DEPARTMENT OF PUBLIC
 

HEALTH AND ENVIRONMENT
 

AIR QUALITY CONTROL COMMISSION 

PROCEDURAL RULES 

5 CCR 1001·1 

EDITOR'S NOTES· 

Aothority Cited: 

See page 2. 

History and Amendments:
 

adopted 12/16/76, effective 3/1m. Entire regulation re-adopted 4/10/80, effective 5/30/80,
 

3 CR 5. P. 13 resubmitted due to typographical error, under Section XIII, 0, 6th line, 3 CR 7.
 

Pp. 1-35 adopted 5/24/84, effective 7/30/84,7 CR 7. Pp. 1-55 adopted 1/16/98, EFFECTIVE
 

3/30/98, 21 CR 3.
 

A. G. Opinions:
 

3 AG 121; 7 AG 154; 21 AG 85
 

Annotations: 

"This TItle Page does DOt coDStitute aD official pan of any regulation. Infonnation cxmtained on the title page is provided by 

the Publishcr from sources deemed reliable and II soldy for Informational and historical purposes. See cautiooary DOte in 

Introductory Materiala, How to Use the CCR. 

C 1998 'lliE PUBUCRECORD CORPORATION. AlLRIGHl'S RESERVED. (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 of general 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 of the 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 of the public 8
 

1.5.2(2) By the 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
 

1.5.3(1) General 10


1.5.3(2) Timing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 10
 

1.5.3(3) Content of a standard petition 10
 

1.5.3(3)(a) Petition document . . . . . . . . . . . . . . . . . . . . . . . .. 10


1.5.3(3)(b) Proposed regulation text. . . . . . . . . . . . . . . . . . .. 11
 

1.5.3(3)(c) Memorandum of Notice. . . . . . . . . . . . . . . . . . . .. 11


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
 

1.5.3(3)(g) Other information 12


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 of particular 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
 

1.5.5(1) General 16


1.5.5(2) R!g~~s and obligations of parties, non-parties, and the
 

DIvISIon 16
 

1.5.5(2)(a) Parties.................................. 17


1.5.5(2)(b) Non-parties..................... . . . . . . . .. 17
 

1.5.5(2)(c) The Division 17


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 of the 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
 

1.5.5(5)(e) Additional conferences . . .. 23


1.5.5(6) Final Economic Impact Analyses . . . . . . . . . . . . . . . . . .. 23
 

1.5.5(7) Alternate proposals offered after the 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) Order of presentation . . . . . . . . . . . . . . . . . . . . . . . . . . .. 26
 

1.5.6(4) Role of the Division 27


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
 

1.5.6(9) Summation offacts and law. . . . . . . . . . . . . . . . . . . . . .. 28


1.5.6(10) Final action 28


1.5.6(11) Filing with Secretary of State . . . . . . . . . . . . . . . . . . . . .. 29
 

1.5.6(12) Publication and effective date 29


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 of Colorado MACT or 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 of notices, 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 of a Conflict of Interest	 48
 

1.10.3 Disqualification of a 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 STATUTORY AUTHORITY. AND
 

PURPOSE ' 50
 

APPENDIX A	 OUTLINE OF AN ADJUDICATORY PREHEARING
 

STATEMENT . . . . . . . . . . . . . . . . . . . . .. 53
 

APPENDIX B	 EXAMPLE REGULATORY TIME LINE 55
 

5 CCR 1001·1
 
e 1998 TIlE PUBLIC RECORD CORPORATION Page 47 ALL RIGHTS RESERVED 21 CR 3,3-98 

provided under the Colorado rules of civil 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 of a hearing, such persons sha 

de . nate one of their number to" perform such of the 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 of conflicts of interest, 

including actual, ap arent and potential con 'ctg of interest, and provides 

gUidance on the stan rds that should be pplied for the disqualification 

of a Commissioner bas on a conflict interest. 

1.10.1 pefinitions 

ceElCIl'IilQ or other action of general 

missioner to 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 of the 

hearing, or 

(ii) the Commissioner. or the Commissioner's emplo er, 

has a substantial financial interest in the outcome of th 

proceeding. 

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

Page 48 

A potential conflict of interest means an apparent or act al conflict 

of interest that may come about due to reasonably fo seeable 

events. 

t he or she has an actual conflict of 

y matte efore the Commission, the 

imselflherself from any further 

e matter at hand. 

An apparent conflict of interest means a personal or financial 

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 of an apparen r potential conflict of interest, 

the Co issioner may participate in the ceedings, unless the 

Com ssioner chooses to voluntarily recus himselflherself, or unless 

the ommission finds the Commissioner has actual conflict of 

in rest. If the Commissioner does not volunta recuse 

mselflherself, the following procedure shall app . 

1.10.3(3) 

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

Commissioner will ask for comments from the other 

Commissioners, parties, and the public who are presen If there is 

no objection to participation by the Commissioner followin the 

disclosure of an apparent or potential conflict of interest. th 

Commissioner may participate in the action. and the Commis 'on is 

not required to vote on the question of the Commissioner's con 

I 

THE CODE OF COLORADO REGULATIONS 5 CCR 1001·1 
lCl 19981HE PUBLIC RECORD CORPORATION 

ALL P8Q849 RIGHTS RESERVED 21 CR3, 3-98 

1.10.3(3)(b) If a member of the public or a party objects to 

participation by a Commissioner on the basis of a conflict of 

interest, or upon a motion of any Commissioner, the Com . sion 

hall, after appropriate discussions, vote on whether t e is or is 

n an actual conflict of interest. 

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 of the majority of t Commission. 

1.10.4 

1.1 0.5 BRy'!I~~~*
 

The for ing notwithstanding, if recusal of the Commis . ner or
 

Co Issioners in question would prevent Commission acti because
 

er than five Commissioners would be available to participa nd vote 

on the matter at hand, the Commissioner or Commissioners may 

participate, in spite of an actual conflict of interest, if they have compli 

with the disclosure reqUirements applicable to an actual, apparent or 

potential conflict of interest prior to acting. 

1.11.0 STATE IMPLEMENTATION PLAN. 

1.11.0(1) The following are the only requirements in these procedural 

rules which are part of the State Implementation Plan: 

The Commission shall have at least a majority of members who represent 

the public interest and do not derive a significant portion of their income 

from persons subject to permits or enforcement orders under this article or 

under the federal act. The members of the Commission shall disclose any 

potential conflicts of interest which arise dUring their terms of membership 

to the other Commissioners in a public meeting of the Commission. 

1.11.0(2) All other requirements of these procedural rules, found in all 

sections except this Section 1.11.0 are reserved to the authority of the 

.State and are not part of the State Implementation Plan. 

THE CODE O~COLORADOREGULATIONS 5 CCR 1001-1 
Page 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 Air Act 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 of interest th might arise regarding any of . members. The 

provisions of section 1. .0 of the procedural rules re intended to implement 

such federal requiremen and are to be submitt to EPA for inclusion in the 

SIP. The remaining prQvisi s of the procedur rules are not required by federal 

law and. therefQre, shall nQt D submitted to A fQr approva', or fQr inclusiQn in 

the SIP. 

StatutQry AuthQritY 

Specific statutQry authority fQr the ad tiQn Qf such procedural rules is provided 

in § 25-7-106(3). 

The prQcedural rules adopt by the CQmmi . n on January 15, 1998 dQ not 

include the adoptiQn of an 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 Qf an alternative QpQsal tQ 

provid a final econQmic impact analysis in advance of the hearing. :The 

prQp' oent may request assistance from the DivisiQn in the developrne t Qf such 

a al econQmic impact analysis. The CQmmission anticipates that the ivisiQn 

I continue its current practice of conSUlting with the prQpQnent Qf any s 

alternative propQsal and providing such assistance as may be necessary fo 

propQnent tQ comply with the requirements of § 25-7-110.5 (4). )
 

January 16, 1998 .
 

THE CODE OF COLORADO REGULATIONS seeR 1001·1 /