ALASKA DEPARTMENT OF

 ENVIRONMENTAL CONSERVATION

Vol. III: Appendices 

Clean Air Act Section 110 Infrastructure 

Certification Documentation

Adopted 

March 12, 2015

Bill Walker, Governor 

Larry Hartig, Commissioner

Adopted March 12, 2015 Appendix to Vol. II Sec. II
Table of Contents

Alaska’s Compliance with Clean Air Act Section 110 Requirements ........................................... 1

Table 1: Alaska’s State Air Quality Control Plan CAA §110 Infrastructure Certifications. ......... 2

Table 2: Alaska’s Compliance with CAA §110 Infrastructure Requirements for the 1997 & 2006 

PM2.5 NAAQS; 1997 & 2008 Ozone NAAQS and 2008 Lead NAAQS. ..................................... 3

Table 3: Alaska’s Compliance with CAA §110 Infrastructure Requirements for the 2010 

Nitrogen Dioxide and Sulfur Dioxide 1-hour NAAQS. ............................................................... 16

Attachments 

Attachment 1. Alaska Administrative Code Title 2- Administration, Chapter 50. Alaska Public 

Offices Commission: Conflict of Interest, Campaign Disclosure, Legislative Financial 

Disclosure, and Regulation of Lobbying. Article 1. Public Official Financial Disclosure. 

Attachment 2. Alaska Administrative Code Title 9- Law, Chapter 52. Executive Branch Code of 

Ethics. 

List of Acronyms & Abbreviations

AAC Alaska Administrative Code

AMQA Air Monitoring & Quality Assurance 

CAA Clean Air Act

CBJ City & Borough of Juneau 

CFR Code of Federal Regulations

DAQ Division of Air Quality

DEC Department of Environmental Conservation 

EPA Environmental Protection Agency 

FNSB Fairbanks North Star Borough

MOA Municipality of Anchorage 

MOU Memorandum of Understanding 

NAAQS National Ambient Air Quality Standard

NEI National Emissions Inventory 

NNSR Nonattainment New Source Review

NO Nitrogen Oxide 

NOy Total Reactive Nitrogen

Adopted March 12, 2015 Appendix to Vol. II Sec. II - i
NOx Nitrous Oxide 

NO2 Nitrogen Dioxide 

NSR New Source Review

PM-2.5 Fine Particulate Matter

ppm Parts Per Million

PSD Prevention of Significant Deterioration

§ Section

SIL Significant Impact Level

SIP State Implementation Plan

SOx Sulfur Oxides 

SO2 Sulfur Dioxide

tpy Tons per Year

US United States

Adopted March 12, 2015 Appendix to Vol. II Sec. II - ii
Alaska’s Compliance with Clean Air Act Section 110 Requirements

The Clean Air Act (CAA) requires that states make State Implementation Plan (SIP) submissions 

to the United States (US) Environmental Protection Agency (EPA) which meet the basic 

requirements of CAA sections (§) 110 a, 1 and 2, A through M within three years after 

promulgation of any new or revised National Ambient Air Quality Standard (NAAQS). The 

purpose of this document is to demonstrate that the Alaska Department of Environmental 

Conservation (DEC) has the statutory and regulatory authority to implement, maintain and enforce 

the requirements of CAA §110 a, 1 and 2, A-M, also known as the “infrastructure requirements”. 

Alaska’s statutes give DEC the authority to promulgate regulations for implementing and 

enforcing the CAA and other legislation. These regulations are established within Alaska 

Administrative Code (AAC), Title 18. Environmental Conservation: 

• AAC Title 18. Environmental Conservation: 

• Chapter 50. Air Quality Control (18 AAC 50.005-50.990); 

• Chapter 52. Emissions Inspection and Maintenance Requirements for Motor Vehicles 

(18 AAC 52.005-18 AAC 52.990); 

• Chapter 53. Fuel Requirements for Motor Vehicles (18 AAC 53.005-53.990); and 

• Chapter 95. Administrative Enforcement (18 AAC 95.010-95.900). 

Within DEC, the Division of Air Quality (DAQ) administers the CAA in Alaska via these

regulations and Alaska’s State Air Quality Control Plan. DEC’s authority to act on behalf of the 

State of Alaska in any matter pertaining to the State Air Quality Control Plan is explicitly stated 

in the following statute:

• AS 46.14.030. State air quality plan. The department shall act for the state in any negotiations 

relative to the state air quality control plan developed under 42 U.S.C. 7401 - 7671q (Clean Air 

Act), as amended. The department may adopt regulations necessary to implement the state plan. 

The original plan (contained in Volumes I & II) was federally adopted in April 1972.

1 The original 

plan summarized the state’s legal authority to control air pollution and included state and local air 

pollution control strategies, monitoring, and air episode plans for particulate matter, carbon 

monoxide and sulfur dioxide. The State Air Quality Control Plan has since been revised and is 

adopted by reference in Alaska Administrative Code (AAC) in Title 18, Chapter 50, Section 030 

(18 AAC 50.030).2 The State Air Quality Control Plan is a legally enforceable document and is 

enforced by DEC. 

1 State of Alaska Air Quality Control Plan, Volumes I & II, adopted April 21, 1972. 

2

 State of Alaska Air Quality Control Plan, Volumes II & III, as adopted in 18 AAC 50.030.

Adopted March 12, 2015 Appendix to Vol. II Sec. II - 1
Portions of this control plan make up Alaska’s State Implementation Plan (SIP) which addresses 

the requirements of the 1970 Amendments to the CAA (FR August 14, 1971), the CAA 

Amendments of 1990 and subsequent requirements set out by EPA. Each time EPA approves an

amendment to Alaska’s State Air Quality Control Plan, those amendments become a part of the 

federally enforceable SIP. These amendments include Alaska’s adoption of new NAAQS and the 

respective CAA §110 infrastructure certification, as presented in Table 1. DEC updates Table 1 

each time a new SIP amendment is adopted to certify Alaska’s compliance with the NAAQS and 

its CAA §110 infrastructure requirements. 

Table 1: Alaska’s State Air Quality Control Plan CAA §110 Infrastructure Certifications. 

DEC demonstrates compliance with the NAAQS infrastructure requirements by submitting a new 

and separate table for each §110 SIP certification, as shown in Table 1. These tables provide a 

chronological history of DEC’s CAA §110 SIP submittals and include the following: DEC’s 

general statutory and regulatory authority; DEC’s specific regulatory authority for a particular 

NAAQS; Alaska’s programs, plans and agreements (e.g., Memoranda of Understanding or 

Agreement) necessary for the implementation, maintenance and enforcement the NAAQS. DEC 

has also included Attachment 1 [Alaska Administrative Code Title 2- Administration, Chapter 

50. Alaska Public Offices Commission: Conflict of Interest, Campaign Disclosure, Legislative 

Financial Disclosure, and Regulation of Lobbying {Article 1- Public Official Financial 

Disclosure}] and Attachment 2 [Alaska Administrative Code Title 9- Law, Chapter 52. Executive 

Branch Code of Ethics] to demonstrate Alaska’s compliance with CAA §110 §110(a)(2)(E)(ii) and 

the intent of CAA §128 “conflict of interest” phrases. DEC hassubmitted these existing regulations 

to meet the intent of CAA §110 (a) (2) (E) and CAA §128 for this CAA §110 certification and for 

all future CAA §110 certification amendments to the SIP. 

NAAQS 

Element

NAAQS

Federal 

Register 

Date

NAAQS

Federal 

Register 

Number

State of 

Alaska

NAAQS 

Effective Date 

of Regulation

State of Alaska 

CAA §110 SIP 

Certification 

Effective Date 

of Regulation

Table 

Number

Notes

Ozone 8-hour 7/18/97 62 FR 38856 6/21/98 8/1/12 2

PM2.5 annual & 

24-hour 7/18/97 62 FR 38652 6/21/98 8/1/12 2

PM2.5 24-hour 10/17/06 71 FR 61144 4/1/2010 8/1/12 2 Complete except 

for 110(a)(2)(G).

Ozone 8- hour 3/27/08 73 FR 16436 4/1/2010 8/1/12 2

Lead 11/12/08 73 FR 66964 4/1/2010 8/1/12 2

SO2 1-hour 6/22/10 75 FR 35520 9/17/2011 3/12/15 3

NO2 1-hour 2/9/10 75 FR 6474 1/4/2013 3/12/15 3

Adopted March 12, 2015 Appendix to Vol. II Sec. II - 2
Table 2: Alaska’s Compliance with CAA §110 Infrastructure Requirements for the 1997 & 2006 PM2.5 NAAQS; 1997 & 2008 

Ozone NAAQS and 2008 Lead NAAQS. 

CAA §110 Infrastructure

Element How Infrastructure Requirement is Addressed in Alaska’s SIP

§110(a) (2)(A)

Emission limits & other 

control measures

Alaska Administrative Code (AAC), Title 18 Environmental Conservation, Chapter 50 Air Quality 

Control 

DEC has promulgated regulations to implement and enforce the NAAQS and other emission limitations. These 

regulations include statewide ambient air quality standards, major and minor permits, transportation conformity 

and fees, among others which are found in the following articles of AAC Title 18 Environmental Conservation, 

Chapter 50. Air Quality Control:

• Article 1. Ambient Air Quality Standards (18 AAC 50.005 - 18 AAC 50.110); 

• Article 2. Program Administration (18 AAC 50.200 - 18 AAC 50.250); 

• Article 3. Major Stationary Source Permits (18 AAC 50.300 - 18 AAC 50.390); 

• Article 5. Minor Permits (18 AAC 50.502 - 18 AAC 50.560); 

• Article 7. Conformity (18 AAC 50.700 – 18 AAC 50.735); and 

• Article 9. General Provisions (18 AAC 50.900 – 18 AAC 50.990). 

On April 1, 2010, the State of Alaska adopted the 2006 PM2.5 24-hour and annual NAAQS; the 2008 ozone 8-

hour NAAQS; and the 2008 lead NAAQS into 18 AAC 50, Article 1. Alaska’s current ambient air quality 

standards are found in Article 1 at 18 AAC 50.010. 3 

Alaska’s air quality designations, classifications and control regions are found in 18 AAC 50.015. DEC has 

worked with EPA regarding the PM2.5 non-attainment area boundary for the Fairbanks North Star Borough 

(FNSB). This boundary was finalized by EPA in November 2009 and became effective on December 14, 2009. 

DEC has formally commenced SIP planning activities, in cooperation with the FNSB, to update the SIP to 

include the FNSB PM2.5 non-attainment area and additional control measures, air monitoring and emission 

3 The Division of Air Quality’s current regulations are found in Title 18 AAC 50 Air Quality Control, as amended through March 12, 2015; refer to 

http://www.dec.state.ak.us/regulations/pdfs/18%20AAC%2050.pdf 

Adopted March 12, 2015 Appendix to Vol. II Sec. II - 3
inventory work for PM2.5. Alaska will have three years from the above designation date to submit a SIP 

attainment demonstration and adopt regulations to ensure that this area will attain the 2006 PM2.5 NAAQS

within five years. There are no ozone or lead nonattainment areas in Alaska at the present time (winter 2012). 

§110(a) (2)(B) 

Ambient air quality 

monitoring & data 

analysis system 

DEC’s statutory and regulatory authority to conduct ambient air monitoring investigations is found in AS 

46.03.020 (5), AS 46.14.180 and 18 AAC 50.201. On April 1, 2010, the State of Alaska adopted into Articles 1 

and 2 of 18 AAC 50 the following 40 CFR Part 50 reference and interpretation methods for the 2006 PM2.5 24-

hour and annual NAAQS; the 2008 ozone 8-hour NAAQS; and the 2008 lead NAAQS: 

• Appendix G: Reference Method for the Determination of Lead in Suspended Particulate Matter 

Collected From Ambient Air; 

• Appendix L: Reference Method for the Determination of Fine Particulate Matter as PM2.5 in the 

Atmosphere; 

• Appendix N: Interpretation of the National Ambient Air Quality Standards for Particulate Matter;

Adopted March 12, 2015 Appendix to Vol. II Sec. II - 4
§110(a)(2)(B) 

(continued) 

• Appendix P: Interpretation of the Primary and Secondary National Ambient Air Quality Standards for 

Ozone; 

• Appendix Q: Reference Method for the Determination of Lead in Particulate Matter as PM10 Collected 

From Ambient Air; and 

• Appendix R: Interpretation of the National Ambient Air Quality Standards for Lead. 

The Municipality of Anchorage (MOA) and Fairbanks North Star Borough (FNSB) both have a Memorandum 

of Understanding (MOU) with DEC to operate air quality control programs in their respective jurisdictions.

4,5

DEC’s Air Non-Point Mobile Source Program (ANPMS) and Air Monitoring & Quality Assurance Program 

(AMQA) work with the MOA and FNSB to prepare Alaska’s annual ambient air monitoring network plan.6

Alaska’s ambient air monitoring network plan includes appropriate monitoring provisions and procedures to 

comply with the PM2.5 NAAQS monitoring requirements within the FNSB PM2.5 non-attainment area. 

Ambient PM2.5 monitoring data are collected by the MOA, the FNSB and DEC. Both the MOA and FNSB 

report their ambient air data to DEC on a quarterly basis. DEC collects PM2.5 data for the City and Borough of 

Juneau (CBJ) and the Matanuska-Susitna Valley and reports these data to EPA on a quarterly basis. Ambient air 

quality and meteorological data that are collected for Prevention of Significant Deterioration (PSD) purposes by 

permitted stationary sources are reported to DEC on a quarterly and annual basis. 

DEC’s revised “Quality Assurance Project Plan for the State of Alaska Air Monitoring & Quality Assurance 

Program” 7 was adopted by reference into the State Air Quality Control Plan under 18 AAC 50.030(4) on 

October 29, 2010. This manual includes the appropriate, federally referenced ambient air quality monitoring and 

analysis procedures for PM2.5, ozone and lead. As described in this plan, validated State & Local Air Monitoring 

Stations (SLAMS), and Special Purpose Monitoring (SPM) ambient air quality monitoring data are reported to 

the AMQA’s database manager. This person verifies the data, and electronically reports these data to EPA 

through the Air Quality System (AQS) on a quarterly basis. 

4 MOU between DEC and Municipality of Anchorage for Air Quality Control, signed June 30, 2011. 5 MOU between DEC and Fairbanks North Star Borough for Air Pollution Control, dated January 26, 2010. 6 Division of Air Quality's “Alaska’s 2012 Air Monitoring Plan” www.dec.state.ak.us/air/am/am_airmonplan.htm. 7 Division of Air Quality’s “Quality Assurance Project Plan for the State of Alaska Air Monitoring & Quality Assurance Program” 

http://www.dec.state.ak.us/air/doc/ADEC_AMQA_QAPP_23FEB10-final.pdf

Adopted March 12, 2015 Appendix to Vol. II Sec. II - 5
Ozone Monitoring: Currently (winter 2012), there are no nonattainment areas for ozone or lead in Alaska. 

Existing, ambient air quality data with regards to ozone and lead in Alaska are scarce. MOA, in conjunction with 

DEC, began monitoring for ozone at two sites starting in April 2010.8 Ozone monitoring occurred in 2010 and 

2011, April through September, at the “Garden” site located in downtown Anchorage less than 1 mile south of 

the Merrill Field airport. Ozone monitoring was also performed at the “Parkgate” site, located in Eagle River, 

during the 2010 ozone monitoring season (April through September). The ozone monitoring program was 

discontinued at the “Parkgate” site after review of the seasonal results. The ozone monitoring equipment was 

moved to Wasilla, located in the Matanuska-Susitna Valley, for the 2011 monitoring season. 

Lead Monitoring: Source specific, ambient, lead monitoring related to operations at the Red Dog Mine, located 

in Noatak, has been initiated by DEC to address federal lead monitoring requirements. Lead monitoring in 

Noatak occurred from January 2010 through June 2010; and then from July through August 2011. These 

monitoring efforts are scheduled to start again in the spring of 2012. Also, MOA, , in conjunction with DEC and 

EPA, began monitoring for lead, on October 18, 2011, at the Merrill Field airport to determine if lead emissions 

from aviation gasoline used by piston-engine aircraft are a concern for local residents. Merrill Field airport is 

the largest general aviation airport in Alaska and is located within the Municipality of Anchorage. EPA is 

considering regulating lead in aviation gasoline.8

§110(a) (2)(C)

Program to enforce 

control measures, regulate 

modification & 

construction of stationary 

sources and a permit 

program

DEC’s statutory authority to regulate stationary sources via an air permitting program is established in AS 46.14 

Air Quality Control, Article 01, General Regulations and Classifications; and Article 02, Emission Control 

Permit Program. DAQ’s Air Permits Program issues air discharge permits for stationary sources according to 

the following regulations: 

 

• Construction permit for new or modified construction projects (18 AAC 50.302);

• Prevention of significant deterioration (PSD) permit (18 AAC 50.306); 

• Non-attainment area major stationary source permit (18 AAC 50.311); and 

 • Minor Permits (18 AAC 50 Article 5). 

8 EPA’s “Advance Notice of Proposed Rulemaking on Lead Emissions from Piston-Engine Aircraft Using Leaded Aviation Gasoline”, dated April 28, 2010. 

Adopted March 12, 2015 Appendix to Vol. II Sec. II - 6
§110(a)(2)(C) 

(continued) 

Alaska’s PSD/NSR program was originally approved by EPA on February 16, 1995 [60 FR 8943]. Amendments 

to Alaska’s PSD/NSR program were more recently approved by EPA on August 14, 2007 [72 FR 45378] and 

February 9, 2011 [76 FR 7116]. On August 3, 2011, DEC adopted the PM2.5 Significant Impact Levels (SILs) 

as published in the Federal Register on October 20, 2010 [75 FR 64902]; DEC also adopted the PM2.5 source 

testing requirements as specified in Appendix M to 40 C.F.R. Part 51. The PM2.5 SILs and source test 

requirement regulations became effective on September 17, 2011. A copy of these regulations and SIP 

amendment were forwarded to EPA Region 10 via a transmittal letter dated October 17, 2011. 

Alaska’s approved PSD/NSR program implements the 1997 and 2008 ozone 8-hour NAAQS and relevant 

requirements of the Phase II ozone implementation rule as required in 69 FR 23951 (April 30, 2004) and 70 FR 

71612 (November 29, 2005). 

Standard and compliance conditions for stationary sources are found in 18 AAC 50.345. Owner requested limits 

(ORL) and plant-wide applicability limitations (PALs) are regulated according to 18 AAC 50.508, 18 AAC 

50.540, and 18 AAC 50.542. Minor permit regulations requiring analysis of ambient air quality are found at 18 

AAC 50.542(c). Regulations governing air pollution prohibitions are found at 18 AAC 50.045, 18 AAC 50.110, 

and 18 AAC 50.345(c). A violation of these prohibitions or any permit condition can result in civil actions (AS 

46.03.760), administrative penalties (AS 46.03.761), or criminal penalties (AS.03.790). Regulations pertaining 

to compliance orders and enforcement proceedings are found in 18 AAC Chapter 95 Administrative 

Enforcement. 

§110(a)(2)(D)(i)(I) and (II)

Interstate transport and 

international pollution 

abatement 

EPA originally approved the actions of DEC to address the provisions of the CAA § 110(a)(2)(D)(i)&(ii) 

regarding Alaska Interstate Transport of Pollution for the 1997 ozone 8-hour NAAQS; and for the 1997 PM2.5 

NAAQS on October 15, 2008 [73 FR 60955]. 

DEC submitted Alaska’s Interstate Transport of Pollution SIP for the 2006 PM2.5 24-hour and annual NAAQS; 

and for the 2008 ozone 8-hour NAAQS in conjunction with Alaska’s Open Burn SIP and Alaska’s Regional 

Haze SIP via a transmittal letter to EPA Region 10, dated March 29, 2010. These SIP amendments were intended 

to meet the regional haze program requirements found in 40 CFR §51.308; and also addressed Alaska’s “Finding 

of Failure to Submit State Implementation Plans Required by the 1999 Regional Haze Rule” [74 FR 2392, 

Adopted March 12, 2015 Appendix to Vol. II Sec. II - 7
§110(a)(2)(D)(i)(I) and (II)

(continued) 

January 15, 2009]. DEC submitted Alaska’s Interstate Transport of Pollution SIP for the 2008 Lead NAAQS to 

EPA via a transmittal letter to EPA Region 10, dated July 9, 2012. 

Compliance with CAA §110(a)(2)(D)(i)(I)&(II) requirements is pending EPA’s final approval of Alaska’s 

ozone, PM2.5 and lead Interstate Transport SIP amendments. DEC concludes that the written SIP amendments 

sufficiently demonstrate that emissions from Alaska do not significantly contribute to nonattainment or interfere 

with maintenance of the 1997 or 2008 ozone NAAQS; the 1997 or 2006 PM2.5 NAAQS; or the 2008 lead 

NAAQS in another state; or interfere with measures required to be included in the SIP for any other state to 

prevent significant deterioration of air quality or to protect visibility. Alaska is not subject to the “Rule to Reduce 

Interstate Transport of Fine Particulate Matter and Ozone” also called the “Interstate Air Quality Rule” [see 69 

FR 4566, January 30, 2004]. 

§110(a)(2)(D)(ii)

Interstate transport and 

interstate & international 

pollution abatement

”... insuring compliance 

with the applicable 

requirements of CAA § 126 

and 115”. 

Compliance with CAA §110(a)(2)(D)(ii) requirements is satisfied through the implementation of Alaska’s 

PSD/NSR program originally approved by EPA on February 16, 1995 [60 FR 8943] and more recently approved 

by EPA on August 14, 2007 [72 FR 45378] and February 9, 2011 [76 FR 7116]. Alaska’s approved PSD/NSR 

program implements the 1997 and 2008 ozone 8-hour NAAQS and relevant requirements of the Phase II ozone 

implementation rule as required in 69 FR 23951 (April 30, 2004) and 70 FR 71612 (November 29, 2005). For 

PM2.5, DEC has moved forward to implement PM2.5 requirements within its PSD program. Initially, DEC 

relied on EPA’s interim guidance calling for the use of PM10 as a surrogate for PM2.5. DEC recently adopted 

the PM2.5 SILs and also adopted the PM2.5 source testing requirements as specified in Appendix M to 40 C.F.R. 

Part 51. The PM2.5 SILs and source test requirement regulations became effective on September 17, 2011. A 

copy of these regulations and SIP amendment were forwarded to EPA Region 10 via a transmittal letter dated 

October 17, 2011. 

§110(a)(2)(E)(i)

Adequate personnel, 

funding and authority to 

carry out plan

DEC has implemented CAA requirements and the State Air Quality Control Plan since its inception in 1972. 

DEC’s statutory and regulatory authorities to implement and enforce the State of Alaska’s Air Quality Control 

Plan are found at AS 46.14.030 and 18 AAC 50.030, respectively. The State of Alaska has adequate personnel, 

funding and the authority to implement the 1997 and 2008 ozone NAAQS; the 1997 and 2006 PM2.5 NAAQS; 

and the 2008 lead NAAQS. The statutory authority for establishing local air pollution control programs is found 

in AS 46.14.400—Local Air Quality Control Programs. Where local control programs are relied upon to meet 

Adopted March 12, 2015 Appendix to Vol. II Sec. II - 8
SIP requirements, DEC insures that the local program has adequate resources and documents this in the 

appropriate SIP sections. 

§110(a)(2)(E)(ii)

Comply with state boards 

§110(a)(2)(E)(ii)

(continued) 

Alaska’s regulations meeting the intent of CAA §110(a) (2) (E) and CAA §128 “conflict of interest” phrases are 

found in Attachment 1- AAC Title 2- Administration; Chapter 50- Alaska Public Offices Commission: Conflict 

of Interest, Campaign Disclosure, Legislative Financial Disclosure, and Regulations of Lobbying - Article 1- 

Public Official Financial Disclosure (2 AAC 50.010- 2 AAC 50.920) and Attachment 2-Title 9- Law; Chapter 

52- Executive Branch Code of Ethics (9 AAC 52.010-9 AAC 52.990). These existing regulations are adopted 

into the State Air Quality Control Plan and are included as attachments to this SIP submittal. DEC is submitting 

these regulations to meet the intent of CAA §110 (a) (2) (E) and CAA §128 for this CAA §110certification and 

for all future CAA §110 certification amendments to the SIP. 

There are no state air quality boards in Alaska, however, the DEC Commissioner, as an appointed official and 

the head of an executive agency, is required to file a financial disclosure statement annually by March 15th of 

each year with the Alaska Public Offices Commission (APOC). These disclosures are publically available 

through APOC’s Anchorage office. Alaska’s Public Officials Financial Disclosure Forms and Internet links to 

Alaska’s financial disclosure regulations can be found at the APOC website: 

http://doa.alaska.gov/apoc/home.html . 

Adopted March 12, 2015 Appendix to Vol. II Sec. II - 9
§110(a)(2)(E)(iii)

oversee local & regional 

government/agencies

As a matter of policy, DEC encourages the development of strong local air quality control programs. DEC 

provides technical assistance and regulatory oversight to the MOA, FNSB and other local jurisdictions to ensure 

that the State Air Quality Control Plan and SIP objectives are satisfactorily carried out. As mentioned, DEC has 

an MOU with the MOA and FNSB which allows them to operate air quality control programs in their respective 

jurisdictions. The South Central Clean Air Authority has been established to aid the MOA and the MatanuskaSusitna Borough in pursuing joint efforts to control emissions and improve air quality in the air-shed common 

to the two jurisdictions.

DEC has formally commenced SIP planning activities, in cooperation with the FNSB, to update Alaska’s SIP to 

include the FNSB PM2.5 non-attainment area and additional control measures, air monitoring and emission 

inventory work for PM2.5. Alaska will have three years from the designation date (December 14, 2009) to 

submit a SIP attainment demonstration and adopt regulations to ensure that this area will attain the 2006 PM2.5 

NAAQS within five years. The MOU may also have to be updated to reflect the changes made to the SIP. 

Adopted March 12, 2015 Appendix to Vol. II Sec. II - 10
110(a)(2)(F) 

Stationary source 

emissions monitoring and 

reporting system

DEC’s general statutory authority to regulate stationary sources via an air permitting program is established in 

AS 46.14 Air Quality Control, Article 01, General Regulations and Classifications; and Article 02, Emission 

Control Permit Program. Alaska’s statutes regarding stationary source permit reporting requirements, 

completeness determinations, administrative actions, and stack source monitoring requirements are found at AS 

46.140 through AS 46.14.180. DEC’s regulatory authority to determine compliance with these statutes is found 

in 18 AAC 50.200 Information requests; and 18 AAC 0.201 Ambient air quality investigations. 

As stated previously, on April 1, 2010, the State of Alaska adopted into 18 AAC 50, Articles 1 and 2, the 

appropriate 40 CFR Part 50 reference and interpretation methods for the 2006 24-hour and annual PM2.5; the 

2008 8-hour ozone; and the 2008 lead NAAQS. Monitoring protocols and test methods for stationary sources 

that have been adopted by reference in the State Air Quality Control Plan are found at 18 AAC 50.030. Other 

documents, procedures and test methods adopted by reference, including the federal reference and interpretation 

methods for the new NAAQS, are found at 18 AAC 50.035. Federal standards adopted by reference are found 

at 18 AAC 50.040. 

On August 3, 2011, DEC adopted the PM2.5 source testing requirements into 18 AAC 50.220(c), as required in 

Appendix M to 40 C.F.R. Part 51. Monitoring, reporting, and record keeping requirements for permitted 

stationary sources are found in the standard permit conditions for construction and operating permits at 18 AAC 

50.345. 

Alaska’s PSD/NSR program was originally approved by EPA on February 16, 1995 [60 FR 8943] and more

recently approved on August 14, 2007 [72 FR 45378] and February 9, 2011 [76 FR 7116]. Alaska’s approved 

program implements the 1997 and 2008 8-hour ozone NAAQS and relevant requirements of the Phase II ozone 

implementation rule as required in 69 FR 23951 (April 30, 2004) and 70 FR 71612 (November 29, 2005). For 

PM2.5, DEC has moved forward to implement PM2.5 requirements within its PSD program. Initially, DEC has 

relied on EPA’s interim guidance calling for the use of PM10 as a surrogate for PM2.5. DEC recently adopted 

(August 3, 2011) the PM2.5 SILs; DEC also adopted the PM2.5 source testing requirements. The PM2.5 SILs 

and source test requirement regulations became effective September 17, 2011. A copy of these regulations and 

SIP amendment were forwarded to EPA Region 10 via a transmittal letter dated October 17, 2011. Ambient air 

Adopted March 12, 2015 Appendix to Vol. II Sec. II - 11
quality and meteorological data that are collected for PSD purposes by stationary sources are reported to DEC 

on a quarterly and annual basis. 

Adopted March 12, 2015 Appendix to Vol. II Sec. II - 12
§110(a)(2)(G) 

Authority to declare air 

pollution emergency and 

notify public

DEC’s regulatory authority to act during air episodes is found at 18 AAC 50.245. This authority is promulgated 

under the following statutes: AS 46.03.020; AS 46.03.820; AS 46.14.010; AS 46.14.020, AS 46.14.030 and 

46.14.540. 

At the present time (winter 2012), DEC is working to update its regulations found at 18 AAC 50.245 Table 6 

“Concentrations Triggering an Air Episode” to include provisions at least as stringent as (or more stringent 

than) EPA’s recommended, interim, PM2.5 Significant Harm Levels (SHLs) for triggering an Air Alert, Air 

Warning and Air Emergency. Also in this regulations package, DEC plans to amend 18 AAC 50.245(a), (b) and 

(c) to give local air quality control programs, recognized by the State of Alaska, the authority to declare air 

quality episodes and advisories and to take action. Release of these regulations for public review is pending 

approval within the Department. Following public comment and legal review, these provisions will be finalized 

and submitted to EPA for action and inclusion in Alaska’s federally approved SIP. In the interim, DEC can and 

does issue air advisories under 18 AAC 50.245 to address PM2.5 episodes when air quality conditions warrant 

action.

The three major municipalities in Alaska (MOA, FNSB, and CBJ) also have ordinances, codes, or regulations 

that enable them to declare emergencies in the case of poor air quality due to forest fires, volcanoes, wood smoke 

or other air quality problem. DEC will work with the FNSB to develop a Emergency Episode Contingency Plan 

for PM2.5 for the FNSB nonattainment area as outlined in 40 CFR Subpart H- Prevention of Air Pollution 

Emergency Episodes, and in Appendix L to Subpart 51 “Example Regulations for Prevention of Air Pollution 

Emergency Episodes”. DEC personnel remain in close contact with each municipality when an air emergency 

is declared, assisting with air monitoring and analysis, and implementing safety and control measures, as needed.

§110(a)(2)(H) 

Future SIP Revisions

DEC’s statutory authority to adopt regulations in order to implement the CAA and the state air quality control 

program is found in AS 46.03.020(10) (A), and AS 46.14.010(a). DEC’s regulatory authority to implement any 

provision of the CAA is found in 18 AAC 50.010. DEC strives to establish regulations and update Alaska’s SIP 

in a timely fashion as new NAAQS are promulgated by EPA. 

Adopted March 12, 2015 Appendix to Vol. II Sec. II - 13
§110(a)(2)(J) 

§ 121 consultation 

DEC’s statutory authority to consult and cooperate with officials of local governments, state and federal 

agencies, and non-profit groups is found in AS 46.030.020 (3), (8). Municipalities and local air quality districts 

seeking approval for a local air quality control program shall enter into a cooperative agreement with DEC 

according to AS 46.14.400(d). DEC can adopt new CAA regulations only after a public hearing (AS 

46.14.010(a)). 

§110(a)(2)(J) 

Section 127 public 

notification

Public notice and public hearing regulations for SIP submittals and air quality discharge permits are found at 18 

AAC 15.050 and 18 AAC 15.060. 

§110(a)(2)(J) 

PSD & visibility 

protection

Alaska’s PSD/NSR program was originally approved by EPA on February 16, 1995 [60 FR 8943] and more 

recently approved on August 14, 2007 [72 FR 45378] and February 9, 2011 [76 FR 7116]. Alaska’s approved 

program implements the 1997 and 2008 8-hour ozone NAAQS and relevant requirements of the Phase II ozone 

implementation rule as required in 69 FR 23951 (April 30, 2004) and 70 FR 71612 (November 29, 2005). For 

PM2.5, DEC has moved forward to implement PM2.5 requirements within its PSD program. Initially, DEC has 

relied on EPA’s interim guidance calling for the use of PM10 as a surrogate for PM2.5. DEC recently adopted 

(August 3, 2011) the PM2.5 SILs; DEC also adopted the PM2.5 source testing requirements. The PM2.5 SILs 

and source test requirement regulations became effective September 17, 2011. A copy of these regulations and 

SIP amendment were forwarded to EPA Region 10 via a transmittal letter dated October 17, 2011. 

DEC submitted Alaska’s Regional Haze SIP and Open Burn SIP in conjunction with Alaska’s Interstate 

Transport of Pollution SIP for the 2006 PM2.5 NAAQS and for the 2008 ozone NAAQS via a transmittal letter 

to EPA Region 10, dated March 29, 2010. These SIP amendments were intended to meet the regional haze 

program requirements found in 40 CFR §51.308; and also addressed Alaska’s “Finding of Failure to Submit 

State Implementation Plans Required by the 1999 Regional Haze Rule” (74 FR 2392, January 15, 2009). 

Compliance with CAA Title 1, Part C requirements is pending EPA’s final approval of Alaska’s Regional Haze, 

Adopted March 12, 2015 Appendix to Vol. II Sec. II - 14
Open Burn, and Interstate Transport (ozone, PM2.5) SIP submissions. DEC concludes that there are no new 

visibility protection obligations under CAA §110(a) (2) (J) as a result of the 2008 lead NAAQS. Alaska is not 

subject to the “Rule to Reduce Interstate Transport of Fine Particulate Matter and Ozone” also called the 

“Interstate Air Quality Rule” [see 69 FR 4566, January 30, 2004]. 

§110(a)(2)(K) 

Air quality modeling/data

Air quality modeling by DEC is conducted under 18 AAC 50.215(b), ambient air quality analysis methods. 

Estimates of ambient concentrations and visibility impairment must be based on applicable air quality models, 

databases, and other requirements specified in the EPA's Guideline on Air Quality Models adopted by reference 

in 18 AAC 50.040(f). This regulation allows some provisions to exclude concentrations attributable to temporary 

construction activity for a new or modified source, or to new sources outside the United States. 

DEC is currently (winter 2012) updating the baseline dates and maximum allowable increases for PM2.5, found 

in 18 AAC 50.020, to account for the 2006 PM2.5 NAAQS revisions. Pending Department approval, it is 

anticipated that the PM2.5 baseline date and maximum allowable increase regulation revisions will be released 

for public notice during the winter of 2012. These regulations will be finalized and submitted to EPA for action 

and inclusion in Alaska’s federally approved SIP following public comment and legal review. 

§110(a)(2)(L) 

Major Stationary source 

permitting fees

DEC’s statutory authority to assess and collect permit fees is established in AS 46.14.240 and AS 46.14.250. 

The permit fees for permitting major and minor stationary sources are assessed and collected by the Air Permits 

Program according to 18 AAC 50 Article 4. User Fees (18 AAC 50.400 through 18 AAC 50.430). The Air 

Permits Program is required to evaluate emission fee rates at least every four years, and provide a written 

evaluation of the findings (AS 46.14.250(g); 18 AAC 50.410). The Division’s most recent emission fee 

evaluation report was completed in October 2010. The Division’s next emission fee review is scheduled for 

2014. 

Adopted March 12, 2015 Appendix to Vol. II Sec. II - 15
§110(a)(2)(M)

Consultation/Participation 

by affected local entities

DEC has the statutory authority to consult and cooperate with officials and representatives of any organization 

in the state; and persons, organization, and groups, public and private using, served by, interested in, or 

concerned with the environment of the state (AS 46.03.020 (3) (A)(B)). 

Table 3: Alaska’s Compliance with CAA §110 Infrastructure Requirements for the 2010 Nitrogen Dioxide and Sulfur Dioxide 

1-hour NAAQS.

CAA §110 Infrastructure

Element How Infrastructure Requirement is Addressed in Alaska’s SIP

§110(a)(2)(A) 

Emission limits & other 

control measures

DEC has promulgated regulations to implement and enforce the NAAQS and other emission limitations. These 

regulations include statewide ambient air quality standards, major and minor permits, transportation conformity 

and fees, among others which are found in the following articles of Alaska Administrative Code (AAC) Title 

18 Environmental Conservation, Chapter 50. Air Quality Control: 

• Article 1. Ambient Air Quality Standards (18 AAC 50.005 - 18 AAC 50.110); 

• Article 2. Program Administration (18 AAC 50.200 - 18 AAC 50.250); 

• Article 3. Major Stationary Source Permits (18 AAC 50.300 - 18 AAC 50.390); 

• Article 5. Minor Permits (18 AAC 50.502 - 18 AAC 50.560); 

• Article 7. Conformity (18 AAC 50.700 – 18 AAC 50.735); and 

• Article 9. General Provisions (18 AAC 50.900 – 18 AAC 50.990). 

• Article 1. Ambient Air Quality Standards (18 AAC 50.005 - 18 AAC 50.110) - Alaska’s current ambient 

air quality standards, as amended through March 12, 2015, are found at: 

http://dec.alaska.gov/commish/regulations/index.htm

Adopted March 12, 2015 Appendix to Vol. II Sec. II - 16
§110(a)(2)(A) 

(continued) 

• 18 AAC 50.010(2) - The State of Alaska adopted the 2010 1-hour SO2 NAAQS on August 3, 2011; this 

regulation became effective on September 17, 2011. 

• 18 AAC 50.010(5) - The State of Alaska adopted the 2010 1-hour NO2 NAAQS on December 5, 2012; 

this regulation became effective on January 4, 2013. 

• 18 AAC 50.015. Air quality designations, classifications, and control regions - There are no NO2 or 

SO2 non-attainment areas in Alaska at the present time (summer/fall 2013). EPA officially designated all 

of Alaska “unclassifiable” with respect to the 1-hour NO2 on June 29, 2011. DEC recommended that all 

areas within the borders of Alaska be designated as “unclassifiable” in regards to the 1-hour SO2 NAAQS 

in a letter to EPA Region 10, dated June 2, 2011. DEC anticipates that all of Alaska will be designated by 

EPA as “unclassifiable” in regards to the 1-hour SO2 NAAQS in the near future. 

• 18 AAC 50.040. Federal standards adopted by reference- The Prevention of Significant 

Deterioration (PSD) of Air Quality regulations in 40 C.F.R. 51.166 and 40 C.F.R. 52.21 are adopted in 

18 AAC 50.040(h) as of January 4, 2013. 

• 18 AAC 50.055. Industrial processes and fuel-burning equipment -includes SO2 emission limits for 

fuel burning equipment and petroleum refineries. 

• 18 AAC 50.060. Pulp mills -includes SO2 emission limits for pulp mills in Alaska.

• Article 2. Program Administration (18 AAC 50.200-18 AAC 50.260)

• 18 AAC 50.260 Guidelines for best available retrofit technology under the regional haze ruleDEC’s regulations for best available retrofit technology (BART) under the regional haze rule are found 

at 18 AAC 50.260. 

• Article 3. Major Stationary Source Permits (18 AAC 50.300-18 AAC 50.390) 

• 18 AAC 50.302 Construction Permits. 

Adopted March 12, 2015 Appendix to Vol. II Sec. II - 17
• 18 AAC 50.306 Prevention of Significant Deterioration Permits 

• 18 AAC 50.345 Construction and Operating Permits: Standard Permit Conditions 

• Article 5. Minor Permits (18 AAC 50.502 - 18 AAC 50.560) 

• 18 AAC 50.508 Minor Permits Requested by the Owner or Operator 

• 18 AAC 50.540 Minor Permit: Application 

• 18 AAC 50.542 Minor Permit Review and Issuance 

• 18 AAC Chapter 53 Fuel Requirements for Motor Vehicles- requirements for oxygenated fuel to reduce 

NOx emissions.

§110(a)(2)(B) 

Ambient air quality 

monitoring & data 

analysis system 

DEC’s statutory and regulatory authority to conduct ambient air monitoring investigations is found in Alaska 

Statute (AS) 46.03.020 (5), AS 46.14.180 and 18 AAC 50.201. 

• Article 1. Ambient Air Quality Standards (18 AAC 50.005 - 18 AAC 50.110) 

• 18 AAC 50.030. State air quality plan- DAQ’s Quality Assurance Project Plan for the State of Alaska 

Air

Monitoring & Quality Assurance Program9, as amended through February 23, 2010, is adopted by 

reference at 18 AAC 50.030(4). This manual includes the appropriate, federally referenced ambient air 

quality monitoring and analysis procedures and data quality objectives for NO2 and SO2. As described in 

this plan, validated State & Local Air Monitoring Stations, and Special Purpose Monitoring ambient air 

9 Division of Air Quality’s “Quality Assurance Project Plan for the State of Alaska Air Monitoring & Quality Assurance Program.” 

http://www.dec.state.ak.us/air/doc/ADEC_AMQA_QAPP_23FEB10-final.pdf

Adopted March 12, 2015 Appendix to Vol. II Sec. II - 18
quality monitoring data are reported to the AMQA’s database manager who verifies the data, and then 

electronically reports these data to EPA through the Air Quality System on a quarterly basis.

•18 AAC 50.035 Documents, procedures, and methods adopted by reference- The most current and 

federally approved reference (measurement) and interpretation methods for NO2 and SO2 are adopted by 

reference in 18 AAC 50.035(b)(1). These reference and interpretation methods are used by DEC in its 

ambient air quality monitoring program to determine compliance with the NAAQS. 

• Article 2. Program Administration (18 AAC 50.200-18 AAC 50.260) 

•18 AAC 50.201. Ambient air quality investigation- The Municipality of Anchorage (MOA) and 

Fairbanks North Star Borough (FNSB) both have a Memorandum of Understanding (MOU) with DEC to 

operate air quality control programs in their respective jurisdictions.10,11 DAQ’s Air Monitoring & Quality 

Assurance Program (AMQA) coordinates with MOA and FNSB to prepare Alaska’s annual ambient air 

monitoring network plan. Alaska’s 2013-2014 Air Monitoring Network Plan12 includes monitoring 

provisions for nitrogen oxide (NO); total reactive nitrogen (NOy) and SO2 at one NCORE site located on 

Pioneer Road in Fairbanks, Alaska. Ambient NO, NOy and SO2 monitoring data are collected by the 

FNSB and reported to DEC on a quarterly basis. Related regulations are found in 18 AAC 50.215. 

Ambient air quality analysis methods and 18 AAC 50.220 Enforceable test methods. 

§110(a)(2)(C) 

Program to enforce 

control measures, regulate 

modification & 

construction of stationary 

sources and a permit 

program

Alaska’s air pollution prohibitions-Alaska’s regulations governing air pollution prohibitions are found at 18 AAC 

50.045, 18 AAC 50.110, and 18 AAC 50.345(c). A violation of these prohibitions or any permit condition can result in 

civil actions (AS 46.03.760), administrative penalties (AS 46.03.761), or criminal penalties (AS.03.790). Regulations 

pertaining to compliance orders and enforcement proceedings are found in 18 AAC Chapter 95 Administrative 

Enforcement. 

• Article 1. Ambient Air Quality Standards (18 AAC 50.005 - 18 AAC 50.110) - DEC recently adopted new baseline 

areas for NO2 and SO2, as defined at 18 AAC 50.020(g), which became effective on January 4, 2013. The procedure for 

determining a baseline concentration of NO2 or SO2, as established in 40 C.F.R. 52.21(b) (13) was also recently adopted 

10 MOU between DEC and Municipality of Anchorage for Air Quality Control, signed June 30, 2011. 11 MOU between DEC and Fairbanks North Star Borough for Air Pollution Control, dated January 26, 2010. 12 ADEC's “Alaska’s 2013-2014 Air Monitoring Network Plan” www.dec.state.ak.us/air/am/am_airmonplan.htm. 

Adopted March 12, 2015 Appendix to Vol. II Sec. II - 19
§110(a)(2)(C) 

(continued) 

in 18 AAC 50.020(e) and became effective on January 4, 2013. EPA’s monitoring guidance entitled “Ambient 

Monitoring Guidelines for the Prevention of Significant Deterioration” is adopted by reference at 18 AAC 50.035(5). 

On February 9, 2011, EPA approved DEC’s SIP submittal concerning its PSD and Title V Green House Gas (GHG) 

permitting programs, as promulgated in 40 C.F.R. 52.22 and 71.13, and adopted by reference in 18 AAC 50.040(h)(21)

and 18 AAC 50.040(j)(9) with an effective date of March 11, 2011 [76 FR 7116]. 

As mentioned previously, EPA’s Guideline on Air Quality Models, Appendix W to 40 CFR Part 51, is adopted by 

reference in 18 AAC 50.040(f). The most recent revision to Appendix W was published on November 9, 2005 [70 FR 

68228], wherein EPA adopted AERMOD as the preferred dispersion model. Appendix W, and therefore AERMOD, is 

also adopted by reference at 18 AAC 50.215(b) (1) and is used by DEC during its ambient air quality analysis for the 

prevention of significant deterioration. Ambient air quality and meteorological data that are collected for PSD purposes 

by permitted stationary sources are reported to DEC on a quarterly and annual basis. DEC’s PSD regulations for NO2 & 

SO2 Class I, II & III areas are found in: 

•18 AAC 50.020 (a). Table 2. Baseline Areas and Dates. 

•18 AAC 50.020 (b). Table 3. Maximum Allowable Increases. 

•18 AAC 50.020 (e). Procedure for establishing NO2 & SO2 baseline concentration, effective January 4, 

2013. 

•18 AAC 50.020 (g). Baseline areas for NO2 & SO2, effective January 4, 2013. 

•18 AAC 50.035 (5). EPA’s “Ambient Monitoring Guidelines for Prevention of Significant 

Deterioration”, adopted by reference. 

•18 AAC .040 (f). EPA’s “Guideline on Air Quality Models”, adopted by reference.

•18 AAC 50.040 (h) (21) & (j) (9). PSD & Title V Greenhouse Gas Permitting Program requirements of 

40 C.F.R. 52.22 & 40 C.F.R. 71.13 (Enforceable Commitments for Further Actions Addressing the 

Pollutant Greenhouse Gases), approved by EPA on February 9, 2011 [76 FR 7116]. 

• Article 2. Program Administration (18 AAC 50.200-18 AAC 50.260)- EPA has not promulgated regulation 

changes to implement the 1-hour NO2 and SO2 NAAQS under the PSD or Nonattainment New Source Review 

(NNSR) programs found at 40 C.F.R. §50.166. EPA issued draft PSD guidance concerning the implementation 

Adopted March 12, 2015 Appendix to Vol. II Sec. II - 20
of the 1-hour NO2 and SO2 NAAQS on June 29 and August 23, 2010, respectively.13,14 EPA’s draft 

implementation guidance recommends that states use an interim 1-hour NO2 significant impact level (SIL) 

value of 4 parts per billion (ppb) and an interim 1-hour SO2 SIL value of 3 ppb. On August 3, 2011, the State 

of Alaska adopted an SO2 SIL level of 8 ppb into Table 5 at 18 AAC 50.215(d); the SO2 SIL regulation became 

effective on September 17, 2011. The State of Alaska adopted an NO2 SIL level of 8 ppb into Table 5 on 

December 5, 2012; the NO2 SIL regulation became effective on January 4, 2013. Also on this date, DEC 

adopted new regulatory language at 18 AAC 50.215(d) regarding how to compare modeled impacts to the NO2

and SO2 SIL. These regulations are found here: 

•18 AAC 50.215(b) (1). EPA’s AERMOD, adopted by reference.

•18 AAC 50.215 (d). Table 5 Significant Impact Levels for NO2 & SO2 adopted; new language regarding 

how to compare modeled impacts to SILs adopted. 

• Article 3. Major Stationary Source Permits- Alaska’s PSD/NSR program was originally approved by EPA 

on February 16, 1995 [60 FR 8943]. Amendments to DEC’s PSD/NSR program were most recently approved 

by EPA on August 14, 2007 [72 FR 45378] and February 9, 2011 [76 FR 7116]. DEC’s PSD/NSR permit 

program regulations are found here: 

• 18 AAC 50.306. Prevention of significant deterioration (PSD) permits. 

• 18 AAC 50.311. Nonattainment area major stationary source permits. 

•18 AAC 50.326 (e). Title V NO2 & SO2 insignificant emission rates.

• Article 5. Minor Permits.

• 18 AAC 50.502. Minor permits for air quality protection. 

• 18 AAC 50.502 (c) (1) (B); (c) (1) (C) - NO2 & SO2 significant emission rates for minor permitted 

facilities.

13 EPA’s “Guidance Concerning the Implementation of the 1-hour NO2 NAAQS for the Prevention of Significant Deterioration.”, dated June 29, 2010, Stephen 

D. Page, Director, Office of Air Quality Planning and Standards. 

14 EPA’s “Guidance Concerning the Implementation of the 1-hour SO2 NAAQS for the Prevention of Significant Deterioration.”, dated August 23, 2010, 

Stephen D. Page, Director, Office of Air Quality Planning and Standards. 

Adopted March 12, 2015 Appendix to Vol. II Sec. II - 21
§110(a)(2)(D)(i)(I)

Interstate transport and 

interstate & international 

pollution abatement

In accordance with the panel of the U.S. Court of Appeals for the D.C. Circuit opinion, states are not required to submit 

CAA section 110(a)(2)(D)(i)(I) until the EPA has quantified their obligations under that section. See EME Homer City 

generation, L.P. v. EPA, 696 F .3d 7. Unless the EME Homer City decision is reversed or otherwise modified by the 

Supreme Court, Alaska is not required to submit 110(a)(2)(D)(i)(I) SIPs for the 2010 NO2 and 2010 SO2 NAAQS until 

the EPA has quantified Alaska’s obligations under that section for the 2010 NO2 and 2010 SO2 NAAQS.

§110(a)(2)(D)(i)(II)

Interstate transport and 

interstate & international 

pollution abatement

Alaska’s PSD/NSR program was originally approved by EPA on February 16, 1995 [60 FR 8943]. 

Amendments to DEC’s PSD/NSR program were most recently approved by EPA on August 14, 2007 (72 FR 

45378) and February 9, 2011 (76 FR 7116). DEC’s PSD and New Source Review regulations are found in: 

• Article 3. Major Stationary Source Permits 

• 18 AAC 50.302 Construction permit for new or modified construction projects. 

• 18 AAC 50.306 Prevention of significant deterioration permit.

• 18 AAC 50.311 Non-attainment area major stationary source permit.

 • 18 AAC 50.321 Maximum Achievable Control Technology determination. 

 • 18 AAC 50.345 Standard and compliance conditions for stationary sources. 

• 18 AAC 50.346 Other permit conditions 

On February 14, 2013, EPA approved Alaska’s Regional Haze Plan submitted on April 4, 2011, as meeting the 

requirements set forth in sections 169A and 169B of the CAA and in 40 CFR 51.308 regarding Regional Haze 

[78 FR 10546].

§110(a)(2)(D)(ii)

Interstate transport and 

interstate & international 

pollution abatement

CAA §126(a) directs states to include SIP provisions requiring new or modified sources to notify neighboring 

states of potential impacts for the sources. Alaska’s federally-approved SIP incorporates by reference 40 CFR 

51.166(q)(2) at 18 AAC 50.306(b), with certain modifications, to describe the public participation procedures 

for PSD permits including requiring notice to states whose lands may be affected by the emissions of sources 

subject to PSD. As a result, Alaska’s PSD regulations provide for notice consistent with the requirements of 

EPA’s PSD program. Alaska has no pending obligations under sections 115 or 126(b) of the Act. 

§110(a)(2)(E)(i)

Adequate personnel, 

funding and authority to 

carry out plan 

DEC has implemented CAA requirements and the State Air Quality Control Plan since its inception in 1972. 

DEC’s statutory and regulatory authorities to implement and enforce the State of Alaska’s Air Quality Control 

Plan are found at AS 46.14.030 and 18 AAC 50.030, respectively. Alaska receives CAA §103 and §105 grant 

funds from EPA and provides state matching funds necessary to carry out Alaska’s SIP requirements. The State 

of Alaska and DEC have adequate personnel, funding and the authority to implement the 2010 1-hour NO2 and 

Adopted March 12, 2015 Appendix to Vol. II Sec. II - 22
SO2 NAAQS. The statutory authority for establishing local air pollution control programs is found in AS 

46.14.400—Local Air Quality Control Programs. Where local control programs are relied upon to meet SIP 

requirements, DEC ensures that the local program has adequate resources and documents this in the appropriate 

SIP sections. 

§110(a)(2)(E)(ii)

Comply with state boards 

”... requirements that the state 

comply with the requirements 

respecting state boards under 

section 128, and...”

Alaska’s regulations meeting the intent of CAA §110(a) (2) (E) and CAA §128 “conflict of interest” phrases 

are found in AAC Title 2- Administration; Chapter 50- Alaska Public Offices Commission: Conflict of Interest, 

Campaign Disclosure, Legislative Financial Disclosure, and Regulations of Lobbying (2 AAC 50.010- 2 AAC 

50.920). Regulations concerning financial disclosure are found in Title 2, Chapter 50, Article 1- Public Official 

Financial Disclosure. A copy of Article 1 was adopted into the State Air Quality Control Plan, effective date 

August 1, 2012, and is included as an appendix to Volume II, Section II. Alaska’s executive branch ethics 

regulations are found in Title 9- Law; Chapter 52- Executive Branch Code of Ethics (9 AAC 52.010-9 AAC 

52.990). These regulations were also adopted into the State Air Quality Control Plan, effective date August 1, 

2012, and are included as an appendix to Volume II, Section II. DEC submitted these regulations to meet the 

intent of CAA §110 (a) (2) (E) and CAA §128 for all future CAA §110 certification amendments to Alaska’s

SIP. 

There are no state air quality boards in Alaska, however, the DEC Commissioner, as an appointed official and 

the head of an executive agency, is required to file a financial disclosure statement annually by March 15th of 

each year with the Alaska Public Offices Commission (APOC). These disclosures are publically available 

through APOC’s Anchorage office. Alaska’s Public Officials Financial Disclosure Forms and Internet links to 

Alaska’s financial disclosure regulations can be found at the APOC website: 

http://doa.alaska.gov/apoc/home.html . 

§110(a)(2)(E)(iii)

oversee local & regional 

government/agencies

Statutory authority and requirements for establishing local air pollution control programs are found at AS 

46.14.400 Local Air Quality Control Programs. 

As a matter of policy, DEC encourages the development of strong local air quality control programs. DEC 

provides technical assistance and regulatory oversight to the MOA, FNSB and other local jurisdictions to ensure 

that the State Air Quality Control Plan and SIP objectives are satisfactorily carried out. As mentioned, DEC 

has an MOU with the MOA and FNSB which allows them to operate air quality control programs in their 

Adopted March 12, 2015 Appendix to Vol. II Sec. II - 23
respective jurisdictions. The South Central Clean Air Authority has been established to aid the MOA and the 

Matanuska-Susitna Borough in pursuing joint efforts to control emissions and improve air quality in the airshed common to the two jurisdictions. 

DEC is collaborating with the FNSB on collecting ambient air quality samples and analyzing them for nitrogen oxide 

(NO); total reactive nitrogen (NOy) and SO2 at one NCORE site located on Pioneer Road in Fairbanks, Alaska. Ambient 

NO, NOy and SO2 monitoring data will be collected by the FNSB, who will report their ambient air data to DEC on a 

quarterly basis. These data will be used by the FNSB, DEC and EPA to determine compliance with the 1-hour NO2 and 

SO2 NAAQS.

§110(a)(2)(F) 

Stationary source 

emissions monitoring and 

reporting system

DEC’s general statutory authority to regulate stationary sources via an air permitting program is established in 

AS 46.14 Air Quality Control, Article 01, General Regulations and Classifications; and Article 02, Emission 

Control Permit Program. Alaska’s statutes regarding stationary source permit reporting requirements, 

completeness determinations, administrative actions, stack source monitoring requirements and issuing a public 

notice are found at AS 46.14.140 through AS 46.14.180. DEC’s regulatory authority to determine compliance 

with these statutes is found in 18 AAC 50.200 Information requests; and 18 AAC 0.201 Ambient air quality 

investigations. 

As stated previously, the State of Alaska adopted the 2010 1-hour SO2 NAAQS into 18 AAC 50.010 on August 

3, 2011; this regulation became effective on September 17, 2011. The State of Alaska adopted the 2010 1-hour 

NO2 NAAQS on December 5, 2012; this regulation became effective on January 4, 2013. Monitoring protocols 

and test methods for stationary sources that have been adopted by reference into the State Air Quality Control 

Plan are found at 18 AAC 50.030. The most current and federally approved reference (measurement) and 

interpretation methods for the 1-hour NO2 and SO2 NAAQS are adopted by reference in 18 AAC 

50.035(b)(1).

15 Federal standards adopted by reference are found at 18 AAC 50.040. Stationary source 

monitoring, reporting, and record keeping requirements are found in the standard permit conditions for 

construction and operating permits at 18 AAC 50.345. 

15 40 C.F.R. §50, Appendices A-1; F; and T.

Adopted March 12, 2015 Appendix to Vol. II Sec. II - 24
18 AAC 50.220 Enforceable test methods: DEC may require and owner or operator to conduct air pollutant 

emission tests to determine compliance with AS 46.14 and associated regulations. 

18 AAC 50.544 Minor Permits: Provides for the installation, use and maintenance of monitoring equipment, 

sampling of emissions, source test, monitoring and emissions data reporting for minor sources. 

§110(a)(2)(G) 

Authority to declare air 

pollution emergency and 

notify public

§110(a)(2)(G) 

(continued)

DEC’s statutory authority to act during air emergencies and air episodes is found under the following statutes: 

AS 46.03.020 Powers of the department; AS 46.03.810 Air and land nuisances; AS 46.03.820 Emergency 

powers; and AS 46.14.540 Authority of department in cases of emergency. 

Alaska’s regulations pertaining to air episodes and advisories are found at 18 AAC 50.245. Alaska’s 24-hour SO2

concentrations triggering an air alert, warning and episode are found in Table 6 at 18 AAC 50.245. All regions in Alaska 

are classified as Priority III for NO2 and SO2 (see 40 CFR 52.71). As stated in 40 CFR 51.152(c), areas classified as 

Priority III regions are not required to develop emergency episode plans, which EPA has interpreted to mean the 

contingency plans otherwise required under 40 CFR 51.152. However, DEC can and does issue air advisories under 18 

AAC 50.245 to address air episodes when air quality conditions warrant action. 

The three major municipalities in Alaska (MOA, FNSB, and CBJ) also have ordinances, codes, or regulations 

that enable them to declare emergencies in the case of poor air quality due to forest fires, volcanoes, wood 

smoke or other air quality problem. DEC personnel remain in close contact with each municipality when an air 

emergency is declared, assisting with air monitoring and analysis, and implementing safety and control 

measures, as needed. 

§110(a)(2)(H) 

Future SIP Revisions

DEC’s statutory authority to adopt regulations in order to implement the CAA and the state air quality control 

program is found in AS 46.03.020(10) (A), and AS 46.14.010(a). DEC’s regulatory authority to implement any 

provision of the CAA is found in 18 AAC 50.005. DEC strives to establish regulations and update Alaska’s 

SIP in a timely fashion as new NAAQS are promulgated by EPA. 

§110(a)(2)(J) 

§121 consultation 

DEC’s statutory authority to consult and cooperate with officials of local governments, state and federal 

agencies, and non-profit groups is found in AS 46.030.020 (3)(8). Municipalities and local air quality districts 

seeking approval for a local air quality control program shall enter into a cooperative agreement with DEC 

according to AS 46.14.400(d). DEC can adopt new CAA regulations only after a public hearing (AS 

46.14.010(a)). 

Adopted March 12, 2015 Appendix to Vol. II Sec. II - 25
§110(a)(2)(J) 

§127 public notification 

Public notice and public hearing regulations for SIP submittals and air quality discharge permits are found at 

18 AAC 15.050 and 18 AAC 15.060. 

§110(a)(2)(J) 

PSD & visibility 

protection

DEC concludes that there are no new visibility protection obligations under CAA §110(a) (2) (J) as a result of the 2010 

NO2 and SO2 NAAQS. Alaska’s PSD/NSR program was originally approved by EPA on February 16, 1995 [60 FR 8943]. 

Amendments to DEC’s PSD/NSR Program were most recently approved by EPA on August 14, 2007 [72 FR 45378] and 

February 9, 2011 [76 FR 7116]. See section 110(a) (2) (C) above.

§110(a)(2)(K) 

Air quality modeling/data

§110(a)(2)(K) 

(continued)

DEC conducts air quality modeling under 18 AAC 50.215(b), ambient air quality analysis methods. Estimates 

of ambient concentrations and visibility impairment are based on applicable air quality models, databases, and 

other requirements specified in the EPA's Guideline on Air Quality Models adopted by reference in 18 AAC 

50.040(f). 

EPA’s monitoring guidance entitled “Ambient Monitoring Guidelines for the Prevention of Significant 

Deterioration” is adopted by reference at 18 AAC 50.035(5). As mentioned previously, EPA’s “Guideline on 

Air Quality Models” (Appendix W to 40 CFR Part 51) is adopted by reference in 18 AAC 50.040(f). This 

regulation allows some provisions to exclude concentrations attributable to temporary construction activity for 

a new or modified source, or to new sources outside the United States. The most recent revision to Appendix 

W was published on November 9, 2005 [70 FR 68228], wherein EPA adopted AERMOD as the preferred 

dispersion model. Appendix W, and therefore AERMOD, is also adopted by reference at 18 AAC 50.215(b)(1)

and is used by DEC during its ambient air quality analysis for the prevention of significant deterioration. 

Ambient air quality and meteorological data that are collected for PSD purposes by permitted stationary sources 

are reported to DEC on a quarterly and annual basis. 

§110(a)(2)(L) 

Major Stationary source 

permitting fees

DEC’s statutory authority to assess and collect permit fees is established in AS 46.14.240 and AS 46.14.250. 

The permit fees for major and minor stationary sources are assessed and collected by the Air Permits Program 

according to 18 AAC Article 4. User Fees (18 AAC 50.400 through 18 AAC 50.430). Permit administration 

fees and permit emission fees are calculated according to DEC’s regulations found in 18 AAC 50.400 and 18 

AAC 50.410, respectively. Billing procedures for emission fees are administered according to 18 AAC 50.420. 

The Air Permits Program is required to evaluate emission fee rates at least every four years, and provide a 

written evaluation of the findings (AS 46.14.250(g); 18 AAC 50.410). The Division’s most recent emission fee 

Adopted March 12, 2015 Appendix to Vol. II Sec. II - 26
evaluation report was completed in October 2010. The Division’s next emission fee review is scheduled for 

2014. 

§110(a)(2)(M) 

Consultation/Participation 

by affected local entities

AS 46.03.020(3)(A)(B) provides DEC the statutory authority to consult and cooperate with officials and 

representatives of any organization in the state; and persons, organization, and groups, public and private using, 

served by, interested in, or concerned with the environment of the state. 

AS 46.03.020(8) provides DEC the authority to “advise and cooperate with municipal, regional, and other local 

agencies and officials in the state, to carry out the purposes of this chapter.” 

AS 46.14.400(d) provides authority for local air quality control programs and requires cooperative agreements 

between DEC and local air quality control programs that specify the respective duties, funding, enforcement 

responsibilities and procedures. 

Adopted March 12, 2015 Appendix to Vol. II Sec. II - 27
Attachments 

The following attachments are intended to demonstrate Alaska’s compliance with CAA §110 

§110(a)(2)(E)(ii) and the intent of CAA §128 “conflict of interest” phrases. DEC has submitted

these existing regulations to meet the intent of CAA §110 (a) (2) (E) and CAA §128 for this CAA 

§110 certification and for all future CAA §110 certification amendments to the SIP. 

Attachment 1- Alaska Administrative Code Title 2- Administration, Chapter 50. Alaska Public 

Offices Commission: Conflict of Interest, Campaign Disclosure, Legislative Financial 

Disclosure, and Regulation of Lobbying- Article 1. Public Official Financial Disclosure. 

Attachment 2- Alaska Administrative Code Title 9- Law, Chapter 52. Executive Branch Code 

of Ethics. 

Adopted March 12, 2015 Appendix to Vol. II Sec. II - 28
ATTACHMENT #1

Adopted March 12, 2015 Appendix to Vol. II Sec. II - 29
ALASKA ADMINISTRATIVE CODE

TITLE 2- ADMINISTRATION

Chapter 50. Alaska Public Offices Commission:

Conflict of Interest, Campaign Disclosure, Legislative Financial Disclosure, 

and Regulation of Lobbying 

Article 1. Public Official Financial Disclosure 

Register 162 

October 2002

with 

April 2005 Supplement 

Including Registers 164 through 173

Published by

Lexis Nexis

Adopted March 12, 2015 Appendix to Vol. II Sec. II - 30
2 AAC 50.010 AlAslc, APMINISTIIATIVK Core 2 AAC 50.010

Editor’s note: As of Register 78 the Alaska Public Offices Commission regul:I tions which were formerly located in 6 MC 29 nip 5mw locale, 1in 2 MC 50. in

SecUon

10. Reporting sources 01 income from to’

tail businesses

IS. IRepealedi

20. Reporting interests in real property 25. Reporting sources of income from

rental property

30. Duty to re1ion h.mily member finon.

cml affairs

36. Duty to report concluded business

interests

40. Loan,, loan guarantees, and indebt’

edness

50. (Repealed)

60. Write.in candidates

70. Income

75. Reporting sources of income from

gifts

80. Controlling interest in a corporation 90. Municipalities as instrumentalities

of the state

95. Reporting sources of income from

self.emp ny men I

lao. Exemption from reporting novae of individual as a source of income

102. Commission consideration ofexemp’ Lion requests

light ofExecutive Order No.41(1980). The history notes under the sections in their

new location carry forward the history of these provisions from their old location.

Seetion

105. Filing

107. Thking office

108. Notice of filing requirement

110. Civil penalty for late or incomplete

statements from filers other than

municipal officers

112. Diap.,tessioamousstofcivilpenalty 115. Procedures for late statements froni

executive branch public officiab 120. Procedures for late statements from

judicial officers

125. (Repealed)

126. (Repealed)

127. 1%cedures for incomplete elate

ments from candidates for state

elective olIicc

130. (Repeoled)

135. Civil penalty assessments for late

filing by municipal officers

140. Procedures for incomplete state menla from candidates for elective

municipal office

143. Corrected incomplete statements 145. (Repealed)

200. Definitions

Chapter 50. Alaska Public Offices Commission:

Conflict of Interest, Campaign Disclosure, Legislative Financial Disclosure, and

Regulation of

Lobbying.

An itIc

I. Public Official Financial D,sclosur (2 AAC 50,010 2 AAC 50.200i 2. Campaign Disclosure t2 MC 50,250 2 MC 50.405 3. Alnslca Public Oflins Cnmmission complaints and Investigotiona (2 MC 50.450 2MG 50.470’

4. Iteguletion of Lobbying (2 MC 50. .05 2 MC 50.545 5. Legislative Financial Disclosure 2 AAC 50705 2 MC 50.890 6. Genenil l’rovisinns 12 AAC 50.905 2 MC 50.9)i

ArticJe 1. Public Official Financial Disclosure.

2 AM) 50.010. Reporting sources of income from retail busi

nesses. For the purposes of reporting a source of income under

290

Appendix to Vol. II Sec. II - 31
Authority: AS 15.13.030 AS 39.50.030 AS 39.50.050

2 AAC 50.015. Reporting sources of income from political

campaigns and gifts for office expenses. RepeaLed. (Eff. 1)26/86,

Register 97; am 7/20/95, Register 135; repealed 1/1/2001, Register 156)

2 AAC 50.020. Reporting interests in real property. For the

purposes of reporting the identity and nature of an interest in realproperty underAS 39.50.030(b), a filer shall report a descriptLon of thenature of the interest held in the property nnd the address or otherlegal description of the property. (El!. 5/16/76, Register 58; am 7/20/95,

Register 135; am 1/1/2001, Register 156)

Authority: AS 15.13.030 AS 39.50.030 \S .19. ,0.050

2 AAC 50.025. Reporting sources of income from rental prop

erty. For the purposes of reporting a source of income underAS 39.50.030(b) from rental property located

(1) within the state, a filer shaLl report the name of a person that

paid more than $1000 in rent during the preceding calendar year;

and

(2) outside the state and managed by a

(A) filer or the filer’s family member, the filer shall report the

name of a person that paid more than $1000 in rent during thepreceding calendar year; or

(B) person other than a filer or the filer’s family member, the

filer shall report the name of the manager. (El!. 7/20/95, Register

135; am 1/1)2001, Register 156)

Authority: AS 15.13.030 AS 39.50.030 AS 39.50.050

Appendix to Vol. II Sec. II - 32
2 AAC 50.030 Ajjsi<. ADMINIwFIt%rn’E CooK 2 AAC 50.060

2 AAC 50.030. Duty to report tanDy member financial .f

fairs. For the p4irposes of reporting information on the financial affairs

of a filer’s family member, the filer shall

(1) make an affirmative good faith effort to ascertain the informa

tion; and

(2) report the information that the filer knows. (Eff. 6116/76,

Register 58; am 7/20/95, Register 135; am 1)1)2001, Register 156)

Authority: AS 15.13.030 AS 39.50.010 AS 39.50.050

2 AM) 50.035. Duty to report concluded business interests.

For the purposes of reporting information under AS 39.50.030(b) on a business ownership interest that is no longer held but was held during the preceding calendar year by a filer or the filers family member, the

fiLer shalL

(1) make an affirmative good faith effort to ascertain the informa

tion; and

(2) report the information that the filer knows. (Eff. 7/20/95, Register 135; am 1/1/2001, Register 156)

Authority AS 15.13.030 AS 39.50.030 AS 39.50.050

2 AM) 50.040. Loans, loan guarantees, and indebtedness.

(a) For the purposes of reporting a creditor under AS 39.50.030(b), a filer need not report a retail charge account creditor, revolving charge

account creditor, or credit card creditor

(b) As used in AS 39.50.030(b) and this section, “loan or loan

guarantee” includes a business or personal

(1) loan signed or cosigned by a filer or the filer’s family member; and

(2) loan guarantee made on behalf of a filer or the filer’s family

member. (Eli’. 5/16/76, Register 58; am 5/14/80, Register 74; am

1126186, Register 97; am 7/20/95, Register 135; am 11112001, Register

156)

Authority: AS 15.13.030 AS 39.50.030 AS 39.50.050

2 AAC 50.060. Retail charge accounts, Repealed. (Eff. 5/16/76,

Register 58; repealed 7/20/95, Register 135)

Editor’s note: As of Raging, 135, Oc. tober 1995. the substance of fon,,er 2AAC

50.060 is inciuded in 2 AAC 50.040.

2 AM) 60.060. Write-in candidates. A public statement by an individual not appearing on the ballot that he will seek elective office

constitutes a declaration of candidacy under AS 39.50.020. (Eff.5/16/76, Register 58; am 5/14180, Register 74)

292

Appendix to Vol. II Sec. II - 33
Authority: AS 15.13.030 AS 39.50.030 AS J9.50.050

2 AAC 50A175. Reporting sources of income from gifts. For the

purposes of reporting a source of income under AS 39.50.030(b), a filer

shall report the name of the donor of a gift or a series of gifts if the

(1) value of the gift or the cumulative value of the series of gifts

from the donor is over $250;

(2) gift or series of gifts is received by the filer or the filer’s family

member; and

(3) donor is not related to the recipient as a spouse, spousal

equivalent, parent, child, sibling, grandparent, aunt, uncle, niece, or

nephew. (Eff. 7/20/95, Register 135; am 1)112001, Register 156)

Authority: AS 15.13.030 /sS 39.50.030 AS 39.50.060

2 AAC 50.060. Controlling interest in a corporation. As used

inAS 39.50 and 2 AAC 50.010—2 AAC 50.200, “controlling interest”

in a corporation means ownership of more than 50 percent interest or

more than 50 percent of the outstanding shares at any time during the

preceding calendar year. (ElF. 5/16/76, Register 58; am 7/20/95, Register 135; am 1)112001, Register 156)

Authority: AS 15.13.030 AS 39.50.050 AS 39.50.200

2 AAC 50.09a Municipalities as instnnnentalities of the

state. In AS 39.50.200(5), “instrumentality of the state” includes

municipalities. (5ff, 5/16176, Register 58)

Aathorit3n AS 15.13.030(15) AS 39,50.200(5)

2 AAC 50,095. Reporting sources of income from self-employ

ment For the purposes of reporting a source of income under

AS 39.50.030(5) from self-employment, a filer shall list the name of a

non-retail customer, client, or patient of a

293

Appendix to Vol. II Sec. II - 34
2 AAC 50.100 ALASKA ADMiNiStk.TR’K Coin 2 AAC S0.100

(1) sole proprietorship, partnership, or professional corporation in which the filer or the filer’s family member is an owner, partner, or shareholder; or

(2) corporation in which the filer, the filer’s family member, or a combination of these individuals owns a controlling interest. (Eff. 7/20/95, Register 135; am 1/1/2001, Register 156)

Authority: AS 1513030 AS 39.50.050 AS 39.50.200 AS 39.50030

2 AAC 60.100. Exemption from reporting name of individual

as a source of income, (a)

A filer who seeks an exemption from the requirement to report the name of a source of income under AS 39.541030(b) or 2 AAC 50.010

— 2 AAC 50.200 shall request the exemption from the commission.

(b) ‘lb request an exemption under (a) of this section, a filer shall file a written request for exemption with the statement for which the exemption is requested. The written request for exemption must be on

a form prescribed by the commission and must, for a name for which an exemption is requested,

(1) state the facts that support the exemption; and (2) identi& the exemption circumstances under (c)

— (j) of this section that applies to the request. (c)

A filer may request a mental health practice exemption if during the preceding calendar year the

(1) filer or the filer’s family member was an owner, partner, or shareholder in a sole proprietorship, partnership, limited liability partnership, professional corporation, or corporation in which a mental health practitioner, including a psychiatrist, psychologist, or therapist, worked;

(2) source of income was an individual who received mental health services from the mental health practitioner; and (3) income was received as payment for the mental health ser vices.

(d)

A filer may request a sensitive medical practice exemption if during the preceding calendar year

(1) the filer or the filer’s family member was an owner, partner, or shareholder in a sole proprietorship, partnership, limited liability partnership, professional corporation, or corporation; (2) at least 67 percent of the patients of the sole proprietorship, partnership, limited liability partnership, professional corporation, or corporation consisted of individuals who

(A) received medical services related to abortion, contraception, reproductive health, a sexual disorder, or a terminal illness from the sole proprietorship, partnership, limited liability partnership, professional corporation, or corporation;

294

Appendix to Vol. II Sec. II - 35
during the preceding caLendar year the

(1) filer or the filer’s family member was an owner, partner, or

shareholder in a sole proprietorship, partnership, limited liability

partnership, professional corporation, or corporation;

(2) source of income was an individual who received medical

services related to abortion, contraception, reproductive health, asexual disorder, or a terminal illness from the sole proprietorship,

partnership, limited liability partnership, professional corporation,

or corporation; and

(3) income was received as payment for the medical services.

(0

A fiLer may request an embarrassing medical procedure exeinp

tLon if during the preceding caLendar year

(1) the filer or the filer’s family member was an owner, partner, or

shareholder in a sole proprietorship, partnership, limited liability

partnership, professional corporation, or corporation;

(2) the source of income was a

(A) minor who, unknown to a parent or legal guardian of the

minor, received medical services from the sole proprietorship,

partnership, limited liability partnership, professional corporation, or corporation; or

(B) married individual who, unknown to the individual’s

spouse, received medical services from the sole proprietorship,

partnership, limited liability partnership, professional corporation, or corporation;(3) the income was received as payment for the medical services;

and

(4) reporting the name of the source of incocne would tend to cause

a reasonable person in the situation of the source of income substantial concern, anxiety, or embarrassment.(g)

A filer may request a legal services practice exemption if during

the preceding calendar year

(1) the filer or the filer’s family member was an owner, partner, or

shareholder in a sole proprietorship, partnership, limited liability

295

Appendix to Vol. II Sec. II - 36
2 AAC 50.102 AlASKA AnMlNIgn&r1vK CODE 2 AAC 50.102

partnership, professional corporation, or corporation where an attorney worked;

(2) at least 67 percent or more ofthe clients of the sole proprietor

ship, partnership, limited liability partnership, professional corpo

ration, or corporation consisted of individuals who were

(A) minors, and who, unknown to their parents or legal guard ians, received professional legal services from the attorney; or

(B) married, and who, unknown to their spouses, received

professional legal services from the attorney;

(3) the source of income was an individual who received legal services of any nature from the sole proprietorship, partnership, limited liability partnership, professional corporation, or corpora tion; and

(4) the income was received as payment for the professional legal services.

(h)

A filer may request a legal services exemption if

(1) the filer or the filers family member was an owner, partner, or shareholder in a sole proprietorship, partnership, limited liability

partnership, professional corporation, or corporation where an attor

ney worked;

(2) the source of income was a

(A) minor who, unknown to a parent or legal guardian of the

minor, received professional legal services from the attorney; or

(B) married individual who, unknown to the individual’s

spouse, received professional legal services from the attorney;

(3) the income was received as payment for the professional legal services; and

(4) reporting the name ofthe source ofincome would tend to cause

a reasonable person in the situation of the source of income substan

tial concern, anxiety, or embarrassment.

(i)

A filer may request a filer prohibition exemption if the filer is

prohibited by law from reporting the name of a source of income.

(j) Afiler may request a right ofsource exemption ifthe filer believes

that reporting the name of a source of income would violate a right of

the source under the state or federal constitution. (Eff. 9/9/78, Register

67; am 5/14/80, Register 74; am 1/26/86, Register 97; am 7/20/95,

Register 135; am 1/1/2001, Register 156)

Authority: AS 15.13.030 AS 39.50.035 AS 39.60.OSG

AS 3960.030

2 AAC 50.102. Commission consideration of exemption re

quests. (a) For an exemption circumstance under 2 AAC 50.100(c),

(d), (e), (g), or (i), and no later than 30 days after the commission

receives a written exemption request that complies with 2 AAC

50.100(b), the staff of the commission shall

296

Appendix to Vol. II Sec. II - 37
(8) must expinin why the filer believes that the staff erred ii,

denying the filer’s request for exemption; and

(C) may include additional information that the filer consnlcrs

appropriate.

(c) Ifthe filer does not file a timely written notice of appeal under h)

of this section, the decision by the staff of the commission is final, and

may not be appealed to the commission.

(d) If the filer fiLes a timely notice of appeal under (b) of this section.

the commission wiLl hear the appeal at the next scheduled meeting of

the commission, unless the commission, in its discretion, finds good

cause to hear the appeal at a different meeting. At the hearing, an

attorney may represent the filer. Unless the commission provides

otherwise, the filer shall present the filer’s case first, and the stalTof

the commission shaLl present its case next. Alter the hearing. the

commission will grant or deny the request for an exemption.

(e) For an exemption circumstance under 2 AAC 50.100(1), (h), or

(fl and no later than 30 days after the comlilission receives a Writtenexemption request that complies with 2 AAC 50.100(1 ), the staff of thecommission shalL

(1) determine whether the facts stated in the request satisfy the

requirements of the exemption circumstance upon which the requestrelies;

(2) make a preliminary finding, which recommends that the

commission grant or deny the request;

(3) send to the filer, at the address on file with the commission, a

written notice of the preliminary finding; and

(4) submit the preliminary finding to the commission for action

under (I) of this section.

If) After the staff of the commission has submitted a preliminary

finding made under (e) of this section, the commission will

(1) review the preliminary finding at the next scheduled meetinu

of the commission, unless the commission, in its discretion, findsgood cause to review the finding at a different nieeting; and

297

Appendix to Vol. II Sec. II - 38
2 AAC 50.105 AIjshA A is’ NISTI{AT Cr,r* 2 AAC 50.105

(2) accept, reject, or modify the preliminary finding.

(g) No later than 30 days after reviewing a notice of appeal under (d) of this section or a preliminary finding under (U of this section, the

commission will send to the filer, at the address on file with the

commission, written notice of the commission’s final decision and anorder granting or denying the request for exemption.

(h) If under (g) of this section the commission

(1) grants a request for exemption, the filer need not report the

name of the source of income; and

(2) denies a request for exemption, the filer shall

(A) report the name of the source of income as required under

AS 39.50.030 no later than 30 days after the date of the commis

sion’s order; or

(B) file a notice of appeal under AS 44.62.560.

(I) If while considering a request for exemption the commission or

the staff of the commission determines that information that the

commission or the staff has received is protected by a state or federal

constitutional right or is legally privileged, the commission and the

staff will keep the information confidential, without regard to whether

the filer claims the right or privilege.

(j)

A filer does not violate AS 39.50 or 2 AAC 50.010

— 2 AAC

50.200 for failure to report the name of a source of income if the filer

has requested an exemption under 2 AAC 50.100 and

(1) the commission has not issued a written final decision and

order regarding a preliminary finding that the staff of the commis

sion has submittal under (e) of this section: or

(2) a notice of appeal that the filer has submitted under (b) or (h

of this section is under review. (Eff. 7/20/95, Register 135)

Authority: AS 15.13.030 AS 39.50.035 AS 39.50.050

AS 39.50.030

2 AAC 50.105. Filing. (a) The public officials named in

AS 39.50.200(a) who are required to file a statement underAS 39.50.020 shall file the statement with an office of the commission

by hand delivery, mail, or facsimile.

(b)

A candidate for state elective office who is required to file a

statement with the director of elections under AS 39.50.020 shall file

the statement as the director of elections provides.

(c)

A municipal officer or a candidate for elective municipal office

who is required to file a statement with the municipal clerk or another

municipal official under AS 39.50.020 shall file the statement as the

clerk or municipal official provides.

(d) If an individual who is subject to (a) of this section files a

statement by hand delivery or facsimile, the date of filing is the date on

which an office of the commission receives the statement. If the

individual files a statement by mail, the date of filing is the date ofthe

29S

Appendix to Vol. II Sec. II - 39
2 AAC 50.101. Taking office. As used in AS 39.50.0

20(a), 

within

30 days after taking office” means within 30 days after the earlier ofthe following days:

(1) the day on which the filer first earns compensation for work;

(2) the day on which the filer takes the oath of office, (ElY. 7/20/95,

Register 135)

Authority: AS 15.13.030 AS 39.50,020 AS 39.50.050

2 AAC 60.108. Notice of filing requirement. (a) If the stall’ of

the commission determines that an executive branch public official ora judicial officer must file a statement under AS 39.50.020, the staff

shall send a written notice to the individual at the address on file with

the commission.

(b) The staff of the commission shall provide each municipality a

copy of the statement form and instruction manual for each municipal

officer and candidate subject to AS 39.50. (ElY. 7120/95, Register 135;

am 1/112001, Register 156)

Authority. AS 15. 13030 AS 39.50220 AS 39.50,050

2 AAC 50.110. Civil penalty for late or incomplete statements

from filers other than municipal officers. (a) Except as provided

under 2 AAC 50. 143, the staff of the commission shall assess a civilpenalty under AS 39.50.135 against a filer other than a municipal

officer on each day that the filer’s statement is late. A statement is lateor incomplete if it is not complete and filed

(1) 30 days after the commission sends notice under 2 AAC

50.108, for an initial statement from an executive branch publicofficial or judicial officer; and

(2) March 15, for an annual statement.

(b) For s statement required because a filer is an executive branch

public official, candidate ror state elective office, or judicial officer, the

299

Appendix to Vol. II Sec. II - 40
2 AAC 50.112 AI.s,s Ajw,lINLcrRxrwE Coot 2 AAC 50.112

staffofthe commission shall assess the civil penalty against the filer as

follows:

(1) $5 per late day through the first 15 days of lateness;

(2) $10 per late day for the 16th and subsequent days of lateness. Cc) Notwithstanding (b) of this section, the staff of the commission

may recommend that the commission assess $10 per day for each day that a statement is late if a filer other than a municipal officer has

(1) failed to comply substantially with AS 39.50 or 2 AAC 50.010

— 2 AAC 50.200 by failing to report in the filer’s statement a major

source of income, interest in real property, business interest, loan,trust, or other substantial financial interest; or

(2) continuously failed to comply with AS 39.50 or 2 MC 50.010

— 2 AAC 50.200 by failing to respond fully and within the time prescribed to a written request from the commission or the staff for

further information.

(d)

A civil penalty assessed under (b) or (c) of this section is due each

day that it is assessed. (Eff. 9/9/78, Register 67; am 5/14/80, Register 74; am 1125/86, Register 97; am 7/20/95, Register 135; am 111)2001,

Register 156)

Authority: AS 15.13.030 AS 39.60.050 AS 39.50.135

AS 39,50.020

2 AAC 60.112. Dispute as to amount of civil penalty. (a) If a filer disputes the amount of a civil penalty assessed under 2 AAC

50.110(b) or 2 AAC 50,135(e), the filer may submit to the commission

an affidavit stating thcts in mitigation within 30 days of the date ofthe notice described in 2 AAC 50.115(e), 2 AAC 60.120(e), or 2 AAC

50.135(e). At its next meeting after the filer submits the affidavit, thecommission will consider the affidavit and other evidence relevant to

the amount of the civil penalty, unless the commission, in its discre

tion, finds reason to consider the affidavit at a different meeting. The commission will permit the filer to speak at the meeting. After considering the affidavit and other evidence, the commission will

(1) affirm the civil penalty if the commission determines that the

statement was late without good cause; or

(2) reduce or waive the civil penalty if the commission determines

that the statement was late for good cause.(b) No later than 60 days after a meeting described in (a) of this

section, the staff of the commission shall send a written notice of the

decision by the commission to the filer at the address on file with the

commission.

Cc) Ifthe commission decides to impose some or all of a civil penalty assessed under 2 AAC 50.110(b) or 2 AAC 50.135(e), the ifier shall

(1) pay the penalty no later than 30 days after the date of the

notice described in (b) of this section; or

300

Appendix to Vol. II Sec. II - 41
(3) that refusal or failure to file

(A) is punishable as a misdemeanor offense; and

(B) on or before the 30th day of lateness will cause the commis

sion to

(i) request the governor to remove the executive branch

public officiaL from office under AS 39.50.060

— 39.50.080,11 the

executive branch public official is not the governor or the

lieutenant governor;

(ii) request the state agency that administers the salary, per

diem, and travel expenses of the executive branch public official

to withhold those payments under AS 39.50.070, 39.50.080, or

39.50. 130;

(iii) request the attorney general to initiate misdemeanor

proceedings under AS 39.50.060

— 39.50.080 or 39.50.130: and

(iv) take other action as appropriate to carry out AS 39.50.060

— 39.50.080 or 39.50.130;

(4) the amount of the civiL penalty assessed to date under 2 AAC

50.110;

(5) that the civil penalty assessed under 2 AAC 50.110 increases

until the statement is filed; and

(6) the right of appeal under AS 39.50.135 and 2 AAC 50.112.

b) If the nnnual statement of an executive branch public officiaL is

late for 22 days, the staff of the commission shall send a written notice

to the executive branch public official at the address on tile with the

commission. The notice must include the information included in a

notice sent under (a) of this section.

(c) If the annual statement of an executive branch public official has

been late for 30 days, the staff of the commission shall

(1) send a written notice to the executive branch public offitinl at

the address on file with the commission; the notice must include theinformation included in a notice sent under (a) of this section;

(2) noti& the commission that the statement has been late for 30

days; and

301

Appendix to Vol. II Sec. II - 42
2 AAC 50120 AlASKA AOMINISTICATIVK CooF 2 AAC 50.120

(3) under the direction of the commission, take other action as

appropriate to carry out AS 39.50.060

— 39.50.080 and 39.50.130.

(d) If the aonual statement of an executive branch public official is

late for 30 days, the commission will

(1) request the governor to remove the official from office under

AS 39.50060

— 39.50.080 unless the official is the governor or lieutenant governor;

(2) request the state agency that administers the salaty, per diem,

and travel expeoses of the executive branch public official to with

hold those payments under AS 39.50.070. 39.50.080, or 39.50.130;

(3) request the attorney general to initiate misdemeanor proceed ings under AS 39.50.060

— 39.50.080 or 39.50.130; and

(4) take other action as appropriate to carry out AS 39.50.060

—

39.50.080 or 39.50.130.(e If an executive branch public official files a statement after the

date applicable to that official under AS 39.SO. 02(a), the staff of the

commission shall send a written notice to the executive branch public official at the address on file with the commission. The notice must

state the

(1) amount of the civil penalty assessed under 2 AAC 50.110; and

(2) right of appeal under AS 39.50.135 and 2 AAC 50.112. (Eff. 9/9/78, Register 67; am 10/18/81, Register 80; am 1)26/86, Register 97; am 7/20/95, Register 135)

Authority: AS 15.13.030 AS 39.50.060 AS 39.50.080

AS 39.50.020 AS 39.50.070 AS 39.50.130AS 39.50.050

2 AAC 50,120. Procedures for late statements from judicial

officers. (a) If the annual statement of a judicial officer is late for

eight days, the staff of the commission shall send a written notice to

the judicial officer at the address on file with the commission. The

notice must state

(1) that the statement has not been filed;

(2) the date on which the statement was due;

(3) that refusal or failure to file

(A) is punishable as a misdemeanor offense; and

(B) on or before the 30th day of lateness will cause the commis

sion to

(i) request the administrator of the court system to withhold

salary, per diem, and travel expense payments to the judicial

officer under AS 39.50.110;

(ii) request the Commission on Judicial Conduct to refer the

matter to the supreme court with a recommendation that the

judicial officer be removed from office under AS 39.50.110;

(iii) request the attorney general to initiate misdemeanor

proceedings under AS 39.50.060 or 39.50.110; and

302

Appendix to Vol. II Sec. II - 43
(1) send a written notice to the judicial ufficer at the address on

File with the commission: the notice must include the information

included in a notice sent under (a) of this section;

(2) notify the commission that the statement has been late for 30

days; and

(3) under the direction of the commission, take other actioa as

appropriate to carry out AS 39.50.060 and 39.50.110.

(d) Ifthe annual statement ofajudicial officer is late for 30 days, the

commission wilL

(1) request the administrator of the court system to withhold

salary, per diem, and travel expense payments to the judicial officer

under AS 39.50.110;

(2) request the Commission on .Judicial Conduct to refer the

matter to the supreme court with a recommendation that thejudicial

officer be removed from office under AS 39.50.110;

(3) request the attorney general to initiate misdemeaoor proceed

ings under AS 39.56.060 or 39.50.110; and

(4) take other action as appropriate to carry out AS 39.50.060 or

39.50. 110.(e) Ifajudicial officer files a statement after the date applicable to

that officer under AS 39.50020(a), the staff of the commission shall

send a written notice to the judicial officer at the address on fiLe with

the commission. The notice must state the

(1) amount of the civil penalty assessed under 2 AAC 50.110; and

(2) right of appeal under AS 39.50.135 and 2 AAC 50.112. (REF.

9/9fl8, Register 67; am IWIS/S1, Register 80; am 1/’26/86, Register

97; am 7/20/95, Register 135)

Authority: AS 15.13.010 ,‘iS 39.50.050 AS 3950.110

AS 39.50,020 AS 3950.060

2 AAC 50.125. Procedures followed upon a refusal or failure

by a state elected official to file the conflict-of-interest state

ment when due. Repealed 10/18/81.

303

Appendix to Vol. II Sec. II - 44
2 A,A 50.12(i

A ASKA A1)MINJSI’ItA’riVK GooF 2 AAC 50,135

2 AAC 50.126. Procedures for failure or refusal of an incum

bent state elected official to file the annual conflict-of-interest

statement by the April 15 due date. Repealed. (Eft 10/18/81, Regi ter 80, repealed 7/20/95, Register 135)

2 AAC 50.127. Procedures for incomplete statements from candidates for state elective office. (a) Seven days before the primary election withdrawal date set in AS 15.25.055 and seven days before the general election withdrawal date set in AS 15.25.200, the stafi of the commission shall provide to the commission a list of the

candidates for state elective office whose statements are incomplete. (b Upon receipt of a list described in (a) of this section, the

conlniisslon will schedule a meeting to consider the list. The staff of the

commission shall notify a candidate for state elective office who is on

the list about the time, date, and place of the meeting.

(c II, at or after the meeting scheduled under (b) of this section, the commission determines that a candidate for state elective office has not

supplied required information on a major source of income, interest in real property business interest, loan, or trust, the commission will

recommend that the lieutenant governor remove the candidate’s name

from the ballot. If the candidate’s name cannot be removed from the

ballot, the commission will recommend that the lieutenant governor not certify the candidates nomination foT office or election to office.

(d) If informntion discovered after the withdrawal-of-candidacy deadline indicates that a candidate for state elective office has failed to

comply substantially with the requirements of AS 39,50 or 2 AAC 50.010 —2 AAC 50.200, the staff of the commission shall undertake a

preliminary investigation under 2 A.AC 50.460. The staff shall report its findings to the commission. The commission will determine the

appropriate penalty. (EfT. 1126)86, Register 97; am 7/20/95, Register 135; am 111/2001, Register 156)

Authority: AS 1513.030 AS 39.50.060 AS 39.50.130

AS 39,50.020 AS 39.50.120 AS 39.50.135

AS 33.50.050

2 AAC 50.130. Filing by a municipal officer. Repealed (Eff 9/9/78, Register 67; am 5/14/80, Register 74; repealed 7/20/95, Register 135)

2 AAC 50.135. Civil penalty assessments for late filing by municipal officers. (a) The statement of a municipal officer is delinquent if the municipal clerk or designated municipal official does

not recoive the statement on or before March 15, for an annual

statement.

cli) The statement continues to be deLinquent and subject to a civil penalty until received by the municipal clerk or designated official.

304

Appendix to Vol. II Sec. II - 45
(B) on or before the 30th day of lateness will cause the commis

sion to

Ii) request the nttorney general to initiate misdemeanor pro

ceedings under AS 39.50.060; and

(ii) take other action as appropriate to carry outAS 39,50.060;

(4) the amouat of the civil penalty assessable to date under (e) of

this section;

(5) that the civil penalty assessable uader (e) of this section

increases until the staterneat is filed; and

(6) the right of appeal under AS 39.50.135 and 2 AAC 50J12.

(e) The municipal clerk or designated official shall notir the com

mission by telegram or telephone of the name and address of anymunicipaL officer who filed a delinquent statement and the date on

which the Into statement was received by the clerk or designated

official. Upon notification of the receipt of a delinquent statement,commission staff shall

(1) assess a civil penalty of

(A) $1 a day for the first seven days a statement is delinquent;

and

(B) $5 a day for the eighth day and subsequent days of delin

quency; and

(2) within five days after notification by the municipal clerk or

designated official of receipt of a delinqueat statement, send a notice

of the civil penalty assessed against the municipal officer and a form

for appealing the assessment.

(I) If a municipal officer disputes the amount of a civil penalty

assessed under (e) of this section, the municipal officer, using the

affidavit appeal form provided under (e) of this section, may submit tothe commission an affidavit stating facts in mitigation within 30 days

of the date of the notice described in (e) of this section. The commissionwill review the affidavit under the procedures set out at 2 AAC 50.112.

(g) Repealed 7/20/95.

(h) Repealed 7/20/95.

305

Appendix to Vol. II Sec. II - 46
2 A.AC 50.140 ApAsI MpNisTnnIvI Coni 2 AAC 50.140

(i) Repealed 7/20/95.

(1) Notwithstanding Ce) of this section, the staff of the commission

may recommend that the commission assess $10 per day for each day that a statement is late if a municipal officer has

(1) failed to comply substantially with AS 39.50 or 2 AAC 50.010

2 MC 50.200 by failing to report in the officer’s statement a

major source of income, interest in real property, business interest,

loan, trust, or other substantial financial interest; or

(2) continuously (ailed to comply with AS 39.50cr 2 AAC 50.010

2 AAC 50.200 by failing to respond fully and within the time

prescribed to a written request from the commission or staff for

further information (EfE 9/9/78, Register 67; am 5114/80, Register

74, am 1/26/86, Register 97; am 7/20/95, Register 135; am 1/112001. Register 156)

Authority: AS 15.13.030 AS 39.50.050 AS 39.50.135

AS 39.50.020

2 AAC 50.140. Procedures for incomplete statements from

candidates for elective municipal office. (a) Seven days before the deadline for withdrawal of candidacy, the staff of the commission shall

provide the commission n List of the candidates for elective municipal office whose statements are incomplete.

(b) Upon receipt of the list described in (a) of this section, the

commission will schedule a meeting to consider the list. The staff of the

commission shall noti’ a candidatefor elective muaicipsl office who is

on the list about the time, date, and place of the meeting.

Ic) If, at or after a meeting scheduled under

) of this section, the

commission determines that n candidate for elective municipal office has not supplied required information on e major source of income, interest in real property, business interest, loan, or trust, the commis

sion will recommend that the appropriate municipal clerk or desig nated municipal official refuse or return the candidate’s filing fees and filing for office and remove the candidate’s name from the filing records.

Cd) If information discovered after the withdrawal-of-candidacy deadline indicates that a candidate for elective municipal office has failed to comply substantially with the requirements of AS 39.50 or

2 AAC 50.010

— 2 AAC 50.200, the staff of the commission shall

undertake a preliminary investigation under 2 MC 50.460. The staff

shall report its findings to the commission. The commission will

determine the appropriate penalty. (Eff. 9/9/78, Register 61; am 1/26/86, Register 97; am 7/20/95, Register 135; am 11)12001, Register 156)

Authority: AS 15.13.030 AS 39.50.050 AS 39.50.060

AS 39.60.020

306

Appendix to Vol. II Sec. II - 47
2 SAC 50.145. Substantial or continuing noncompliance. Re

pealed. (Eff. 1/26/86, Register 97; repealed 7/20/95, Register 135)

Editor’s nasa As ol Tirgister 135, Oc- 50.145 is boiLed nt 2 MC 50.110(c) nod 2

tobor 1995. Lhe substance of former 2 MC AAC 50,135(j).

2 SAC 50300. Definitions. As used in AS 39.50 and 2 AAC

50.010

— 2 AAC 50.200, unless the context requires otherwise,

(1)

4candidate” means a candidate for

(A) state elective office; and(8) elective municipal office;

(2) “child” has the meaning given in AS 39.50.200(a);(3) “commission” means the Masks Public Offices Commission

created under AS 15.13.O 20(a);

(4) “executive branch public official” means a public official within

the definition given in AS 39.50.200(a), except for a judicial officer or

a municipal officer;

(5) ‘filer” means a public official as defined in AS 39.50.200(a);(6) “gift”

(A) means a payment or item to the extent that consideration of

equal or greater value is not received;

(B) includes

U) forgiveness of a loan, payment of a loan by a third party, or

an enforceable promise to make a payment except when full and

adequate consideration is received;

(ii) the provision of accommodations;

(iii) the provision of a ticket for travel or for an entertainment

event;

(iv) the provision of food or beverages other than food or

beverages for immediate consumption;

(v) the granting of a discount or rebate not extended to the

public generally for a good or service; and

(vi) the provision or loan of goods or services for personal or

professional use, including office expenses connected with hold307

Appendix to Vol. II Sec. II - 48
does not include a judicial officer who holds a judiciaL office for less

than 30 days;

(8) “municipal officer” has the meaning given in AS 39.50.200(a);

(9) “source of income” has the meaning given in AS 39.50.200(a);

(10) “spousal equivalent” has the meaning given in

AS 39.50.200(a);

(11) “statement” means a statement or report of income sources

and business interests required under AS 39.50;

(12) “family member” means a spouse, spousal equivalent, or

dependent child, or the filer’s nondependent child who lives with the

filer;

(13) “public official” has the meaning given in AS 39.50.200(a). ir. 9/9/78, Register 67; am 7/20/95, Register 135; am 11112001,

Register 156)

Authority: AS 15.13.030 AS 39.50.050

Appendix to Vol. II Sec. II - 49
ALASK AD INISTRATIVE

CODE

Title 2

Administration

APRIL 2005 SUPPLEMENT

INCLUDING REGISTERS 164 THROUGH 173

I

LexisNexis

[0456-46

Appendix to Vol. II Sec. II - 50
Conflict of Interest, Campaign Disclosure,

Legislative Financial Disclosure, and

Regulation of Lobbying.

Article

1. Public Official Financial Disclosure (2 AAC 50.010 —2 MC 60.200) 2. Campaign Disclosure (2 AAC 50.250

— 2 AAC 50.405) 3. Masks Public Offices Commission Complaints and Investigations (2 AAC 60.450

—

2 AAC 50.470)

5. Legislative Financial Disclosure (2 AAC 50.705

— 2 AM] 50.890) 6. General Provisions (2 AAC 50.905

— 2 A.AC 50.920)

Article 1. Public Official Financial Disclosure.

Section Section

10. Reporting sources of income from re- 100. Exemption from reporting name of tail businesses individual as a source of income 25. Reporting sources of income from 102. Commission consideration of exemp rental property tion requests 75. Reporting sources of income from 200. Definitions

2 SAC 50.010. Reporting sources of income from retail busi

nesses. For the purposes of reporting a source of income under

AS 39.50.030(b), a ifier shall report the name

(1) and address of a source of income that is a retail business; and

(2) of a customer of a retail business that is

a source of income, if

the customer

(A) conducted business with the retail business through a line of credit that extended through two or more billing cycles;

(B) had an ongoing contract to purchase goods or services from

the retail business; or

(C) paid the retail business more than $5,000 for

a good or service ter receiving a discount that was not available to the

general public. (Eff. 8/20/75, Register 55; am 5/16/76, Register 58;

am 1/26/86, Register 97; am 7/20/95, Register 135; am 1/112001,

Register 156; am 2/20/2005, Register 173)

Authority: AS 15.13.030 AS 39.50.030 AS 39.50.050

2 SAC 50.025. Reporting sources ofincome from rental prop

erty. For the purposes of reporting a source of income under

AS 39.50.030(b) from rental property located

(1) within the state,

a ifier shall report the name of a person that paid more than $5,000 in rent during the preceding calendar year; and

Appendix to Vol. II Sec. II - 51
2 SAC 50.075. Reporting sources of income from gifts. For the

purposes of reporting

a source of income under AS 39.50.030(b), a filer

shall report the name of the donor of a gift or a series of gifts if the

(1) value of the gift or the cumulative value of the series of gifts

from the donor is over $250;

(2) gift or series of gifts is received by the filer or the filer’s family member; and

(3) donor is not related to the recipient as

a spouse, domestic

partner, parent, child, sibling, grandparent, aunt, uncle, niece, or

nephew. (Elf. 7/20/95, Register 135; am 111/2001, Register 156; am

2/20/2005, Register 173)

Authority: AS 15.13.030 AS 39,50.030 AS 39.50.050

2 SAC 50.100. Exemption from reporting name of individual

as

a source of income. (a)

A filer who seeks an exemption from the requirement to report the name of

a source of income under

AS 39.50.030(b) or 2 AAC 50.010

— 2 AAC 50.200 shall request the exemption from the commission.

(b) ‘Lb request an exemption under (a) of this section, a ifier shall file

a written request for exemption with the statement for which the

exemption is requested. The written request for exemption must be on

a form prescribed by the commission and must, for

a name for which an

exemption is requested,

(1) state the facts that support the exemption; and

(2) identil’ the exemption circumstances under (c)

— (j) of this section that applies to the request.

(c)

A ifier may request a mental health practice exemption if during the preceding calendar year the

(1) filer or the ifier’s family member was an owner, partner, or shareholder in

a sole proprietorship, partnership, limited liability partnership, professional corporation, or corporation in which

a

mental health practitioner, including

a psychiatrist, psychologist, or therapist, worked;

(2) source of income was an individual who received mental

health services from the mental health practitioner and

61

Appendix to Vol. II Sec. II - 52
vices.(d)

A filer may request a sensitive medical practice exemption if

during the preceding calendar year

(1) the filer or the filer’s family member was an owner, partner, or

shareholder in a sole proprietorship, partnership, limited liability

partnership, professional corporation, or corporation;

(2) at least 67 percent of the patients of the sole proprietorship,

partnership, limited liability partnership, professional corporation,

or corporation consisted of individuals who

(A) received medical services related to abortion, contraception,

reproductive health, a sexual disorder, or a terminal illness fromthe sole proprietorship, partnership, limited liability partnership,professional corporation, or corporation;

(B) were minors, and who, unknown to their parents or legal

guardians, received medical services from the sole proprietorship,partnership, limited liability partnership, professional corporation, or corporation; or

(C) were married, and who, unknown to their spouses, received

medical services from the sole proprietorship, partnership, limitedliability partnership, professional corporation, or corporation;(3) the source of income was an individual who received medical

services of any nature from the sole proprietorship, partnership,

limited liability partnership, professional corporation, or corpora

tion; and

(4) the income was received as payment for the medical services.

(e)

A filer may request a sensitive medical procedure exemption if

during the preceding calendar year the

(1) filer or the filer’s family member was an owner, partner, or

shareholder in a sole proprietorship, partnership, limited liabilitypartnership, professional corporation, or corporation;

(2) source of income was an individual who received medical

services related to abortion, contraception, reproductive health, a

sexual disorder, or a terminal illness from the sole proprietorship,partnership, limited liability partnership, professional corporation,

or corporation; and

(3) income was received as payment for the medical services.

(0

A filer may request an embarrassing medical procedure exemp

tion if during the preceding calendar year

(1) the filer or the filer’s family member was an owner, partner, or

shareholder in a sole proprietorship, partnership, limited liability

partnership, professional corporation, or corporation;

(2) the source of income was a

(A) minor who, unknown to a parent or legal guardian of the

minor, received medical services from the sole proprietorship,partnership, limited liability partnership, professional corporation, or corporation; or

62

Appendix to Vol. II Sec. II - 53
(g)

A filer may request a legal services practice exemption if during

the preceding calendar year

(1) the filer or the filer’s family member was an owner, partner, or

shareholder in a sole proprietorship, partnership, limited liability

partnership, professional corporation, or corporation where an attor

ney worked;

(2) at least 67 percent or more of the clients of the sole proprietor

ship, partnership, limited liability partnership, professional corpo

ration, or corporation consisted of individuals who were

(A) minors, and who, unknown to their parents or legal guard

ians, received professional legal services from the attorney; or

(B) married, and who, unknown to their spouses, received

professional legal services from the attorney;

(3) the source of income was an individual who received legal

services of any nature from the sole proprietorship, partnership,

limited liability partnership, professional corporation, or corpora tion; and

(4) the income was received as payment for the professional legal

services.

(h)

A filer may request a legal services exemption if

(1) the filer or the filer’s family member was an owner, partner, or

shareholder in a sole proprietorship, partnership, limited liability

partnership, professional corporation, or corporation where an attor

ney worked;

(2) the source of income was a

(A) minor who, unknown to a parent or legal guardian of the

minor, received professional legal services from the attorney, or

(B) married individual who, unknown to the individual’s

spouse, received professional legal services from the attorney;

(3) the income was received as payment for the professional legal

services; and

(4) reporting the name of the source of income would tend to cause

a reasonable person in the situation of the source of income substan

tial concern, anxiety, or embarrassment.

(i)

A filer may request a filer prohibition exemption if the filer is

prohibited by law from reporting the name of a source of income.

63

Appendix to Vol. II Sec. II - 54
eporting the name of a source of income would violate a right of the source under the state or federal constitution.

(k)

A filer may request a HIPAA exemption if the filer believes that reporting the name of a source of income would disclose protected health information that the filer is prohibited from disclosing under 42 U.S.C. 1320d - 1320d-8 (Health Insurance Portability and Accountabil ityAct(HIPAA)of1996).(Eff. 9/9/78, Register 67; am 5(14/80, Register 74; am 1/26/86, Register 97; am 7/20/95, Register 135; am 1/112001, Register 156; am 2/20/2005, Register 178)

Authority: AS 15.13.030 AS 39.50.035 AS 39.50.050 AS 39.50.030

2 SAC 50.102. Commission consideration of exemption re quests. (a) For an exemption circumstance under 2 AAC 50.100(c), (d), (e), (g), (i), or (lQ, and no later than 30 days after the commission receives a written exemption request that complies with 2 AAC 50.100(b), the staff of the commission shall

(1) grant the request, ifthe facts stated in the request satis& the exemption circumstance upon which the request relies; and (2) send to the filer, at the address on file with the commission,

a written notice of the staff’s decision to grant or deny the exemption. (b) If under (a) of this section the staff of the commission grants

a request, the filer need not report the name of the source of the income for which the request is made. If the staff denies the request, the filer shall, no later than 30 days after the date of the staff’s written notice under (a) of this section,

(1) report the name of the source of income as required under AS 39.50.030; or

(2) file with the commission a notice of appeal, which (A) must contain the information described in 2 AM] 50.100(b); (B) must explain why the filer believes that the staff erred in denying the filer’s request for exemption; and (C) may include additional information that the filer considers appropriate.

(c) Ifthe filer does not file a timely written notice of appeal under (b) of this section, the decision by the staff of the commission is final, and may not be appealed to the commission.

(d) Ifthe filer files

a timely notice of appeal under (b) ofthis section, the commission wiil hear the appeal at the next scheduled meeting of the commission, unless the commission, in its discretion, finds good cause to hear the appeal at

a different meeting. At the hearing, an attorney may represent the filer. Unless the commission provides otherwise, the filer shall present the filer’s case first, and the staff of the commission shall present its case next. After the hearing, the commission will grant or deny the request for an exemption.

64

Appendix to Vol. II Sec. II - 55
(

) 

, 

t

e commission, a written notice of the preliminary finding; and

(4) submit the preliminary finding to the commission for action

under (0 of this section.

U) After the staff of the commission has submitted

a preliminary finding made under (e) of this section, the commission will

(1) review the preliminary finding at the next scheduled meeting of the commission, unless the commission, in its discretion, finds

good cause to review the finding at a different meeting and (2) accept, reject, or modi& the preliminary finding. (g) No later than 30 days after reviewing a notice of appeal under (d) of this section or

a preliminary finding under (0 of this section, the commission will send to the filer, at the address on file with the

commission, written notice of the commission’s final decision and an

order granting or denying the request for exemption.

(h) If under (g) of this section the commission

(1) grants

a request for exemption, the filer need not report the

name of the source of income; and

(2) denies

a request for exemption, the filer shall

(A) report the name of the source of income as required under AS 39.50.030 no later than 30 days after the date of the commis

sion’s order, or

(B) ifie a notice of appeal under AS 44.62.560.

(i) If while considering a request for exemption the commission or the staff of the commission determines that information that the

commission or the staff has received is protected by

a state or federal

constitutional right or is legally privileged, the commission and the

staff will keep the information confidential, without regard to whether the filer claims the right or privilege.

(j)

A filer does not violate AS 39.50 or 2 AAC 50.010

— 2 AAC

50.200 for failure to report the name of

a source of income if the filer

has requested an exemption under 2 AAC 50. 100 and

(1) the commission has not issued

a written final decision and

order regarding a preliminary finding that the staff of the commiq sion has submitted under (e) of this section; or

(2) a notice of appeal that the ifier has submitted under (b) or (h) of this section is under review. (Eff. 7/20/95, Register 185; am 2(20(2005, Register 173)

65

Appendix to Vol. II Sec. II - 56
AS 39.50.030

2 AAC 50.200. Definitions. As used in AS 39.50 and 2 AAC

50.010

— 2 AAC 50.200, unless the context requires otherwise,

(1) “candidate” means a candidate for

(A) state elective office; and(B) elective municipal office;

(2) “child” has the meaning given in AS 39.50.200(a);

(3) “commission” means the Alaska Public Offices Commission

created under AS 15.13.020(a);

(4) “executive branch public official” means a public official within

the definition given in AS 39.50.200(a), except for a judicial officer ora municipal officer;

(5) “filer” means a public official as defined in AS 39.50.200(a);

(6) “gift”

(A) means a payment or item to the extent that consideration of

equal or greater value is not received;

(B) includes

(i) forgiveness of a loan, payment of a loan by a third party, or

an enforceable promise to make a payment except when flaIl and

adequate consideration is received;

(ii) the provision of accommodations;

(iii) the provision of a ticket for travel or for an entertainment

event;

(iv) the provision of food or beverages other than food or

beverages for immediate consumption;

(v) the granting of

a discount or rebate not extended to the

public generally for a good or service; and

(vi) the provision or loan of goods or services for personal or

professional use, including office expenses connected with hold

ing public office, unless made in exchange for consideration ofequal or greater value; and

(C) does not include

(i) a political contribution;

(ii) a commercially reasonable loan made in the ordinary

course of business in exchange for consideration of equal or

greater value; or

(iii) an inheritance;

(7) “judicial officer” has the meaning given in AS 39.50.200(a), but

does not include

a judicial officer who holds a judicial office for less

than 30 days;

(8) “municipal officer” has the meaning given in AS 39.50.200(a);

(9) “source of income” has the meaning given in AS 39.50.200(a);

(10) repealed 2/20/2005;(11) “statement” means a statement or report of income sources

and business interests required under AS 39.50;

66

Appendix to Vol. II Sec. II - 57
Appendix to Vol. II Sec. II - 58
ATTACHMENT #2

Adopted March 12, 2015 Appendix to Vol. II Sec. II - 59
ALASKA ADMINISTRATIVE CODE

TITLE 9- LAW

Chapter 52. Executive Branch Code of Ethics 

Register 131 

October 1994

with 

April 2005 Supplement 

Including Registers 132 through 173

Published by

Butterworth Legal Publishers 

& 

Lexis Nexis

Adopted March 12, 2015 Appendix to Vol. II Sec. II - 60
160. Confidentiality

170. Civil penalties for multiple violations

180. Attorney general review of agency

policies

990. Definitions

9 AAC 52.010. APPEARANCE OF IMPROPRIETY. An appear

ance of impropriety does not establish that an ethical violation exists.

(Iff. 4/25/94, Register 130)

Authority: AS 39.52.110 AS 39.52.950

9 AAC 52.020. IMPROPER MOTIVATION. A public officer may

not take or withhold official action on a matter if the action is based on

an improper motivation. (Eff. 4/24/94, Register 130)

uthority: AS 39.52.110 AS 39.52.950

9 AAC 52.030. WHEN MEMBERSHIP IS SIGNIFICANT. (a) If a public officer is required by statute to be a member of a class and the

public officer takes or withholds official action in a matter that affects

all members of that class, the action is not a violation of the Ethics Act

or this chapter unless the officer receives significant financial or per sonal benefit from the action or takes or withholds the action based on

an improper motivation.

(h) A public officer’s interest in a matter by reason of the officer’s

membership in a large organization or class is significant if the officer

or an immediate family member of the officer has a significant personal financial interest in the matter. (Eff. 4/24/94, Register 130)

Authority: AS 39.52.110 AS 39.52.950

9 AAC 52.040. UNWARRANTED BENEFITS OR TREATMENT.

(L) As used in AS 39.52.120(a), “unwarranted benefits or treatment”

incLudes

70. Information disseminated to the pub

lic

SO. State grants, contracts, leases, and

loans

90. Outside employment or service

IlK). Restrictions on employment after

leaving state service

Appendix to Vol. II Sec. II - 61
(

) 

p

,

regardless of whether the procedures were established formally or

informally, if the deviation is based on the improper motivation; and

(2) an award of a benefit if the person receiving the benefit was

substantially less qualified, in light of the formal or informal stan

dards set out for the award, than another person who was or reasonably should have been considered for the award if the award is based

on an improper motivation.(b) A public officer may not grant or secure an unwarranted benefit

or treatment, regardless of whether the result is in the best interest of

the state.

(c) Subject to the requirements of AS 39.52.110, 39.52.120, 39.52.150,

and AS 39.90.020, neither the Ethics Act nor this chapter prohibits a

public officer from

(1) considering a person who has a relationship with an officer for

a state contract or job if the person is considered on an equal basis

with other applicants; or

(2) considering an individual’s political affiliation or political sup

port in determining whether to appoint the individual to a state boardor commission or to hire the individual for an exempt or partiallyexempt state job. (Eff. 4/24/94, Register 130)

Authority: AS 39.52.120 AS 39.52.950

9 AAC 52050. USE OF’ STATE TIME, PROPERTY, EQUIP

MENT, OR OTHER FACILITIES. A public officer who uses statetime, property, equipment, or other facilities to benefit the officer’s

personal or financial interest is not in violation of AS 39.52.120(b)(3) ifthe officer’s designated supervisor determines that the use is insignificant, the attorney general has not issued a general opinion against the

use, and the attorney general does not advise the officer against theuse. (Eff. 4/24/94, Register 130)Authority: AS 39.52.110 AS 39.52.120 AS 39.52.950

9 AAC 52.060. GIflS. (a) As used in the Ethics Act and this chap

ter, a gift is a transfer or loan of property or provision of services to apublic officer for less than full value. Unless rebutted by other evi

dence, and occasional gift worth $50 or less is presumed not to be givenunder circumstances in which it could be reasonably inferred that thegift is intended to influence an officer’s performance of official duties,actions, or judgment.

(b) For purposes of AS 39.52.130, travel or lodging of any value

received by a public officer in connection with a trip that the publicofficer takes as part of the officer’s official duties is not an improper gift

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Appendix to Vol. II Sec. II - 62
9 AAC 52.070. INFORMATION DISSEMINATED TO THE PUBLIC. (a) For purposes of AS 39.140, information has been disseminated

to the public if it has been published through newspaper publication;

broadcast media; a press release; a newsletter; a legal notice; a nonconfidential court filing; a published report; a public speech; or publictestimony before the legislature, a board, or a commission.

(b) Information that is available to the public but that has not been

published as described in (a) of this section has not been disseminated

to the public. (Eff. 4/24/94, Register 130)

Authority: AS 39.52,140 AS 39.52.950

9 AAC 52.080. STATE GRANTS, CONTRACTS, LEASES, AND

LOANS. (a) For purposes of AS 39.52.150(b), a state grant, contract, orlease is competitively solicited if the grant, contract, or lease

(1) is awarded by competitive sealed bidding under AS 36.30.100 — 36.30.190 or competitive sealed proposals under AS 36.30.200 — 36.30.270; or

(2) is awarded by procedures substantially similar to competitive

sealed bidding or competitive sealed proposals and AS 36.30 does not

apply to the awarding of the grant, contract, or lease.(b) If a state grant, contract, lease, or loan is awarded by or for a

pubhc corporation, board, or commission within a department but not

by or for the office of the commissioner of that department, then an

employee of the office of the commissioner in that department is not

considered to be employed by the administrative unit awarding thegrant, contract, lease, or loan.

(c) For purposes of AS 39.52.150(b)(,1), if the public officer was not

employed by the administrative unit at the time a state grant, contract,

ur lease was competitively solicited, the officer’s subsequent employ

mint by that administrative unit does not constitute a violation of

AS 39.52.150 unless the officer takes or withholds official action withrespect to the administration of the grant, contract, or lease.

(d) For purposes of AS 39.52.150(c), a loan is not subject to fixed

eligibility standards if the award of the loan is subject to review forulequacy of security or other discretionary judgment concerning re

payment ability. (Eff. 4/24/94, Register 130)

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Appendix to Vol. II Sec. II - 63
9 AAC 52.090. OUTSIDE EMPLOYMENT OR SERVICE. For

purposes of AS 39.52.170, a public employee’s outside employment orservice, including volunteer service, is incompatible or in conflict withthe proper discharge of official duties if the employee’s designatedsupervisor reasonably determines that the outside employment orservice

(1) takes time away from the employee’s official duties;

(2) limits the scope of the employee’s official duties; or

(3) is otherwise incompatible or in conflict with the proper dis

charge of the employee’s official duties. (Eff. 4/24/94, Register 130)

Authority: AS 39.52.170 AS 39.52.950

9 AAC 52.100. RESTRICTIONS ON EMPLOYMENT AFTER

LEAVING STATE SERVICE. (a) For purposes of AS 39.52.180(a),“matter” does not include the general formulation of policy by a publicofficial.

(b) For purposes of AS 39.52.180(a), routine processing of documents,

general supervision of employees without direct involvement in a mattei; or ministerial functions not involving the merits of a matter underconsideration by an administrative unit do not constitute personal orsubstantial participation in a matter by a public officer. (Eff. 4/24/94,

Register 130)

Authority: AS 39.52.180 AS 39.52.950

9 AAC 52.110. ETHICS FILES. (a) A designated supervisor shall

maintain an ethics file containing Ethics Act reports, advisory opinions,

advisory opinion requests, complaints, disclosures, and determinationsrelevant to that supervisor’s agency or administrative unit.

(b) A designated supervisor shall segregate confidential material

F from other ethics file material that is available for public inspection.

(c) An executive director of a board or commission may maintain the

ethics file of the chair of the board or commission. The ethics file of thechair of a board or commission may be combined with the ethics file ofthe designated supervisor of the staff of the board or commission. (Eff.4/29/94, Register 130)Authority: AS 39.52.210 AS 39.52.230

AS 39.52.220 AS 39.52.950

9 AAC 52.120. DECLARATION OF POTENTIAL VIOLATION

BY MEMBER OF A BOARD OR COMMISSION. (a) A declaration

by a member of a board or commission of the facts and circumstances

about a matter that may result in a violation of AS 39.52.110 — 42

Appendix to Vol. II Sec. II - 64
(b) A member of a board or commission who takes or withholds an

action that violates the Ethics Act or this chapter will not be held liableunder the Ethics Act for the action if

(1) the action is taken or withheld in accordance with a determina

tion by the chair as designated supervisor or the board under theprocedures set out in AS 39.52.220;

(2) the member fully discloses all facts reasonably necessary to the

determination of the chair or the board; and

(3) the attorney general has not advised the member, chair, board,

or commission that the action violates the Ethics Act or this chapter.

(Eff. 4/29/94, Register 130)

Authority: AS 39.52.220 AS 39.52240(d) AS 39.52.950

9 AAC 52.130. DESIGNATED SUPERVISOR’S REPORT. (a) A

designated supervisor shall submit the quarterly report described in

AS 39.52.260 during the 45 days following the end of each calendar

illutrter.

(b) An executive director of a board or commission may file a

quarterly report on behalf of the chair of the board or commission. The

quarterly report filed on behalf of a chair and the quarterly report of a designated supervisor of the staff of a board or commission may becombined into one report.

(c) If a board or commission does not meet during a calendar quarter,

and the designated supervisor of the board or commission notifies the

attorney general that no meeting, or activity reportable tinder the

Ethics Act or this chapter, occurred during the calendar quarter, than

neither the chair nor the designated supervisor of the staff must file areport for the board or commission for the quarter. (Eff. 4/24/94,

Register 130)

Authority: AS 39.52.260 AS 39.53.950

9 AAC 52.140. COMPLAINTS. (a) The attorney general will, in the

attorney general’s discretion, conduct a preliminary ethics investigation before initiating or accepting a complaint. A preliminary ethics

investigation and information discovered in the course of a preliminary

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Appendix to Vol. II Sec. II - 65
discovered in an ethics investigation conducted after the acceptance of

a complaint. (b) The attorney general will, in the attorney general’s discretion,

refer a complaint to the subject’s designated supervisor under

AS 39.52.310(e) and, at the same time, accept the complaint for an

ethics investigation under AS 39.52.310(0 and (g).

(c) If the attorney general refers a complaint under AS 39.52.310(e)

and the designated supervisor determines that a violation of the EthicsAct or this chapter has occurred, the designated supervisor shall

forward those findings to the attorney general for review under

AS 39.52.310

— AS 39.52.350.

(d) If an ethics complaint does not allege a violation of the Ethics Act

or this chapter by the governoi; lieutenant governor; or attorneygeneral but, in the course of an ethics investigation, evidence of a

potential violation by the governol; -lieutenant governol; or attorney

general is discovered, then the attorney general will refer the matter to

the personnel board. The personnel board shall retain independent

counsel in the same manner as if the complaint initially alleged those

violations. (Eff. 4/24/94, Register 130)

Authority: AS 39.52.310 AS 39.52.950

9 AAC 52.150. PERSONNEL BOARD NOTIFICATION. If inde

pendent counsel appointed under AS 39.52.310(c) recommends action

under AS 39.52.330, the independent counsel shall notify the personnel

board that action to correct or prevent a violation of the Ethics Act or

this chapter has been recommended. (Eff. 4/24/94, Register 130)

Authority: AS 39.52.330 AS 39.52.950

9 AAC 52.160. CONFIDENTIALITY. (a) The attorney general will

keep confidential the information obtained in the course of an ethics

investigation that is not relevant to an accusation or subsequent ethics

proceedings.

(b) The attorney general will, in the attorney general’s discretion,

forward information obtained in the course of an ethics investigation to

the subject’s designated supervisor or other appropriate superior for

potential disciplinary action under AS 39.52.420. Information for

warded under this subsection remains confidential, and the subject’s

designated supervisor or other appropriate superior may share the

information only with a person who needs to know the information to

consider potential disciplinary action.

(c)

A subject may not partially waive the confidentiality protection of

AS 39.52.840 or this chapter.

(d) Nothing in AS 39.52.340 or this section prevents a person from

disclosing to a third person information the person learned indepen

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Appendix to Vol. II Sec. II - 66
g

, 

s 

as the existence of the ethics investigation, must remain confidential unless disclosure is oth erwise permitted under the Ethics Act or this chapter. (g) If tile Lttorney general determines that a crime may have been committed or may be committed, the attorney general will, in the attorney general’s discretion, release information obtained in a confi dential ethics matter to an appropriate law enforcement agency. (Eff. 4/24/94, Register 130)

Authority: AS 3952.340 AS 39.52.420 AS 39.52.950

9 AAC 52.170. CIVIL PENALTIES FOR MULTIPLE VIOLA

TIONS. If one act violates more than one provision of the Ethics Act,

a civil penalty may be imposed for each provision violated. A civil penalty may be imposed each time a provision of the Ethics Act is violated. (Eff. 4/24/94, Register 130)

Authority: AS 39.52.440 AS 39.52.950

9 AAC 52.180. ATTORNEY GENERAL REVIEW OF AGENCY POLICIES. The attorney general will approve a written policy (IC scribed in AS 39.52.920 if it is consistent with and furthers the purposes of the Ethics Act and this chapter. As a condition of approval, the attorney genera] will require that the policy be distributed to employ- ees of the agency and to new employees of the agency upon employ ment, and require that the policy be centrally posted in the agency’s offices. (Eff. 4/24/94, Register 130)

Authority: AS 39.52.920 AS 39.52.950

9 AAC 52.990. DEFINITIONS. (a) In AS 39.52.419, “blind trust’ ineansatnist established tinder AS 39.50.040. (b) In the Ethics Act and in this chapter (I) “hoard or commission” has the meaning given in AS 39.52.960 and does not include an entity created 111111cr only a federal statute or other non—state action;

(2) “Ethics Act” means Alaska Executive Branch Ethics Act (AS 39.52);

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Appendix to Vol. II Sec. II - 67
(3) 

executive d

or commission under AS 08 or the marine pilot coordinator under

AS 08.62.050;

(4) “improper motivation” means a motivation not related to the

best interests of the state, and includes giving primary consideration

to a person’s

(A) kinship or relationship with a public officer;

(B) financial association with a public officer;

(C) potetial for conferring a future benefit on a public officer; or

(D) political affiliation;

(5) “person” has the meaning given in AS 39.52.960 and includes

governmental entities;

(6) “personal gain” means a benefit to a person’s or immediate

family member’s personal interest or financial interest;

(7) “public employee” has the meaning given in AS 39.52.960 and

includes a permanent employee of an agency on non-seasonal leave

without pay status, but does not include an individual on layoff status,

a seasonal employee of an agency during the period of time that the

employee is not employed by the agency, or a temporary employee of

an agency during the period of time that the employee is not em

ployed by the agency;

(8) “state contract” includes employment with the state, regardless

of whether that employment is evidenced by a written agreement,

but does not include a license or other authorization from the state to

do business or to perform a particular activity in the state; and

(9) “subject” means an individual who either

(A) is being investigated for a potential violation of the Ethics

Act or this chapter; or

(B) is the individual against whom a complaint is filed under the

Ethics Act or this chapteit (Eff. 4/24/94, Register 130)

Authority: AS 39.52.120(a) AS 39.52.950

AS 29.52.410 AS 39.52.960

Appendix to Vol. II Sec. II - 68
ALASKA ADMINISTRATIVE

CODE

Title 9

Law

APRIL 2005 SUPPLEMENT

INCLUDING REGISTERS 132 THROUGH 173

LexisNexis

40470-34

Appendix to Vol. II Sec. II - 69
p

Section Section

10. Appearance of impropriety 110. Ethics files

60. Gifts 120. Declaration of potential violation by

70. Information disseminated to the member of a board or commission

public

9 AAC 52.010. Appearance of impropriety. An appearance of

impropriety does not establish that an ethical violation exists.

(Efi’. 4/24)94, Register 130)

Publisher’s note: The history line for directions from the Department of Law, in

this regulation is set out above, as of order to correct the effective date,Register 135 (October 1995), pursuant to

9 AAC 52.060. Gifts. (a) As used in the Ethics Act and this

chapter, a gift is a transfer or loan of property or provision of servicesto a public officer for less than iiLill value. Unless rebutted by other

evidence, an occasional gift worth $50 or less is presumed not to begiven under circumstances in which it could be reasonably inferred

that the gift is intended to influence an officer’s performance of officialduties, actions, or judgment.

(b) For purposes of AS 39.52.130, travel or lodging of any value

received by a public officer in connection with a trip that the publicofficer takes as part ofthe officer’s official duties is not an improper gift

if the monetary value of the travel or lodging is comparable to the costthat the state would have had to pay for the travel or lodging and

(1) the head of the officer’s agency determines that the gift is to

the state, not to the officer; or

(2) the travel or lodging is incidental transportation by or hospi

tality at the residence of an individual. (Eff. 4/24/94, Register 130)

Authority: AS 39.52.130 AS 39.52.950

Publisher’s note: This regulation is set ment of Law, in order to correct a typoout above, as of Register 133 (April 1995), graphical error in the second sentence in

pursuant to directions from the Depart- (a).

9 AAC 52.070. Information disseminated to the public.

(a) For purposes of AS 39.52.140, information has been disseminated

to the public if it has been published through newspaper publication;broadcast media; a press release; a newsletter; a legal notice; a

nonconfldential court filing; a published report; a public speech; or

public testimony before the legislature, a board, or a commission.

(b) Information that is available to the public but that has not been

published as described in (a) of this section has not been disseminated

to the public. (Eff. 4/24/94, Register 130)

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Appendix to Vol. II Sec. II - 70
9 AAC 52,120. Declaration of potential violation by member

of a board or commission. (Eff. 4/24/94, Register 130)

Publisher’s note: The history line for directions from the Department of Law, in

this regulation is set out above, as of order to correct the effective date.Register t35 (October 1995), pursuant to

Appendix to Vol. II Sec. II - 71