REGULATION V 

PROCEDURES FOR 

ISSUING PERMITS 

TO OPERATE FOR 

SOURCES SUBJECT 

TO TITLE V 
NORTH COAST UNIFIED AQMD RULES AND REGULATIONS 

REGULATION V 

Procedures for Issuing Permits to Operate for Sources Subject to Title V

Of the Federal Clean Air Act Amendments of 1990. 

Table of Contents 

RULE 500 Reserved and Intentionally Left Blank 

RULE 501 PURPOSE AND GENERAL REQUIREMENTS 

 1.0 Purpose 

 2.0 General Requirements of Regulation V 

 3.0 Precedence over Conflicting Requirements & Continuation of Existing Program 

 4.0 Applicability 

 

RULE 502 APPLICATION AND PERMIT REQUIREMENTS 

 1.0 Permit Requirement and Application Shield 

 2.0 Application Requirements 

 3.0 Standard AQMD Application 

 4.0 Application Content 

 5.0 Correctness of Application 

 6.0 Written Requests for AQMD Action 

 7.0 Response to Permit Reopening for Cause 

 8.0 Portable Sources 

 9.0 Emergency Events 

 10.0 Record Keeping 

 11.0 Reporting Requirements 

 12.0 Voluntary Emissions Caps 

 13.0 Definitions 

RULE 503 DISTRICT ADMINISTRATIVE PROCEDURES 

 1.0 Completeness Review of Applications 

 2.0 Notification of Completeness Determination 

 3.0 Application Processing Timeframes 

 4.0 AQMD Analysis of Permit Application 

 5.0 Notification and Opportunity for Review of Proposed Decision 

 6.0 Changes to the Proposed Decision 

 7.0 Permit Issuance or Denial 

 8.0 AQMD Action on Written Requests 

 9.0 Permit Reopening for Cause 

 10.0 Operational Flexibility 

RULE 504 PERMIT CONTENT 

 1.0 Applicable Federal Requirements 

 2.0 General Requirements 

 3.0 Record Keeping 

 4.0 Monitoring, Testing and Analysis 

 5.0 Reporting 

 6.0 Compliance Plan 

 7.0 Compliance Schedule 

 8.0 Emergency Provisions 

 9.0 Portable Sources 

 10.0 Compliance Certification 

 11.0 Permit Life 

 12.0 Payment of Fees 

 13.0 Alternative Operating Scenarios 

 14.0 Voluntary Emissions Caps 

 15.0 Acid Rain Units Subject to Title IV 
NORTH COAST UNIFIED AQMD RULES AND REGULATIONS 

May 19, 2005 500-1 

Rule 500 

Reserved and intentionally left blank. 
NORTH COAST UNIFIED AQMD RULES AND REGULATIONS 

May 19, 2005 501-1 

Rule 501 Purpose and General Requirements 

(Adopted December 10, 1993 as Reg. V, Rule 100, 110, 120, 200 & 300; Revised November 21 1994 as 

Reg. V, Rule 100, 110,120, 200 & 300 Proposed for Revision May 19, 2001 as Rule 50, Proposed for Revision 

December 16, 2004, Revised May 19, 2005). 

 CONTENTS 

1.0 PURPOSE 

2.0 GENERAL REQUIREMENTS OF REGULATION V 

3.0 PRECEDENCE OVER CONFLICTING REQUIREMENTS & CONTINUATION OF EXISTING 

PROGRAM 

4.0 APPLICABILITY 

 4.1 Sources Subject to Regulation V 

 4.2 Sources Exempt from Regulation V 

 4.3 Acid Rain Units Subject to Title IV Requirements 

RULE 501:

PURPOSE AND GENERAL REQUIREMENTS 

1.0 PURPOSE: The purpose of Regulation V is to implement the requirements of Title V of the 

federal Clean Air Act, as amended in 1990, for permits to operate. Additionally, Regulation 5 is 

used to implement the Phase II acid deposition control provisions of Title IV of the Clean Air Act, 

including provisions for Acid Rain Permits. 

2.0 GENERAL REQUIREMENTS OF REGULATION V: After the effective date of Regulation 

V, the North Coast Unified Air Quality Management District will implement an operating permit 

program pursuant to the requirements of this Regulation, as provided in Title V. Title V provides 

for the establishment of operating permit programs for sources which emit regulated air pollutants, 

including attainment and nonattainment pollutants.

 Sources subject to Regulation V include major sources, acid rain units subject to Title IV of the 

Clean Air Act, solid waste incinerators subject to section 111 or 129 of the Clean Air Act, and any 

other sources specifically designated by rule of the U.S. EPA. 

 The AQMD criteria for Title V insignificant activities are set forth in Rule 502(4.18) and 

Attachment 1 of Regulation V. 

 Sources subject to Regulation V shall obtain permits to operate pursuant to it. Each permit to 

operate issued pursuant to Regulation V will contain conditions and requirements adequate to 

ensure compliance with and the enforceability of the following: 

2.1 All applicable provisions of Division 26 of the Health and Safety Code, commencing with 

 section 39000; 

 2.2 All applicable orders, rules, and regulations of the AQMD and the California Air 

 Resources Board; 

 2.3 All applicable provisions of the applicable state implementation plan required by the Clean 

 Air Act; 

 2.4 Each applicable emission standard or limitation, rule, regulation, or requirement adopted or 

 promulgated to implement the Clean Air Act; and 

2.5 The requirements of all preconstruction permits issued pursuant to Parts C and D of the 

 Clean Air Act. 

 
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May 19, 2005 501-2 

 The operation of an emissions unit, to which Regulation V is applicable, without a permit or in 

violation of any applicable permit condition or requirement constitutes a violation of Regulation 

V. 

 [Reference: 40 CFR 70.6(a)(6)(i) and 70.7(b)] 

3.0 PRECEDENCE OVER CONFLICTING REQUIREMENTS AND CONTINUATION OF 

EXISTING PROGRAM: The requirements of Regulation V shall augment and take precedence 

over conflicting administrative requirements of other provisions of the AQMD’s rules and 

regulations, if any. 

 Regulation V does not alter any applicable requirement that a source obtain preconstruction 

permits, or permits to operate pursuant to Health and Safety Code Section 42301. The AQMD 

will continue to implement its existing program pertaining to prevention of significant 

deterioration, Regulation I, Rule 110, and permits required by Regulation I, Rule 102(1,3) and (4), 

including authorities to construct, Rule 102(2) or new source review, Rule 110. Nothing in 

Regulation V limits the authority of the AQMD, including the hearing board, to deny, revoke or 

terminate a permit pursuant to provisions of state law, including California Health and Safety 

Code Sections 40808 and 42301-42309, or to impose conditions on a permit pursuant to state law. 

 [Reference 40 CFR 70.7(a)(6)] 

4.0 APPLICABILITY 

 4.1 Sources Subject to Regulation V: The sources listed below are subject to the 

 requirements of Regulation V and are required to obtain and maintain permits to operate: 

 4.1.1 A major source; 

 4.1.2 A source with an acid rain unit for which application for an Acid Rain Permit is 

 required pursuant to Title IV of the Clean Air Act; 

 4.1.3 A solid waste incinerator subject to a performance standard promulgated pursuant 

 to section 111 or 129 of the Clean Air Act; 

 4.1.4 Any other source in a source category designated by rule of the U.S. EPA, pursuant 

 to 40 CFR Part 70.3; and 

 4.1.5 Any source that is subject to a standard or other requirement promulgated pursuant 

 to section 111 or 112 of the Clean Air Act, published after July 21, 1992, 

 designated by the U.S. EPA pursuant to 40 CFR Part 70.3 at the time the new 

 standard is promulgated. 

 [Reference: 40 CFR 70.3(a)] 

 4.1.6 Upon amendment of the California Health and Safety Code to allow the issuance 

 of Title V permits to any equipment used in agricultural operations in the growing 

 of crops or the raising of fowl or animals, such sources shall be subject to 

 evaluation for applicability to the requirements of Title V. 

 4.2 Sources Exempt from Regulation V: The sources listed below are not subject to the 

 requirements of Regulation V: 

 4.2.1 Any stationary source that would be required to obtain a permit solely because it is 

 subject to 40 CFR Part 60, Subpart AAA (Standards of Performance for New 

 Residential Wood Heaters); 

 4.2.2 Any stationary source that would be required to obtain a permit solely because it is 

 subject to 40 CFR Part 61, Subpart M, section 145 (National Emission Standards 

 for Asbestos, Standard for Demolition and Renovation); and 

 4.2.3 Any other source in a source category deferred by U.S. EPA pursuant to 40 CFR 

 Part 70.3 by U.S. EPA rulemaking, unless such source is otherwise subject to Title 

 V (i.e., it is a major source). 
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May 19, 2005 501-3 

 [Reference: 40 CFR 70.3(b)] 

 4.3 Acid Rain Units Subject to Title IV Requirements: The North Coast Unified Air 

 Quality Management District (NCUAQMD) hereby adopts and incorporates by reference 

 the provisions of 40 CFR Part 72 for purposes of implementing an acid rain program that 

 meets the requirements of Title IV of the Clean Air Act as of the date that the 

 Environmental Protection Agency (EPA) approves the AQMD Title V program (which is 

 set forth in Regulation V, Rule 504(1.5)). The effective date of this rule shall be the date 

 on which the AQMD receives delegation from the EPA for the implementation of the Title 

 V program.

 For the purposes of this rule the term “permitting authority”, as that term is used in Part 72, 

 shall mean the North Coast Unified Air Quality Management District, and the term 

 “Administrator” shall mean the Administrator of the United States Environmental 

 Protection Agency. 

 For those facilities which are subject to this rule, if the provisions or requirements of 40 

 CFR Part 72 are determined to conflict with Regulation 5, Rule 504(1.5), the provisions 

 and requirements of Part 72 shall apply and take precedence. 

 In the event that EPA makes any subsequent amendments to Part 72, all such 

 amendments shall be deemed to be included as part of this Rule without further 

 action by the AQMD. 

 [Reference: 40 CFR 72] 
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May 19, 2005 502-1 

Rule 502 Application & Permit Requirements 

(Adopted December 10, 199 as Reg.V, Rules 400,405,410,415,420,425,430,440,450,460,& 470; Revised November 

21, 1994 and May 18, 2001,as Reg. V, Rules 400,405,410,415,420,425,430,440,450,460,& 470; Proposed for 

Revision May 19, 2001 as Rule 502, Proposed for Revision December 16, 2004, Revised May 19, 2005). 

 RULE 502 CONTENTS 

1.0 PERMIT REQUIREMENT AND APPLICATION SHIELD 

 1.1 Permit Requirement 

 1.2 Application Shield 

 1.3 Compliance with Other Permit Requirements 

 1.4 Termination of Application Shield 

2.0 APPLICATION REQUIREMENTS 

 2.1 Initial Permit 

 2.2 Permit Renewal

 2.3 Significant Permit Modification 

 2.4 Minor Permit Modification 

 2.5 Acid Rain Unit Permit Modification 

3.0 STANDARD AQMD APPLICATION 

4.0 APPLICATION CONTENT 

5.0 CORRECTNESS OF APPLICATION 

6.0 WRITTEN REQUESTS FOR AQMD ACTION 

 6.1 Administrative Permit Amendment 

 6.2 Permit Modification for a Condition that is not Federally Enforceable 

 6.3 Permits to Operate for New Emissions Units 

7.0 RESPONSE TO PERMIT REOPENING FOR CAUSE 

8.0 PORTABLE SOURCES 

9.0 EMERGENCY EVENTS 

10.0 RECORD KEEPING 

11.0 REPORTING REQUIREMENTS 

12.0 VOLUNTARY EMISSIONS CAPS 

13.0 DEFINITIONS 

RULE 502:

ADMINISTRATIVE PROCEDURES FOR SOURCES 

1.0 PERMIT REQUIREMENT AND APPLICATION SHIELD: 

 1.1 Permit Requirement: No person shall operate an emissions unit at a stationary source 

 subject to the requirements of Regulation V except in compliance with permits to operate 

 issued pursuant to Regulation V or under the protection of the application shield of 

 subsection (1.2). Except as provided in subsection (1.2) and in Rule 502(2.4), operation of 

 an emissions unit at a source subject to Regulation V without a permit issued pursuant to 

 Regulation V constitutes a violation of Regulation V. Operation of an emissions unit at a 
NORTH COAST UNIFIED AQMD RULES AND REGULATIONS 

May 19, 2005 502-2 

 permitted source out of compliance with the terms of the permit also constitutes a violation 

 of Regulation V. 

Regulation V does not alter any applicable requirement that a source obtain 

preconstruction permits. [Reference 40 CFR 70.7(a)(6) and (b)] 

 1.2 Application Shield: If a responsible official submits, pursuant to Regulation 5, a timely 

 and complete application for a permit, a source shall not be deemed in violation of the 

 requirement to have a permit to operate until the Air Pollution Control Officer takes final 

 action on the application. [Reference: 40 CFR 70.7(b) and (e)(2)(v)] 

 This application shield does not apply to sources applying for permit modifications. For 

 permit modifications, a source shall operate in accordance with the applicable federal 

 requirements, the permit to operate issued pursuant to Regulation 5 and any temporary 

 permit to operate issued pursuant to section 42301.1 of the Health and Safety Code. 

 [Reference: 40 CFR 70.7(a)(6)(iii), 70.7(b) and (e)(2)(v)] 

 1.3 Compliance With Other Permit Requirements: If a responsible official submits a 

 timely and complete application for an initial permit, the source shall operate in 

 accordance with the requirements of any valid permit to operate issued pursuant to section 

 42301 of the Health and Safety Code until the Air Pollution Control Officer takes final 

 action on the application. If a responsible official submits a timely and complete 

 application for renewal of a permit to operate, the source shall operate in accordance with 

 the permit to operate issued pursuant to Regulation V, notwithstanding expiration of this 

 permit, until the Air Pollution Control Officer takes final action on the application. 

 1.4 Termination of Application Shield: The application shield of subsection (1.2) shall 

 cease to insulate a source from enforcement action if a responsible official of the source 

 fails to submit any additional information requested by the Air Pollution Control Officer 

 pursuant to Rule 502(5) in a timely manner as specified by the Air Pollution Control 

 Officer. [Reference: 40 CFR 70.7(b)] 

2.0 APPLICATION REQUIREMENTS: 

 [Reference: 40 CFR 70.5] 

 2.1 Initial Permit: 

 2.1.1 For a source that is subject to Regulation V by operation of Rule 501(4.1.5) on 

 the effective date of Regulation V, a responsible official shall submit a complete 

 standard AQMD application within 180 days after the effective date of 

Regulation V. [Reference: 40 CFR 70.5(a)(1) and (c)(10)] 

2.1.2 For a source that is subject to Regulation V by operation of Rule 501(4.1.1) 

through (4.1.4) on the effective date of Regulation V, a responsible official shall 

submit a complete standard AQMD application within 12 months after the effective 

date of Regulation V [Reference: 40 CFR 70.5(a)(1) and (c)(10)] 

 2.1.3 For a source that becomes subject to Regulation V after the date the rule 

 becomes effective, a responsible official shall submit a complete standard 

 AQMD application for a permit pursuant to Regulation V within 12 months 

 after commencing operation or of otherwise becoming subject to Regulation V. 

 2.1.4 For a source with an acid rain unit, a responsible official shall submit a 

 standard AQMD application and acid rain permit applications to the AQMD 

 as provided in subsections (2.1.1) or (2.1.2) above. If the source is subject to 

 Regulation V because of Rule 501(4.1.1), a responsible official shall submit a 
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May 19, 2005 502-3 

 standard AQMD application and acid rain permit applications to the AQMD by 

 January 1, 1996 or, if applicable, by a later date established pursuant to 40 CFR 

 Part 72. [Reference: 40 CFR 70.5(a)and (c)(10)] 

 2.2 Permit Renewal: For renewal of a permit, a responsible official shall submit a 

 complete standard AQMD application no earlier than 18 months and no later than 6 

 months before the expiration date of the current permit to operate. A responsible official 

 shall submit applications for renewal of permits to operate for all emissions units at a 

 stationary source for simultaneous review. [Reference: 40 CFR 70.5(a)(1)(iii)] 

 2.3 Significant Permit Modification: After obtaining any required preconstruction permits, 

 a responsible official shall submit a standard AQMD application for each emissions unit 

 affected by a proposed permit revision that qualifies as a significant permit modification. 

 Upon request by the Air Pollution Control Officer, the responsible official shall submit 

 copies of the latest preconstruction permit for each affected emissions unit. The emissions 

 unit(s) shall not commence operation until the Air Pollution Control Officer takes final 

 action to approve the permit revision. [Reference: 40 CFR 70.5(a)(1)(ii)] 

 2.4 Minor Permit Modification: After obtaining any required preconstruction permits, a 

 responsible official shall submit a standard AQMD application for each emissions unit 

 affected by the proposed permit revision that qualifies as a minor permit modification. The 

 emissions unit(s) affected by the proposed permit modification shall not commence 

 operation until the Air Pollution Control Officer takes final action to approve the permit 

 revision. In the application, the responsible official shall include the following: 

 2.4.1 A description of the proposed permit revision, any change in emissions, and 

 additional applicable federal requirements that will apply; 

 2.4.2 Proposed permit terms and conditions; and 

 2.4.3 A certification by a responsible official that the permit revision meets criteria for 

 use of minor permit modification procedures and a request that such procedures be 

 used. [Reference: 40 CFR 70.5(a)(ii) and 70.7(e)(2)(ii and v)] 

 2.5 Acid Rain Unit Permit Modification: A permit modification of the acid rain portion of 

 the operating permit shall be governed by regulations promulgated pursuant to Title IV of 

 the Clean Air Act. [Reference: 40 CFR 70.7(e)] 

3.0 STANDARD AQMD APPLICATION: A responsible official filing an application for a permit 

pursuant to Regulation V must submit that application on standard AQMD application forms. 

Additional information which does not fit on the standard forms may be attached. 

4.0 APPLICATION CONTENT: When submitting an application for a permit pursuant to 

Regulation V, the responsible official shall include the following information:

 [Reference: 40 CFR 70.5]

 

 4.1 Information identifying the source; 

 [Reference: 40 CFR 70.5(c)(1)] 

 4.2 Description of processes and products (by Standard Industrial Classification Code) 

 including any associated with proposed alternative operating scenarios; 

 [Reference: 40 CFR 70.5(c)(2)] 

 4.3 A schematic diagram and plot plan of the stationary source, identifying each emissions 

 unit and keyed to the listing of subsection (4.4). 

 

4.4 A listing and enumeration of all existing emissions units at the stationary source, keyed to 

 the diagram and plot plan of subsection (4.3), and identification and description of 
NORTH COAST UNIFIED AQMD RULES AND REGULATIONS 

May 19, 2005 502-4 

 all points of emissions from the emissions units in sufficient detail to establish the 

 applicable federal requirements and the basis for fees pursuant to Regulation IV, Rule 

 103 (1)and (2). 

 [Reference: 40 CFR 70.5(c)(3)(i)] 

 4.5 Citation and description of all applicable federal requirements, information and 

 calculations used to determine the applicability of such requirements and other 

 information that may be necessary to implement and enforce such requirements; 

 [Reference: 40 CFR 70.5(c)(3)(vii)and (4)(i and ii)] 

 4.6 Calculation of all emissions, including fugitive emissions, in tons per year and in such 

 terms as are necessary to establish compliance with the all applicable AQMD, state, 

 or federal requirements for the following: 

 4.6.1 All regulated air pollutants emitted from the source, 

 4.6.2 Any hazardous air pollutant that the source has the potential to emit in 

 quantities equal to or in excess of 10 tons per year, and 

 4.6.3 If the source has the potential to emit two or more hazardous air pollutants in 

 quantities equal to or in excess of 25 tons per year, all hazardous air pollutants 

 emitted by the source; 

 [Reference: 40 CFR 70.5(c)(3)(i and viii)] 

 4.7 As these affect emissions from the source, the identification of fuels, fuel use, raw 

 materials, production rates, operating schedules, limitations on source operation or 

 workplace practices; 

 [Reference: 40 CFR 70.5(c)(3)(iv and vi)] 

 4.8 An identification and description of air pollution control equipment and compliance 

 monitoring devices or activities; 

 [Reference: 40 CFR 70.5(c)(3)(v)] 

 4.9 Other information required by an applicable federal requirement; 

 [Reference: 40 CFR 70.5(c)(3)(vii)and (5)] 

 4.10 The information needed to define permit terms or conditions implementing a source's 

 options for operational flexibility, including alternative operating scenarios, pursuant 

 to subsection Rule 580; 

 [Reference: 40 CFR 70.5(c)(7)] 

 4.11 A compliance plan and compliance schedule with the following:

 4.11.1 A description of the compliance status of each emissions unit within the 

 stationary source with respect to applicable federal requirements; 

 4.11.2 A statement that the source will continue to comply with such other applicable 

 federal requirements that the source is already in compliance with; 

 4.11.3 A statement that the source will comply, on a timely basis, with applicable 

 federal requirements that will become effective during the permit term; and 

 4.11.4 A description of how the source will achieve compliance with requirements for 

 which the source is not in compliance; 

 [Reference: 40 CFR 70.5(c)(8)] 

 4.12 For a source not in compliance with an applicable federal requirement at the time of 

 permit issuance, renewal, or modification (if the non-compliance is with units being 

 modified), a schedule of compliance which resembles and is at least as stringent as 

 that contained in any judicial consent decree, administrative order, or schedule 

 approved by the AQMD hearing board if required by state law and which identifies 
NORTH COAST UNIFIED AQMD RULES AND REGULATIONS 

May 19, 2005 502-5 

 remedial measures with specific increments of progress, a final compliance date, testing 

 and monitoring methods, recordkeeping requirements, and a schedule for submission of 

 certified progress reports to the U.S EPA and the Air Pollution Control Officer at least 

 every 6 months; 

 [Reference: 40 CFR 70.5(c)(8)(iii)(C)] 

 4.13 A certification by a responsible official of all reports and other documents submitted 

 for permit application, compliance progress reports at least every 6 months, 

 statements on compliance status with any applicable enhanced monitoring, and 

 compliance plans at least annually which shall state that, based on information and 

 belief formed after reasonable inquiry, the statements and information in the 

 document are true, accurate, and complete; 

 [Reference: 40 CFR 70.5(c)(9) and (d)] 

 4.14 For a source with an acid rain unit, an application shall include the elements required 

 by 40 CFR Part 72; 

 [Reference: 40 CFR 70.5(c)(10)]

 4.15 For a source of hazardous air pollutants required to submit a risk management plan 

 pursuant to section 112(r) of the Clean Air Act, the application shall include verification 

 that such a plan has been submitted to the authorized implementing agency, or a 

 compliance schedule for the submittal of the plan; and 

 4.16 For proposed portable sources, the application shall identify all locations of potential 

 operation and how the source will comply with all applicable AQMD, state, and federal 

 requirements at each location. 

 [Reference: 40 CFR 70.6(e)] 

 4.17 Identification of fees specified in Regulation IV, Rule 400. 

 4.18 Activities identified as insignificant in Attachment 1 of Regulation V based upon size and 

 production rate shall be listed in the permit application. An application may not omit 

 information needed to determine the applicability of, or to impose, any applicable 

 requirement, or to evaluate the fee amount required pursuant to Regulation IV, Rule 400 

 (1,2). [Reference: 40 CFR Part 70.5(c)]” 

 [Reference: 40 CFR 70.6(a)(7)] 

5.0 CORRECTNESS OF APPLICATIONS: 

 5.1 A responsible official of a source shall submit an accurate and complete application in 

 accordance with the requirements of the AQMD. 

 5.2 Upon written request of the Air Pollution Control Officer, a responsible official shall 

 supplement any complete application with additional information within the time frame 

 specified by the Air Pollution Control Officer. 

 5.3 A responsible official shall promptly provide additional information in writing to the Air 

 Pollution Control Officer upon discovery of submittal of any inaccurate information as 

 part of the application or as a supplement thereto, or of any additional relevant facts 

 previously omitted which are needed for accurate analysis of the application. 

 5.4 Intentional or negligent submittal of inaccurate information constitutes sufficient reason 

 for denial of an application. 

 [Reference: 40 CFR 70.5(a)(2) and (b)] 
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May 19, 2005 502-6 

6.0 WRITTEN REQUESTS FOR AQMD ACTION: A responsible official shall submit a written 

request to the Air Pollution Control Officer for the following permit actions: 

 6.1 Administrative Permit Amendment: A responsible official may implement an 

 administrative permit amendment change upon submittal of the request to the AQMD, 

 except that transfer of ownership must be processed by the AQMD. 

 [Reference: 40 CFR 70.7(d)(3)] 

 6.2 Permit Modification for a Condition that is not Federally Enforceable: For a permit 

 modification for a condition that is not federally enforceable, a responsible official shall 

 submit a written request in accordance with the requirements of Regulation IV, Rule 400. 

 6.3 Permits to Operate for New Emissions Units: For permits to operate for a new 

 emissions unit at a stationary source, a responsible official shall submit a written request in 

 accordance with the requirements of Regulation 1, Rule 103(7), except under the following 

 circumstances:

 6.3.1 The construction or operation of the emissions unit is a modification under U.S. 

 EPA regulations promulgated pursuant to Title I of the Clean Air Act, including 40 

 CFR Parts 51, 52, 60, 61, 63; 

 [Reference: 40 CFR 70.7(e)(2)(i)(A)(5)] 

 6.3.2 The construction or operation of the emissions unit is addressed or prohibited 

 by permits for other emissions units at the stationary source; or 

 [Reference: 40 CFR 70.5(a)(ii)] 

 6.3.3 The emissions unit is an acid rain unit subject to Title IV of the Clean Air Act. 

 [Reference: 40 CFR 70.7(e)] 

 In the circumstances specified in subsections (6.3.1), (6.3.2) or (6.3.3), a responsible 

 official shall apply for a permit to operate for the new emissions unit pursuant to the 

 requirements of Regulation 5. 

7.0 RESPONSE TO PERMIT REOPENING FOR CAUSE: Upon notification by the Air 

Pollution Control Officer of a reopening of a permit for cause for an applicable federal 

requirement pursuant to Rule 570, a responsible official shall respond to any written request for 

information by the Air Pollution Control Officer within the time frame specified by the Air 

Pollution Control Officer. 

 [Reference: 40 CFR 70.6(a)(6)(v)] 

8.0 PORTABLE SOURCES: 

 8.1 Any portable source which may operate at two or more locations shall meet all 

 applicable AQMD, state and applicable federal requirements at each location. 

 8.2 A responsible official shall notify the Air Pollution Control Officer not sooner than 

 thirty days and not later than ten days before a change in location of a portable source

 which may operate at two or more locations. 

 [Reference 40 CFR 70.6(e)] 

9.0 EMERGENCY EVENTS: 

 9.1 The permittee shall comply with the emergency provisions contained in all applicable 

 federal requirements; 
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May 19, 2005 502-7 

 9.2 Within two weeks of an emergency event, the responsible official shall submit to the 

 AQMD a signed contemporaneous log or other relevant evidence which demonstrates that: 

 9.2.1 An emergency occurred; 

 9.2.2 The permittee can identify the cause(s) of the emergency; 

 9.2.3 The facility was being properly operated at the time of the emergency; 

 9.2.4 All steps were taken to minimize the emissions resulting from the emergency; and 

 9.2.5 Within two working days of the emergency event, the permittee shall notify the 

 AQMD with a description of the emergency and any mitigating or corrective 

 actions taken; 

 9.3 In any enforcement proceeding, the permittee has the burden of proof to establish that an 

 emergency occurred. 

 [Reference: 40 CFR 70.6(g)] 

10.0 RECORDKEEPING: 

 10.1 A responsible official shall maintain records of all monitoring and support information 

 associated with any applicable federal requirement , including: 

 10.1.1 Date, place, and time of sampling; 

 10.1.2 Operating conditions at the time of sampling; 

 10.1.3 Date, place, and method of analysis; and 

 10.1.4 Results of the analysis;

 10.2 A responsible official shall retain records of all required monitoring data and support 

 information for a period of at least five years from the date of sample collection, 

 measurement, report, or application; and 

 10.3 A responsible official shall maintain any other records deemed necessary by the Air 

 Pollution Control Officer to ensure compliance with all applicable federal requirements. 

11.0 REPORTING REQUIREMENTS: 

 11.1 A responsible official shall submit to the AQMD a monitoring report at least every six 

 months which shall identify any deviation from permit requirements, including that 

 information previously reported to the Air Pollution Control Officer pursuant to subsection 

 (11.2). 

 11.2 A responsible official shall submit to the AQMD a report of any deviation from permit 

 requirements, including those attributable to emergency or breakdown conditions (as 

 defined in the permit). This information shall be promptly reported to the Air Pollution 

 Control Officer who will determine what constitutes "prompt" reporting in terms of the 

 requirement, the degree, and type of deviation likely to occur. 

 11.3 Each report of a deviation from permit requirements shall describe the probable cause of 

 the deviation and any preventative or corrective action taken. 

 11.4 Each monitoring report submitted pursuant to subsection (11.1) or (11.2) shall be 

 accompanied by a written statement from the responsible official who certifies the truth, 

 accuracy, and completeness of the report. 

 11.5 A responsible official shall submit to the AQMD a progress report on a compliance 

 schedule at least semi-annually and shall include the date when compliance will be 

 achieved, an explanation of why compliance was not, or will not be, achieved by the 

 scheduled date, and a log of any preventative or corrective action taken. 
NORTH COAST UNIFIED AQMD RULES AND REGULATIONS 

May 19, 2005 502-8 

 [Reference: 40 CFR 70.6(a)(3)(ii)] 

12.0 VOLUNTARY EMISSIONS CAPS: To the extent applicable federal requirements provide for 

averaging emissions increases and decreases within a stationary source without case-by-case 

approval, a responsible official may request, subject to approval by the Air Pollution Control 

Officer, to permit one or more emissions unit(s) under a voluntary emissions cap, subject to the 

following conditions: 

 12.1 The stationary source and each emissions unit must comply with all applicable federal 

 requirements, including those authorizing emissions averaging; 

 12.2 Emissions from any individual emissions unit shall not exceed any emissions limitation, 

 standard, or other requirement; 

 12.3 Any emissions limitation, standard, or other requirement shall be enforced through 

 continuous emission monitoring, where applicable; and 

 12.4 All affected emissions units under a voluntary emissions cap shall be considered to be 

 operating in violation of the permit, if the voluntary emissions cap is exceeded. 

12.0 DEFINITIONS: The definitions in this section apply throughout Regulation V and are derived 

from related provisions of the U.S. EPA's Title V regulations in Part 70 of the Code of Federal 

Regulations, "State Operating Permit Programs." The terms defined in this section are italicized 

throughout Regulation V. 

12.1 ACID RAIN UNIT 

An "acid rain unit" is any fossil-fuel-fired combustion device that is an affected unit under 40 CFR 

Part 72.6 and therefore subject to the requirements of Title IV (Acid Deposition Control) of the 

Clean Air Act.[Reference: 40 CFR 70.2 Affected Unit] 

12.2 ADMINISTRATIVE PERMIT AMENDMENT

An "administrative permit amendment" is an amendment to a permit to operate which: 

(1) Corrects a typographical error; 

(2) Identifies a minor administrative change at the stationary source; for example, a change in 

the name, address, or phone number of any person identified in the permit; 

(3) Requires more frequent monitoring or reporting by a responsible official of the stationary 

source; or 

(4) Transfers ownership or operational control of a stationary source, provided that, prior to 

the transfer, the Air Pollution Control Officer receives a written agreement which 

(a) specifies a date for the transfer of permit responsibility, coverage, and liability from the 

current to the prospective permittee.[Reference: 40 CFR 70.7(d)] 

(b) a statement with the permit attached that states new owner has received, read and 

understands and agrees to comply with the each and every permit conditions. 

12.3 AFFECTED STATE 

An "affected state" is any state that is contiguous with the District and whose air quality may be 

affected by a permit action, or is within 50 miles of the source for which a permit action is being 

proposed.[Reference: 40 CFR 70.2 Affected States] 
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May 19, 2005 502-9 

12.4 AIR POLLUTION CONTROL OFFICER (APCO) 

"Air Pollution Control Officer" refers to the air pollution control officer of the North Coast 

Unified Air Quality Management District, appointed pursuant to Health and Safety Code Section 

40750. 

12.5 APPLICABLE FEDERAL REQUIREMENT 

An "applicable federal requirement" is any requirement which is enforceable by the U.S. EPA and 

citizens pursuant to section 304 of the Clean Air Act and is set forth in, or authorized by, the Clean 

Air Act or a U.S. EPA regulation. An "applicable federal requirement" includes any requirement 

of a regulation in effect at permit issuance and any requirement of a regulation that becomes 

effective during the term of the permit. Applicable federal requirements include: 

(1) Title I requirements of the Clean Air Act, including: 

(A) New Source Review requirements in the State Implementation Plan approved by 

the U.S. EPA and the terms and conditions of the preconstruction permit issued 

pursuant to an approved New Source Review rule; 

(B) Prevention of Significant Deterioration (PSD) requirements and the terms and 

conditions of the PSD permit (40 CFR Part 52); 

(C) New Source Performance Standards (40 CFR Part 60); 

(D) National Ambient Air Quality Standards, increments, and visibility requirements as 

they apply to portable sources required to obtain a permit pursuant to section 504(e) 

of the Clean Air Act; 

(E) National Emissions Standards for Hazardous Air Pollutants (40 CFR Part 61); 

(F) Maximum Achievable Control Technology or Generally Available Control 

Technology Standards (40 CFR Part 63); 

(G) Risk Management Plans, preparation and registration requirements (section 112(r) 

of the Clean Air Act); 

(H) Solid Waste Incineration requirements (sections 111 or 129 of the Clean Air Act); 

(I) Consumer and Commercial Product requirements (section 183 of the Clean Air 

Act); 

(J) Tank Vessel requirements (section 183 of the Clean Air Act); 

(K) District prohibitory rules that are approved into the state implementation plan; 

(L) Standards or regulations promulgated pursuant to a Federal Implementation Plan; 

and 

(M) Enhanced Monitoring and Compliance Certification requirements (section 

114(a)(3) of the Clean Air Act). 
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May 19, 2005 502-10 

(2) Title III, section 328 (Outer Continental Shelf) requirements of the Clean Air Act (40 CFR 

Part 55); 

(3) Title IV (Acid Deposition Control) requirements of the Clean Air Act (40 CFR Parts 72, 

73, 75, 76, 77, 78 and regulations implementing sections 407 and 410 of the Clean Air 

Act); 

(4) Title VI (Stratospheric Ozone Protection) requirements of the Clean Air Act (40 CFR Part 

82); and 

(5) Monitoring and Analysis requirements (section 504(b) of the Clean Air Act). 

[Reference: 40 CFR 70.2 Applicable Requirements] 

12.6 CALIFORNIA AIR RESOURCES BOARD (ARB) 

"California Air Resources Board" refers to the Air Resources Board of the State of California, 

created by Health and Safety Code Division 26, Part 2. 

12.7 CLEAN AIR ACT (CCA) 

"Clean Air Act" refers to the federal Clean Air Act as amended in 1990 (42 U.S.C. section 7401 et 

seq.). 

12.8 CODE OF FEDERAL REGULATIONS (CFR) 

"Code of Federal Regulations" refers to the United States Code of Federal Regulations. 

12.9 COMMENCE OPERATION 

"Commence operation" means to begin operation (q.v.) of an emissions unit, including any startup or shakedown period authorized by a temporary permit to operate issued pursuant to Health and 

Safety Code section 42301.1. 

12.10 DIRECT EMISSIONS 

"Direct emissions" are emissions that may reasonably pass through a stack, chimney, vent, or 

other functionally-equivalent opening. 

12.11 DISTRICT 

"District" refers to the North Coast Unified Air Quality Management District. 

12.12 EFFECTIVE DATE OF REGULATION V 

The "effective date of Regulation V" is the date the U.S. EPA promulgates interim, partial, or final 

approval of the rule in the Federal Register.[Reference: 40 CFR 70.4(g)] 

12.13 EMERGENCY 

An "emergency" is any situation arising from a sudden and reasonably unforeseeable event 

beyond the control of a permittee (e.g., an act of God) which causes the exceedance of a 

technology-based emission limitation under a permit and requires immediate corrective action to 

restore compliance. An "emergency" does not include noncompliance as a result of improperly 
NORTH COAST UNIFIED AQMD RULES AND REGULATIONS 

May 19, 2005 502-11 

designed or installed equipment, lack of preventive maintenance, careless or improper operation, 

or operator error. 

12.14 EMISSONS UNIT 

An "emissions unit" is any identifiable article, machine, contrivance, or operation which emits, 

may emit, or results in the emissions of, any regulated air pollutant or hazardous air 

pollutant.[Reference: 40 CFR 70.2 Emissions Unit] 

12.15 FEDERALLY-ENFORCEABLE CONDITION 

A "federally-enforceable condition" is any condition set forth in the permit to operate which 

addresses an applicable federal requirement or a voluntary emissions cap. 

12.16 FUGITIVE EMISSIONS 

"Fugitive emissions" are emissions which could not reasonably pass through a stack, chimney, 

vent, or other functionally-equivalent opening. [Reference: 40 CFR 70.2 Fugitive Emissions] 

12.17 HAZARDOUS AIR POLLUTANT (HAP) 

A "hazardous air pollutant" is any air pollutant listed pursuant to section 112(b) of the Clean Air 

Act. 

12.18 HEALTH AND SAFETY CODE (H&SC) 

"Health and Safety Code" refers to the California Health and Safety Code. 

12.19 INITIAL PERMIT 

An "initial permit" is the first operating permit for which a source submits an application that 

addresses the requirements of the federal operating permits program as implemented by 

Regulation V. 

12.20 MAJOR SOURCE 

A "major source" is a stationary source which has the potential to emit a regulated air pollutant or 

a hazardous air pollutant in quantities equal to or exceeding the lesser of any of the following 

thresholds: 

(1) 100 tons per year (tpy) of any regulated air pollutant; 

(2) 50 tpy of volatile organic compounds or oxides of nitrogen for a federal nonattainment area 

classified as serious, 25 tpy for an area classified as severe, or, 10 tpy for an area classified 

as extreme; 

(3) 70 tpy of PM10 (particulate matter of 10 microns or less) for a federal PM10 

nonattainment area classified as serious; 

(4) 10 tpy of one hazardous air pollutant or 25 tpy of two or more hazardous air pollutants; or 

(5) Any lesser quantity threshold promulgated by the U.S. EPA. [Reference: 40 CFR 70.2 

Major Source] 
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May 19, 2005 502-12 

12.21 MINOR PERMIT MODIFICATION 

A "minor permit modification" is any modification to a federally-enforceable condition on a 

permit to operate which is not a significant permit modification, and is not an administrative 

permit amendment.[Reference: 40 CFR 70.7(e)(2)] 

12.22 OPERATION 

"Operation" means any physical action resulting in a change in the location, form or physical 

properties of a material, or any chemical action including combustion resulting in a change in the 

chemical composition or the chemical or physical properties of a material, which results in or may 

result in the emission of a regulated air pollutant. 

12.23 PERMIT MODIFICATION 

A "permit modification" is any addition, deletion, or revision to a Part-70 permit to operate 

condition. [Reference: 40 CFR 70.2 Permit Modification and Permit Revisions] 

12.24 POTENTIAL TO EMIT 

For the purposes of Regulation V, "potential to emit" as it applies to an emissions unit and a 

stationary source is defined below. 

(1) Emissions Unit 

The "potential to emit" for an emissions unit is the maximum capacity of the unit to emit a 

regulated air pollutant or hazardous air pollutant considering the unit's physical and 

operational design. Physical and operational limitations on the emissions unit shall be 

treated as part of its design, if the limitations are set forth in permit conditions or in rules or 

regulations that are legally and practicably enforceable by U.S. EPA and citizens or by the 

District. Physical and operational limitations include, but are not limited to the following: 

limits placed on emissions; and restrictions on operations such as hours of operation and 

type or amount of material combusted, stored, or processed. 

(2) Stationary Source 

The "potential to emit" for a stationary source is the sum of the potential to emit from all 

emissions units at the stationary source. If two or more hazardous air pollutants are 

emitted at a stationary source, the potential to emit for each of those hazardous air 

pollutants shall be combined to determine applicability. Fugitive emissions shall be 

considered in determining the potential to emit for sources as specified in 40 CFR Part 

70.2 Major Source (2), and sources of hazardous air pollutant emissions. Notwithstanding 

the above, any hazardous air pollutant emissions from any oil or gas exploration or 

production well (with its associated equipment) and any pipeline compressor or pump 

station shall not be aggregated with emissions of similar units for the purpose of 

determining a major source of hazardous air pollutants, whether or not such units are 

located in contiguous areas or are under common control. 

 [Reference: 40 CFR 70.2 Potential to Emit and Major Source (2)] 

12.25 PRECONSTRUCTION PERMIT 

A "preconstruction permit" is a permit issued prior to construction which authorizes construction, 

including: 
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May 19, 2005 502-13 

(1) An Authority To Construct issued pursuant to the District's program for the prevention of 

significant deterioration of air quality required by section 165 of the Clean Air Act or 

Regulation I, Rule 220 of the District; or 

(2) An Authority to Construct issued pursuant to the District's new source review program 

required by sections 172 and 173 of the Clean Air Act, or Regulation I, Rule 220. 

12.26 REGULATED AIR POLLUTANT 

A "regulated air pollutant" is any pollutant which is emitted into or otherwise enters the ambient 

air, and for which the U.S. EPA has adopted an emission limit, standard, or other requirement. 

Regulated air pollutants include the following: 

(1) Oxides of nitrogen and volatile organic compounds. 

(2) Any pollutant for which a national ambient air quality standard has been promulgated 

pursuant to section 109 of the Clean Air Act; 

(3) Any pollutant subject to a new source performance standard promulgated pursuant to 

section 111 of the Clean Air Act; 

(4) Any ozone-depleting substance specified as a Class I (chlorofluorocarbons) or Class II 

(hydrofluorocarbons) substance pursuant to Title VI of the Clean Air Act; and 

(5) Any pollutant subject to a standard or requirement promulgated pursuant to section 112 of 

the Clean Air Act, including: 

A. Any pollutant listed pursuant to section 112(r) of the Clean Air Act (Prevention of 

Accidental Releases) shall be considered a "regulated air pollutant" upon 

promulgation of the list. 

B. Any hazardous air pollutant subject to a standard or other requirement promulgated 

by the U.S. EPA pursuant to section 112(d) or adopted by the District pursuant to 

112(g) and (j) of the Clean Air Act shall be considered a "regulated air pollutant" 

for all sources or categories of sources: 1) upon promulgation of the standard or 

requirement, or 2) 18 months after the standard or requirement was scheduled to be 

promulgated pursuant to section 112(e)(3) of the Clean Air Act. 

C. Any hazardous air pollutant subject to a District case-by-case emissions limitation 

determination for a new or modified source, prior to the U.S. EPA promulgation or 

scheduled promulgation of an emissions limitation shall be considered a "regulated 

air pollutant" when the determination is made pursuant to section 112(g)(2) of the 

Clean Air Act. In case-by-case emissions limitation determinations, the hazardous 

air pollutant shall be considered a "regulated air pollutant" only for the individual 

source for which the emissions limitation determination was made. [Reference: 40 

CFR 70.2 Regulated Air Pollutant] 
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May 19, 2005 502-14 

12.27 RESPONSIBLE OFFICIAL 

A "responsible official" is an individual with the authority to certify that a source complies with all 

applicable federal requirements and federally-enforceable conditions of permits issued to sources 

in accordance with Regulation V. "Responsible official" means one of the following: 

(1) For a corporation, a president, secretary, treasurer, or vice-president of the corporation in 

charge of a principal business function, or any other person who performs similar policy or 

decision-making functions for the corporation, or a duly authorized representative of such 

person if the representative is responsible for the overall operation of one or more 

manufacturing, production, or operating facilities applying for or subject to a permit and 

either: 

A. The facilities employ more than 250 persons or have gross annual sales or 

expenditures exceeding $25 million (in second quarter 1980 dollars); or 

B. The delegation of authority to such representative is approved in advance by the 

Air Pollution Control Officer; 

(2) For a partnership or sole proprietorship, a general partner or the proprietor, respectively; 

(3) For a municipality, state, federal, or other public agency, either a principal executive 

officer or a ranking elected official; or 

(4) For an acid rain unit subject to Title IV (Acid Deposition Control) of the Clean Air Act, 

the "responsible official" is the designated representative of that unit for any purposes 

under Title IV and Regulation 5. 

[Reference: 40 CFR 70.2 Responsible Official] 

12.28 SIGNIFICANT PERMIT MODIFICATION 

A "significant permit modification" is any modification to a federally-enforceable condition on a 

permit to operate which: 

(1) Involves any modification under section 112(g) of Title I of the Clean Air Act or under 

U.S. EPA regulations promulgated pursuant to Title I of the Clean Air Act, including 40 

CFR Parts 51, 52, 60, 61, and 63; 

(2) Significantly changes monitoring conditions; 

(3) Provides for the relaxation of any reporting or recordkeeping conditions; 

(4) Involves a permit term or condition which allows a source to avoid an applicable federal 

requirement, including: 1) a federally-enforceable voluntary emissions cap assumed in 

order to avoid triggering a modification requirement of Title I of the Clean Air Act, or 2) 

an alternative hazardous air pollutant emission limit pursuant to section 112(i)(5) of the 

Clean Air Act; 

(5) Involves a case-by-case determination of any emission standard or other requirement; or 
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May 19, 2005 502-15 

(6) Involves a source-specific determination for ambient impacts, visibility analysis, or 

increment analysis on portable sources. [Reference: 40 CFR 70.7(e)(2) and (4)] 

12.29 SOLID WASTE INCINERATOR 

A "solid waste incinerator" is any incinerator which burns solid waste material from commercial, 

industrial, medical, general public sources (e.g., residences, hotels, or motels), or other categories 

of solid waste incinerators subject to a performance standard promulgated pursuant to sections 111 

or 129 of the Clean Air Act. The following incinerators are excluded from the definition of "solid 

waste incinerator" for the purpose of Regulation V: 

(1) Any hazardous waste incinerator required to obtain a permit under the authority of section 

3005 of the Solid Waste Disposal Act (42 U.S.C. section 6925); 

(2) Any materials recovery facility which primarily recovers metals; 

(3) Any qualifying small power production facility as defined in 16 U.S.C.A. section 

796(17)(C); 

(4) Any qualifying cogeneration facility which burns homogenous waste for the production of 

energy as defined in 16 U.S.C.A. section 796(18)(B); or 

(5) Any air curtain incinerator which burns only wood, yard, or clean lumber waste and 

complies with the opacity limitations to be established by the Administrator of the U.S. 

EPA. 

12.30 STATIONARY SOURCE 

For the purposes of Regulation V, a "stationary source" is any building, structure, facility, or 

installation (or any such grouping) that: 

(1) Emits, may emit, or results in the emissions of any regulated air pollutant or hazardous air 

pollutant; 

(2) Is located on one or more contiguous or adjacent properties; 

(3) Is under the ownership, operation, or control of the same person (or persons under 

common control) or entity; and 

(4) Belongs to a single major industrial grouping; for example, each building, structure, 

facility, or installation in the grouping has the same two-digit code under the system 

described in the 1987 Standard Industrial Classification Manual. 

[Reference: 40 CFR 70.2 Stationary Source] 
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May 19, 2005 502-16 

12.31 UNITED STATES ENVIRONMENTAL PROTECTION AGENCY (U.S. EPA) 

"United States Environmental Protection Agency" refers to the Administrator or designated 

representative of the United States Environmental Protection Agency. 

12.32 VOLUNTARY EMISSIONS CAP 

A "voluntary emissions cap" is an optional, federally-enforceable emissions limit on one or more 

emissions unit(s) which a source assumes in order to avoid an applicable federal requirement. The 

source remains subject to all other applicable federal requirements. 
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May 19, 2005 503-1 

Rule 503 District Administrative Procedures 

(Adopted December 10, 199 as Reg V, Rules 500, 510, 520, 530, 540, 550, 560, 570, & 580; Revised November 21, 

1994 and Revised May 18, 2001 as Reg V, Rules 500, 510, 520, 530, 540, 550, 560, 570, & 580; 

 Revised May 19, 2005 as Rule 503)

 RULE 503 CONTENTS 

1.0 COMPLETENESS REVIEW OF APPLICATIONS 

2.0 NOTIFICATION OF COMPLETENESS DETERMINATION 

3.0 APPLICATION PROCESSING TIMEFRAMES 

4.0 AQMD ANALYSIS OF PERMIT APPLICATION 

5.0 NOTIFICATION AND OPPORTUNITY FOR REVIEW OF PROPOSED DECISION 

 5.1 Official Notice 

 5.2 Public Notice 

 5.3 Contents of Public Notice 

 5.4 Notice to U.S EPA 

 5.5 Availability of Documents 

 5.6 Opportunity for Comment and Public Hearing 

6.0 CHANGES TO THE PROPOSED DECISION 

 

7.0 PERMIT ISSUANCE OR DENIAL 

8.0 AQMD ACTION ON WRITTEN REQUESTS 

 8.1 Administrative Permit Amendment 

 8.2 Permit Modification for a Condition that is not Federally Enforceable 

 8.3 Permits to Operate for New Emissions Unit 

9.0 PERMIT REOPENING FOR CAUSE 

10.0 OPERATIONAL FLEXIBILITY 

 10.1 Alternative Operating Scenarios 

 10.2 Voluntary Emissions Caps 

 10.3 Contravening an Express Permit Condition 

 

RULE 503: 

AQMD ADMINISTRATIVE PROCEDURES 

1.0 COMPLETENESS REVIEW OF APPLICATIONS: The Air Pollution Control Officer shall 

 determine if an application is complete and shall notify the responsible official of the 

 determination within the following time frames: 

 1.1 For an initial permit, permit renewal, or a significant permit modification, within 60 days 

 of receiving the application; [Reference: 40 CFR 70.7(a) (4)] 

 

 1.2 For a minor permit modification, within 30 days of receiving the application. 

 
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May 19, 2005 503-2 

The application shall be deemed complete unless the Air Pollution Control Officer requests 

 additional information or otherwise notifies the responsible official that the application is 

 incomplete within the time frames specified above. 

 [Reference: 40 CFR 70.5(a) (2) and 70.7(a) (4)] 

2.0 NOTIFICATION OF COMPLETENESS DETERMINATION: The Air Pollution Control 

 Officer shall provide written notification of the completeness determination to the applicant, the 

 U.S. EPA, the Air Resources Board and any affected state and shall submit a copy of the complete 

 application to the U.S. EPA within five working days of the determination. The Air Pollution 

 Control Officer needs not provide notification for applications from sources that are not major 

 sources, except as determined by the U.S. EPA. 

 [Reference: 40 CFR 70.7(2) (iii) and 70.8 (a) (1 and 2)] 

3.0 APPLICATION PROCESSING TIME FRAMES: The Air Pollution Control Officer shall act 

 on a complete application in accordance with the procedures in Rules 503 5.0, 503 6.0, and 503 

 7.0 (except as application procedures for acid rain units are provided for under regulations 

 promulgated pursuant to Title IV of the Clean Air Act), and take final action within the following 

 time frames: [Reference: 40 CFR 70.7(a) (2)] 

3.1 For an initial permit for a source subject to Regulation V on the date the rule becomes 

 effective, no later than three years after the date the rule becomes effective; 

[Reference: 40 CFR 70.4(b) (11)] 

 3.2 For an initial permit for a source that becomes subject to Regulation V after the date the 

 rule becomes effective, no later than 18 months after the application is received; 

 3.3 For a permit renewal, no later than 18 months after the application is received;

 3.4 For a significant permit modification, no later than 18 months after the application is 

 received; 

 3.5 For a minor permit modification, within 90 days after the application is received or 60 days 

 after written notice to the U.S. EPA on the proposed decision, whichever is later; or

 [Reference: 40 CFR 70.7(e) (2) (iv)] 

 3.6 For any permit application with early reductions pursuant to section 112(i)(5) of the Clean 

 Air Act, within 9 months from the date a complete application is received. 

 [Reference: 40 CFR 70.4(b)(11)(iii)] 

 3.7 The AQMD shall review permits to operate simultaneously for all emissions units at a 

 stationary source for initial issuance or renewal. 

4.0 AQMD ANALYSIS OF PERMIT APPLICATION: The AQMD analysis of any 

 application for an operating permit under Regulation V, or for renewal of such a permit, shall set 

 forth the legal and factual bases for the proposed decision to grant or deny the permit, including 

 references to the applicable statutory and regulatory provisions. 

[Reference: 40 CFR 70.7(a)(5)] 

5.0 NOTIFICATION AND OPPORTUNITY FOR REVIEW OF PROPOSED DECISION: 

Within the applicable time frame specified in Rule 503 3.0, the Air Pollution Control Officer shall 

 provide official and public notice of and opportunity to review the proposed decision to issue a 

 permit to operate in accordance with requirements of this Rule. 

[Reference: 40 CFR 70.7(h) and 70.8] 

 5.1 Official Notice: For initial permits, renewal of permits, significant permit modifications, 

 and reopenings for cause, the Air Pollution Control Officer shall send official written 

 notice of the proposed decision to the responsible official, the Air Resources Board, 

 adjacent air pollution control AQMDs and any affected state. Official notice shall include 

 the proposed permit and, upon request, copies of the AQMD analysis. 

 [Reference: 40 CFR 70.7(h)(3) and 70.8(b)(1)] 
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May 19, 2005 503-3 

 For minor permit modifications, the Air Pollution Control Officer shall provide official 

 written notice of the proposed decision to the responsible official, the Air Resources Board 

 and any affected state. [Reference: 40 CFR 70.7(e)(2)(iii) and 70.7(h)] 

 The Air Pollution Control Officer shall send Official Notice of proposed permit decisions 

 by certified mail, return receipt requested. 

 5.2 Public Notice: For initial permits, renewal of permits, significant permit modifications, 

 and reopenings for cause, the Air Pollution Control Officer shall provide public notice of 

 the proposed decision by publication in at least one newspaper of general circulation in the 

 AQMD, by mail to persons who request such notification, and, if necessary, by other 

 means to assure adequate notice to the affected public. [Reference: 40 CFR 70.7(h)(1)] 

 5.3 Contents of Public Notice: Public notice shall include the following information:

 5.3.1 The identification of the source, the name and address of the applicant, the 

 activities and emissions and change in emissions involved in the permit action; 

 5.3.2 The name and address of the AQMD, the name and telephone number of AQMD 

 staff to contact for additional information; 

 5.3.3 The availability, upon request, of the AQMD Analysis, setting forth the legal and 

 factual basis for the proposed decision; 

[Reference: 40 CFR 70.7(a)(5)] 

 5.3.4 The location where the public may inspect the complete application, the AQMD’s 

 analysis, and the proposed permit; 

 5.3.5 A statement that the public may submit written comments regarding the proposed 

 decision within at least 30 days from the date of publication and a brief description 

 of commenting procedures; and 

 5.3.6 The date, time and place of the public hearing on the proposed decision or a 

 statement that members of the public may request that the AQMD hold such a 

 hearing to receive oral comments, if one has not already been scheduled. The Air 

 Pollution Control Officer shall provide notice of any public hearing scheduled to 

 address the proposed decision at least 30 days prior to such hearing. 

 [Reference: 40 CFR 70.7(h)(2 and 4)] 

 5.4 Notice to U.S. EPA: After completion of the public notice and comment period pursuant 

 to subsection (f), the Air Pollution Control Officer shall send written notice to the U.S. 

 EPA of the proposed decision along with copies of the proposed permit, the AQMD 

 analysis, the public notice submitted for publication, the AQMD's response to written 

 comments, and all necessary supporting information. 

 [Reference: 40 CFR 70.7(h)(5) and 70.8] 

For minor permit modifications, the Air Pollution Control Officer shall provide written 

notice of the proposed decision to the U.S. EPA, the Air Resources Board, and any 

affected state. Additionally, the AQMD shall provide to the U.S. EPA (and, upon request, 

to the Air Resources Board or any affected state) copies of the proposed permit, the 

AQMD analysis, and all necessary supporting information. 

 [Reference: 40 CFR 70.7(a)(1)(iii and v) and (5)] 

 5.5 Availability of Documents: The Air Pollution Control Officer shall make available for 

 public inspection during normal business hours copies of the following documents: 

 5.5.1 The complete application; 

 5.5.2 The AQMD analysis; 

 5.5.3 The proposed permit; 

 
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May 19, 2005 503-4 

5.5.4 All submitted written comments which are postmarked by the close of the public 

 notice and comment period of subsection (5.6) and the AQMD's written response to 

 persons or agencies that submitted such comments. 

 [Reference: 40 CFR 70.(h)(2)] 

 5.6 Opportunity for Comment and Public Hearing: 

 5.6.1 The AQMD shall receive written comments regarding the proposed decision for 30 

 days from the date of publication of Public Notice pursuant to subsection (5.2). 

 5.6.2 At any time during the public comment period, members of the public may request 

 that the AQMD hold a public hearing to receive oral public comment. The Air 

 Pollution Control Officer shall provide notice of any public hearing scheduled to 

 address the proposed decision at least 30 days prior to such hearing. 

 [Reference: 40 CFR 70.7(h)(2)] 

6.0 CHANGES TO THE PROPOSED DECISION: Changes to the proposed decision shall be 

 governed by the following procedure: 

 6.1 The Air Pollution Control Officer may modify or change the proposed decision, the 

 proposed permit, or the AQMD analysis on the basis of information set forth in the 

 comments received during the public comment period provided pursuant to Rule 503 

 5.6.1, or due to further analysis of the Air Pollution Control Officer. Pursuant to Rule 

 503 5.4, the Air Pollution Control Officer shall forward any such modified proposed 

 decision, the proposed permit, any changes or additions to the AQMD analysis, and all 

 necessary supporting information to the U.S. EPA. 

 [Reference: 40 CFR 70.7(g)(5) and 70.8(b)(2)] 

6.2 If the U.S. EPA objects in writing to the proposed decision within 45 days of being 

notified of the proposed decision and receiving a copy of the proposed permit and all 

necessary supporting information pursuant to Rule 503 5.4, the Air Pollution Control 

Officer shall not issue the permit until the written issues and objections raised by the EPA 

are resolved. The Air Pollution Control Officer shall either deny the application or revise 

and resubmit a permit which addresses the deficiencies identified in the U.S. EPA 

objection within the following time frames: 

 6.2.1 For initial permits, permit renewals, and significant permit modifications, within 90 

 days of receiving the U.S. EPA objection; or 

 6.2.2 For minor permit modifications, within 90 days of receipt of the application or 60 

 days of the notice to U.S. EPA, whichever is later. 

 [Reference: 40 CFR 70.7(e)(2)(iv) and 70.8(c)] 

 6.3 If the Administrator does not object in writing, any person may petition the Administrator 

 within 60 days after the expiration of the Administrator’s 45-day review period to make 

 such objection. If the Administrator objects to the permit as a result of a petition and the 

 permit has not been issued, the permitting authority shall not issue the permit until the 

 issues and objections raised in the public petition are resolved. Issues and objections 

 which were not raised during the 30-day public comment period will not be considered in 

 this process, unless it was impracticable to raise such objections within the public 

 comment period, or unless the grounds for such objection arose after the public comment 

 period. 

 [Reference: 40 CFR 70.8(d)] 
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May 19, 2005 503-5 

7.0 PERMIT ISSUANCE OR DENIAL: If the U.S. EPA does not object in writing within 45 days 

 of the notice provided pursuant to Rule 503 5.4, or the Air Pollution Control Officer submits a 

 revised permit pursuant to Rule 503 6.0, the Air Pollution Control Officer shall expeditiously issue 

 the final permit to operate or deny the application. In any case, the Air Pollution Control Officer 

 shall take final action on an application within the applicable time frame specified in Rule 503 3.0. 

 Failure of the Air Pollution Control Officer to act on a permit application or permit renewal 

 application in accordance to the time frames provided in Rule 503 3.0, shall constitute final action 

 for purposes of obtaining judicial review to require that action on the application be taken 

 expeditiously. 

 [Reference: 40 CFR 70.(b)(xi), 70.7(a)(1)(v) and (a)(2), and 

 70.8(c)] 

 The Air Pollution Control Officer shall send written notification of the final issuance or denial of a 

 permit to the responsible official of the source, the U.S. EPA, the Air Resources Board and any 

 person or affected state that submitted comments during the public comment period. Written 

 notification of any refusal by the AQMD to accept all recommendations for the proposed permit 

 that an affected state submitted during the public comment period shall be sent to U.S. EPA and 

 affected states. The Air Pollution Control Officer shall submit a copy of a permit to operate, as 

 issued, to the U.S. EPA and provide a copy to any person or agency requesting a copy. If the 

 application is denied, the Air Pollution Control Officer shall provide reasons for the denial in 

 writing to the responsible official along with the AQMD analysis and cite the specific statute, rule, 

 or regulation upon which the denial is based. 

 [Reference: 40 CFR 70.8(a)(1)] 

8.0 AQMD ACTION ON WRITTEN REQUESTS: The Air Pollution Control Officer shall act 

 on a written request of a responsible official for permit action using the applicable procedure 

 specified in this Rule. 

 8.1 Administrative Permit Amendment: The Air Pollution Control Officer shall take final 

 action no later than 60 days after receiving the written request for an administrative permit 

 amendment. 

 8.1.1 After designating the permit revisions as an administrative permit amendment, the 

 Air Pollution Control Officer may revise the permit without providing notice to the 

 public or any affected state. 

 8.1.2 The Air Pollution Control Officer shall provide a copy of the revised permit to the 

 responsible official and the U.S. EPA. 

 8.1.3 While the Air Pollution Control Officer need not make a completeness 

 determination on a written request, the Air Pollution Control Officer shall notify 

 the responsible official if the Air Pollution Control Officer determines that the 

 permit can not be revised as an administrative permit amendment. 

 [Reference: 40 CFR 70.7(d)(3)] 

 8.2 Permit Modification for a Condition that is not Federally Enforceable: The Air 

 Pollution Control Officer shall take action on a written request for a permit modification 

 for a condition that is not federally enforceable in accordance with the requirements of 

 Regulation I, Rule 102(5) under the following circumstances:

 8.2.1 Any change at the stationary source allowed by the permit modification shall meet 

 all applicable federal requirements and shall not violate any existing permit term or 

 condition; and 

 
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May 19, 2005 503-6 

8.2.2 The Air Pollution Control Officer provides to the U.S. EPA a contemporaneous 

 written notice describing the change, including the date, any change in emissions or 

 air pollutants emitted, and any applicable federal requirement that would apply as a 

 result of the change. 

 [Reference: 40 CFR 70.4(b)(14), 70.6(b)] 

 

 8.3 Permits to Operate for New Emissions Unit: The Air Pollution Control Officer shall 

 take action on a written request for a permit to operate a new emissions unit in accordance 

 with the requirements for of Regulation I, Rule 102(5) under the circumstances specified 

 in Rule 503 8.2 . However, if Rule 502 6.3 applies, the Air Pollution Control Officer 

 shall require the submittal of a standard AQMD application and take action on that 

 application pursuant to the requirements of Regulation V. 

9.0 PERMIT REOPENING FOR CAUSE

 9.1 The Air Pollution Control Officer shall reopen and revise a permit to operate during the 

 annual review period required by Health and Safety Code Section 42301(c), or petition the 

 AQMD hearing board to do so pursuant to Health and Safety Code Section 42307, 

 whichever is applicable, prior to its expiration date upon discovery of cause for reopening 

 or upon notification of cause for reopening by the U.S. EPA, or within 18 months of 

 promulgation of a new applicable federal requirement. The Air Pollution Control Officer 

 shall act only on those parts of the permit for which cause to reopen exists. 

 [Reference: 40 CFR 70.7(f)(2)] 

 9.2 Circumstances that are cause for reopening and revision of a permit include, but are not 

 limited to, the following: 

 9.2.1 The need to correct a material mistake or inaccurate statement; 

 9.2.2 The need to revise or revoke a permit to operate to assure compliance with 

 applicable federal requirements; 

 9.2.3 The need to incorporate any new, revised, or additional applicable federal 

 requirements, if the remaining authorized life of the permit is 3 years or greater, no 

 later than 18 months after the promulgation of such requirement (where less than 3 

 years remain in the authorized life of the permit, the Air Pollution Control Officer 

 shall incorporate these requirements into the permit to operate upon renewal); or 

 9.2.4 The need to reopen a permit issued to acid rain unit subject to Phase II of Title IV 

 of the Clean Air Act to include: 

 9.2.4.1 Oxides of nitrogen requirements prior to January 1, 1999, and 

 9.2.4.2 Additional requirements promulgated pursuant to Title IV as they become 

 applicable to any acid rain unit governed by the permit. 

 [Reference: 40 CFR 70.7(f)(1)] 

 9.3 In processing a permit reopening, the Air Pollution Control Officer shall use the same 

 procedures as for an initial permit and additionally: 

 9.3.1 Provide written notice to a responsible official and the U.S. EPA at least 30 days, 

or a shorter period in the case of an emergency, prior to reopening a permit; and 

 9.3.2 Complete action to revise the permit as specified in the notice of reopening within 

 60 days after the written notice to the U.S. EPA pursuant to Rule 503(5.4), if the 

 U.S. EPA does not object, or after the Air Pollution Control Officer has responded 

 to U.S. EPA objection pursuant to Rule 503(6.2). 

 [Reference: 40 CFR 70.7(f)(2), (f)(3) and (g)(5)(i)] 
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May 19, 2005 503-7 

10.0 OPERATIONAL FLEXIBILITY: The Air Pollution Control Officer shall allow specified 

 changes in operations at a source without requiring a permit revision for conditions that address an 

 applicable federal requirement. The Air Pollution Control Officer shall not allow changes which 

 constitute a modification under Title I of the Clean Air Act or Regulation I, Rules 101, 102, or 

 110, or that result in an exceedance of the emissions allowable under the facility's permit, whether 

 expressed therein as a rate of emissions or in terms of total emissions without revision to the 

 permit. The source may gain operational flexibility through use of the following options: 

 [Reference: 40 CFR 70.4(b)(12) and (d)(3)(viii)] 

 10.1 Alternative Operating Scenarios: The Air Pollution Control Officer shall allow the use 

 of alternative operating scenarios provided that: 

 10.1.1 Terms and conditions applicable to each operating scenario are identified by the 

 responsible official in the permit application; and. 

 10.1.2 The terms and conditions are approved by the Air Pollution Control Officer; and 

 10.1.3 The terms and conditions are incorporated into the permit; and 

 10.1.4 The terms and conditions are in compliance with all applicable AQMD, state, and 

 federal requirements. 

 A permit condition shall require a contemporaneous log to record each change made from 

 one operating scenario to another. 

 [Reference: 40 CFR 70.6(a)(9)] 

 10.2 Voluntary Emissions Caps: The Air Pollution Control Officer shall issue a permit that 

 contains terms and conditions that allow for trading of emissions increases and decreases 

 within the stationary source solely for the purpose of complying with a voluntary 

 emissions cap established in the permit independent of otherwise applicable federal 

 requirements provided that:

 10.2.1 The requirements of subsections (10.1.1, 10.1.3) and (10.1.4), above, are met; 

 10.2.2 The terms and conditions are approved by the Air Pollution Control Officer as 

 quantifiable and enforceable; and 

 10.2.3 The terms and conditions are consistent with the applicable preconstruction permit. 

 A permit condition shall require that a responsible official provide written notice to the 

 U.S. EPA and Air Pollution Control Officer 30 days in advance of a change by clearly 

 requesting operational flexibility under this Rule. The written notice shall describe the 

 change, identify the emissions unit which will be affected, the date on which the change 

 will occur and the duration of the change, any change in emissions of any air pollutant, 

 whether regulated or not, and any new emissions of any air pollutant not emitted before the 

 change, whether regulated or not. 

 [Reference: 40 CFR 70.4(b)(12)(iii) & 70.6(a),(a)(10) & (c)] 

 10.3 Contravening an Express Permit Condition: The Air Pollution Control Officer shall 

 allow for changes in operation that contravene an express condition addressing an 

 applicable federal requirement in a permit to operate provided that the following 

 conditions are met:

 10.3.1 The change will not violate any applicable federal requirement; 

 10.3.2 The change will not contravene federally-enforceable conditions, including 

 monitoring (including test methods), recordkeeping, reporting, or compliance 

 certification requirements; 

 
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May 19, 2005 503-8 

10.3.3 The change is not a modification under Title I of the Clean Air Act or any 

provision of Regulation 1, Rule 110; 

 

10.3.4 The change does not result in exceeding the emissions allowable under the permit, 

 whether expressed therein as a rate of emissions or in terms of total emissions; 

 10.3.5 Written notice is given to the U.S. EPA and Air Pollution Control Officer 30 days 

 in advance of a change, and the notice clearly indicates which term or condition 

 will be contravened, requests operational flexibility under this subsection, describes 

 the change, identifies the emissions units which will be affected, the date on which 

 the change will occur, the duration of the change, any change in emissions of any 

 air pollutant, whether regulated or not, and any new emissions of any air pollutant 

 not emitted before the change, whether regulated or not; and 

 

10.3.6 The Air Pollution Control Officer has not provided a written denial to the 

 responsible official within 30 days of receipt of the request for an operational 

 change. Any written denial shall identify which of the requirements in Sections 

 10.3.1-10.3.5 above have not been satisfied. 

 [Reference: 40 CFR 70.4(b) (12)]