1420.1 - 1

(Adopted November 5, 2010)

RULE 1420.1. EMISSIONS STANDARD FOR LEAD FROM LARGE 

LEAD-ACID BATTERY RECYCLING FACILITIES

(a) Purpose

(1) The purpose of this rule is to protect public health by reducing exposure 

and emissions of lead from large lead-acid battery recycling facilities, and 

to help ensure attainment of the National Ambient Air Quality Standard 

for Lead.

(b) Applicability

(1) This rule applies to all persons who own or operate a lead-acid battery 

recycling facility that has processed more than 50,000 tons of lead a year

in any one of the five calendar years prior to November 5, 2010, or

annually thereafter, hereinafter a large lead-acid battery recycling facility. 

Applicability shall be based on facility lead processing records required 

under subdivision (m) of this rule, and Rule 1420 – Emissions Standards 

for Lead. Compliance with this rule shall be in addition to other 

applicable rules such as Rule 1420.

(c) Definitions

For the purposes of this rule, the following definitions shall apply:

(1) AGGLOMERATING FURNACE means a furnace used to melt flue dust 

that is collected from a lead control device, such as a baghouse, into a 

solid mass.

(2) AMBIENT AIR for purposes of this rule means outdoor air.

(3) BATTERY BREAKING AREA means the plant location at which leadacid batteries are broken, crushed, or disassembled and separated into 

components.

(4) DRYER means a chamber that is heated and that is used to remove 

moisture from lead-bearing materials before they are charged to a smelting 

furnace.

(5) DRYER TRANSITION PIECE means the junction between a dryer and 

the charge hopper or conveyor, or the junction between the dryer and the 

smelting furnace feed chute or hopper located at the ends of the dryer.

(6) DUCT SECTION means a length of duct including angles and bends

which is contiguous between two or more process devices (e.g., between a 
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furnace and heat exchanger; baghouse and scrubber; scrubber and stack; 

etc.).

(7) EMISSION COLLECTION SYSTEM means any equipment installed for

the purpose of directing, taking in, confining, and conveying an air 

contaminant, and which at minimum conforms to design and operation 

specifications given in the most current edition of Industrial Ventilation, 

Guidelines and Recommended Practices, published by the American 

Conference of Government and Industrial Hygienists, at the time a 

complete permit application is on file with the District.

(8) FUGITIVE LEAD-DUST means any solid particulate matter containing

lead that is in contact with ambient air and has the potential to become 

airborne.

(9) FURNACE AND REFINING/CASTING AREA means any area of a large

lead-acid battery recycling facility in which:

(a) Smelting furnaces or agglomerating furnaces are located; or

(b) Refining operations occur; or

(c) Casting operations occur.

(10) LEAD-ACID BATTERY RECYCLING FACILITY means any facility, 

operation, or process in which lead-acid batteries are disassembled and 

recycled into elemental lead or lead alloys through smelting.

(11) LEAD means elemental lead, alloys containing elemental lead, or lead 

compounds, calculated as elemental lead.

(12) LEAD CONTROL DEVICE means any equipment installed in the 

ventilation system of a lead point source or emission collection system for 

the purposes of collecting and containing lead emissions.

(13) LEAD POINT SOURCE means any process, equipment, or total 

enclosure used in the lead-acid battery recycling operation, including, but 

not limited to, agglomerating furnaces, dryers, and smelting furnaces, that 

pass through a stack or vent designed to direct or control its exhaust flow

prior to release to the atmosphere.

(14) LEEWARD WALL means the furthest exterior wall of a total enclosure 

that is opposite the windward wall. 

(15) MAINTENANCE ACTIVITY means any of the following activities

conducted outside of a total enclosure that generates fugitive lead-dust:

(a) building construction, renovation, or demolition;

(b) replacement or repair of refractory, filter bags, or any internal or 
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1420.1 - 3

external part of equipment used to process, handle, or control leadcontaining materials; 

(c) replacement of any duct section used to convey lead-containing 

exhaust;

(d) metal cutting or welding that penetrates the metal structure of any 

equipment, and its associated components, used to process leadcontaining material, such that lead dust within the internal 

structure or its components can become fugitive lead-dust; or

(e) resurfacing, repair, or removal of ground, pavement, concrete, or 

asphalt.

(16) MATERIALS STORAGE AND HANDLING AREA means any area of a 

large lead-acid battery recycling facility in which lead-containing

materials including, but not limited to, broken battery components, 

reverberatory furnace slag, flue dust, and dross, are stored or handled 

between process steps. Areas may include, but are not limited to,

locations in which materials are stored in piles, bins, or tubs, and areas in 

which material is prepared for charging to a smelting furnace.

(17) MEASURABLE PRECIPITATION means any on-site measured rain 

amount of greater than 0.01 inches in any complete 24-hour calendar day 

(i.e., midnight to midnight).

(18) PARTIAL ENCLOSURE for purposes of this rule means a structure 

comprised of walls or partitions on at least three sides or three-quarters of 

the perimeter that surrounds areas where maintenance activity is 

conducted, in order to prevent the generation of fugitive lead-dust.

(19) PROCESS means using lead or lead-containing materials in any operation

including, but not limited to, the charging of lead-containing materials to 

smelting furnaces, lead refining and casting operations, and lead-acid 

battery breaking.

(20) RENOVATION for purposes of this rule means the altering of a building 

or permanent structure, or the removal of one or more of its components

that generates fugitive lead-dust emissions.

(21) SENSITIVE RECEPTOR means any residence including private homes, 

condominiums, apartments, and living quarters; education resources such 

as preschools and kindergarten through grade twelve (k-12) schools; 

daycare centers; and health care facilities such as hospitals or retirement 

and nursing homes. A sensitive receptor includes long term care 
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hospitals, hospices, prisons, and dormitories or similar live-in housing.

(22) SLAG means the inorganic material by-product discharged, in molten 

state, from a lead smelting furnace that has a lower specific gravity than 

lead metal and contains lead compounds. This shall include, but not 

limited to, lead sulfate, lead sulfide, lead oxides, and lead carbonate 

consisting of other constituents charged to a smelting furnace which are 

fused together during the pyrometallurgical process.

(23) SMELTING means the chemical reduction of lead compounds to 

elemental lead or lead alloys through processing in high temperatures

greater than 980° C.

(24) SMELTING FURNACE means any furnace where smelting takes place 

including, but not limited to, blast furnaces, reverberatory furnaces, rotary 

furnaces, and electric furnaces.

(25) TOTAL ENCLOSURE means a permanent containment 

building/structure, completely enclosed with a floor, walls, and a roof to 

prevent exposure to the elements, (e.g., precipitation, wind, run-on), with 

limited openings to allow access and egress for people and vehicles, that is

free of cracks, gaps, corrosion, or other deterioration that could cause or 

result in fugitive lead-dust.

(26) WINDWARD WALL means the exterior wall of a total enclosure which 

is most impacted by the wind in its most prevailing direction determined 

by a wind rose using data required under paragraph (j)(5) of this rule, or 

other data approved by the Executive Officer. 

(d) General Requirements

The owner or operator of a large lead-acid battery recycling facility shall be 

subject to the following requirements:

(1) Prior to January 1, 2012, emissions shall not be discharged into the 

atmosphere which contribute to ambient air concentrations of lead that

exceed 1.5 micrograms per cubic meter (μg/m3) pursuant to District Rule 

1420.

(2) On and after January 1, 2012, emissions shall not be discharged into the 

atmosphere which contribute to ambient air concentrations of lead that 

exceed 0.15 μg/m3averaged over any 30 consecutive days. The ambient 

air concentrations of lead shall be determined by monitors pursuant to 

subdivision (j) or at any District-installed monitor.
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(3) No later than July 1, 2011, install, maintain, and operate total enclosures 

pursuant to subdivision (e) and lead point source emission control devices 

pursuant to subdivision (f). The owner or operator of a large lead-acid 

battery recycling facility shall comply with both subparagraphs (d)(3)(A) 

and (d)(3)(B):

(A) Submit complete permit applications for all construction and 

necessary equipment within 30 days of November 5, 2010. 

(B) Complete all construction within 180 days of receiving Permit to 

Construct approvals from the Executive Officer, or by July 1, 

2011, whichever is earlier. 

(C) The Executive Officer may approve a request for an extension of 

the compliance deadline date if the facility can demonstrate that it 

timely filed all complete permit applications and is unable to meet 

the deadline due to reasons beyond the facility’s control. The 

request shall be submitted to the Executive Officer no less than 30 

days before the compliance deadline date.

(4) On and after July 1, 2011 submit a Compliance Plan pursuant to 

subdivision (g) if emissions are discharged into the atmosphere which 

contribute to ambient air concentrations of lead that exceed 0.12 (μg/m

3

) 

averaged over any 30 consecutive days determined by monitors pursuant 

to subdivision (j) or at any District-installed monitor.

(e) Total Enclosures

(1) Enclosure Areas

The owner or operator of a large lead-acid battery recycling facility shall 

enclose within a total enclosure the following areas in groups or 

individually:

(A) Battery breaking areas;

(B) Materials storage and handling areas, excluding areas where 

unbroken lead-acid batteries and finished lead products are stored;

(C) Dryer and dryer areas including transition pieces, charging 

hoppers, chutes, and skip hoists conveying any lead-containing 

material;

(D) Smelting furnaces and smelting furnace areas charging any leadcontaining material;

(E) Agglomerating furnaces and agglomerating furnace areas charging 
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any lead-containing material; and

(F) Refining and casting areas.

(2) Total Enclosure Lead Emissions Control

The owner or operator of a large lead-acid battery recycling facility shall 

vent each total enclosure to an emission collection system that ducts the 

entire gas stream to a lead control device pursuant to subdivision (f).

(3) Total Enclosure Ventilation

Ventilation of the total enclosure at any opening including, but not limited 

to, vents, windows, passages, doorways, bay doors, and roll-ups shall 

continuously be maintained at a negative pressure of at least 0.02 mm of 

Hg (0.011 inches H2O) measured pursuant to paragraph (e)(4).

(4) Digital Differential Pressure Monitoring Systems

The owner or operator of a large lead-acid battery recycling facility shall 

install, operate, and maintain a digital differential pressure monitoring 

system for each total enclosure as follows:

(A) A minimum of one building digital differential pressure 

monitoring system shall be installed and maintained at each of the 

following three walls in each total enclosure having a total ground 

surface area of 10,000 square feet or more:

(i) The leeward wall;

(ii) The windward wall; and

(iii) An exterior wall that connects the leeward and windward 

wall at a location defined by the intersection of a 

perpendicular line between a point on the connecting wall 

and a point on its furthest opposite exterior wall, and 

intersecting within plus or minus ten (+10) meters of the 

midpoint of a straight line between the two other monitors 

specified in clauses (e)(4)(A)(i) and (e)(4)(A)(ii). The 

midpoint monitor shall not be located on the same wall as 

either of the other two monitors described in clauses 

(e)(4)(A)(i) or (e)(4)(A)(ii).

(B) A minimum of one building digital differential pressure 

monitoring system shall be installed and maintained at the leeward 

wall of each total enclosure that has a total ground surface area of 

less than 10,000 square feet.

(C) Digital differential pressure monitoring systems shall be certified 
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by the manufacturer to be capable of measuring and displaying 

negative pressure in the range of 0.01 to 0.2 mm Hg (0.005 to 0.11 

inches H2O) with a minimum accuracy of plus or minus 0.001 mm 

Hg (0.0005 inches H2O).

(D) Digital differential pressure monitoring systems shall be equipped

with a continuous strip chart recorder or electronic recorder 

approved by the Executive Officer. If an electronic recorder is 

used, the recorder shall be capable of writing data on a medium 

that is secure and tamper-proof. The recorded data shall be readily 

accessible upon request by the Executive Officer. If software is 

required to access the recorded data that is not readily available to 

the Executive Officer, a copy of the software, and all subsequent 

revisions, shall be provided to the Executive Officer at no cost. If 

a device is required to retrieve and provide a copy of such recorded 

data, the device shall be maintained and operated at the facility.

(E) Digital differential pressure monitoring systems shall be calibrated 

in accordance with manufacturer’s specifications at least once 

every 12 calendar months or more frequently if recommended by 

the manufacturer.

(F) Digital differential pressure monitoring systems shall be equipped 

with a backup, uninterruptible power supply to ensure continuous 

operation of the monitoring system during a power outage.

(5) In-draft Velocity

The in-draft velocity of the total enclosure shall be maintained at > 300 

feet per minute at any opening including, but not limited to, vents, 

windows, passages, doorways, bay doors, and roll-ups. In-draft velocities 

for each total enclosure shall be determined by placing an anemometer, or 

an equivalent device approved by the Executive Officer, at the center of

the plane of any opening of the total enclosure.

(f) Lead Point Source Emissions Controls

(1) The owner or operator of a large lead-acid battery recycling facility shall 

vent emissions from each lead point source to a lead control device that 

meets the requirements of this subdivision and is approved by the 

Executive Officer. 

(2) The total facility mass lead emissions from all lead point sources shall not 
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1420.1 - 8

exceed 0.045 pounds of lead per hour. The maximum emission rate for 

any single lead point source shall not exceed 0.010 pounds of lead per 

hour. The total facility and maximum emission rates shall be determined 

using the most recent source tests conducted by the facility or the District.

(3) The owner or operator of a large lead-acid battery recycling facility shall 

install a secondary lead control device that controls lead emissions from 

the exhaust of the primary lead control device used for a dryer. The 

secondary lead control device shall be fitted with dry filter media, and the 

secondary lead control device shall only be used to vent the primary lead 

control device used for the dryer. An alternative secondary lead control 

method that is equally or more effective for the control of lead emissions 

may be used if a complete application is submitted as part of the permit 

application required under paragraph (d)(3) and approved by the 

Executive Officer.

(4) For any lead control device that uses filter media other than a filter bag(s), 

including, but not limited to, HEPA and cartridge-type filters, the filter(s)

used shall be rated by the manufacturer to achieve a minimum of 99.97% 

capture efficiency for 0.3 micron particles.

(5) For any lead control device that uses a filter bag(s), the filter bag(s) used 

shall be polytetrafluoroethylene membrane-type, or any other material that 

is equally or more effective for the control of lead emissions, and 

approved for use by the Executive Officer.

(6) Each emission collection system and lead control device shall, at 

minimum, be inspected, maintained, and operated in accordance with the 

manufacturer's specifications.

(g) Compliance Plan

On and after July 1, 2011, the owner or operator of a large lead-acid battery 

recycling facility shall submit a Compliance Plan if emissions are discharged into 

the atmosphere which contribute to ambient air concentrations of lead that exceed 

0.12 μg/m3averaged over any 30 consecutive days determined by monitors 

pursuant to subdivision (j) or at any District-installed monitor shall:

(1) Notify the Executive Officer in writing within 72 hours of when the 

facility knew or should have known of exceeding an ambient air lead 

concentration of 0.12 μg/m3averaged over any 30 consecutive days. 

Notification shall only be required for the first time the ambient air lead 
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concentration of 0.12 μg/m3is exceeded;

(2) Submit, within 30 calendar days of exceeding an ambient air lead 

concentration of 0.12 μg/m3averaged over any 30 consecutive days, a 

complete Compliance Plan to the Executive Officer for review and 

approval, subject to plan fees as specified in Rule 306. The Compliance 

Plan shall, at a minimum, include the following:

(A) A description of additional lead emission reduction measures to 

achieve the ambient lead concentration of 0.15 μg/m3averaged 

over any 30 consecutive days, as required under paragraph (d)(2), 

including, but not limited to, requirements for the following:

(i) Housekeeping, inspection, and maintenance activities;

(ii) Additional total enclosures;

(iii) Modifications to lead control devices;

(iv) Installation of multi-stage lead control devices;

(v) Process changes including reduced throughput limits; and

(vi) Conditional curtailments including, at a minimum, 

information specifying the curtailed processes, process 

amounts, and length of curtailment.

(B) The locations within the facility and method(s) of implementation 

for each lead reduction measure of subparagraph (g)(2)(A); and

(C) An implementation schedule for each lead emission reduction 

measure of subparagraph (g)(2)(A) to be implemented if lead 

emissions discharged from the facility contribute to ambient air 

concentrations of lead that exceed 0.15 μg/m

3

averaged over any 

30 consecutive days measured at any monitor pursuant to 

subdivision (j) or at any District-installed monitor. The schedule 

shall also include a list of the lead reduction measures of 

subparagraph (g)(2)(A) that can be implemented immediately prior 

to plan approval.

(3) The Executive Officer shall notify the owner or operator in writing 

whether the Compliance Plan is approved or disapproved. Determination 

of approval status shall be based on, at a minimum, submittal of 

information that satisfies the criteria set forth in paragraph (g)(2). If the 

Compliance Plan is disapproved, the owner or operator shall resubmit the 

Compliance Plan, subject to plan fees specified in Rule 306, within 30

calendar days after notification of disapproval of the Compliance Plan. 
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1420.1 - 10

The resubmitted Compliance Plan shall include any information necessary 

to address deficiencies identified in the disapproval letter. If the 

resubmitted Compliance Plan is denied, the operator or owner may appeal 

the denial by the Executive Officer to the Hearing Board under Rule 216 –

Appeals and Rule 221 - Plans.

(4) The owner or operator shall implement measures based on the schedule in 

the approved Compliance Plan if lead emissions discharged from the 

facility contribute to ambient air concentrations of lead to exceed 0.15 

μg/m

3

averaged over any 30 consecutive days measured at any monitor 

pursuant to subdivision (j) or at any District-installed monitor.

(5) The owner or operator may make a request to the Executive Officer to

modify or update an approved Compliance Plan.

(h) Housekeeping Requirements

No later than 30 days after November 5, 2010, the owner or operator of a large 

lead-acid battery recycling facility shall control fugitive lead-dust by conducting 

all of the following housekeeping practices:

(1) Clean by wet wash or a vacuum equipped with a filter(s) rated by the 

manufacturer to achieve a 99.97% capture efficiency for 0.3 micron 

particles in a manner that does not generate fugitive lead-dust, the 

following areas at the specified frequencies, unless located within a total 

enclosure vented to a lead control device. Days of measurable 

precipitation in the following areas occurring within the timeframe of a 

required cleaning frequency may be counted as a cleaning:

(A) Monthly cleanings of roof tops on structures < 45 feet in height 

that house areas associated with the storage, handling or 

processing of lead-containing materials; and

(B) Quarterly cleanings, no more than 3 calendar months apart, of roof 

tops on structures > 45 feet in height that house areas associated 

with the storage, handling or processing of lead-containing 

materials; and

(C) Weekly cleanings of all areas where lead-containing wastes 

generated from housekeeping activities are stored, disposed of, 

recovered or recycled.

(D) Initiate immediate cleaning, no later than one hour, after any 

maintenance activity or event including, but not limited to, 
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accidents, process upsets, or equipment malfunction, that causes

deposition of fugitive lead-dust onto areas specified in 

subparagraph (h)(1)(A) through (h)(1)(C). Immediate cleanings of 

roof tops shall be completed within 72 hours if the facility can 

demonstrate that delays were due to safety or timing issues

associated with obtaining equipment required to implement this 

requirement.

(2) Inspect all total enclosures and facility structures that house, contain or 

control any lead point source or fugitive lead-dust emissions at least once 

a month. Any gaps, breaks, separations, leak points or other possible 

routes for emissions of lead or fugitive lead-dust to ambient air shall be 

permanently repaired within 72 hours of discovery. The Executive Officer

may approve a request for an extension beyond the 72-hour limit if the 

request is submitted before the limit is exceeded.

(3) Upon receipt, any lead-acid battery that is cracked or leaking shall be 

immediately sent to the battery breaking area for processing or stored 

pursuant to paragraph (h)(6).

(4) Pave, concrete, asphalt, or otherwise encapsulate all facility grounds as 

approved by the Executive Officer. Facility grounds used for plant life 

that are less than a total surface area of 100 square feet shall not be subject 

to encapsulation. Facility grounds requiring removal of existing 

pavement, concrete, asphalt or other forms of encapsulation, necessary for 

maintenance purposes shall not require encapsulation while undergoing 

work, and shall be re-encapsulated immediately after all required work is 

completed. All work shall be conducted in accordance with subdivision 

(i).

(5) Remove any weather cap installed on any stack that is a source of lead 

emissions.

(6) Store all materials capable of generating any amount of fugitive lead-dust

including, but not limited to, slag and any other lead-containing waste 

generated from housekeeping requirements of subdivision (h) and 

maintenance activities of subdivision (i), in sealed, leak-proof containers,

unless located within a total enclosure.

(7) Transport all materials capable of generating any amount of fugitive leaddust including, but not limited to, slag and any other waste generated from 

housekeeping requirements of subdivision (h), within closed conveyor 
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1420.1 - 12

systems or in sealed, leak-proof containers, unless located within a total 

enclosure.

(8) Initiate removal of any lead-containing material, including sludge, from

the entire surface area of any surface impoundment pond or reservoir

holding storm water runoff or spent water from housekeeping activities 

within 1 hour after the water level is < 1 inch above the bottom of the 

pond or reservoir. Removal of lead-containing material is required to be 

completed as soon as possible, and no later than six calendar days after the 

time initiation of the removal was required. Thereafter, surfaces shall be 

washed down weekly in a manner that does not generate fugitive lead-dust 

until the pond or reservoir is used again for holding water. 

(9) Maintain and Use an Onsite Mobile Vacuum Sweeper or Vacuum

The owner or operator of a large lead-acid battery recycling facility shall 

maintain an onsite mobile vacuum sweeper that is in compliance with

District Rule 1186, or a vacuum equipped with a filter(s) rated by the 

manufacturer to achieve a 99.97% capture efficiency for 0.3 micron 

particles to conduct the following sweeping activities:

(A) Vacuum sweep all paved, concreted or asphalted facility areas 

subject to vehicular or foot traffic three times per day and 

occurring at least once per operating shift with each event not less 

than four hours apart, unless located within a total enclosure 

vented to a lead control device.

(B) Immediately vacuum sweep any area specified in subparagraph 

(h)(9)(A), no later than one hour after any maintenance activity or 

event including accidents, process upsets, or equipment 

malfunction that results in the deposition of fugitive lead-dust.

(C) Vacuum sweeping activities specified in paragraph (h)(9) shall not 

be required during days of measurable precipitation.

(i) Maintenance Activity

(1) Beginning November 5, 2010, the owner or operator of a large lead-acid 

battery recycling facility shall conduct any maintenance activity in a 

negative air containment enclosure, vented to a permitted negative air 

machine equipped with a filter(s) rated by the manufacturer to achieve a

99.97% capture efficiency for 0.3 micron particles, that encloses all 

affected areas where fugitive lead-dust generation potential exists, unless 
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1420.1 - 13

located within a total enclosure or approved by the Executive Officer. 

Any maintenance activity that cannot be conducted in a negative air 

containment enclosure due to physical constraints, limited accessibility, or 

safety issues when constructing or operating the enclosure shall be 

conducted:

(A) In a partial enclosure, barring conditions posing physical 

constraints, limited accessibility, or safety issues;

(B) Using wet suppression or a vacuum equipped with a filter(s) rated 

by the manufacturer to achieve a 99.97% capture efficiency for 0.3 

micron particles, at locations where the potential to generate

fugitive lead-dust exists prior to conducting and upon completion 

of the maintenance activity. Wet suppression or vacuuming shall 

also be conducted during the maintenance activity barring safety 

issues;

(C) While collecting 24-hour samples at monitors for every day that 

maintenance activity is occurring notwithstanding paragraph (j)(2); 

and

(D) Shall be stopped immediately when instantaneous wind speeds are 

> 25 mph. Maintenance work may be continued if it is necessary 

to prevent the release of lead emissions.

(2) Store or clean by wet wash or a vacuum equipped with a filter(s) rated by 

the manufacturer to achieve a 99.97% capture efficiency for 0.3 micron 

particles, all lead-contaminated equipment and materials used for any 

maintenance activity immediately after completion of work in a manner 

that does not generate fugitive lead-dust. 

(j) Ambient Air Monitoring and Sampling Requirements

Prior to January 1, 2011, ambient air monitoring and sampling shall be conducted 

pursuant to District Rule 1420. No later than January 1, 2011, the owner or 

operator of a large lead-acid battery recycling facility shall conduct ambient air 

monitoring and sampling as follows:

(1) Collect samples from a minimum of four sampling sites. Locations for 

sampling sites shall be approved by the Executive Officer.

(A) Locations for sampling sites shall be based on maximum expected 

ground level lead concentrations, at or beyond the property line, as 

determined by Executive Officer-approved air dispersion modeling 
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1420.1 - 14

calculations and emission estimates from all lead point sources and 

fugitive lead-dust sources, and other factors including, but not 

limited to, population exposure and seasonal meteorology.

(B) The Executive Officer may require one or more of the four 

sampling sites to be at locations that are not based on maximum 

ground level lead concentrations, and that are instead at locations 

at or beyond the property line that are representative of upwind or 

background concentrations.

(C) Sampling sites at the property line may be located just inside the 

fence line on facility property if logistical constraints preclude 

placement outside the fence line at the point of maximum expected 

ground level lead concentrations.

(2) Collect 24-hour, midnight-to-midnight, samples at all sites for 30 

consecutive days from the date of initial sampling, followed by one 24-

hour, midnight-to-midnight, sample collected at least once every three

calendar days, on a schedule approved by the Executive Officer.

(3) Submit samples collected pursuant to paragraphs (j)(1) and (j)(2) to a

laboratory approved under the SCAQMD Laboratory Approval Program

for analysis within three calendar days of collection and calculate ambient 

lead concentrations for individual 24-hour samples within 15 calendar 

days of the end of the calendar month in which the samples were 

collected. Duplicate samples shall be made available and submitted to the 

District upon request by the Executive Officer.

(4) Sample collection shall be conducted using Title 40, CFR 50 Appendix B 

- Reference Method for the Determination of Suspended Particulate 

Matter in the Atmosphere (High Volume Method), or U.S. EPA-approved 

equivalent methods, and sample analysis shall be conducted using Title 

40, CFR 50 Appendix G - Reference Method for the Determination of 

Lead in Suspended Particulate Matter Collected from Ambient Air, or 

U.S. EPA-approved equivalent methods.

(5) Continuously record wind speed and direction data at all times using 

equipment approved by the Executive Officer at a minimum of one

location and placement approved by the Executive Officer.

(6) Ambient air quality monitoring shall be conducted by persons approved 

by the Executive Officer and sampling equipment shall be operated and 

maintained in accordance with U.S. EPA-referenced methods.
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1420.1 - 15

(7) All ambient air quality monitoring systems required by this subdivision

shall be equipped with a backup, uninterruptible power supply to ensure 

continuous operation of the monitoring system during a power outage.

(8) Cleaning activities including, but not limited to, wet washing and misting,

that result in damage or biases to samples collected shall not be conducted 

within 10 meters of any sampling site required under this subdivision.

(9) On and after January 1, 2012, if the owner or operator of a large lead-acid 

battery recycling facility exceeds an ambient air lead concentration 0.15 

μg/m3 measured pursuant to paragraph (d)(2), the owner or operator shall:

(A) Begin daily ambient air monitoring and sampling no later than 

three calendar days of the time the facility knew or should have 

known of the exceedance. Conduct daily ambient air monitoring 

and sampling for sixty (60) consecutive days at each sampling site 

that measured an exceedance with paragraph (d)(2).

(B) The 60 consecutive-day period shall be restarted for any 

subsequent exceedance.

(k) Source Tests

(1) The owner or operator of a large lead-acid battery recycling facility shall 

conduct a source test of all lead point sources at least annually to 

demonstrate compliance with the control standards specified in 

subdivision (f). If the results of the most recent source test for a lead point 

source demonstrating compliance with the lead emission standard of 

subdivision (f) demonstrate emissions of 0.0025 pounds of lead per hour 

or less, the next test for that lead point source shall be performed no later 

than 24 months after the date of the most recent test.

(2) The owner or operator of a large lead-acid battery recycling facility with 

an existing lead control device in operation before November 5, 2010 

shall conduct a source test for it no later than January 1, 2011. The owner 

or operator of a large lead-acid battery recycling facility with a new or 

modified lead control device with initial start-up on or after November 5, 

2010 shall conduct the initial source test for it within 60 calendar days 

after initial start-up. 

(3) Prior to the owner or operator of a large lead-acid battery recycling facility 

conducting a source test pursuant to paragraph (k)(1) or (k)(2), shall 

submit a pre-test protocol to the Executive Officer for approval at least 60 
Rule 1420.1 (Cont.) (Adopted November 5, 2010)

 

1420.1 - 16

calendar days prior to conducting the source test. The pre-test protocol 

shall include the source test criteria of the end user and all assumptions, 

required data, and calculated targets for testing the following:

(A) Target lead control standard;

(B) Preliminary lead analytical data;

(C) Planned sampling parameters; and

(D) Information on equipment, logistics, personnel, and other 

resources necessary for an efficient and coordinated test.

(4) The owner or operator of a large lead-acid battery recycling facility shall 

notify the Executive Officer in writing one week prior to conducting any 

source test required by paragraph (k)(1) or (k)(2).

(5) The owner or operator of a large lead-acid battery recycling facility shall 

notify the Executive Officer within three business days, including 

Mondays, of when the facility knew or should have known of any source 

test result that exceeds any of the emission standards specified in 

paragraph (f)(2). Notifications shall be made to 1-800-CUT-SMOG.

(6) Source tests shall be conducted while operating at a minimum of 80% of 

equipment maximum capacity and in accordance with any of the 

following applicable test methods:

(A) SCAQMD Method 12.1 - Determination of Inorganic Lead 

Emissions from Stationary Sources Using a Wet Impingement 

Train

(B) ARB Method 12 – Determination of Inorganic Lead Emissions 

from Stationary Sources

(C) EPA Method 12 – Determination of Inorganic Lead Emissions 

from Stationary Sources

(D) ARB Method 436 – Determination of Multiple Metal Emissions 

from Stationary Sources

(7) The average of triplicate samples, obtained according to approved test 

methods specified in paragraph (k)(6), shall be used to determine 

compliance.

(8) The operator may use alternative or equivalent source test methods as 

defined in U.S. EPA 40 CFR 60.2, approved in writing by the Executive 

Officer, the Air Resources Board, and the U.S. EPA.

(9) The operator shall use a test laboratory approved under the SCAQMD 

Laboratory Approval Program for the source test methods cited in this 
Rule 1420.1 (Cont.) (Adopted November 5, 2010)

 

1420.1 - 17

subdivision. If there is no approved laboratory, then approval of the 

testing procedures used by the laboratory shall be granted by the 

Executive Officer on a case-by-case basis based on SCAQMD protocols 

and procedures.

(10) When more than one source test method or set of source test methods are 

specified for any testing, the application of these source test methods to a 

specific set of test conditions is subject to approval by the Executive 

Officer. In addition, a violation established by any one of the specified 

source test methods or set of source test methods shall constitute a 

violation of the rule.

(11) An existing source test conducted on or after January 1, 2009 for lead 

control devices existing before November 5, 2010 may be used as the 

initial source test specified in paragraph (k)(1) to demonstrate compliance 

with the control standard of subdivision (f) upon Executive Officer 

approval. The source test shall meet, at a minimum, the following 

criteria:

(A) The test is the most recent conducted since January 1, 2009;

(B) The test demonstrated compliance with the control standard of 

subdivision (f); and

(C) The test is representative of the method to control emissions 

currently in use; and

(D) The test was conducted using applicable and approved test 

methods specified in paragraphs (k)(6), (k)(8), or (k)(9).

(l) New Facilities

The owner or operator of a large lead-acid battery recycling facility beginning 

construction or operations on or after November 5, 2010 shall:

(1) Demonstrate to the satisfaction of the Executive Officer that the facility is 

not located in an area that is zoned for residential or mixed use; and

(2) Demonstrate to the satisfaction of the Executive Officer that the facility is 

not located within 1,000 feet from the property line of a sensitive receptor, 

a school under construction, park, or any area that is zoned for residential 

or mixed use. The distance shall be measured from the property line of 

the new facility to the property line of the sensitive receptor.

(3) Submit complete permit applications for all equipment required by this 

rule prior to beginning construction or operations, and otherwise on or 
Rule 1420.1 (Cont.) (Adopted November 5, 2010)

 

1420.1 - 18

before the time required by District rules.

(m) Recordkeeping

(1) The owner or operator of a large lead-acid battery recycling facility shall 

keep records of the following:

(A) Daily records indicating amounts of lead-containing material 

processed, including, but not limited to, purchase records, usage 

records, results of analysis, or other District-approved verification 

to indicate processing amounts;

(B) Results of all ambient air lead monitoring, meteorological 

monitoring, and other data specified by subdivision (j); and

(C) Records of housekeeping activities completed as required by 

subdivision (h), maintenance activities of subdivision (i), and lead 

control device inspection and maintenance requirements of 

paragraph (f)(6), including the name of the person performing the 

activity, and the dates and times on which specific activities were 

completed.

(D) Records of unplanned shutdowns of any smelting furnace 

including the date and time of the shutdown, description of the 

corrective measures taken, and the re-start date and time.

(2) The owner or operator of a large lead-acid battery recycling facility shall 

maintain all records for five years, at least two years onsite.

(n) Reporting

(1) Ambient Air Monitoring Reports

(A) Beginning no later than January 1, 2011, the owner or operator of a 

large lead-acid battery recycling facility shall report by the 15th of 

each month to the Executive Officer, the results of all ambient air 

lead and wind monitoring for each preceding month, or more 

frequently if determined necessary by the Executive Officer. The 

report shall include the results of individual 24-hour samples and 

30-day averages for each day within the reporting period.

(B) Any exceedances of ambient air lead concentrations specified in 

paragraph (d)(2) shall be reported with a notification made to the 

1-800-CUT-SMOG within 24 hours of receipt of the completed 

sample analysis required in paragraph (j)(3), followed by a written 
Rule 1420.1 (Cont.) (Adopted November 5, 2010)

 

1420.1 - 19

report to the Executive Officer no later than three calendar days 

after the notification. The written report shall include the causes 

of the exceedance and the specific corrective actions implemented. 

(2) Shutdown, Turnaround, and Maintenance Activity Notification

The owner or operator of a large lead-acid battery recycling facility shall:

(A) Notify the Executive Officer and the public within one hour after 

an unplanned shutdown of any lead control device has occurred. 

The notification shall include the associated processes or 

equipment vented by the shutdown lead control device. If the 

unplanned shutdown involves a breakdown pursuant to Rule 430, 

the breakdown notification report required by Rule 430 shall serve 

in lieu of this notification to the Executive Officer.

(B) Notify the Executive Officer and the public at least ten calendar 

days prior to a planned turnaround or shutdown of any smelting 

furnace, battery breaker, or lead control device that result in lead 

emissions. The notification shall specify the subject equipment 

and the start and end date of the turnaround or shutdown period.

(C) Notify the Executive Officer at least ten calendar days prior to the 

beginning of maintenance activity, as defined in paragraph (c)(15),

that is conducted routinely on a monthly or less frequent basis. 

The notification and report required under subparagraph (n)(2)(E)

shall include, at a minimum, the following:

(i) Dates, times, and locations of activities to be conducted;

(ii) Description of activities;

(iii) Name of person(s)/company conducting the activities;

(iv) Lead abatement procedures, including those specified in 

subdivision (i), to be used to minimize fugitive lead-dust 

emissions; and

(v) Date of expected re-start of equipment.

(D) Notify the public at least ten calendar days prior to the beginning 

of building construction, renovation, or demolition, and 

resurfacing, repair, or removal of ground pavement, concrete or 

asphalt if such activities are conducted outside of a total enclosure 

and generate fugitive lead-dust. The notification shall include, at a 

minimum, the following:

(i) Dates, times, and locations of activities to be conducted;
Rule 1420.1 (Cont.) (Adopted November 5, 2010)

 

1420.1 - 20

(ii) Description of activities;

(iii) Date of expected re-start of equipment.

(E) Provide the notification to the Executive Officer required under 

subparagraphs (n)(2)(A), (n)(2)(B), and (n)(2)(C) to 1-800-CUTSMOG followed by a written notification report to the Executive 

Officer no later than three business days, including Mondays, after

the unplanned shutdown occurred. 

(F) Provide notification to the public required under subparagraphs 

(n)(2)(A), (n)(2)(B), and (n)(2)(D) through a facility contact or 

pre-recorded notification center that is accessible 24 hours a day, 7 

days a week, and through electronic mail using a list of recipients 

provided by the Executive Officer. Another method of notification 

to the public may be used provided it is approved by the Executive 

Officer.

(G) Install a sign indicating the phone number for the facility contact 

or pre-recorded notification center that meets the following 

requirements, unless otherwise approved in writing by the 

Executive Officer:

(i) Installed within 50 feet of the main entrance of the facility 

and in a location that is visible to the public;

(ii) Measures at least 48 inches wide by 48 inches tall;

(iii) Displays lettering at least 4 inches tall with text contrasting 

with the sign background; and

(iv) Located between 6 and 8 feet above grade from the bottom 

of the sign.

(3) Initial Facility Status Report

(A) Initial Facility Status Report Due Date

The owner or operator of a large lead-acid battery recycling facility

existing before November 5, 2010 shall submit an initial facility

status report to the Executive Officer no later than January 1, 2011. 

Large lead-acid battery recycling facilities beginning construction 

or initial operations after November 5, 2010 shall submit the initial 

compliance status report upon start-up.

(B) The initial facility status report shall contain the information 

identified in Appendix 1.

(4) Ongoing Facility Status Report
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1420.1 - 21

The owner or operator of a large lead-acid battery recycling facility shall 

submit a summary report to the Executive Officer to document the 

ongoing facility status.

(A) Frequency of Ongoing Facility Status Reports

The report shall be submitted annually on or before February 1 for 

all sources and shall include information covering the preceding 

calendar year.

(B) The content of ongoing facility status reports shall contain the 

information identified in Appendix 2.

(5) Adjustments to the Timeline for Submittal and Format of Reports

The Executive Officer may adjust the timeline for submittal of periodic 

reports, allow consolidation of multiple reports into a single report, 

establish a common schedule for submittal of reports, or accept reports 

prepared to comply with other state or local requirements. Adjustments 

shall provide the same information and shall not alter the overall 

frequency of reporting.

(o) On and after July 1, 2011, if emission are discharged into the atmosphere which 

contribute to ambient air concentrations of lead that exceed 0.12 μg/m3, averaged 

over any 30 consecutive days, determined by monitors pursuant to subdivision (j) 

or at any District-installed monitor, the owner or operator of a large lead-acid 

battery recycling facility shall submit a study addressing the technical, economic 

and physical feasibility of achieving a total facility mass lead emission rate of 

0.003 pounds per hour from all lead point sources. The study shall be submitted 

within 30 calendar days after exceeding 0.12 μg/m3, averaged over any 30 

consecutive days.
Rule 1420.1 (Cont.) (Adopted November 5, 2010)

 

1420.1 - 22

Appendix 1 – Content of Initial Facility Status Reports

Initial compliance status reports shall contain, at a minimum, the following 

information: 

1. Facility name, District Facility ID number, facility address, owner/operator 

name, and telephone number.

2. The distance from the property line of the facility to the property line of the 

nearest commercial/industrial building and sensitive receptor.

3. Worker and sensitive receptor locations, if they are located within one-quarter 

mile from the center of the facility.

4. Building parameters

 Stack heights in feet (point sources); or

 Building area in square feet (volume sources).

5. A description of the types of lead processes performed at the facility.

6. The following information shall be provided for each of the last five calendar 

years prior to November 5, 2010:

 Annual amount of lead-containing material processed;

 The maximum and average daily and monthly operating schedules;

 The maximum and average daily and monthly lead-processing rates 

for all equipment and processes;

 The maximum and average daily and annual emissions of lead from 

all emission points and fugitive lead-dust sources.

7. The approximate date of intended source tests for all lead control devices, as 

required by subdivision (k) of this rule.

8. Engineering drawings, calculations or other methodology to demonstrate 

compliance with paragraphs (d)(1) through (d)(3) and (k).

9. Air dispersion modeling calculations using procedures approved by the 

Executive Officer to determine the location of sampling sites as required by 

subdivision (j).

10. All information necessary to demonstrate means of compliance with 

subdivision (j).

11. The name, title, and signature of the responsible official certifying the 

accuracy of the report, attesting to whether the source has complied with the

provisions of this rule.

12. The date of the report.
Rule 1420.1 (Cont.) (Adopted November 5, 2010)

 

1420.1 - 23

Appendix 2 – Content of Ongoing Facility Status Reports

Ongoing facility status reports shall, at a minimum, contain the following information:

1. Facility name, District Facility ID number, facility address, owner/operator 

name, and telephone number.

2. The beginning and ending dates of the calendar year for the reporting period.

3. The following information shall be provided for each of the last 12 calendar 

months of the reporting period:

 Annual amounts of lead-containing material processed;

 The maximum and average daily and monthly lead-processing rates 

for all equipment and processes;

 The maximum and average daily and annual emissions of lead from 

all emission points and fugitive lead-dust sources.

4. Worker and sensitive receptor distances, if they are located within 1⁄4 of mile 

from the center of the facility and facility maximum operating schedule, if 

changed since submittal of the initial compliance status report or prior year’s

ongoing compliance status and emission reports.

5. A description of any changes in monitoring, processes, or controls since the 

last reporting period.

6. The name, title, and signature of the responsible official certifying the 

accuracy of the report.

7. The date of the report.