BUTTE COUNTY AQMD RULES AND REGULATIONS

Rule 401 April 24, 2014 401-1

Rule 401 Permit Exemptions

(Adopted January 4, 1972, July 26, 1979; Amended April 29, 1980; Recodified August 6, 1985; 

Amended September 18, 1990; Recodified August 22, 2002; Repealed and Adopted May 26, 2011,

Amended April 24, 2014)

RULE 401 CONTENTS

1 PURPOSE

2 APPLICABILITY

3 REQUIREMENTS

4 EXEMPT SOURCE CATEGORIES

5 CONDITIONALLY EXEMPT SOURCES

6 RECORDKEEPING

7 COMPLIANCE SCHEDULE
BUTTE COUNTY AQMD RULES AND REGULATIONS

Rule 401 April 24, 2014 401-2

RULE 401

1 PURPOSE

This Rule specifies emissions units that are categorically or conditionally exempted 

from the requirement to obtain an Authority to Construct or a Permit to Operate

from the Air Pollution Control Officer (APCO). This Rule also specifies 

recordkeeping requirements to verify exemption criteria and outlines a compliance 

schedule for emissions units and sources that exceed the exemption status or 

otherwise become subject to Rule 400-Permit Requirements of these Rules and 

Regulations.

2 APPLICABILITY

2.1 This Rule is applicable to any article, machine, equipment, or other 

contrivance that emits or may emit air contaminants which would otherwise 

be subject to Rule 400.

2.2 This Rule shall not exempt equipment, operations, or processes described in 

Section 4 of this Rule from complying with all other applicable 

requirements of these Rules and Regulations, including but not limited to, 

Rule 1101-Title V-Federal Operating Permits.

2.3 This Rule shall not apply to any equipment, operation, or process if the 

APCO determines the emissions unit may violate these Rules and 

Regulations, including Rule 200-Nuisance. When the APCO makes such a 

determination and written notification is provided to the owner or operator, 

the equipment, operation, or process shall thereafter be subject to Rule 400. 

2.4 This Rule shall not apply to any equipment, operation, or process in Section 

4 with actual emissions greater than 80 pounds per day of PM10, PM2.5 or 

oxides of sulfur (SOx), 25 pounds per day of oxides of nitrogen (NOx) or

volatile organic compounds (VOCs), 500 pounds per day of carbon 

monoxide (CO), or 3.2 pounds per day of lead (Pb). 

2.5 This Rule shall not apply to any equipment, operation, or process that is 

subject to the provisions of the National Emissions Standards for Hazardous 

Air Pollutants (NESHAPs), 40 CFR (Code of Federal Regulations) 61 or 63, 

or the New Source Performance Standards (NSPS), 40 CFR 60, unless the 

equipment is an internal combustion engine with a manufacturer’s 

maximum power rating of less than fifty (50) horsepower.

3 REQUIREMENTS

3.1 Permit Application

3.1.1 Unless otherwise noted in the exemption description, a permit 

application is not required to claim the exemption provided the 

required documentation and recordkeeping is maintained.
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3.1.2 If an application is required for an APCO determination, the 

APCO must issue a written determination approving or denying 

the exemption requested in accordance with the application 

administrative requirements of Rule 400.

3.2 Required Information: The APCO may require from any owner or 

operator claiming an exemption under this Rule any information, analyses, 

plans, or specifications which will disclose the nature, extent, quality, or 

degree of air contaminants which are or may be discharged by the source for 

which the exemption is claimed.

4 EXEMPT SOURCE CATEGORIES: An Authority to Construct and Permit to 

Operate shall not be required for:

4.1 Combustion and Heat Transfer Sources

4.1.1 Equipment used exclusively for steam cleaning.

4.1.2 Water cooling towers and water cooling ponds not used for 

evaporative cooling of process water or not used for evaporative 

cooling of water from barometric jets or from barometric 

condensers.

4.1.3 Steam generators, water boilers or water heaters fired exclusively 

by natural gas, liquefied petroleum gas (LPG) or a combination 

thereof, having a maximum fuel input heating value of less than 

one (1) million British thermal units (MMBtu) per hour or thirty 

(30) boiler horsepower.

4.1.4 Equipment used for space heating, other than boilers.

4.1.5 Internal Combustion Engines

4.1.5.1 Any reciprocating internal combustion engine with a 

brake horsepower rating of less than fifty (50). 

4.1.5.2 Internal combustion engines used exclusively for 

purposes of educating students in the operation, 

maintenance, repair, and rebuilding of such engines. 

4.1.5.3 Any natural gas, propane, or LPG fueled engine rated 

at 250 brake horsepower or less and operating less 

than 200 hours per calendar year for non-emergency 

purposes. 

4.1.5.4 Fuel cells or microturbines used in power and/or heat 

generating equipment that meet the following 

emission standards: NOx 0.07 lb/Megawatt-hour 

(MW-hr), CO 0.10 lb/MW-hr, and VOCs 0.02 

lb/MW-hr.

4.1.6 Process Heaters

4.1.6.1 Crucible furnaces, pot furnaces, or induction furnaces, 

each with a maximum rated capacity of less than 450 

cubic inches of any molten metal. 

4.1.6.2 Kilns used exclusively for firing ceramic ware, heated 

exclusively with natural gas, liquefied petroleum gas, 

and/or electricity. 
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4.2 Food and Beverage Processing Equipment

4.2.1 Equipment used in, or in conjunction with, eating establishments 

for the purpose of preparing food for human consumption, except 

coffee roasters.

4.2.2 Coffee roasters with a manufacturer’s maximum throughput rating 

of 25 pounds per hour or less.

4.2.3 Barbecue equipment not used for commercial purposes.

4.2.4 Ovens at bakeries, provided the total production from the bakery is 

less than 5,000 pounds of product per day and each oven is rated at 

less than one (1) MMBtu/hr.

4.2.5 Breweries with an annual production of less than one (1) million 

gallons, unless boilers or other heating sources are in excess of the 

capacities in Section 4.1.3 of this Rule.

4.3 Commercial Surface Coating Operations: Non-automotive coating 

operations using less than one (1) quart per day and eight (8) gallons per 

year of spray coatings, including those operations that use non-refillable 

handheld aerosol spray cans.

4.4 Solvent Cleaning Operations: Unheated, non-conveyorized cleaning 

equipment with an open surface area of ten (10) square feet or less and 

internal volume of 92.5 gallons or less using only organic solvents with an 

initial boiling point of 248°F as determined by the American Society for 

Testing of Materials (ASTM) 1078-78 and losing 25 gallons or less of 

solvent per year to the atmosphere (excluding solvent recycled or properly 

disposed of). A material usage log shall be maintained for each emission 

unit claiming this exemption. The log shall note the date, type and amount 

of solvent added to or removed from the emission unit. 

4.5 Composting Operations: Operations that receive and compost less than 

125 tons (1000 cubic yards) of green waste annually. “Green waste” is any 

organic waste material generated from gardening, agriculture, or 

landscaping activities including, but not limited to, grass clippings, leaves, 

tree and shrub trimmings, and plant remains.

4.6 Vehicles and Mobile Equipment

4.6.1 Motor vehicles which are devices by which any person or property 

may be propelled, moved, or drawn upon a highway or used 

exclusively on stationary rails or tracks, but not including any 

article, machine, equipment or other contrivance mounted on such 

vehicle that would otherwise require a permit under the provisions 

of these Rules and Regulations.

4.6.2 Locomotives, airplanes, and watercraft used to transport 

passengers or freight.

4.6.3 Self-propelled mobile construction equipment other than pavement 

burners.
BUTTE COUNTY AQMD RULES AND REGULATIONS

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4.7 Residential and Commercial Uses

4.7.1 Equipment utilized exclusively in connection with any structure 

which is designed for and used exclusively as a dwelling for not 

more than four (4) families, including incinerators used exclusively 

in connection with such a structure.

4.7.2 Comfort air conditioning or comfort ventilating systems which are 

not designed to remove air contaminants generated by or released 

from specific units or equipment.

4.7.3 Refrigeration units, except those used as, or in conjunction with, 

air pollution control equipment.

4.7.4 Any architectural or industrial coatings that are subject to the

requirements of these Rules and Regulations when applied to 

structures and their appurtenances.

4.8 Portable Handheld Equipment: Handheld equipment used for buffing, 

polishing, carving, cutting, drilling, machining, routing, sanding, sawing, 

surface grinding, or turning of metal, wood, plastic, or similar material.

4.9 Abrasive Blasting Equipment

4.9.1 Blast cleaning equipment using a suspension of abrasive in water.

4.9.2 Abrasive blasting cabinets with a confined volume of less than 100 

cubic feet that are vented through a control device.

4.10 Agricultural Sources: Any engine or equipment used in agricultural 

operations in the growing of crops or the raising of fowl or animals at any 

agricultural source except when the agricultural source is:

4.10.1 A major stationary source or major modification at a stationary 

source as defined in Rule 432-Federal New Source Review of these 

Rules and Regulations, or 

4.10.2 A stationary source that emits in any 12-month period, air 

contaminant emissions equal to or more than the following 

quantities of emissions:

4.10.2.1 50% of the major source thresholds for regulated air 

pollutants as defined in 40 CFR Part 70.2(excluding 

Hazardous Air Pollutants (HAPs));

4.10.2.2 Five (5) tons per year of a single HAP;

4.10.2.3 12.5 tons per year of any combination of HAPs; or

4.10.2.4 50% of any lesser threshold for a single HAP as the 

U.S. Environmental Protection Agency (EPA) may 

establish by rule.

4.11 Maintenance: Routine repairs or routine maintenance not involving 

structural changes to an emissions unit to which a permit has been granted 

or is not required by this Rule. Routine maintenance is intended to include 

replacement of wearable parts such as spark plugs, seals, belts, etc.

4.12 Printing and Reproduction Equipment: Any graphic arts operation or 

group of graphic arts operations located at a stationary source, that emit less 
BUTTE COUNTY AQMD RULES AND REGULATIONS

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than an average of fifteen (15) pounds of VOCs per operating day for each 

calendar month and less than 300 pounds of VOCs annually from all such 

operations. All records necessary to calculate average daily VOC 

emissions, such as emission factors or mix ratios, VOC content of each 

material used, number of operating days per month, and daily or monthly 

records of material usage, shall be maintained on-site for two (2) years and 

be made available to the APCO upon request. 

4.13 Wastewater Treatment Facilities, Water Reclamation Facilities, and 

Wastewater Pump Stations: Facilities with a design throughput capacity 

of less than one (1) million gallons of wastewater per day.

4.14 Portable Equipment: Any portable equipment that is registered in 

accordance with Rule 440-Portable Equipment Registration of these Rules 

and Regulations or with the Statewide Portable Equipment Registration 

Program. This exemption does not apply to any equipment while in use for 

screening of soils in contaminated soil remediation projects.

4.15 Woodworking and Other Fabrication Operations: Operations that utilize 

shop dust collection systems that do not vent outside the working area of the 

facility, and doors, windows and other outlets can remain closed during 

normal business operations.

4.16 Pilot Tests: Pilot tests for the purposes of determining contamination levels 

for designing a soil remediation system providing:

4.16.1 The pilot test will not last more than five (5) days; and

4.16.2 The effluent stream from the pilot test is controlled by carbon 

canisters, a thermal or catalytic incinerator/oxidation unit, or an 

internal combustion engine.

4.17 Walnut Hullers: Walnut hulling facilities processing only crops grown by 

the owner that utilize a wet process hull removal, and with a drying fuel 

consumption of less than 5500 gallons of propane per year or 52 therms of 

natural gas per year.

4.18 Low Emitting Sources: As determined by the APCO, other low emitting 

sources with an uncontrolled emissions rate of each air contaminant of:

4.18.1 CO at less than the 500 pounds per day; and

4.18.2 Particulate matter (PM10 or PM2.5), NOx, VOCs, or SOx at:

4.18.2.1 Less than or equal to two (2) pounds per day or, 

4.18.2.2 If greater than two (2) pounds per day, is less than or 

equal to 75 pounds per year.

5 CONDITONALLY EXEMPT SOURCES

5.1 Request for Exemption applications are required for the following: 

5.1.1 Replacement of Equipment: Identical replacement in whole or 

part of any article, machine, equipment or other contrivance for 
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which a Permit to Operate has previously been granted for such 

equipment. Identical means the same manufacturer, model 

number, and type, and resulting in emissions less than or equal to 

those from the original equipment or device and not requiring a 

change in permit conditions.

5.1.2 Other Low Emitting Sources: As determined by the APCO, 

other low emitting sources with an uncontrolled emissions rate of

each air contaminant of less than 500 pounds per year.

5.2 In order to claim an exemption under Section 5 of this Rule, a permit 

application, the information required to make the determinations listed 

above, and the application fee specified in Rule 500-Stationary Source 

Permit Fees of these Rules and Regulations must be submitted to the 

APCO. The applicant must receive a written confirmation of exempt status

from the APCO prior to commencing construction.

5.3 Any person claiming an emissions unit is exempt under Section 4 of this 

Rule may voluntarily submit a permit application, the information required 

to substantiate the claim, and the application fee specified in Rule 500 to the 

APCO to receive a written response from the APCO approving or denying

the claimed exemption status. 

6 RECORDKEEPING

All records necessary to calculate daily emissions, daily operating parameters, or 

equipment size, ratings, or capacity to demonstrate compliance with any exemption 

requirements in Sections 4 and 5 of this Rule shall be maintained on-site for two (2)

years and be made available to the APCO upon request. Such records may include: 

emission factors, VOC content of each material used, amount of fuel used, number 

of operating hours per day and days per calendar month, and daily or monthly 

records of material usage; manufacturer’s brochures, operating logs and any other 

specific records as noted in Section 4.

7 COMPLIANCE SCHEDULE

7.1 The owner or operator of an emissions unit or operation, that was exempt 

from written permit requirements that becomes subject to the requirements 

of Rule 400 through the loss of the exemption upon adoption of this Rule, 

shall apply for a Permit to Operate not later than November 26, 2011.

7.2 For sources that are exempt from the requirements of Rule 400 and 

subsequently exceed the standards and/or thresholds of this Rule, the owner 

or operator of an emissions unit or operation shall apply for a Permit to 

Operate within thirty (30) days of the date of the loss of exemption.