to be supported by nongovernmental personnel
Irrespective of the manner in which a State chooses to design and implement the
PROGRAM, it is incumbent upon the State to demonstrate the PROGRAM capabilities
in order to receive EPA approval. As discussed previously, EPA believes that States should
be provided with the marin-mrn degree of flexibility to develop and implement this
PROGRAM within the constraints of the statute. This means that there is no single
acceptable PROGRAM. In fact, EPA anticipates that States will use many different and
innovative approaches to ensure that the appropriate information is available to small
businesses. The EPA recognizes that many State and local agencies have provided technical
assistance to the regulated industry. The EPA trusts thai States will be able to formalize
existing activities to meet many of the provisions of these guidelines.
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3.0 COMPONENTS OF A STATE SMALL BUSINESS STATIONARY SOURCE
TECHNICAL AND ENVIRONMENTAL COMPLIANCE ASSISTANCE PROGRAM
(PROGRAM)
In order to comply with the provisions of section 507 requiring States to develop plans
for establishing a PROGRAM, States must incorporate three key components: (1)
designating a State office to serve as the Ombudsman for small businesses; (2) establishing
a Small Business Assistance Program (SBAP) that contains the necessary procedures for
meeting the objectives of section 507; and (3) establishing a Compliance Advisory Panel for
determining the overall effectiveness of the SBAP. This chapter provides guidance to States
for implementing these three key components of the PROGRAM. Specifically, Subchapter
3.1 provides guidance on the establishment of a State office to serve as Ombudsman for
small business (Small Business Ombudsman) (PROGRAM component #1), Subchapter 3.2
provides guidance for establishing an SBAP to provide assistance to small businesses subject
to the requirements of the Act (PROGRAM component #2), and Subchapter 33 provides
guidance for establishing a Compliance Advisory Panel to provide oversight of the
PROGRAM (PROGRAM component #3).
3.1 Designation of a State Office to Serve as Ombudsman For Small Business
The first key component which States must consider in implementing a PROGRAM is
the designation of a Small Business Ombudsman. One of the primary functions of the
Ombudsman is to represent small businesses to the appropriate governmental organizations.
The following discussion describes methods for satisfying the provisions of section 507(a)(3)
for designating an office within the State government to serve as an Ombudsman for small
business stationary sources.
In designating the Ombudsman the State may find it appropriate to identify a specific
State official or office. Recognizing that many States may already have an existing
Ombudsman office, the State may desire to expand the current duties of the Ombudsman
to include representing small businesses as the State implements the provisions of the Act.
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Prior to or simultaneously with designating a specif c official or State office, the State should
ensure that the office is provided adequate additional staff and funding to effectively
represent «mall businesses.
The EPA's review of the criteria set forth in Chapter 2.0 for approval of any State
office to serve as Ombudsman will consider the following:
Is the Office capable of representing small business concerns to the State air
pollution control agency? In some cases this may require independent status;
Will the Office have direct access to individuals or other government units to
ensure the views and needs of small business are considered? This may
include access to the Governor, the head of the State environmental control
authority, the head of the State economic developmental agency, the Attorney
General, or other secretary equivalent level officers;
Is the Office authorized to provide reports to and communicate with
appropriate personnel (e.g. State Legislators, Governor's office, the head of
the State environmental control authority, the head of the State economic
developmental agency, the Attorney General, or other secretary equivalent
level officers)?;
Is the Office granted sufficient independent authority to identify problems and
make recommendations as they relate to implementation of the SBAP?
The EPA encourages the early appointment of the State Ombudsman to assist in the
development of the SBAP. In addition, early involvement in the planning process will
enable the Ombudsman to assist in the oversight role ensuring that small business concerns
are represented. At a minimum the SIP revision should either clearly identify the
placement of the Ombudsman and indicate that this office has been designated prior to the
date of the SIP revision submittal or present a schedule based upon the necessary steps to
authorize establishment of the Ombudsman.
The State Ombudsman Office for small businesses, in order to represent small business
effectively, may be charged with the following duties:
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Conduct independent evaluations of all aspects of the SBAP;
Review and provide comments and recommendations to the EPA
and State/local air pollution control authorities regarding the
development and implementation of regulations that impact
small businesses;
Facilitate and promote the participation of small businesses in the
development of new regulations that impact small businesses;
Assist in providing reports to higher authorities and the public
regarding the applicability of the requirements of the Act to small
business;
Aid in the dissemination of information (i.e., upcoming air regulations,
control technologies, etc.) to small businesses and other interested
parties;
Participate in and sponsor meetings and conferences with State/local
regulatory officials, industry groups, and small business representatives;
Aid in investigating and resolving complaints and disputes from "nail
businesses against the State/local air pollution control authorities;
Periodically review the work and services provided by the SBAP with
trade associations and small business representatives;
Operate a telephone Hotline (possibly toll-free) to provide confidential
help on individual source problems and grievances;
Refer small businesses to the appropriate specialists in the SBAP where
they may obtain information and assistance on affordable alternative
technologies, process changes, products and operational methods to help
reduce air pollution and accidental releases;
Arrange for and assist in the preparation of guideline documents by the
SBAP to ensure that the language is readily understandable by the lay
person;
Work with trade associations and small businesses to bring about voluntary
compliance with regulations under the Act;
Interface with Regional and State offices of the Small Business
Administration, the Department of Commerce and/or other State and
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Federal agencies that may have programs to financially assist small
businesses in need of funds to comply with environmental regulations;
Interface with private sector financial institutions to assist small businesses
in locating sources of funds to comply with State/local air pollution control
requirements; and
Conduct studies to evaluate the impacts of the Act on the State's economy,
local economies, and small businesses.
States are encouraged to establish a network for sharing information on small
businesses. These efforts could be coordinated through the Ombudsman's office.
32 Establishment of a Small Business Assistance Program (SBAP)
The second key component that States must consider in implementing a PROGRAM
is the establishment of an SBAP. The SBAP should provide sufficient communications with
small businesses through the collection and dissemination of information to the small
business on matters of (1) determining applicable requirements under the Act and permit
issuance; (2) the rights of small businesses under the Act; (3) compliance methods and
acceptable control technologies; (4) pollution prevention and accidental release prevention
and detection; and (5) audit programs. The SBAP should also act as an information
clearinghouse by referring small businesses to State technical experts specifically trained to
handle specific questions relevant to achieving compliance with the Act For example, the
SBAP could operate a toll-free telephone hotline to respond to inquiries from small
businesses. Small businesses could learn about the services provided by the SBAP either
through direct contact with the SBAP or through information outreach programs with such
organizations as industry groups and trade associations.
In general, the SBAP may be coordinated directly through or under the direction of the
State air pollution control agency as an identifiable unit, but not be limited to this entity.
For EPA to approve an SBAP that is separate from the State air pollution control agency,
the State must demonstrate that the SBAP has the technical staff necessary to provide the
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technical information requested A contact person(s) in the State SBAP should be
established and a toll-free Hotline is also recommended.
In establishing an SBAP in accordance with this chapter, States must satisfy several of
the required program elements listed in Subchapter 12 under section 507(a). Specifically,
these elements are (1) developing, collecting, and coordinating information exchange on
compliance methods and control technologies; (2) providing assistance to small business
stationary sources with pollution prevention and accidental release prevention and detection;
(3) providing assistance for determining applicable requirements under the Act and permit
issuance; (4) determining adequate mechanisms for notifying small business stationary
sources of their rights under the Act on a timely basis; (5) determining adequate
mechanisms for informing small business stationary sources of their obligations under the
Act, including a program for referring sources to qualified auditors or for the State to
provide for such audits to determine compliance with this Act; and (6) procedures for
considering requests from small business stationary sources for modifications of work
practices or technological methods of compliance or compliance procedures. The SBAP
would provide information and/or compliance and technical assistance relevant to each of
these elements to small businesses. Information relative to procedures for implementing
each of these required elements is contained in the following subchapters.
3.2.1 Methods for Disseminating Technical and Compliance Information to Small
Businesses
Each SIP revision developed in response to section 507 must contain procedures for
disseminating information (easily understandable to the layman) on compliance issues and
control technologies. In addition, States must provide a means of handling small business
inquiries on specific methods for achieving compliance with State air pollution control
regulations. In general, this flow of information process involves two components: a
proactive component and a reactive component The proactive component involves
adequate communication with and information outreach to small businesses in the form of
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easily discernable information which specifically details their obligations under the Act. The
reactive component involves the establishment of a clearinghouse for handling incoming
inquiries from small businesses regarding methods for achieving compliance with air
pollution control requirements under the Act. Ways in which the proactive and reactive
components of the information dissemination process can be implemented are described in
the following paragraphs.
In implementing the proactive aspect of information dissemination, there are numerous
ways information could be disseminated to small businesses. One way would be for the
State's small business programs to prepare information packets which describe in layman
terms compliance and technical information relevant to a small business stationary source's
obligation under the Act These packets would be distributed to the small business
community via an outreach program. The outreach program would consist of industry
groups, trade associations, and other organizations all assisting in distributing this
information to small businesses. Information packets could be mailed to small businesses
through the State air pollution control agency or Ombudsman office. Public service
announcements on small business assistance could be made on the radio or TV. The State's
pollution prevention technical assistance program for small businesses, if one exists, could
be contacted to see bow efforts on information dissemination could be coordinated.
Possibly, the pollution prevention program could sponsor seminars or training to the small
business on the State's SBAP and its services. Additionally, the use of the SBA, SBA field
offices, State economic development commissions, Senior Corps of Retired Executives
(SCORE), Small Business Institutes, State small business associations, major chemical
distributors, the Chamber of Commerce, local Emergency Planning Committees, and small
business development centers for information and referral services should be considered as
avenues to assist small businesses in obtaining environmental and technical information. It
should be left to the State's air compliance program, however, to provide answers or advice
on questions about regulations or permits.
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Trade associations could also be encouraged to establish "circuit riders" to reach out
and assist small businesses with generic problems. This type of outreach program could also
be invaluable in coordinating the preparation of permit applications.
By the time State outreach programs distribute informational materials for small
businesses, a system will need to be in place for answering specific questions from small
businesses concerning regulatory requirements, appropriate control technologies, and
compliance monitoring equipment (if appropriate). In some instances, the informational
materials may never reach some small businesses. Such small businesses may instead learn
about the Stale SBAP and the seed to control or prevent air pollution, through contact with
peers. In either case, small businesses vsflceed lo direct tbeir questions to aa information
clearinghouse. The following describes ways of implexes tk|; zh: reacnvecociparucrt ot !he
information dissemination process.
As stated earlier, the State should establish a contact perscn(s) within the SBAP, and
a toll-free Hotline is recommended. This contact person(s) and/or Hotline could direct
incoming phone calls to a core group of State technical experts (assigned specific areas of
expertise based on their experience and training backgrounds) to provide the appropriate
technical assistance to small businesses. The EPA anticipates that the technical experts
relied upon will be part of the present technical staff in the State air program control
agency. Each technical expert would have a thorough knowledge of the methods, control
technologies, approaches, and applicable regulations in his/her field of responsibility. This
suggests that the technical specialists must have technical backgrounds in engineering or the
physical sciences, as well as expertise in risk management, regulatory development,
supervision, implementation, and communications. It is important to note that the
information clearinghouse will need to interface with the various technical groups within the
State environmental agency. These groups would include agency sections that handle
engineering, regulatory development, permitting, inspections, and compliance issues. The
amount of diversity contained within the SBAP will determine the extent of interaction
required among the groups. The EPA expects that some of the most common questions
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which small businesses will ask are (1) what are the regulatory requirements for a specific
process; (2) what are the types of control technologies to control a specific process; (3) what
methods exist for estimating emissions (e.g., use of emission factors) for completing a permit
application; (4) what are the types of processes that may generate regulated pollutants; and
(5) what are the type(s) of process substitutes that can be used to prevent emissions of
regulated pollutants. The technical experts should, however, understand the relationship of
the above questions to small business capabilities.
In the event that the technical experts at the State level cannot provide adequate or
complete information to the small businesses, the SBAP should obtain the necessary
information from a number of other sources. These other sources include (1) technical
support services such as the CTC, EMT1C, and the Emergency Planning and Community
Right-to-Know Hotline established by EPA; (2) EPA Regional Offices; (3) other States' air
programs; (4) trade associations; and (5) industry groups.
States should also consider the use of sections 1, 2 and 3 of the EPA's CTC manual
for developing and implementing an information clearinghouse center. Specifically, sections
1 and 2 provide a structure on which the various technical groups interface in the CTC.
Section 3, which provides the operating protocol of the CTC, can be used for its scope and
rationale in the development of an SBAP. States that are interested in obtaining a copy of
the CTC manual may contact the CTC at 919-541-0800.
The SBAP information clearinghouse would not only answer technical questions from
the business community, but would also be involved in identifying technical problems not
yet addressed by EPA's CTC or other informational sources. Incoming questions would be
stored in a State's computer tracking system or accumulated in some other manner.
Compilation of frequently asked but unanswered questions could establish possible areas of
research for either State agencies or EPA to pursue. Figure 1 shows how such an
information transfer system on compliance and technology information between States and
EPA could work. State programs are also encouraged to establish networks with
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Figure 1, information Tre?wfer System on Compliance and
Technology Information
professional organizations such as. the Slate and Territorial Air. Pollution Programs
Administrators and the Association of Local Alt Pollution Conti&i Officials
(STAFPA/ALAFOO}, tie Air and Wasit Management Assccegoti (AWMAt ana ihe
AmKicaa Institute of Oiemical Engineers {AICHE) to exchange teiiiucai iar'prmatwc and
experiences.
Fmally, States could also exchange information anc/ar suggestions on ccnpuance ejjc
technology relevant to small businesses through direct contact with other State air pollution
CQotroi agencies or by the use of an electronic bulletin board. Interested States would log
onto Lbe bulletin board system and search for infonaation on their topic of iateresi using
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key words. Questions entered into the system would be in question-and-answer form. The
bulletin board system would also contain updates on the latest methods, procedures, and
technology. Currently, the EPA Office of Air Quality Planning and Standards (OAQPS)
operates a computerized technology transfer network bulletin board which could serve such
a purpose. In addition, the Pollution Prevention Information Oearinghouse is available for
States to exchange ideas on pollution prevention methodologies. States may contact
OAQPS at 919-541-5635 for additional information on services provided by these offices.
Table 2 provides a summary of the ways in which the proactive and reactive components of
the information dissemination process can be implemented.
322 Assistance to Small Businesses on Methods of Pollution Prevention and Accidental
Release Prevention and Detection
The SIP revisions in response to section 507 must address the ways in which the needs
of small businesses will be met in the areas of pollution prevention, as defined in the
Pollution Prevention Act of 1990, and accidental release prevention provisions contained in
Title m of the Amendments. States may want to consider the use of the State SBAP
information clearinghouse described in Subchapter 323 as a means to provide information
on these subjects to small businesses.
For disseminating information relevant to methods of pollution prevention and
accidental release prevention and detection, States should encourage national trade
associations and their State counterparts to establish "peer exchange" programs within
industry-specific groups that could help others use new pollution prevention techniques and
information and accidental release prevention technologies and management practices.
State Economic Development Commissions should be encouraged to sponsor workshops to
provide technical assistance to small businesses. Other valuable sources of information
include trade associations; technical and professional societies; environmental organizations
and other public interest groups; civic organizations (e.g^ League of Woman Voters); media
(both broadcast and print); libraries; and community colleges and specialized training
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Table 2. Ways of Implementing the Proactive and Reactive Components of Information Dissemination to Small
Businesses
PROACTIVE COMPONENT
(Communication/Outreach)
REACTIVE COMPONENT
(Information Clearinghouse)
- State Air Pollution Control Agency
- State Ombudsman Office
- Newspapers
- Small Business Administration (SBA)
- SBA Field Offices
- State Economic Development Commissions
- Senior Corps of Retired Executives (SCORE)
- Small Business Institutes
- State's Small Business Association
- Major Chemical Distributors
- Chamber of Commerce
- Small Business Development Centers or equivalent
- Trade Associations
- Industry Groups
- State Pollution Prevention Program
- State Emergency Response Commissions
- Local Emergency Response Committees
- SBAP Clearinghouse
- EPA Small Business Technical Assistance Center
- EPA Regional Offices
- Other States Programs (direct contact or
electronic bulletin board)
- Trade Associations
- Industry Groups
- Associations and Professional Organizations (i.e.,
STAPPA/ALAPCO, AWMA, AICHE)
- Pollution Prevention Information Clearinghouse
- Emergency Planning and Community Right-to-
Know Hotline
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institutes. Specific information relevant to pollution prevention and accidental release
prevention and detection follows.
Pollution Prevention
The EPA has established a Pollution Prevention Office, and the Office of Research
and Development (ORD) and other Agency offices are implementing pollution prevention
programs. In addition to these programs, many States have developed comprehensive
pollution prevention and regulatory compliance technical assistance programs. Many of
these State programs target their complementary nonregulatory technical assistance towards
small and medium size businesses. States have developed pollution prevention training
programs, workshops and seminars and conducted on-site pollution prevention opportunity
assessments for industry and small businesses.
The SIP revisions should address how the State plans to coordinate with any existing
pollution prevention program in the respective State. States may contact the National
Roundtable of State Pollution Prevention Programs at 612-379-5995 or the Pollution
Prevention Information Clearinghouse (PPIC) at 703-821-4800 for additional information
on pollution prevention programs for small businesses. Additional resources include
Pollution Prevention Training Opportunities in 1991 and Pollution Preventinn 1991: Progress
on Reducing Industrial Pollutants, both of which can be obtained from PPIC.
Finally, a listing of Regional coordinators who may provide assistance to States
regarding pollution prevention programs for small businesses is contained in Appendix C.
Accidental Release Prevention and Detection
Within EPA, the responsibility for programs related to the prevention, detection, and
monitoring of accidental chemical releases lies with CEPPO. This office will generate and
provide to States much of the information needed to assist small businesses in this area.
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Depending on the nature of the structure each Slate chooses for its SBAP, States
should be able to answer questions or refeT questions to specialists on a number of aspects
of chemical acddeaa prsvzziies, as- iwafl a* d-stscths asd mcsttonsg. Prevention, in trie
broadest sense, also includes chemical process safety management Basic information on
prevention should cover four areas: (1) requirements under the accidental release provisions
of the Amendments; (2) complementary and closely related requirements under the
Emergency Planning and Community Right-to-Know Act of 1986 or SARa Title ID; (3) the
Occupational Safety and Health Administration (OSHA) process safety standard as required
by the Amendments; and (4) general information on prevention practices and technologies.
Concerning the first two areas, specific questions may be referred to the SBAP, which
may in turn consult with EPA preparedness coordinators in the Regions, the Emergency
Planning and Community Right-to-Know Hotline, specialists within CEPPO, or other
appropriate EPA program offices. A listing of Regional coordinators along with their
respective phone numbers is contained in Appendix D. The EPA's Chemical Accident
Prevention Program produces publications on different aspects of prevention and has
materials that specifically relate to the concerns of smaller businesses. These materials will
be made available to the State SBAP. In addition, EPA's Prevention Program may sponsor
workshops or other events, and announcements of these events will be directed to the States
in a timely way. Through the Accidental Release Information Program, which is part of the
Chemical Accident Prevention Program, States may obtain information from a database thai
examines the causes of accidents. The Chemical Action Prevention Program's Chemical
Safety Audit Program provides a type of consultative audit that can assist facilities in
improving their prevention practices. States may contact the Emergency Planning and
Community Right-to-Know Hotline at 1-80Q-J35-02Q2 for information provided by this
Program office.
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Concerning the third area, for information on the OSHA process safety standard, (for
which the statutory deadline is November 15, 1991), States are advised to contact OSHA
directly. This standard, which covers process safety in the workplace, is very closely linked
to the accidental release provisions that cover the environment and the public, for which
EPA has responsibility.
For the fourth area of general prevention information, EPA can make available to the
State's SBAP a resource guide that lists relevant organizations that States can contact.
States may contact the Emergency Planning and Community Right-to-Know Hotline to
obtain a copy of this resource guide. The following types of organizations could be useful.
State Emergency Response Commissions
Local Emergency Planning Committees
State emergency management offices
Fire service
First responder agencies
Trade associations (such as the Chemical Manufacturer's Association)
Professional societies (such as the Center for Chemical Process Safety of the
American Institute of Chemical Engineers)
Unions and worker organizations
Environmental organizations
3.2.3 Establishment of Compliance Assistance for Determining Small Business
Stationary Source Applicability Requirements and Permitting
Compliance assistance may provide for direct and timely, one-on-one assistance to small
businesses to identify applicable requirements under the Act (e.g., SIP and new source
requirements) and obtain needed assistance in complying with those requirements, including
preparation of permit applications.
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The SBAP could have the following specific roles in providing compliance assistance:
Provide advice and assistance to small businesses in the
interpretation of applicable SIP requirements and in obtaining
needed technical and compliance assistance. This would
include (1) identifying applicable rules; (2) determining whether
a permit is needed; and (3) identifying alternatives for achieving
compliance with applicable State/local regulations such as
process changes, recycling programs, material substitutions, and
other methods/processes which may reduce or eliminate
pollutant emissions.
Explain permitting procedures such as fees, when/where to
apply, the length of time necessary to receive a permit, the
consequences of operating in violation, fines, and appeal
decisions.
3.2.4 Methods for Notifying Small Businesses of their Rights on a Timely Basis
section 507(a)(5) states that the SIP submittal required under section 507 must include
adequate mechanisms to ensure that small businesses receive notice of their rights under the
Act with sufficient lead time to evaluate compliance methods and the applicable
requirements. Notifying a small business stationary source of its rights would include (but
not be limited to) letting small businesses know of their legal rights under the Act. For
example, small businesses need to know their legal recourse should they be notified of a SIP
violation.
It is important that SIP revisions addressing section 507 contain adequate procedures
to ensure that information which clearly delineates all legal rights entitled to a small
business under the Act is adequately disseminated to small businesses on a timely basis.
Some examples of ways in which to disseminate this information to small businesses would
be distributing easy-to-read pamphlets, training field inspectors to properly inform small
businesses of their rights during site visits, using public service messages, and making
presentations at trade association and chamber of commerce meetings. Other dissemination
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processes would be through other State programs that have mass mailings to small
businesses and through business licensing programs.
32 .5 Establishment of an Audit Program
Each SIP revision addressing section 507 must contain procedures explaining how their
SBAP will provide small businesses with a listing of qualified auditors or, at the option of
the State, provide audits of the operations of a source to determine compliance. The
auditor would provide the small business with technical assistance on pollution prevention
opportunities or control options to comply with the applicable regulations. The auditor
should strive to promote pollution prevention as discussed in the Pollution Prevention Act
of 1990. Qualified auditors could be (1) inspectors from the State air program; (2) State
technical assistance personnel from the pollution prevention, chemical accident prevention,
and waste reduction programs; (3) environmental consulting companies; or (4) individuals
with air pollution control knowledge or experience such as former State or Federal air
inspectors or professional engineers. Such audits would be performed as a part of an
outreach program and could include an evaluation of work practices, recommendations on
whether compliance monitoring procedures are being correctly followed, and
recommendations for making records orderly and accessible. It is discretionary whether
States or the auditors choose to charge sources for this service.
The EPA recognizes that a voluntary audit may discover that a source is not in
compliance with applicable State regulations. The EPA cannot approve an SBAP that
grants immunity to sources for compliance problems discovered during such audits. The
EPA recognizes the statutory intent, however, that voluntary audits be a major component
of the SBAP. As such, the voluntary audits are designed to assist small businesses in
complying with the applicable regulations. Should a compliance problem be uncovered
during a voluntary audit, the State should determine appropriate action in the first instance.
If EPA decides to take any action in response to such a compliance problem, the Agency
will consider how the information was obtained in determining appropriate action.
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3.2.6 Procedures for Consideration of Reqnests from Small Business Stationary Sources
for Modifications of Work Practices or Technological Methods of Compliance
The SIP revision must include procedures for handling requests from small businesses
for modifications of work practices or alternate control methods. In general, States must
develop administrative procedures for receiving requests from small businesses to modify
the provisions of State-adopted regulations. These administrative procedures should clearly
indicate the format of such requests and indicate how the State will review and act upon
each submitted request In those cases where State and/or Federal law requires a public
hearing, the procedures must state in what manner public notice will be provided and bow
public comment will be incorporated into the final decision. Where applicable, the
procedures must indicate that the federally-approved SIP will not be affected by the State's
approval of such modifications until such time as formal approval is granted by the EPA.
The EPA believes that in most cases States have in place appropriate mechanisms for
review of source specific modification of the applicable State regulation and that additional
procedures will not be required. The State must demonstrate, however, that such
procedures clearly identify to the small business the manner and content of the request.
States must also coordinate such requests with EPA where the requests relate to Federal
standards, and the specific authority to address such a request has not been delegated to the
State.
The procedures must also ensure that no such modification may be granted unless it
is in compliance with the applicable requirements of the Act, including the requirements of
the applicable SIP. Where such applicable requirements are set forth in Federal
regulations, only modifications authorized in such regulations may be allowed. Requests for
such modifications should also be reviewed by the State Small Business Ombudsman.
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3 J Establishment of State Compliance Advisory Panels
The third key component in the establishment of the PROGRAM is the creation of a
State Compliance Advisory Panel for determining the overall effectiveness of the State
SBAP. The following subchapters discuss the methodology for States to use in appointing
an advisory panel to determine the overall effectiveness of the SBAP. Specifically,
Subchapter 33.1 addresses the authority and function of the advisory panel, Subchapter 33.2
discusses the requirements for selecting panel members, and Subchapter 333 describes
methods for implementing the advisory panel
33.1 Authority and Functions of the State Compliance Advisory Panel
Section 507(e) requires each State to create a Compliance Advisory Panel consisting
of at least seven individuals. The Compliance Advisory Panel has the following specific
functions:
(a) Render advisory opinions on the effectiveness of the PROGRAM,
difficulties encountered, and degree and severity of enforcement;
(b) Prepare periodic reports to the EPA on the compliance status of the
PROGRAM following the intent of the provisions of the Paperwork
Reduction Act, the Regulatory Flexibility Act, and the Equal Access to
Justice Act; and
(c) Review information for small business stationary sources to assure such
information is understandable to the layperson.
The PROGRAM is required to serve as the Secretariat for the development and
dissemination of panel reports and advisory opinions and may provide administrative and
logistical support to the Panel.
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322 Selection of Panel Members
Section 507(e) requires the selection of panel members by the following method:
(a) The Governor of the State shall select two members who are not owners
or representatives of owners of small business stationary sources to
represent the general public;
(b) The head of the State air pollution agency responsible for issuing
operating permits shall select one member to represent that agency;
(c) The State legislature shall select four members who are owners or
representatives of owners of small business stationary sources. In the
case of a unicameral legislature, two members shall be selected by the
majority leadership and two members selected by the minority leadership.
In the case of a bicameral legislature, both the majority and minority
leadership in the upper and lower houses of the legislature shall each
appoint one member of the panel.
3 J J Implementation of the Compliance Advisory Panel
The Compliance Advisory Panel is an integral portion of a State PROGRAM to assist
small businesses. The Panel independently oversees the SBAP and the Ombudsman,
determines their effectiveness, reports its finding to EPA, and examines information
disseminated to small businesses to ensure that it is understandable for non-technical
persons. While the Panel is not specifically referenced in section 507(a) as an element of
the PROGRAM, it is an integral portion of a State PROGRAM and will need to be
involved in numerous activities carried out by the SBAP and the Ombudsman. Therefore,
the independent requirements of Subsection (J) through (7) draw the Panel into the SIP
submittal requirement During the House debate, Congressman Wyden recognized the
Panel's importance within the PROGRAM, stating "[t]he Compliance Advisory Panel... is
an essential element of any State assistance program - without a panel to provide guidance
and feedback, it would be difficult to ensure that a program would adequately address the
needs of small business stationary sources. The EPA should only approve State
as
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implementation plans that include compliance assistance panels." 136 Cong. Rec. H12S84
(daily ed. Oct. 26, 1990) (statement of Rep. Wyden). States should establish their
Compliance Advisory Panel early on in the planning of the PROGRAM. The panel could
initially serve as an advisory group for the development of the State PROGRAM.
36
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APPENDIX A
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EPA REGIONAL SMALL BUSINESS LIAISONS
The following are EPA Regional Office Small Business liaisons who may provide States
with compliance and technical assistsaa.
REGION CONTACT PHONE ni tvtrf.r
I Mr. Lester Sutton (617) 565-3617
Small Business Liaison
Region 1 EPA
John F. Kennedy Federal
Building - WAA
Boston, Massachusetts 02233
II Mr. Steven Riva (212)264-4711
Small Business Liaison
Region n - EPA
26 Federal Plaza
New York, New York 10278
m Ms. Evelyn MacKaight (215) 597-9807
Small Business Liaison
Region III - EPA
841 Chestnut Street
Philadelphia, Pennsylvania 19107
IV Mr. Thomas L. Nessmith (404) 347-7109
Small Business Liaison
Region IV - EPA
345 Courtlaad Street, N.E.
Atlanta, Georgia 30365
V Ms. Margaret McCue (312) 353-2000
Small Business Liaison
Region V - EPA
230 S. Dearborn Street
Chicago, Illinois 60604
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APPENDIX B
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VI Mr. Phillip A. Charles (214) 655-6444
Small Business Liaison
Region VI - EPA
1445 Ross Avenue
12th Floor, Suite 1200
Dallas, Texas 75202
VD Mr. Charles Hensley (913) 551-5177
Small Business Liaison
Region VII - EPA
726 Minnesota Avenue
Kansas Gty, Kansas 66101
VIE Mr. Charles Stevens (303) 294-1111
Small Business Liaison
Region Vm - EPA
999 10th Street, Suite 500
Denver, Colorado 80202-2405
IX Ms. Marsha Harris (415) 744-1305
Small Business Liaison
Region DC - EPA
75 Hawthorne Street
San Francisco, California 94106
X Ms. Maiy Neilson (206) 553-4280
Small Business Liaison
Region X - EPA
1200 Sixth Avenue
Seattle, Washington 98101
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APPENDIX C
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MONITORING BY EPA ON THE EFFECTIVENESS OF THE PROGRAM
The EPA will need to answer a variety of questions when examining the effectiveness
of each State PROGRAM. Examples of potentially relevant questions are:
(a) Have the States established and implemented a PROGRAM on a timely basis?
Is the State Ombudsman's office independent from the State air pollution control
agency (although this is not required by the Act)?
(b) How effective have the State Compliance Advisory Panels been in evaluating their
State SBAPs?
(c) What problems were identified by the State Compliance Advisory Panels? What
corrective action was taken?
(d) What are the findings of the State Compliance Advisory Panels regarding the
State's adhering to the intent of the provisions of the Paperwork Reduction Act,
Regulatory Flexibility Act, and the Equal Access to Justice Act?
(e) What has been the economic impact on small businesses as a result of the
implementation of the Act?
(0 Has there been adequate outreach/technical assistance to the affected small
business community?
(g) What improvements need to be made?
(h) Is the State Ombudsman carrying out his/her role in providing oversight and in
handling complaints and problems in a timely manner?
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Ron Ritter
EPA - Region VII
726 Minnesota Avenue
Kansas City, Kansas 66101
(913) 551-7308
Cheryl Crisler
(303) 293-1723
EPA - Region Vm Mail Code: 8HWM-ERB
One Denver Place
999 - 18th Street
Suite 500
Denver, Colorado 80202-2405
Kathleen Shimmin (415) 744-2100
Office of Health and Emergency Planning M-l-2
EPA - Region DC
75 Hawthorne Street
San Francisco, California 94105
Walt Jaspers (206) 553-4349
EPA - Region X Mail Code: HW-093
1200 6th Avenue
Seattle, Washington 98101
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APPENDIX D
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EPA REGIONAL ACCIDENTAL RELEASE PREVENTION AND DETECTION
PREPAREDNESS CONTACTS
The following EPA Regional Chemical Emergency Preparedness and Prevention
(CEPP) Coordinators may provide States with answers to specific questions regarding (1)
requirements under the accidental release provisions of the Amendments; and (2)
complementary and closely related requirements under the Emergency Planning and
Community Right-to-Know Act of 1986 or SARA Title QL
REGION
I
II
m
IV
VI
CONTACT
Ray DiNardo,
EPA Region I Mail Code: EEE-LEX
New England Regional Laboratory
60 Westview Street
Lexington, Massachusetts 02173
John Ulshoefer
EPA - Region II Mail Code:211
2890 Woodbridge Avenue
Edison, New Jersey 08837-3679
Dave Wright
EPA Region m Mail Code-JHW34
841 Chestnut Street
Philadelphia, Pennsylvania 19107
Henry Hudson
EPA - Region IV
345 Courtland Street, Northeast
Atlanta, Georgia 30365
Mark Horwitz
EPA - Region V Mail Code: 5HS-TUB-6
230 South Dearborn
Chicago, Illinois 60604
Jim Staves
EPA - Region VI Mail Code: 6E-E
Interstate Bank Tower
1445 Ross Avenue
Dallas, Texas 75202-2733
PHONE
number
(617) 860-4300
(201) 321-6620
(215) 597-6006
(404) 347-1033
(312) 886-1964
(214) 655-2270
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EPA REGIONAL POLLUTION PREVENTION CONTACTS
The following EPA Regional contacts may provide assistance to States pertaining 10
pollution prevention programs for small businesses.
REGION 1
I
n
m
IV
VI
vn
CONTACT
Abby Swaine
EPA Region I Mail Code: 9111
JFK Federal Building
One Congress Street
Boston, Massachuetts 02203
Janet Sapadin
EPA - Region II - Mail Code: 9243
26 Federal Plaza
New York, New York 10278
Roy Denmark
EPA - Region m - Mail Code: 3ES43
841 Chestnut Building
Philadelphia, Pennsylvania 19107
Carol Monell
EPA - Region IV - Mail Code: EPA9420
345 Courltnad Street, N.E.
Atlanta, Georgia 30365
I inria Glass
EPA - Region V Mail Code: 5MA-14
230 South Dearborn Street
Chicago, Illinois 60604
Laura Tcwnsend
EPA - Region VI-Mail Code:6M-P
1445 Ross Avenue
12th Floor, Suite 1200
Dallas, Texas 75202
Alan Wehmeyer
EPA - Region VII - Mail Code: EPAA9670
726 Minnesota Avenue
Kansas City, Kansas 66101
PHONE NUMBER
(617) 565-4523
(212) 264-1925
(215) 597-8327
(404) 347-7109
(312) 886-1019
(214) 655-6444
(913) 551-7339
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Don Pattou <303) 293-1456
EPA - Region VUI - Mail Code: EPA9840
909 !Sih Street - Suite 5QQ
Denver, Colorado 80202-2405
Alisa Greene (415) 744-2190
EPA - Region DC - Mail Code: H-l-B
75 Hawthorne Street
San Francisco, California 94105
Carolyn Gangmark (206) 442-4072
EPA - Region X - Mail Code: 100
1200 Sixth Avenue
Seattle, Washington 98101
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