# DEPARTMENT OF PUBLIC HEALTH AND ENVIRONMENT
AIR QUALITY CONTROL COMMISSION 

# PROCEDURAL RULES

5 CCR 1001·1



### EDITOR'SNOTES· AothorityCited: See page 2. HistoryandAmendments: adopted 12/16/76, effective 

### 3/1m. Entire regulation re-adopted 4/10/80, effective 5/30/80, 3 CR 5. P. 13 resubmitted duetotypographical error, underSectionXIII, 0, 6th line, 3 CR 7. Pp. 1-35adopted 5/24/84, effective 7/30/84,7CR 7. Pp. 1-55adopted 1/16/98, EFFECTIVE 3/30/98, 21 CR3.

A. G. Opinions: 3 AG 121; 7 AG 154; 21 AG 85

Annotations:

"ThisTItlePage does DOt coDStitute aDofficialpan ofanyregulation. Infonnationcxmtained onthetitlepage isprovided by the Publishcr from sources deemed reliable and II soldy for Informational and historicalpurposes. See cautiooary DOte in IntroductoryMateriala, HowtoUse the CCR. C 1998 'lliEPUBUCRECORDCORPORATION. AlLRIGHl'SRESERVED. (303)292-2S7S

### TABLE OF CONTENTS PAGE 1.1.0 IN-rRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 1 1.2.0 SCOPE, PURPOSE, AND AUTHORITY 2 1.3.0 DEFINITIONS 2 1.4.0 PROCEDURES FOR GENERAL MEETINGS . . . . . . . . . . . . . . . . . . . . . . . . .. 4 1.4.1 General Meetings 4 1.4.2 Frequency................................................ 5 1.4.3 Notice and agenda 5 1.4.4 Conduct ofgeneral meetings 5 1.4.5 Planning ' , 5 1.4.6 Recording proceedings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 5 1.4.7 Minutes 5 1.4.8 Public participation encouraged 5 1.4.9 Executive session 6 1.4.10 Informal hearings 6 1.4.11 Statements of policy and interpretive rules 6 1.4.12 Approval of plans, reports and SIPS 6 1.5.0 PROCEDURES FOR RULE-MAKING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 7 1.5.1 How a rule-making proceeding begins 7 1.5.1 (1) Commencement of rule-making . . . . . . . . . . . . . . . . . . . .. 7 1.5.1(2) Members ofthe public and petitions for rule-making . . . .. 7 1.5.1(3) Commission schedule for rule-makings . . . . . . . . . . . . . .. 7 1.5.2 Development of proposals for rules or revisions . . . . . . . . . . . . . . . . . .. 7 1.5.2(1) By members ofthe public 8 1.5.2(2) Bythe Commission or staff . . .. 8 1.5.2(2)(a) Informal hearings 8 1.5.2(2)(b) Workgroups ............................... 8 1.5.2(2)(c) Subcommittees. , .'. . . . . . . . . . . . . . . . . . . . . . . .. 9 1.5.2(2)(d) Staff ,. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 9 1.5.3 Petitions for rule-making 10 General 10 1.5.3(1) 1.5.3(2) Timing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 10 1.5.3(3) Content ofa standard petition 10 Petition document . . . . . . . . . . . . . . . . . . . . . . . .. 10 1.5.3(3)(a) 1.5.3(3)(b) Proposed regulation text. . . . . . . . . . . . . . . . . . .. 11 Memorandum of Notice. . . . . . . . . . . . . . . . . . . .. 11 1.5.3(3)(c) 1.5.3(3)(d) Statement regarding federal requirements '" . .. 11 1.5.3(3)(e) Risk cost-benefit analysis . . . . . . . . . .. 12 1.5.3(3)(f) Range 'of regulatory alternatives . . . . . . . . . . . . .. 12 Other information 12 1.5.3(3)(g) 1.5.3(3)(h) Draft statement of basis, specific statutory authority, and purpose 12 1.5.3(3)(i) Technical Support Documents 13 1.5.3(4) Content ofparticular petitions 13 1.5.3(4)(a) Fiscal & economic statementJinitial economic impact analysis (in the**Memor~ndum** 

### of Notice) 13 

### seeR 1001-1

### 1.5.3(4)(b) Statement regarding federal requirements 13 1.5.3(4)(c) Risk cost-benefit analysis , 14 1.5.3(4)(d) Range of regulatory altematives 14 1.5.3(5) Altemate proposals submitted at the same time that the petition is to be considered 14 1.5.3(6) Petition for emergency rule 14 1.5.3(6)(a) Request and petition 14 1.5.3(6)(b) Commission requirements 15 1.5.3(6)(c) Special emergency rules for interim emissions control regulations 15 1.5.4 Notice 16 1.5.4(1) Preparation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 16 1.5.4(2) Publication requirements . . . . . . . . . . . . . . . . . . . . . . . .. 16 1.5.4(3) Proposed Rule-making Packet 16 1.5.4(4) Amended notices " 16 1.5.5 Prehearing procedures 16 General 16 1.5.5(1) 1.5.5(2)**R!g~~s** 

### and obligations of parties, non-parties, and the DIvISIon 16 Parties .................................. 17 1.5.5(2)(a) 1.5.5(2)(b) Non-parties..................... . . . . . . . .. 17 The Division 17 1.5.5(2)(c) 1.5.5(3) Gaining party status . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 17 1.5.5(3)(a) The petitioner 17 1.5.5(3)(b) The proponent of an initial alternate proposal .. " 18 1.5.5(3)(c) Any other person; petitions for party status . . . . .. 19 1.5.5(3)(d) Late party status . .. 19 1.5.5(4) Status Conference , 19 1.5.5(5) Prehearing Conference . .. 20 1.5.5(5)(a) Participation mandatory 20 1.5.5(5)(b) Goals ofthe prehearing conference and authority of the Prehearing Conference Officer " 20 1.5.5(5)(c) Prehearing statements 21 1.5.5(5)(d) Rebuttal statements 

### &late filings 22 Additional conferences . . .. 23 1.5.5(5)(e) 1.5.5(6) Final Economic Impact Analyses . . . . . . . . . . . . . . . . . .. 23 1.5.5(7) Alternate proposals offered afterthe prehearing conference . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 23 1.5.5(8) Motions , 24 1.5.5(9) Discovery . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 24 1.5.5(10) Subpoenas. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 24 1.5.5(11) Ex parte communications 25 1.5.5(12) Regulatory analysis . .. 25 1.5.5(13) Continuing heanngs , 25 1.5.6 Conduct of rule-making hearings 26 1.5.6(1) Public participation encouraged . . . . . . . . . . . . . . . . . . .. 26 1.5.6(2) Hearings to be conducted by the Commission 26 1.5.6(3) Orderof presentation . . . . . . . . . . . . . . . . . . . . . . . . . . .. 26 Role ofthe Division 27 1.5.6(4) 1.5.6(5) Role ofthe Attorney General . . . . . . . . . . . . . . . . . . . . .. 27 1.5.6(6) Witness presentations . . . . . . . . . . . . . . . . .. 27 1.5.6(7) Cross-examination and objections . . . . . . . . . . . . . . . . .. 

## 2r 

### 5 CCR1001-1

### 1.5.6(8) Other authority , 28 Summation offacts and law. . . . . . . . . . . . . . . . . . . . . .. 28 1.5.6(9) Final action 28 1.5.6(10) 1.5.6(11) Filing with Secretary of State . . . . . . . . . . . . . . . . . . . . .. 29 Publication and effective date 29 1.5.6(12) 1.5.6(13) Maintaining rules . . . . . . . . . . . . . . . . . . . . . .. 29 1.5.6(14) Special additional procedures for particular hearing 29 1.5.6(14)(a) Hearings under 

### § 25-7-105 (2) 29 1.5.6(14)(b) Hearings to list HAPs 30 1.5.6(14)(c) Appeals ofColorado MACTor GACT determinations or compliance schedules 31 1.6.0 PROCEDURES FOR ADJUDICATIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 32 1.7.0 DECLARATORY ORDERS , 45 1.8.0 PUBLIC INFORMATION AND CONFIDENTIAL INFORMATION 45 1.8.0.(1) Distribution ofnotices, agendas. and other information by the Commission. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 45 1.8.0.(2) Availability of records; emissions data always public . . . . . . . .. 45 1.8.0.(3) Confidential information 46 1.9.0 C.R.S. 

### § 24-4-105(4) 46 1.10.0 CONFLICTS OF INTEREST 47 1.10.1 Definitions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 47 1.10.2 Disclosure ofa Conflict of Interest 48 1.10.3 Disqualification ofa Commissioner for a Conflict of Interest 48 1.10.4 Advisory opinions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 49 1.10.5 Rule of Necessity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 49 1.11.0 STATE IMPLEMENTATION PLAN 49 1.12.0 STATEMENTS OF BASIS, SPECIFIC STATUTORYAUTHORITY. AND PURPOSE ' 50 APPENDIX A OUTLINE OF AN ADJUDICATORY PREHEARING STATEMENT . . . . . . . . . . . . . . . . . . . . .. 53 APPENDIX B EXAMPLE REGULATORY TIME LINE 55

5 CCR 1001·1

### e 1998TIlEPUBLIC RECORDCORPORATION Page47 ALL RIGHTS RESERVED 

### 21 CR 3,3-98 provided underthe Colorado rules ofcivil procedure; and take any other action authorized by agency rule consistent with this article or in accordance, to the extent practicable, with the procedure in 1he district courts. All parties to the proceeding shall also have the right to crossxamine witnesses who testify at the proceeding. In the event more t o e person engages in the conduct ofa hearing, such persons sha de . nate one oftheir number

### to"perform such ofthe above fun . ns as can 0 st be performed by one person only, and thereafter sue erson only shall pe orm those functions which are assigned to him by t several persons c ducting such hearing. 

### 1.10.0 The following rul encourages the timely disci ure ofconflicts ofinterest, including actual, ap arent and potential con 'ctg ofinterest, and provides gUidance on the stan rds that should be pplied for the disqualification ofa Commissioner bas on a conflict interest. 

### 1.10.1 pefinitions ceElCIl'IilQ orother action ofgeneral missionerto objectively

(b) in an adjudicatory proceeding: 

### (i) the Commissioner has, in some measure, adjudged the facts as well as the law in the case in adva ce ofthe hearing, or (ii) the Commissioner. orthe Commissioner's emplo er, has a substantial financial interest in the outcome of

### th proceeding.



### 5 CCR 1001·1 THE CODE OF'COLORAOO REGULATIONS. Page48

A potential conflict ofinterest means an apparent or act al conflict of interestthat may come about due to reasonably fo seeable events.

t he orshe has an actual conflict of y matte efore the Commission, the imselflherselffrom any further e matterat hand. An apparent conflict of interest means a personal orfinancial interest which could reasonably be perceived as an interes may influence the Commissioner's decision. 1.10.1(2)

1.10.3(1)**1.10.~(2)** 1.10.2

1.10.3

Following e disclosure ofan apparen r potential conflict ofinterest, the Co issioner may participate in the ceedings, unless the Com ssioner choosesto voluntarily recus himselflherself, orunless the ommission finds the Commissioner has actual conflict of in rest. Ifthe Commissioner does notvolunta recuse

mselflherself, the following procedure shall app . 1.10.3(3)

1.10.3(3)(a) The Commission chairperson or pres' . g Commissioner

### will askfor comments from the other Commissioners, parties, and the publicwho are presen Ifthere is no objection to participation bythe Commissioner followin the disclosure ofan apparent or potential conflict ofinterest. th Commissioner may participate in the action. and the Commis 'on is not required to vote on the question ofthe Commissioner's con 

# I

THE CODE OF COLORADO REGULATIONS 

### 5 CCR 1001·1lCl 19981HEPUBLICRECORD CORPORATION P8Q849 ALLRIGHTS RESERVED 

### 21 CR3, 3-98
1.10.3(3)(b) Ifa member ofthe public or a party objects to participation by a Commissioner on the basis ofa conflictof interest, or upon a motion ofany Commissioner, the Com . sion

hall, after appropriate discussions, vote on whethert e is or is n an actual conflict ofinterest. 1.10.3(3 A Commissioner shall be disq ffied from participating' a matter upon the findin an actual conflict of interest by a vo ofthe majority oft Commission. 1.10.4

1.10.5**BRy'!I~~~*** The for ing notwithstanding, if recusal ofthe Commis . ner or Co Issioners in question would prevent Commission acti because erthan five Commissioners would be available to participa nd vote on the matter at hand, the Commissioner or Commissioners may participate, in spite ofan actual conflictofinterest, ifthey have compli with the disclosure reqUirements applicable to an actual, apparent or potential conflict 

### ofinterest priorto acting. 1.11.0 STATE IMPLEMENTATION PLAN. 1.11.0(1)The following are the only requirements in these procedural rules which are part ofthe State Implementation Plan: The Commission shall have at least a majority ofmembers who represent the public interest and do not derive a significant portion oftheir income from persons subjectto permits orenforcement orders underthis article or underthe federal act. The members ofthe Commission shall disclose any potential conflicts of interestwhich arise dUring theirterms ofmembership 

### to the other Commissioners in a public meeting ofthe Commission. 1.11.0(2) All other requirements ofthese procedural rules, found in all sections except this Section 1.11.0 are reserved to 

### the authority ofthe

.State and are not part ofthe State Implementation Plan.



### 5 CCR 1001-1 THE CODE

### O~COLORADO REGULATIONSPage SO 

# .. STATEMENTS OF BASIS. SPECIFIC STATUTORY PURPOSE. adQpted Qn January 16. 1998. Ttie urpQse Qf these rules is tQ provide fQr the fair and efficient admini ratiQn Qf heari s and meetings befQre the CQmmissiQn, and tQ make the rule consistent with the QIQradQ Air PQllutiQn PreventiQn and CQntrQI Act, and the QIQradQ Administr: I ive PrQcedures Act. F The Federal CI n AirAct requires that the Stats Impleme tion Plan contain provisiQns requiri the CQmmissiQn tQ: (1) have at least majQrity Qf its members represen e pUblic interest, and (2) adequat y disclose any potential conflicts ofinterestth might arise regarding any of . members. The provisions ofsection 1. .0 ofthe procedural 

### rules re intended to implement such federal requiremen and are to be submitt to EPAfor inclusion in the SIP. The remaining prQvisi s ofthe procedur rules are not required by federal law and. therefQre, shall nQt 

### D submitted to A fQr approva', orfQr inclusiQn in the SIP. StatutQryAuthQritY SpecificstatutQry authority fQr the ad tiQn Qf such procedural rules is provided in 

### § 25-7-106(3). The prQcedural rules adopt bythe CQmmi . n on January 15, 1998dQ not include the adoptiQn ofan control measures in nded tQ reduce air pQllution. Such rule changes are a ministrative in nature. e rule changes are designed tQ improve the efficien of Commission hearings, t nCQurage the resolution Qf issues, and to prQm e the cost-effective administratiQ of hearings before the CQmmission. Division's 

### role' assisting the proponent Qf an altemative pr Qsal tQ prepare an econQmic i act analysis. ' Section 7-110.5(4)(a) requires the propQnent Qfan alternative QpQsal tQ provid a final econQmic impactanalysis in advance ofthe hearing. :The prQp' oent may request assistance from the DivisiQn in the developrne t Qfsuch a al econQmic impact analysis. The CQmmission anticipates thatthe ivisiQn I continue its current practice ofconSUlting with the prQpQnent Qf any s alternative propQsal and providing such assistance as may be necessary fo propQnenttQ complywith the requirements of 

### § 25-7-110.5 (4). ) January 16, 1998 .

THE CODE OFCOLORADO REGULATIONS 

### seeR 1001·1 /